Training Manual for Capacity Building Workshops for Non-State Actors (NSAs) in Nigeria

INCR EASING NON-STATE ACTOR S’ IM P L EM ENTATION AND DEVEL OP M ENT EXP ER TISE

Training Manual for Capacity Building Workshops for Non-State Actors (NSAs) in Nigeria

May 2010

TABLE OF CONTENTS Table of Contents………………………………………………………

Acknowledgement……………………………………………………

Abbreviations and Acronyms………………………………………

Introduction ……………………. ……………………………………..

How to Use the Manual ………..…………………............................

Module One: Perspectives on Development and the Role of NSAs..13 Session 1: Setting the Tone………………………………………………….14 Session 2: Key Concepts, Components and Goals of Development……17 Session 3: The Role of NSAs in Development & governance……………25 Session 4: Programmme Management Cycle……………………………...30

Module Two: Critical Issues in Development

39

Session 1: Participatory Approaches and Community Mobilization……..40 Session 2: Understanding the Origins and Concept of Gender………….43 Session 3: Gender Analysis & Mainstreaming in Development………….47 Session 4: Budgeting for gender inclusion in Development………………53 Session 5: Exercises on Development Challenges, and GAD……………56

Module Three: Research and Development

60

Session 1: Benefits of Research in Project Management………………...61 Session 2: Principles and Ethics of Research in Nigeria………………....66 Session 3: Documenting Research Outputs……………………………….70 Session 4: Mainstreaming Gender in Research…………………………..72 Session 5: Peer Review…………………………………………………..….75

Module Four: Advocacy and Social Change

80

Session 1: Essence and Uses of Advocacy in Development Practice…..81 2

Session 2: Developing Advocacy Tools……………………………………..86 Session 3: Use of ICT in Advocacy …………………………………………93 Session 4: Uses and development of IEC Materials …………………… 98 Session 5: Using Research Findings for Advocacy………………………..101

Module Five: Improving the Fund Raising Activities of NSAs

106

Session 1: What is Fund Raising?.............................................................107 Session 2: Organisational Profiling…………………………………………...114 Session 3: Prerequisites for Successful Resources Mobilisation………….119 Session 4: Internal and External Sources of resource Mobilisation……….130

Module Six: Responding to Calls for Proposals: the EU-INSIDE Perspective 133 Session 1: Getting to know the funder EU-INSIDE…………………………134 Session 2: Critical components of the CFP…………………………………139.

Session 3: Evaluation Criteria for Received Proposals…………………… 141 Session 4: Demonstrating Transparency & Accountability in Proposal Evaluation ……………………………………………………………………………………143

Module Seven: Introduction to Proposal Writing and Reporting Session

1:

Developing

Good

Problem

Statements,

Project

145 Goals

Objectives………………………………………………………………………….146 Session 3: Developing Project Methodology and Activities………………….153 Session 4: Developing the Project Logical Framework Analysis (LFA)…….160 Session 5: Developing the Project Monitoring and Evaluation Plan………...164 Session 6: Developing the Project Budget, Packaging and Follow-up………170

Module Eight: Introduction to Monitoring and Evaluation

179

Session 1: Definition of Concepts……………………………………………….180 Session 2: Developing Monitoring and Evaluation Systems…………………187 Session 3: Processes of Indicator Selection…………………………….….199 Session 4: Tools for Data Collection, Collation, Analysis and Reporting..212 Session 5: Results Based Management (RBM) in Development…………223 3

and

Session 6: Data Quality Assurance (DQA)………………………………….233

Module Nine: Corporate Social Responsibility and Effective NSAs-Private Sector Partnership and Networking

244

Session 1: Social Corporate Responsibility…………………………………….245 Session 2: Effective Networking………………………………………………….249 Session 3: Coalition Building and Management………………………………...253 Session 4: NSAs-Private Sector Partnership……………………………………259

Module Ten: Financial Management and Reporting

267

Session 1- Introduction to Financial Management ……………………………268 Session 2- Procurement and Acquisition……………………………………….274..

Session 3 - Principles and Practice of Accountability and Transparency…...278 Session 4 - Internal Control Mechanisms/Procedures…………………………282 Session 5 - Preparing Financial Reports/ Statements……………………….…290

Module Eleven: Governance and Management

Issues

300

Session 1- Internal Governance: Principles and Practice…………………….301 Session 2 - Leadership & Management in NSAs……………………………....305 Session 3 - Principle and Practice of Strategic Planning………………………311 Session 4 - Team Building in NSAs………………………………………………319

APPENDICES A: Organisational Profile of EU-INSIDE B: Sample CFP, Small and Big grants C: EU-INSIDE Evaluation Criteria D: Samples of evaluated responses to proposals from EU-Assessors

4

ACKNOWLEDMENT This Training Manual was produced by a team of consultants contracted by the Increasing Non-State Actors’ Implementation and Development Expertise - Nigeria (EU-INSIDE). The team is made up of Professor Victor A.O Adetula (Team Leader), Professor Josephine Odey, Mr. John Akuse, and Mrs. Theresa Michael. INSIDENigeria is funded by the European Commission (EC) under the Cotonou Agreement signed in June 2000 between the European Union and 77 African, Caribbean and Pacific (ACP) partner countries. The team of consultants and indeed INSIDE would like to acknowledge a number of persons and organizations whose support at various times contributed to the preparation of this training manual. We thank the National Planning Commission (NPA), Abuja-Nigeria, for supporting the initiatives of EU-INSIDE. We also acknowledge the efforts of the Team Leader, Mr. Walter Bresseleers, Monitoring and Evaluation Officer, Mrs. Mabel Ade and other staff

members of EU-INSIDE who handled the logistics involved in the preparation of the manual. Finally, our appreciation goes to the many Nigerian civil society organizations who gave their time and insights that form the basis for much of this training manual.

5

ABBREVIATIONS AND ACRONYMS

AIDS

Acquired Immune Deficiency Syndrome

C4C

Coalitions for Change

CAC

Corporate Affairs Commission

CBO

Community-based organization

CFCR

Citizens’ Forum for Legislative Reforms

CFP

Call for Proposals

CIDA

Canadian International Development Agency

CIPOGG

Coalition for Issues-based Politics and Good Governance

CISNAN

Coalition of Nigerian NGO in HIV/AIDS.

CREAM

Clear, Realistic, Economic, Adequate and Monitorable

CSACEFA

Civil Society Coalition On Education For All

CSN

Community Support Network

CSO

Civil society Organization

CSP

Country Strategic Plan

DFID

Department for International Development

DIN

Development Initiatives Network

DP

Donor Partners

DQA

Data Quality Assurance

EC

European Commission

ERN

Electoral Reforms Network

EU

European Union

FFA

Force Field Analysis

FOIC

Freedom of Information Coalition

FOMWAN

Federation of Muslim Women’s Associations of Nigeria

GAD

Gender and Development

GAS

Gender Analysis

GECORN

Gender and Constitution Reform Network

GID

Gender in Development

GON

Government of Nigeria 6

HIV

Human Immunodeficiency Virus

HURIWA

Human Rights Writers Association of Nigeria

INSIDE

Increasing Non-State Actors’ Implementation and Development Expertise

LACVAW

Legislative Advocacy Coalition on Violence Against Women

LEEDS

Local Economic Empowerment Development Strategy

LFA

Logical Framework Analysis

LGA

Local Government Area

M&E

Monitoring and Evaluation

MDGs

Millennium Development Goals

MDGS

Millennium Development Goals

NAPEP

National Poverty Eradication Programme

NEEDS

National Economic Empowerment Development Strategy

NGBN

Nigeria Gender Budget Network.

NGO

Non-Governmental Organization

NGOCE

NGO Coalition for the Environment

NGP

National Gender Policy

NINPREH

Nigeria Network of NGOS/CSOS for Population and Rep. Health

NOPRIN

Network of Police Reforms In Nigeria

NPC

National Planning Commission

NSAs

Non-State Actors

NSF

Nigeria Social Forum

OD

Organizational Development

ODA

Overseas Development Agencies

OECD

Organization for Economic Cooperation and Development

OP

Organizational Profile

PI

Performance Indicators

PPT

Power Point

RBM

Results Based Management

RDQA

Routine Data Quality Assurance

RFP

Request for Proposals

RM

Resource Mobilization

SEEDS

State Economic Empowerment Development Strategy 7

SIMPLE

Specific, Immediate, Measurable, Practical, Logical and Evaluable

SMART

Specific, Measurable, Attainable, Realistic and Time-bound

SMI

Support for Mankind Initiative

SPSS

Statistical Packages for Social Sciences

SWOT

Strengths, Weaknesses, Opportunities and Threats

TMG

Transition Monitoring Group

UNDP

United Nations Development Programme

UNEAD

United Nations Electoral Assistance Department

UNESCO

United Nations Educational, Scientific and Cultural Organization

USAID

U.S. Agency for International Development

WAD

Women and Development

WANEP

West African Network For Peace

WID

Women in Development

WIPNET

Women in Peace-building Network

WOCON

Women Consortium of Nigeria

WORNACO

Women’s Organizations for Representative National Conference

YCWN

Youth Crime Watch of Nigeria

YTI

Youth for Transparency International

8

INTRODUCTION The idea of a manual for the training workshops for the Non-State Actors (NSAs) in Nigeria came about as part of the initiatives of the Increasing Non-State Actors’ Implementation and Development Expertise (INSIDE) Programme which is funded by the European Union (EU) under a partnership agreement with the Federal Government of Nigeria (FGN). INSIDE has a budget of €20 million for over a period three years starting from September 2008. INSIDE is providing assistance to NSAs that are fostering pro-poor policy, enhanced service delivery and transparent governance, particularly at state and local government levels, to increase NSAs effectiveness and impact.

The implementation of the INSIDE Programme gives the opportunity to strengthen the dialogue between the state institutions and the NSAs in Nigeria. This dialogue will concern national policies but it will also represent an opportunity to promote a balanced and sustainable local development. In this context, NSAs can play an important role through the promotion of: 

a participatory culture among all the actors involved in the development process, both at national and local level;



political and social dialogue at all levels of public life and a participatory and representative democracy;



shared values among all the actors involved in local development



transparency, accountability, participation, sustainability, effectiveness, equity and



the management of national and local antagonism through conflict prevention and resolution.

In order to maximize the objective functions of the INSIDE programme in a challenging environment which is characterized among other things by low capacity of actors, an institutional needs assessment of civil society organizations in Nigeria was conducted to identify the gaps. The assessment became part of a planning process which focused on identifying and solving performance problems of NSAs in Nigeria. It was indeed an important first step in the development of a capacity 9

building program or performance improvement initiatives. The outcomes of the needs assessment provided useful inputs into the decision to undertake a capacity building and training activity for NSAs in Nigeria.

In November 2009, EU-INSIDE sponsored a meeting of selected experts to develop a framework for the development of curriculum for the training of NSAs in Nigeria. A follow-up meeting was held in March 2010 which resulted in contracting of a five-member team of consultants to develop a training manual for Nigerian NSAs based on the outcomes and recommendations of the needs assessment.

Consequently, the team of consultants worked for a period of one month, reviewed existing literature on the subject and gathered fresh information and data through consultation with representatives of civil society organizations. The purpose of these activities was to get the inputs of relevant organizations into the training manual in order to ensure ownership and sustainability of the use of the training manual.

This training manual contains eleven modules each of which addresses an identified theme. The theme of Module One is ‘Perspectives on Development and the Role of NSAs’. Module Two is on Critical Issues in Development: Participatory Approaches, Community Mobilization and Gender Mainstreaming’ while Module Three presents training sessions on aspects of ‘Research and Development’. Module Four is on the theme of ‘Advocacy and Social Change’. ‘Improving the Fund Raising Activities of NSAs’ is treated in Module Five; closely followed by ‘Responding to Call for Proposals and Introduction to Proposal Writing and Reporting’ in Module Six. Module Seven introduces Monitoring and Evaluation’ Module Eight treats ‘Effective Partnership and Networking’. Module Nine is on ‘Financial Management and Reporting’ while Module Ten is ‘Governance and Management Issues. Module Eleven concludes with training sessions on aspects of ‘Corporate Social Responsibility and Meeting the Needs of Constituents’.

The materials presented in each of the eleven modules are by no means exhaustive. Users may on the other hand find a few of the modules quite loaded. The idea is to be more detailed and comprehensive in certain areas of perceived needs of NSAs in Nigeria.

10

11

12

HOW TO USE THIS MANUAL This manual does remind us of story once told by the ‘World Neighbors’ of a stone soup and we are tempted to share it here just to convey to the users the effect we hope this material will generate.

A traveler was walking down the road when he came upon a lively market. He had walked for many hours that day and was quite hungry, so he asked one of the villagers at the market for help finding something to eat. The man replied that he himself did not have enough to feed his own family and was unable to help the stranger. After several others responded in the same manner, the traveler almost gave up hope. But then he spotted a smooth, rounded stone a little bit larger than a ripe mango, and suddenly had an idea. The traveler picked up the rock and announced to the men and women at the market that he possessed a magic cooking stone.

A small crowd surrounded the stranger, waiting to hear more. Once the traveler won the attention of the villagers, he explained that with this magic stone, he could make enough soup to feed the entire village. He only needed someone to loan a pot and some water, and he would demonstrate. Immediately one of the women who lived nearby offered to bring everyone to her home in order to see this miracle for themselves. The crowd followed the woman and the traveler to the house, where a pot of water was already bubbling on the fire in preparation for dinner. The traveler ceremoniously placed the stone in the water and smiled confidently at the skeptical group. “You know,” said the traveler, “stone soup is very good all by itself, but if you really want to make it right, you should add a few carrots to the pot. It’s too bad that we don’t have any carrots.” A man in the crowd stepped forward with a bunch of carrots that he had bought at the market and added them to the pot. A woman then suggested that if carrots would make the soup better, surely an onion or two could not hurt. She generously donated a couple of onions from her basket to be chopped and added to the meal. Each time something was added, another person from the group would contribute a new ingredient until the pot was full of sweet vegetables, 13

chicken and spices. The traveler did, indeed possess a remarkable stone (Culled from the Roots up: Strengthening Organisational Capacity through Guided SelfAssessment, published by World Neighbors, Oklahoma City, 2000).

The EU-INSIDE Programme commissioned a needs assessment exercise amongst over 1600 organizations which generated a list of capacity gaps within the Nigerian Non State Actors’ community and further analyses led to the development of this training manual to address the gaps identified in the operations and activities of Nigerian NSAs. Therefore the issues that the training workshops for NSAs set out to address include good internal governance, effective and efficient financial management systems, knowledge based advocacy activities, use of research for development activities, effective fundraising, and gender mainstreaming. This Manual is the product of the many months’ of hard work and is designed to deliver comprehensive direct capacity building trainings that meet- the needs of the Nigerian NSAs. What do we make of this manual?

This Training Manual contains tools for stimulating learning and sharing from experiences of participants whom we believe are very knowledgeable about development work. The effect that is desired of this Manual can only be achieved if like the traveler, trainers realize that trainees have a lot to contribute towards their learning and are creative in adapting the methods to suite the specific needs.

Trainers are encouraged to be innovative in application of proposed steps in order to produce a fine dish for all to have a tasty meal at the end.

The methodology adopted is participatory and the contents are cross – cutting to demonstrate the inter-relationship in governance, gender, fundraising, research and advocacy, networking, partnership building and financial management, and also how they all impact on the efficiency and effectiveness of NSAs in Nigeria. Also, the emphasis on pro-poor policies is deliberate to reflect the concerns and expectations of many stakeholders in the Nigerian development process including NSAs and the Nigerian government. It is expected that feedback from users of this Manual will contribute towards improving its quality. In this regard EU-INSIDE encourages users’ 14

documentation of the application of this Manual and as well sharing same with the EU-INSIDE- sponsored resource centres across the six geopolitical zones of Nigeria.

Who should use this manual?

This Manual is developed for the NSAs in Nigeria working as intermediary organizations through their contributions to development and improvement in areas which include: poverty interventions, environment and climate change, water and sanitation, human rights, gender mainstreaming, and democracy and good governance. Although the primary focus is on NSAs, it is our conviction that other state agencies may find the document a useful training material. Also, community based organizations may find the material useful especially with the aid of good language translators.

How to use this manual?

This Manual starts with a Table of Contents, Acknowledgement, Abbreviations and Acronyms, and an introduction to guide application throughout the entire training process. Users can navigate easily through the different modules and sessions by following the stepwise delivery of content using the recommended methodology in a creative and flexible way.

Modules are subdivided into sessions; each of which

starts with goal and objectives respectively. Materials required for preparation are indicated and the facilitator’s notes at the end of each session provides a start-up for literature review for the facilitator who is, indeed, free to continually update information on the issue. Each of the modules can be treated individually depending on the needs of the trainees and organizers even though it is advisable to consciously draw a link to all the modules for optimal impact.

How not to use this manual?

This publication is available both in print and electronic versions to allow access for those who may not be opportune to access hard copies. Future amendments should acknowledge the main source and share the outcome of improved version with the referenced

EU-INSIDE-supported

resource

centres

located

across

the

six

geopolitical zones of the country. It is advisable to use this Manual with the 15

guidelines and also the facilitator’s note. Also, users are encouraged to make effort to adapt the manual to fit the specific context of the social and cultural environment of participant – trainees for effective results.

Finally, it is our expectation that users will find this Manual useful not only for the needs of their organizations, but also that knowledge acquired from its application will generate the much needed improved performance in constructive engagement of NSAs with government at all levels. This will in turn impact on the effectiveness and efficiency of service delivery in Nigeria

Note: Please send your innovative ideas and comments on this training manual to info@insidenigeria.org.

16

MODULE ONE PERSPECTIVES ON DEVELOPMENT AND THE ROLE OF NON STATE ACTORS

Aim Equip NSAs with the technical know-how and skills needed for effective participation in national development processes and enable them function effectively as change agents at the community level.

Module Structure

Session 1: Session 2: Session 3:

Perspectives on Development: An Overview of Key Concepts, Components & Goals Perspectives on Development: The Role of NSAs NSA’s Participation in Governance Processes

17

MODULE ONE: SESSION 1

Perspectives on Development: An Overview of Key Concepts, Definitions, Components and Goals Session Objectives: At the end of the session, participants will be able to: 

Explain the key concepts, components and attributes of development from various perspectives.



Understand development policies and challenges in Nigeria



Appreciate the goals and benefits of development



Map workable strategies for development interventions

Estimated Time: 60 Minutes Methodology: Ice breaker, Open sharing of participants’ prior views, Explanation and discussion, Interactive Brainstorming and Group Game Session Content: 1. Introductory Ice Breaker “One-Word Better World”

2. Introduction to development: What do you understand by development?

Assessing participants’ prior views 3. Explanation of the key concepts, attributes and goals of development, 4. Review of the Development Policy Environment in Nigeria 5. Challenges of development in Nigerian environment: What has worked, what has not, and why?

6. Group Game “The Change Planner”

Materials : Flip charts, Markers and Index cards 18

Preparations Required i.

Write out the Session Topic on flip Chart

ii.

Prepare the Acronyms and their meanings on flip chart

iii.

Prepare a handout on the MDGs

iv.

Prepare index cards to be given to participants at start of session

Process Step 1: Introduction

5 minutes

Begin with an ice breaker on “One-Word Better World” Step 2: Experience-sharing

10 minutes

Initiate an open sharing of participants’ views of the concept of development. Give various definitions of the concept Step 3: Mini-lecture

20 minutes

Explain the components and attributes of development, e.g. Sustainable development, equity, social justice, participation, human rights, inclusion, poverty, and poverty reduction, as they relate to the national environment. Display the flip chart on the MDGs, NEEDs, NAPEP, NGP, 7-Point Agenda, etc; use it to introduce an overview of the development policy environment in Nigeria, and state of address.

Step 4: The change Planner

15 minutes

Initiate the group game on “Change Planner”. This is an individual thought-provoking exercise. Give participants time to come up with their own original ideas. Then using their plans as entry point, open a general conversation on the Goals, Benefits and Challenges of Development Planning and Programming

Conclusion

5 minutes

Raise session highlights and give closing comments

19

FACILITATOR’S NOTE  “One-Word Better World” Ice Breaker This game is a food-for-thought exercise that is very appropriate as an entry point to the subject of development, change, leadership and social responsibility. It is a simple activity with positive outcome as discussion opener on the subject of development.

Ask participants to take a deep breath, clear their minds, close their eyes, and think of a single word - just one word - which they feel best describes the world they envision, a better world they wish for.

For participants who find it impossible to decide on one word, encourage them to use as few words as possible rather than a narrative.

Game Review Questions 

How can we as individuals and groups realize our “one-word” maxims of a better world?



How are we facilitating the realization of that better world?



Are we part of the problem or part of the solution?



What personal resolutions and changes can we make to begin the process of positive change for development of the better world we envision?

 Change Planner Exercise This is a quick-initiative activity with a helpful underlying purpose. It could be done in groups of any size. It is a good follow up exercise to the One-Word Better world envisioned by participants in the opening ice breaker exercise.

Setting the scene: There is good news. Participants have a chance to make the beautiful world they envision a reality. Ask them to make that world happen in a given space of time.

20

To make that world happen, there is need for change, and there is need for actions to be taken for the change to happen. Since commitments tend to succeed where there is a plan, map out the plan for change, and work out the change using this simple procedure:

1. Think of the change you want to make for the better world to be.

2. Write it down in simple, clear, realistic and measurable terms.

3. Why do you want the change? Why is the necessary? Who benefits?

4. Identify immediate, achievable actions for achieving it 5. Set timeline and resources as required

 See: http://www.mdgmonitor.org/  Helpful Definitions / Explanation of Concepts Development is a process by which something passes by degrees to a different stage (to a more advanced or mature stage)

Development is a process aimed at improving the social, economic and physical well being of peoples. It often targets, works with and through individuals, groups, institutions, relations and structures to bring about desired changes.

The following words can also be used to describe the term ‘development’: Improvement, Change, Expansion, Refinement, Growth, Maturation, Progress, Advancement, etc Development presupposes increase in quality, higher standard of living and attainment

The following words may be used to describe the opposite of development: Deterioration, disintegration, degradation, degeneration  Some Goals and Benefits of Sustainable development

21

Equity and social justice Eradication of extreme poverty Cohesive Society Public and Environmental Health Gender Equality Individual and Group Fundamental Freedoms /Human rights Education/knowledge Social Security Peace & Human Security Sustainable urbanization

ď‚Ľ Sustainable development is about equity, defined as equality of opportunities for well-being, as well as about comprehensiveness of objectives.

The greatest challenge of sustainable development is this: how do we meet today’s needs without jeopardizing the capacity of future generations to meet their own needs?

Sustainable development also stresses the importance of retaining the flexibility to respond to future shocks, even when their probability, and the size and location of their effects, cannot be assessed with certainty.

---------- OECD Policy Brief 2001

Sustainable development is seeking to meet the needs of the present without compromising those of future generations. We have to learn our way out of current social and environmental problems and learn to live sustainably.

--------- UNESCO

22

“Human beings are at the center of concern for sustainable development.

They are entitled to a healthy and productive life in harmony with nature.”

------

Rio Declaration, adopted by the United Nations

Conference on Environment and Development in 1992, in Rio de Janeiro, Brazil (The Earth Summit)

 MILLENNIUM DEVELOPMENT GOALS

MDG 1.

Eradicate extreme poverty and hunger 

Reduce by half the proportion of people living on less than a dollar a day



Reduce by half the proportion of people who suffer from hunger

MDG 2.

Achieve universal primary education 

Ensure that all boys and girls complete a full course of primary schooling

MDG 3.

Promote gender equality and empower women 

Eliminate gender disparity in primary and secondary education preferably by 2005, and at all levels by 2015

MDG 4.

Reduce child mortality 

Reduce by two thirds the mortality rate among children under five

MDG 5.

Improve maternal health 

Reduce by three quarters the maternal mortality ratio

MDG 6.

23

Combat HIV/AIDS, malaria and other diseases 

Halt and begin to reverse the spread of HIV/AIDS



Halt and begin to reverse the incidence of malaria and other major diseases

MDG 7.

Ensure environmental sustainability 

Integrate the principles of sustainable development into country policies and programmes; reverse loss of environmental resources



Reduce by half the proportion of people without sustainable access to safe drinking water



Achieve significant improvement in lives of at least 100 million slum dwellers, by 2020

MDG 8.

Develop a global partnership for development 

Develop further an open trading and financial system that is rule-based, predictable and non-discriminatory. Includes a commitment to good governance, development and poverty reduction—nationally and internationally



Address the least developed countries’ special needs. This includes tariff- and quota-free access for their exports; enhanced debt relief for heavily indebted poor countries; cancellation of official bilateral debt; and more generous official development assistance for countries committed to poverty reduction



Address the special needs of landlocked and small island developing States



Deal comprehensively with developing countries’ debt problems through national and international measures to make debt sustainable in the long term



In cooperation with the developing countries, develop decent and productive work for youth



In cooperation with pharmaceutical companies, provide access to affordable essential drugs in developing countries



In cooperation with the private sector, make available the benefits of new technologies—especially information and communications technologies MODULE ONE: SESSION 2 24

Developing Effective Strategy for Implementation of MDGs in Nigeria

Objectives: By the end of this session, participants should be able to: 1. Identify cross cutting issues in the MDGs; 2. Identify other pro-poor policies/programs in Nigeria; 3. Make a simple assessment of such policies/programs in terms of their implementation, sustainability, accountability, and transparency; 4. Develop strategies to implement the MDGs.

Estimated Time: 120 Minutes

Methodology: 

Group work



Flip chart Presentations at plenary

Session Content: 

Understanding the MDGs.



The Challenges of implementing Pro-Poor Policies/Programs in Nigeria.



Developing Strategies that work.

Materials Needed: Flip chart papers,

Markers, Masking tape

Preparation Requirement: 1. Read facilitators’ notes on MDGs. 2. Write session’s topic and objectives on flip chart.

3. Write one MDG on a flip chart each (8 flip charts).

4. Write a list of some pro-poor policies/programs in Nigeria.

PROCESS Step 1: Introduction

10 Minutes 25

Display session’s objectives on flip chart or power point and request a participant to read aloud. Ask participants to comment on the objectives with respect to their expectations and concerns.

Step 2: Group work

60 Minutes

Divide participants into eight groups and give each group one of the prepared flip charts with one MDG. Each group is to do the following: 

Identify issues around the MDG



Identify primary stakeholders around the MDG



Identify secondary stakeholders around the MDG



Identify strategies that could be used to implement the MDG

The presentations at plenary should emphasize cross cutting issues and multidimensional and multi-sectional approaches towards realization of the MDGs. Step 3: Presentation/Discussion

40 Minutes

Present a list of some pro-poor programs in Nigeria since independence and lead discussion on each to assess it in terms of:  Level of impact  Sustainability  Accountability  Transparency

Step 4: Conclusion

10 Minutes

Conclude by highlighting key learning points

26

See Handout on MDGs List of some pro-poor Policies & Programs in Nigeria since Independence



Operation Feed the Nation (OFN),



Free and Compulsory Primary Education (FCPE),



Green Revolution,



Low Cost Housing,



River Basin Development Authorities (RBDA),



National Agricultural Land Development Authority (NALDA),



Agricultural Development Programmes (ADP),



Agricultural Credit Guarantee Scheme (ACGS),



Strategic Grains Reserves Program (SGRP),



Rural Electrification Scheme (RES),



Rural Banking Programme (RBP)



Directorate for Food, Roads and Rural Infrastructure (DFRRI),



National Directorate of Employment (NDE),



Better Life Program (BLP),



People’s Bank of Nigeria (PBN),



Community Banks Program,



Family Support Programme (FSP),



Family Economic Advancement Programme (FEAP).



National Poverty Eradication Programme (NAPEP)



Youth Empowerment Scheme (YES),



Rural Infrastructure Development Scheme (RIDS),



Social Welfare Services Scheme (SOWESS),



Capacity Acquisition Programme (CAP),



Natural Resources Development Conservation Scheme (NRDCS)



National Economic Empowerment and Development Scheme (NEEDS)

27

MODULE ONE: SESSION 3

The Role of Non State Actors in Development Session Objectives At the end of the session, participants will be able to: 

Discuss the concept of NSA, who they are, what they do and what they can do at the community and national levels



Appreciate the challenges facing NSAs and the opportunities open to them



Develop strategies for NSAs greater impact in the field of development and nation building

Estimated Time: 90 Minutes

Methodology: Buzz Stimulation, Brainstorming, Explanation, Group work , Presentation and Discussion of Findings Session Content: 1. What does the acronym NSA stand for?

2. Who are NSAs and what are the roles they play currently in Nigeria?

3. What else should they do? (identify prospects and possibilities hitherto unexplored or under-utilized; and presently existing and emerging opportunities

in

Nigeria’s

socio-cultural,

economic

and

political

environment) Materials Flip chart, paper and cardboard sheets.

Preparations Required i.

Prepare 5 Cardboards with the full meaning of the acronym NSA and who NSAs are, for use in Buzz Stimulation.

ii.

Select 5 Buzzers (5 participants will play this role) 28

iii.

Write session topic and main points on flip chart

Process: Steps 1: Buzz Session

10 minutes

Ask the already selected five buzzers to hold up one cardboard each. One after the other, each buzzer appears in full view of all participants, announces what is written on the cardboard and allows some minutes for participants to read the cardboard themselves before the next buzzer appears. This combines visual and audio effects in learner-centered experiential training, compels full attention and immediately stimulates participants own reactions and contributions.

Step 3: Brainstorming

20 minutes

Initiate Brainstorming on perceived and prospective roles of NSAs by mentioning a few specific roles and allow participants to identify more roles based on their experience and the experience of their partner actors / institutions Step 2: Mini Lecture

20 minutes

Explain basic principles and processes of NSAs Role in development Step 4: Group Work

15 minutes

Divide participants into groups for break session on Strategies for effective engagement of NSAs in national development.

Step 5: Group Presentation

20 minutes

Ask for the presentation of the result of the breakout sessions by the rapporteur of each group. Allow enough time for general comments on the presentations.

Conclusion

5 minutes

Ask one or two participants to give a brief summary of the session.

Deal with any questions arising and give final clarifications

29

FACILITATOR’S NOTE  Who are Non-State Actors?

Non-State Actors include: 

Non-governmental organizations



Community-Based Organisations



Faith-Based organizations



Private/corporate actors



Academia



Trade Unions



Student Unions



Voluntary Agencies



Neighbourhood groups

 NSAs Roles include but are not limited to: 

Influence law and policy for the common good of the society vis a vis advocacy



Empower peoples to meet felt needs through capacity building, and public education



Promote the exercise of citizenship rights and accountability in leadership



Design and Deliver services in various sectors such as poverty reduction, literacy, health services, etc



Raise funds and increase asset base in communities



Create and promote access to equity in socio-economic and political benefits



Contribute to a stable, representative, participatory democracy in local, state, national and international levels



Increase ownership of development process



Represent the views and needs of the poor and protect their interests in development



Ensure sustainability through that popular ownership and commitment



Constitute key linkages in private-public partnerships 30



Dialogue, negotiate and manage peaceful resolution of disputes and conflicts



Promote cultural cohesion and co-existence

MODULE ONE: SESSION 4 Non State Actors’ Participation in Governance Processes Session Objectives At the end of the session, participants will be able to: 

Identify likely impediments and possible entry points for increasing NSAs participation in governance processes



Determine the necessary internal and external factors for facilitating progress in this regard



Understand and apply the basic principles and tenets for effective NSAs participation in governance

Estimated Time: 70 Minutes

Methodology: Real Life Case Reviews , Commentaries / Explanations, Analysis / Tool, Group work/Presentation Session Content: 1. Sample NSA Case Study 2. What are the governance-related roles of NSAs? 3. What are the challenges and the possible entry points?

4. How can NSAs improve their participation and impact in Governance?

31

5. What are the rules of engagement for effective NSAs involvement in governance?

Materials: Briefing Note(s), Flip Chart and Markers

Preparations Required: 

Get a sample NSA case study ready i.e. photocopies



Prepare working groups questions on flip charts

Process: Step 1: Case Study

5 Minutes

Introduce the opening case study as a story (oral narrative) Step 2: Reading and responses to case study

10 Minutes

Give participants time (at least ten minutes) to go through the hand out by themselves and respond to the accompanying questions. Invite at least 3 or 4 volunteers to read out their responses.

Step 4: Discussion

10 Minutes

In plenary session, ask participants to identify the roles of NSAs in governance in present day Nigeria.

Step 5: Mini-lecture

15 Minutes

Introduce the Rules of Engagement and guiding principles for more effective participation?

Step 6: Force Field Analysis

25 Minutes

Using Force Field Analytical Tool (FFA), initiate group exercise on the challenges and existing possible entry points improving NSAs Participation in Governance and map effective strategies for increasing the impact of NSAs in governance processes.

Process Conclusion

5 Minutes

Conclude the session with feedback and relate the rules of engagement to the mapped strategies.

32

FACILITATOR’S NOTES  NSAS ROLES IN GOVERNANCE           

Shaping political discourse through dialogues and debates Norms setting through protection of agreed human rights standards Influencing decisions through lobby and advocacy Interventions and litigations Assisting in Security Vigilance, and Community Policing Sensitizing, mobilizing the people Fact-finding and Reporting for public accountability and responsibility Organising Social Pressure and Protests where necessary Expanding political access for inclusion Initiating and engaging in public hearings at the National Assembly Partnering with state agencies to improve services in local and national governance  Holding elected officials to live up to promises  Drafting legal texts in domestic legislations and policy making  Monitoring compliance with domestic and international agreements  Examples of Levels and openings for NSAs political participation: Consultative processes at all levels Public hearings/ Media briefings / Letters to the Editor, etc National/State/Local government Budget processes Electoral / Judicial / Legislative processes

33

MODULE TWO CRITICAL ISSUES IN DEVELOPMENT: PARTICIPATORY APPROACHES, COMMUNITY MOBILIZATION AND GENDER MAINSTREAMING

Aim Enable appreciation of community mobilization and gender-based

popular participation in development discourse and programming and bequeath practical skills in the use of relevant tools and applications for

gender

mainstreaming

in

development

institutions

and

programmes

Module Structure

Session 1: Participatory Approaches and Community Mobilization Session 2: Gender & Development: Understanding the Origins and Concept of Gender Session 3: Gender Analysis & Gender Mainstreaming in Institutions and Programmes: Tools & Applications Session 4: Gender Budgeting: Budgeting for gender inclusion in development Session 5: Exercises on Development Challenges, and GAD

34

MODULE TWO: SESSION 1

Participatory Approaches and Community Mobilization Session Objectives At the end of the session participants will be able to: 1. Understand what it means to mobilize communities; the reasons and attendant benefits 2. Utilize various mobilization tools and strategies for galvanizing commitment and dedication to common purposes 3. Acquire the technical know-how of carrying out community needs assessment for development planning and programming in communities

Estimated Time: 60 Minutes

Methodology: Explanation, Brainstorming using leading questions, Experience sharing and practical exercises Session Content: 1. The meaning of the concept of community, community needs assessment, ard community mobilization 2. Power and Participation in Communities 3. Steps and Skills in community needs assessment and mobilization 4. Participatory Approaches in community needs assessment 5. Community mobilization: Examples of experienced mobilization efforts 6. Justification and benefits of mobilization 7. Challenges to overcome Materials: Flip charts, Markers 35

Preparations Required: (i) Write out one leading question on a flip chart for use during the brainstorming segment (ii) Get a communal song ready or a communal strength game (iii) Prepare Flip chart on Community Mobilization and Application Process: Step 1: Ice breaker

10 Minutes

Request a volunteer to sing a community song (reflecting solidarity, harmony or communal achievements), or do the ‘Rope Pulling Game’ to show the value of communal strength as opposed to individual strength Step 2: Mini-lecture

20 Minutes

Explain the concepts of (i) Community, (ii) Community Needs Assessment and (iii) community mobilization, Power and Participation Step 3: Experience-sharing

10 Minutes

Use a leading question (s) to open a shared experience segment on community needs assessment Step 4: Steps in Community Needs Assessment

10 Minutes

Based on shared experiences, guide participants through steps and skills in community needs assessment using Participatory Rural Appraisal (PRA) Approaches Step 5: Discussion Display a flip chart on Community Mobilization: Application of Term. Use it to initiate conversation on justification, benefits and Channels of community mobilization.

Step 6: Group Work

40 Minutes

36

Divide participants into two large imaginary communities to map strategies and effective approaches for mobilizing their community members, based on felt needs (as already identified in the first exercise). Reserve some of the participants as facilitators of the process. Ask the facilitators to issue their conclusions in brief reports.

Conclusion

10 Minutes

Conclude with a catalogue of community mobilization ways and means.

FACILITATOR’S NOTE  Example of a leading question: The Local Government Council has just announced its intention to build a cinema house in Eme community, where the nearest school, health centre and other social amenities are located kilometers away in the neighbouring Ate village.  Is a cinema house a priority issue for Eme Community?  What strategies should be used to mobilize the people for a change of decision at the local government council?  Opportunities for Community Mobilization Communities can be mobilized for any purpose that serves their best interests. Such purposes may range from the need to vote for a preferred candidate, to monitoring an election, to monitoring the elected representatives to ensure that they deliver their election promises, to vigilance for community security, building a much needed school structure, health centre etc.

Communities can equally be mobilized to redress felt injustice, assist government in tracking down criminals, build a town hall, carry out rural electrification, bring water points for community use, propagate knowledge and enforcement of a new law or simply to sensitize them to take more active interest in local governance etc.

37

What is important is that the mobilization must be for a common purpose that serves the felt needs of the people being mobilized. That is fundamental to the success of any mobilization plan.

 Force Field Analysis Force Field Analysis is a valuable tool for analysis the internal and external factors affecting an issue of concern. The exercise takes the form of strategic mapping to determine the possible forces for and against the issue, subject, project, organization as the case may be.

FFA identifies the constraints and the available support. It does not stop there; it also determines ways of overcoming identified constraints, and of reinforcing existing support and gaining more.  Basic Principles and Tenets of NSAs in Governance Whether NSAs are in the non-profit social enterprise sector or profit corporate sector, NSAs relevance and effectiveness in development is predicated on the following basic principles and tenets:  Purpose (Conviction, Goal)  Credibility  Accountability  Responsibility (Social, political, corporate responsibility)  Sustainability  Accessibility  Objectivity (informed judgment, social justice and Equity)  Charity (Assistance, Public Interest, Common good)  Tenacity (Consistence, Persistence, Dilligence)  Validity (legitimacy and power conferred by statute or by popular support)

38

MODULE TWO: SESSION 2

Gender and Development: Understanding the Origins and Concept of Gender Session Objectives At the end of the session, participants will be able to: 1. Define and discuss the origins and concept of gender 2. Self-assess their knowledge and perceptions of gender 3. Appreciate the importance of gender mainstreaming in national and community development processes 4. Identify gender issues in development and increase knowledge of how institutions, structures and processes perpetuate gender relations Estimated Time: 105 Minutes

Methodology: Ice breaker, Individual exercises, Explanations and clarifications, Breakout sessions and Handouts Session Content: 1. Ice breaker: “My Earliest Childhood Recollection of Gender” 2. Social Origins of Gender, Gender Construction & Dimensions 3. Creating Clarity Concepts of Gender: Gender vs Sex roles 4. Gender-based terminologies / glossary of terms 5. Practical and Strategic Gender Needs in development processes Materials Hand out on “Gender and Sex”, Fill-in Forms on Gender Myths, Colored sketch pens/markers and tape, and Flip chart for each group.

Preparations Required i.

Make photocopies of handouts and Fill-in Forms

ii.

Write out group numbers on flip charts 39

iii.

Write out session topic and main segments on flip charts to save time

Process: Step 1:

10 Minutes

Ice Breaker: Get participants to express their hopes and fears in relation to gender Step 2: Recollections

15 Minutes

Guide participants through a process of recollection of earliest gender consciousness: Request them to share their recollections in plenary, answering the following questions: How did you feel when you realised that you were a boy or girl? Did you feel proud, angry, or embarrassed?

What was your reaction?

Step 3: Understanding Terms

15 Minutes

Display a flip chart on Gender and Sex, and facilitate a critical appraisal of the distinction in gender-related glossary of terms Step 4: Gender Myths

10 Minutes

Distribute the Fill-in Forms on Gender Myths. Give participants five minutes to write down their responses Step 5: Discussion

20 Minutes

Use their responses to lead an in-depth discussion on Gender, Human Rights and Equity: Dimensions and Roles in Development Step 6: Explanation

10 Minutes

Distribute Handout on Practical and Strategic Gender Needs, provide comprehensive distinctions using examples drawn from participants own communities Step 7: Group Work

20 Minutes

Divide participants into 3 or 4 break out groups. Their task is to: 40

(i)

identify gender-based human rights violations in their communities

(ii)

make suggestions on strategies for redress

(iii)

identify who might be enlisted in the effort

Conclusion

5 Minutes

Conclude the process with group report back and general comments

FACILITATOR’S NOTE  Gender / Sex SEX Biological

differences

GENDER between

Socially constructed roles

men and women Universal

Varies from culture to culture

Innate

Acquired

Unchangeable

Changeable

 Practical & Strategic Gender Needs 

Practical Gender Needs are those immediate material needs such as food, water, income, child care, shelter etc



Strategic Gender Needs refer to the long-term systemic needs required to transform existing inequalities and disparities in power relations between men and women in society.



Examples include: Elimination of gender discriminatory laws Protection of human rights of any disadvantaged persons in various contexts, be they men and/or women Creating equality of access to political power and decision making 41

Enacting new laws and policies that uphold equality of the sexes productivity, peace and progress Change of curriculum contents in schools to reflect gender equality, etc 

Practical and Strategic Gender Needs are not mutually exclusive but mutually reinforcing as progress in one relates to and could expedite progress in the other

42

MODULE TWO: SESSION 3 Gender Analysis & Gender Mainstreaming in Institutions and Programmes: Tools & Applications Session Objectives At the end of the session, participants will be able to: 1. Analyse gender in their specific contexts 2. Apply relevant gender frameworks 3. Carry out participatory rural appraisal for equal opportunities and equal benefits 4. Develop strategies for overcoming major impediments to equal involvement of women and men in development planning and programming Estimated Time: 60 Minutes

Methodology: Ice-breakers, Open discussions, Hand outs, Explanation and Brainstorming Session Content: 1. Prejudice and Classification Game 2. Harvard Analytical Framework / GAS 3. Women In Development (WID)/ Women And Development (WAD) Frameworks 4. Gender In Development (GID) / Gender And Development (GAD) Frameworks 5. Gender mainstreaming in Project Cycle: Targets, Institutions and Projects (Matrixes, Tools and Methods; Analysis and Application: Stages and Levels)

Materials: Writing materials, Flip charts, Matrixes and Checklists

Preparations Required: 43

i.

Prepare hand outs matrixes and checklists

ii.

Prepare group assignments on flip chart

Process: Step 1: Icebreaker on ‘Prejudice and Classification Game’.

10 Minutes

Divide participants into 3 groups; give each group one copy of a photograph or draw a sketch of a boy or a girl. Ask each group to classify the person in the photograph according to their perception of him or her, using nouns and adjectives derived from personality, tribe, religion or gender. Share and discuss the groups’ classifications.

Step 2: Discussion

15 Minutes

Review the entries using the following questions: What gave them those impressions?

Does appearance always reflect reality in terms of ability, character?

What negative or positive effects might prejudices and wrong assumptions have?

How can we verify or disprove assumptions and prejudices?

Step 3: Mini-lecture

20 Minutes

Note the differing classifications given by the groups, and use introduce the session on Gender Analytical Frameworks and Tools.

Harvard Analytical Framework / GAS WID/WAD/GID/GAD Frameworks Gender Mainstreaming in Project Cycle: Targets, Institutions and Projects - Analysis and Application; Levels and Stages

Step 4: Role Play

10 Minutes

Request four participants to act the roles of Mr WID, Ms WAD, Mr GID and Ms GAD in a brief public debate format.

Conclusion

5 Minutes 44

Conclude with questions and answers on the simulation and any other matter arising from the session.

FACILITATOR’S NOTE SOME GENDER MYTHS: Print out the list of some Gender Myths and ask participants to state whether they agree or not giving their reasons.                   



“Training Women is useless because it amounts to investing in another family”.

“Men should not cry or show emotions”.

“Women should be seen and not heard”.

“Men Are More Competitive”.

“Women Are More Talkative”.

“Women Are More Intuitive”.

“Women who are exposed to western education are wild and irresponsible “Women are home makers”.

“Women don’t sell or buy land”.

“Women should not eat eggs and meat when pregnant so that the kids will not steal” “Pregnant women do not eat rabbit and snail” “Women do not eat gizzard of chicken, they eat the waist because they deliver babies”.

“Boys are better in Mathematics”.

“A woman’s Education ends in the kitchen”.

“Politics is not meant for women” “Women cannot lead” “Women cannot be Ministers of God neither can they preach” Women cannot sit in Council of Elders” “Women do not plant economic trees” “Men don’t cook”

GENERAL ANALYTICAL FRAMEWORKS  SWOT Analysis 45

 Force Field Analysis  Specific Gender Analysis Frameworks including Gender Lenses and Checklists

GENDER ANALYTICAL FRAMEWORKS •

Harvard Analytical Framework - Focuses on an analysis of the division of work between women & men in “productive” & “reproductive work” within the household & community, disaggregated by sex, age & other factors.

•

Moser Framework - Focuses on three elements: Gender Roles Identification: Women’s triple role, Practical and strategic gender needs, Women in Development (WID) and gender and Development (GAD) policy approach matrix.

•

The Women’s Empowerment Framework (Longwe): Defines Women’s Empowerment as women achieving equal control over the modes of production, participating equally in the development process and taking charge of their own lives.

•

The Social Relations Approach: Social Relations aims to challenge the idea of neutrality and independence attributed to institutions and reveals how gender inequalities are produced and reproduced by institutions.

•

The Gender Analysis Matrix (GAM): insists that Gender Analysis cannot create transformation unless it is carried out by the members of the communities themselves and develops participatory methodologies in order to help communities analyse gender issues themselves.

•

 WID/WAD (Women In Development / Women And Development) WID otherwise known as the Empowerment Framework came into use in the 1970s is dedicated to leveling the playing field in favour of already disadvantaged women. WID was targeted women’s immediate practical needs and benefits, to empower them to achieve equality with men.

46

WAD followed WID in the 1980s. It equally focused on women but differed by emphasizing and combining women’s practical and strategic needs. It recognized the need to change systems of discrimination and oppression but focused on working with women as beneficiaries.  GID / GAD (Gender In Development / Gender and Development) GID came into use in the 1990sas a paradigm shift that placed more premium on gender relations. It recognized existing inequalities especially in the care economy and its negative impact on development. However, GID did not make any shift in its problem-solving approach. Again, just like WID and WAD, it focused on women as the solution and therefore the target of its development benefits.

GAD Framework was introduced as a response to the perceived shortcomings of WID, WAD and GID. GAD agrees with GID in recognizing the root causes of gender inequality in power relations between men and women.

Unlike GID, GAD recognizes the importance of carrying both men and women along, of working with them to end systemic injustices, redress existing wrongs and create equal benefits for all. GAD views both men and women as essential and equal partners in the development process and therefore takes active steps to ensure equal representation, participation and equal impact in benefits for both men and women by mainstreaming gender into all levels and processes of development.  TAKE-HOME REFERENCE / REFRESHER MATERIALS It is important to prepare detailed take-home handouts on the matrixes and applicable tools in greater detail as hand out. This will greatly assist participants even after the training program to have access to reference / refresher materials for use in their offices and communities.  TEMPLATES OF MATRIXES It is equally important to prepare gender analysis matrixes in templates that the participants can take away for their use after the training 47

48

MODULE TWO: SESSION 4

Gender Budgeting: Budgeting for gender inclusion in development Session Objectives At the end of the session, participants will be able to: 

Understand the importance of gender-based fiscal planning and budget financing in the realization of development objectives for desired social change.



Participate actively in national budget processes



Apply gender budget tools and gender concerns in project and institutional management systems

Estimated Time: 90 Minutes

Methodology: Explanation, Brainstorming and Group work/Presentation Session Content: 1. Budgeting for Gender Inclusion in Development 2. Practical Tools for Gender-Responsive Budget Planning and Analysis 3. Key entry points for gender-responsive budget advocacy and intervention in state and national budget processes 4. Prioritization of Gender line items in organizational, program, community or national budget instruments 5. Group Work Exercises on (i) Gender budgeting and (ii) budget analysis.

Materials: Flip charts, Markers Preparations Required: i.

Prepare a short sample of line items in national or organizational budget 49

Process: Step 1: Ice breaker on “Breakfast Menu”

15 Minutes

Divide participants into group. They are to prepare a balanced breakfast for the house; but first their task is to draw up the Breakfast Menu Budget to enable them get the needed items to make the breakfast. They have a kitchen but not all the utensils required; they have no food stuffs but there is a nearby market. Review the group reports based on the following: -

Appropriateness of food items on the breakfast menu

-

Nutritional Value of food items

-

Cost implications of the items

-

Necessity of utensils to be purchased

-

Group process used to reach consensus

Step 2: Mini-lecture

25 Minutes

Explain the terms ‘Gender budget’, why it is necessary, costs and benefits; Budgeting for Gender Inclusion in Development, Practical Tools for GenderResponsive Budget Planning and Gender Budget Analysis Frameworks Step 4: Discussion

15 Minutes

Open an interactive discussion on: 

Major entry points for gender-responsive budget advocacy and intervention in state and national budget processes



Prioritization in organizational, program, community or national budget instruments

Step 5: Group Work

30 Minutes

Introduce the Group Exercise on Institutionalising and Operationalising Gender You have just been made the Chief Executive Officer of your agency and have been given a financial allocation of N150,000,000 that must be spent within one year to institutionalize Gender in your operations and programs.

You are required to draw up an annual budget for its utilization.  Briefly list steps you will take to draw up the plan?

50

 What are your budget priorities?  What factors influenced your fiscal decisions?  What are the overall goals of your budget?

Conclusion

5 Minutes

Conclude with an Interactive sharing of the drawn up budgets and major highlights of the session

FACILITATOR’S NOTE  Gender budget: a budgeting method that analyses the incidence of budgets on men and women and girls and boys. Gender budgeting entails analyses of revenue and expenditure impacts so as to avoid or correct gender imbalances. This definition thus presupposes that gender budget analysis can be done prior to, during or at the end of a project / programme period. In order words, it can be used as a planning, implementation, monitoring and evaluation tool.  For gender budgeting to be efficiently applied, from the onset, identified project need, design and action plan must be gender sensitive and responsive. All social inquiries, items, targets and goals must be viewed with gender lens.  Give a handout on gender budget analytical frameworks and tools

MODULE TWO: SESSION 5

Exercises on Development Challenges, and GAD Session Objectives At the end of the session, participants will be able to: 51



Apply Gender Tree Tool to address development challenges in specific contexts, within the GAD framework



Analyse findings within the particular contexts



Proffer workable strategies to address gender inequalities within identified contexts

Estimated Time: 60 Minutes

Methodology: Brainstorming,

Explanation,

Briefing,

Group

work

and

group

Presentation

Session Content: 1. Practical exercise on Gender Tree Tool for tracking root causes of development problems and possible solutions within the ambit of GAD 2. Mapping solutions on challenges Materials: Flip Charts, Various Colours of Markers, and Projector/Beamer

Preparations Required: i.

Print out the briefing note, one for each group

ii.

Write out Group numbers on the flip charts

iii.

Keep handy a sample of Gender Tree Analysis or PowerPoint Presentation file

Process: Step 1: Brainstorming

5 Minutes

Open the session by asking participants to name parts of a tree in its order of growth Step 2: Explanation

15 Minutes 52

Explain the nature and relevance of the Gender Tree Tool in development planning and programming. Using PowerPoint , present a model gender tree analysis Step 3: Group Work

20 Minutes

Divide participants into 3 groups. Provide each group with at least three different colours of markers and two plain flip charts. Ask them to draw a giant tree leaving enough space for writing notes on different parts of the tree based on their own specific work environment or community setting. Detail group rapporteurs to give group reports in plenary Step 4: Discussion

15 Minutes

Guide participants through a critical review of the findings Review Questions: (i)

What are your findings?

(ii)

Based on your findings, what can be done to improve the gender situation in your sector or context?

Conclusion:

5 Minutes

Give participants a take-home assignment: Ask them to select one or more of the identified challenges to work on as a pet project in their official or personal capacity.

FACILITATOR’S NOTE  Prepare a detailed sample Gender Tree that is target or sector-specific  Include questions that need to be addressed by the groups  Where possible, a PowerPoint Presentation of a model gender tree analysis is a helpful method of giving the initial briefing to the groups before the practical exercise.

53

Suggested Quizzes and Exercises

S/N 1.

Definition A budgetary approach reproduces gender inequalities and unequal distribution of power between genders.

Answers S/N A

Term Beijing Platform for Action

2.

A Policy document that calls for the integration of a gender perspective in budget decisions and adequate financing of specific programmes for securing equality between women and men

B

Gender aware policy appraisal

3.

A methodology designed to mainstream Gender equality Principles into all stages of the programme and budget cycle.

C

Gender Blind budgeting

4.

One of six tools that can be used at the national level to apply Gender Responsive Budgeting.

D

Gender Responsive Budgeting

 Gender-Responsive Budgeting means that mainstreaming Gender Equality principles takes only during the planning stages of the programming cycle.  TRUE  FALSE   You should use Gender Responsive Budgeting to track actual amounts allocated and spent in support of Gender Equality.  TRUE  FALSE   Gender – Responsive Budgeting is a strategic programming methodology used to exclusively create programmes for women only.  TRUE FALSE

54

MODULE THREE RESEARCH AND DEVELOPMENT Aim This Module enables the realization of the INSIDE’s first and third results by building the capacity of NSAs to continually conduct research and seek ways of improving the quality of their service delivery to their communities through application of evidence based strategies for implementing development goals.

Module Structure Session 1:

Benefits of Research in Project Management

Session 2:

Principles and Ethics of Research in Nigeria

Session 3:

Documenting Research Outputs

Session 4:

Mainstreaming Gender in Research 55

Session 5:

Peer Review

56

MODULE THREE: SESSION 1 Benefits of Research in Project Management Session Objectives: By the end of this session, participants should able to: 1. Define the concepts research and development.

2. Discuss principles and ethics of research in Nigeria.

3. Reflect on research related activities in their organizations.

4. Identify the benefits of research to their organizations

Estimated Time: 120 Minutes

Methodology: Brainstorming, Gallery walk, Power Point/ Flip chart presentation, and discussions Session Content: 1. What is Research and Development?

2. Is my Organization doing Research?

3. What is my organization gaining from doing research?

4. What Principles and Ethics guide Research & Development in Nigeria?

Materials Needed: Flip charts, Flash cards and Masking tape, ICT equipment for power point, if available.

Preparation Requirement: 1. Read facilitators’ notes.

2. Write sessions’ title and objectives on flip chart.

3. Write questions on flip charts.

4. Prepare Flip chart/power point definition/explanation of terms

Process Step 1: Introduction

10 Minutes

Ask participants to recall their learning on community mobilization in Module One and to describe what they do when they engage with communities to identify their needs for instance. Ask them to mention some of the tools they use for data 57

collection and what they do with the data collected. Tell them that proactive NSAs should be constantly engaged in research, in order to gain more knowledge, to establish benchmarks to track their performances in programme implementation, and to solve problems from an informed perspective. Research is therefore a critical factor in development activities.

Step 2: Group work

30 minutes

Divide the participants into six groups of 10 and give each group one of the following questions written on a flip chart: 

What is Research?



Why should NSAs be engaged in research?



What is Research and Development (R&D)?



What processes are involved in doing research?



Why is R & D necessary in project management?



What research experience can you share?

Each group is to brain storm on the questions and write the answers on the flip chart after which the chart is placed on the wall for gallery walk. Participants are to go round reading responses of the different groups and writing their own inputs. The facilitator should then lead discussion on each group’s work at plenary.

Step 3: Flip Chart/ Power Point Presentation

20 Minutes

The facilitator presents prepared presentation on flip charts or power point, followed by detailed explanations in a mini lecture style (See facilitator’s notes)

Step 4: Open Discussion/ question and answer

20

minutes Invite participants to respond ask questions and allow fellow participants to respond to the questions/ comments.

Step 5: Conclusion

10 minutes

58

Wrap up the session with an overview, stressing the need for NSAs to seek relevant information/data through collaborative research and to feed the data into making informed decisions in programme management.

59

FACILITATOR’S NOTES What is Research?

Research is systematic and organized way collecting and analyzing information to increase our understanding of the issue under study. It is systematic because there is a definite set of procedures and steps to follow; and organized because there is a structure or method in going about doing research. It is a planned procedure, not a spontaneous one. It is focused and limited to a specific scope.

Why should NSAs be engaged in research?

NSAs are usually engaged in action research, not the academic type. They need to do research in order to get adequate information/data about the constituencies they work with. Such information/data enables them to take informed decisions; for example, a needs assessment of a community will enable an NSA to decide what intervention program to embark upon. Without such information a funding agency may misdirect funds to a wrong project that will not meet the needs of the community.

What is Action Research?

Action research has been described as:‘… a participatory, democratic process concerned with developing practical knowing in the pursuit of worthwhile human purposes, grounded in a participatory worldview… It seeks to bring together action and reflection, theory and practice, in participation with others, in the pursuit of practical solutions to issues of pressing concern to people, and more generally the flourishing of individual persons and their communities.’ (Reason & Bradbury, 2001a:1) What is Research and Development and why is it necessary in Project management?

‘Research and development refers to creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man, culture, and society and the use of this stock of knowledge to devise new applications’ – Alexander Chiejina.

60

Doing research also builds strategic skills of problem- solution analysis. Since NSAs are primarily engaged in seeking solutions to developmental challenges, they are directly seeking knowledge that will facilitate the positive change. R &D enhances project performance because it feeds in important information that is essential for all stages of the project cycle.

What type of research are NSAs engaged in?

Most NSAS are engaged in Community Based Participatory Research (CBPR) which is “a collective approach to research that equitably involves all partners in the research process and recognizes the unique strengths that each brings. CBPR begins with a research topic of importance to the community; has the aim of combining knowledge with action and achieving social change…” W.K. Kellog.

CBPR specifically aims “to produce empowering outcomes including increased community capacities, broader stakeholder participation in decision making and promotes social justice” – Cystal Tremblay.

It develops the skills of critical social analysis among community members and empowers them to become agents of change in their social situation.

MODULE THREE: SESSION 2 PRINCIPLES AND ETHICS OF RESEARCH IN NIGERIA

Objectives: By the end of this session, participants will be able to: 1. Discuss the principles of ethics of research in Nigeria.

2. Identify and discuss research practices that are common among NSAs 3. Agree on acceptable principles and ethics that will bind NSAs to ensure quality control in research.

4.

Estimated Time: 60 Minutes

61

Methodology: Role play, Open discussion, Flip chart/power point presentation.

Session Content: 1. Principles and ethics of research

Materials Needed: Flip charts,

Markers, Masking tape

Preparation Requirement: 1. Read and deepened understanding of facilitators notes.

2. Write session topics and objectives on flip chart.

Process: Step 1: Introduction

10 Minutes

Ask participants to brainstorm on other words that could have similar meanings as the two words “principle” and “ethics”. Write their responses on flip chart and proceed to display the synonyms you have listed on flip chart as follows: code, standard, belief, attitude, opinion, rule, law, theory, morals, and values. Briefly lead a discussion with the participants to ensure a shared understanding of the concepts.

Step 2: Role play

40 Minutes

Distribute a copy of the role play to each participant to read and reflect upon for 10 minutes after which you can call for volunteer actors: two (2) assistant researchers and five (5) girl hawkers to act out the role play. After the role play ask the following questions: 

What is the concern of the investigators about the participants’ privacy?



Was the informed consent of the participant sought?



Were the researchers sensitive to the rights of the research participants?



Was the timing appropriate?



Was the tool appropriate?



What gender issues were considered?



What evidence of feedback or lack of it did you find?



What other issues of principles and ethics can we identify?

62

Step 3: Flip chart/ power point presentation

30 Minutes

The facilitator should summarize the following on flip chart or prepare slides for power point presentation (See facilitator’s notes).

Step 4: Discussion and Consensus

20 Minutes

The facilitator leads a discussion on the principle and ethics that will bind NSAs in their engagement with research. Participants are encouraged to suggest the principle and ethics and give reasons for their suggestions. Consensus should be sought on every one. Facilitator writes consensus points on flip chart. At the end of the discussion, at least 10 participants from different NSAs should sign the flip chart as binding to all the NSAs.

Step 5: Conclusion

5 Minutes

Facilitator wraps up the session by giving an overview of issues discussed

63

FACILITATOR’S NOTES Role Play on Principles of Ethics of Research and Development Ngodoo and Adamu are research assistants in Life Education Foundation (LEF). LEF is working on an out-of-school Youth capacity building program, which requires some research to set bench marks. Ngodoo and Adamu are thus on the field doing a needs assessment of out-of-school youths in Ajowa city and are collecting data from some youths at a motor park.

The atmosphere is tense and participants are restless and not attentive to the discussion. The park is also noisy.

Ngodoo:

I can see that you are all hawkers. Why are you selling in the park rather than going to school?

1st Hawker: Well, I am a secondary school graduate and I am waiting to write JAMB. Adamu: 2

nd

Oh, I thought all hawkers are drop-outs.

Hawker: Ehe? Me I’m a drop-out. My parents are all dead and I’m the first born with six siblings after me. I have to do this to help develop my siblings.

3rd Hawker: (standing up) Abeg. I wan go sell my kaya.

Ngodoo:

Why? Do you know who we are working for? Just fill this questionnaire for us ojare!

3rd Hawker: Na today? Even if na your president send you, tell am say na from this motor park we dey see garri chop. Na so una dey come here everytime, person no dey see any change sef.

Adamu:

Don’t be angry please. Tell me, as girls, do you prostitute while hawking?

FACILTATOR’S NOTES ON PRINCIPLES AND ETHICS

How do we select communities for research?

Considerations

that

might

affect

the

appropriateness of involvement of some communities in research according to Beyrer and Kass (2002) are: Vulnerability, Poverty, Human rights violations, Discrimination, Poor access to resources, Education, Coercion, and Lack of trust.

64

Typically, the justification for including a vulnerable group in research is when a problem disproportionately affects that group. For example, rural communities without access to basic resources are likely to be selected for a needs assessment by an NGO that has funds to provide some of the resources.

How can we protect research participants?

Research participants are a valuable resource not to be exploited. The following principles therefore protect them: Respect for autonomy, Informed Consent, Honesty, Respect for privacy, Fair recruitment procedures, Follow up, and Collaborative research.

According to Beyrer and Kass (2002), if a community is to bear the risk of research, it must also reap future benefits. Institutional review boards should therefore ask investigators about the implementation plan for their research, steps to ensure the chances that the intervention will be available to local groups, and how serious any discussions with governments, aid agencies, or both have been. Other theoretical considerations are: information sharing for consent, Voluntariness, Trust, and Privacy. After the trial is over researchers should consider the following: the responsibilities that are owed to the research community; encouraging access to the benefits from findings through dissemination, ensuring privacy of participants and researchers (Beyrer & Kass 2002). In addition, researchers must make best use of scarce resources; ensure value of the research problem, quality of method and appropriateness of tools.

References Beauchamp T L, Childress J F, 1994: The principles of biomedical ethics, 4th Ed. Oxford University Press Beyrer C, Kass NE Human rights, politics, & reviews of research ethics. Lancet 2002 Jul 20;360(9328): 246-51.

CIOMS International Guidelines for Biomedical Research Involving Human Subjects http://www.cioms.ch/frame_guidelines_sept_2002.htm MRC

guidelines

for

good

clinical

practice

in

clinical

trials

1998.

http://www.mrc.ac.uk/ethics Tri-Council Policy Statement http://www.nserc.ca/programs/ethics/english/index.htm W.K

Kellog

Foundation

Community

http://depts.washington.edu/ccph/commbashtml.

65

Health

Scholars

Program.

UNESCO (2009): Higher education, community engagement and the world we want.

A Policy Brief to the World Conference on Higher Education, July 5-8, 2009. 27

MODULE THREE: SESSION 3 Data Collection and Collation Strategies Session Objectives: By the end of the session, participants should be able to: 1. Develop simple participatory tools for data collection 2. Simulate data collection techniques in community setting 3. Collate and analyze data collected 4. Discuss how research data informs decision making in project management

Estimated Time: 120 Minutes

Methodology: Paired discussion, Group work, Simulation and Discussion Session Content: 1. Preparing tools for data collection 2. Data collection techniques 3. Collating data making informed decisions through research

Materials needed: Flip chart paper, masking tape, paper, rulers, pencils.

Process Step 1: Introduction

10 Minutes

Tell participants to recall the learning in Modules 1 and 3 on Community Mobilization and Community Based Participatory Research (CBPR). Ask the following questions: What is CBPR? What tools are used in CBPR? Record the list of the tools as participants recall. Then display the flip chart containing some more participatory tools.

Step 2: Experience sharing

30 Minutes 66

Ask participants to go into pairs, preferably a male or a female to share their experiences on the use of some of the tools they are familiar with. After 5 minutes, take feedback randomly from 10 participants (one from each pair) speaking on different tools. Complement their presentations with brief explanations about each tool. (See Facilitator’s Notes in module one on tool for community mobilization)

Step 3: Group Work

20 Minutes

Divide participants into 6 groups of 10 persons and ask them to prepare three research tools for data collection on an identified research topic. Provide needed materials (papers, pens, rulers, markers, masking tape) as each group requires.

Each group is to present at plenary, explaining how the tool is to be used, what kind of data the tool will generate and to what use the data will be put.

Step 4: Simulation

60 Minutes

Ask one group at a time to simulate data collection for 10 minutes using the other participants as hypothetical research participants.

Step 5: Conclusion

10 Minutes

Conclude by reviewing the lessons learnt.

67

FACILITATORS NOTES Some Research Techniques/ Instruments 

Transect



Focus Group discussion



Social Map



Key informant interviews



Resource Map



Observation of group meetings



Crop Calendar



Case study



Event Calendar



Trend analysis



Venn Diagram



Impact flow chart



Mobility Maps



Semi-structured interview



Case Study



Questionnaire

68

MODULE THREE: SESSION 4

Documenting Research Outputs Objectives: At the end of this session, participants should be able to: 1. Interpret and analyze data presented.

2. Collate information collected.

3. Report research findings.

4. State the values of documenting research outputs

Estimated Time: 120 Minutes

Methodology: Groups work, Flip chart presentations Session Content: 1. Collating and Interpreting Data 1. Presenting Research Findings Materials Needed: Flip charts, Flash cards and Masking tape Preparation Requirement: 1. Read facilitators’ notes.

2. Write sessions’ title and objectives on flip chart.

3. Write the format for research reporting on a flip chart Step 1: Introduction

10 Minutes

Tell participants to remain in their groups to work on the data collected from their simulation exercise. Ask them which of the principles and ethics they had upheld while collecting the data.

Steps 2: Flip chart/power point presentation

20 Minutes

Facilitator presents session content on data presentation and analysis. (See facilitator’s notes)

Step 3: Collating and Interpreting Research Findings

60 Minutes

In their groups, participants should do to do the following: 

Edit and collate the data generated from their improvised data collection session.

69



State their findings in relation to the research objectives.



State the implications of their findings to the research problem.



Write a short report using the following format:  Research title  Background (Introduction)  Methodology  Key findings  Implications  Way forward (Recommendations)  References  Annexes

Step 4: Plenary presentations of the reports

30 minutes

Each group is to present the reports at plenary with inputs from other groups.

Step 5: Conclusion

10 minutes

Conclude session with a review of the session’s content and encourage participants to comment/ ask questions to clarify issues

70

FACILITATOR’S NOTES Finding a Research Question Finding a research question is probably the most important task in the research process because the question becomes the driving force behind the research-from beginning

to

the

end.

Data Another very important component is the data. Data come in various types. They are a representation of reality, and show the results of measuring properties or processes.

Analyzing Data: Once have your data, you must ANALYZE it. There are many different ways to analyze data: some are simple and some are complex. Some involve grouping, while others involve detailed statistical analysis. The most important thing you do is to choose a method that is in harmony with the parameters you have set and with the kind

of

data

you

have

collected.

*Adapted from Taming the Research Beast: Research Methods in TESL and Language Acquisition. Created by Lynn Henrichsen, Michael T. Smith, and and David S. Baker, BYU Department of Linguistics.

71

MODULE THREE: SESSION 4

Peer Review Objectives: At the end of this session participants should be able to: 1. Discuss and define the concept of peer review.

2. Share experiences on information sharing strategies among NSAs. 3. Set criteria for peer review among NSAs. 4. Discuss the value of peer review

Estimated Time: 120 Minutes

Methodology: Group work, Brainstorming, Flip chart/power point presentation and open discussion

Session Content: Setting criteria for peer review 1. What is peer review and why is it necessary in development?

2. What are the criteria for peer review among NSAs in Nigeria?

Materials Needed: Flip charts, Flash cards and Masking tape

Preparation Requirement: 1. Read facilitators’ notes.

2. Write sessions’ topic and objectives on flip chart 3. Read and deepen understanding of peer review 4. Make enough copies of the sample grid for peer review for each participant.

5. Ensure that participants have completed their take home assignments on reporting their research findings.

Process Step 1: Introduction

10 Minutes 72

Welcome participants to a new session and ask them to remain in their groups.

Ask them if they have finished writing their report and whether they would like to share their findings with fellow NSAs. Ask them what the values of information sharing are.

Step 2: Brainstorming

30 Minutes

Ask participants to brainstorm on the definition of peer review and ask if the definitions are close to what they do in their organization. They should also list information/documents that could be peer reviewed and what NSAs stand to gain from the process. Write their responses on flip chart.

Step 3: Flip chart/ power point presentation

15 Minutes

Facilitator presents definition/ explanation of the term, Peer Review (see facilitator’s notes)

Step 4: Group work

20 Minutes

Group participants randomly to set criteria for peer review among NSAs using the sample grid as a guide.

Tell participants that criteria may include: Objectivity,

Accountability and Transparency, Participatory Monitoring and Evaluation, Audit reports, Respect for each other, Gender considerations and other Ethical issues.

Groups should present at plenary while facilitator collates the criteria on a flip chart.

Step 5: Panel Review

40 Minutes

A peer review panel consisting of a male and female from each group should be constituted to review the groups’ research reports based on agreed criteria which might include formatting issues as well as the content of the reports. The best report should be rewarded.

Step 6: Conclusion

10 Minutes

Wrap up session by reviewing learning points. Have a special energizer for winners of the best report.

73

74

FACILITATOR’S NOTES Some definitions of peer review on the Web: 

Referee:

evaluate

professionally

a

colleague's

work

wordnetweb.princeton.edu/perl/webwn 

The review of an article or other publication by a group of experts on the topic.

Used by scholarly publications as a way of determining whether an article should

be

accepted

for

publication.

www.usg.edu/galileo/skills/ollc_glossary.phtml 

An assessment of a product conducted by a person or persons of similar expertise

to

the

author.

www.ojp.usdoj.gov/BJA/evaluation/glossary/glossary_p.htm 

A system of review of research applications that utilizes reviewers who are the professional peers of the principal investigator responsible for direction or conducting

the

proposed

project.

otir.cancer.gov/related/funding_glossary.asp Sample Criteria Grid for Peer Review

Criteria

Excel.

Fair

Poor

3

2

1 point

points

points

Layout/Organization Relevance to community Clearly stated purpose and objective(s) Accomplishment of purpose

75

Comments

Gender considerations Accountability

and

transparency Monitoring and evaluation plan Sustainability Plan Any other consideration

Adapted from MÄ noa Writing Program mwp@hawaii.edu

Reporting research findings 

Dissemination of research findings is an obligation. Participants, funders and colleagues rely on this commitment. Dissemination can take any of the following forms.

a. Publication. b. Oral presentation at stakeholders forum c. Workshops or seminars d. Poster sessions at professional meetings e. Media, videos etc

The researcher(s) decides the type and forum for dissemination according to the target audience.

76

MODULE FOUR ADVOCACY AND SOCIAL CHANGE Aim This Module enables the realization of the INSIDE’s first and second results by building the capacity of NSAs to advocate and increase the use of available data to inform the advocacy process

Module Structure

Session 1:

Essence and Uses of Advocacy in Development Practice

Session 2:

Developing Advocacy Tools

Session 3:

Use of ICT for Advocacy

Session 4:

Uses and Developing of IEC Materials

Session 5:

Using Research Findings for Advocacy Activities

77

MODULE FOUR: SESSION 1 Essence and Uses of Advocacy in Development Practice:

Objectives: By the end of this session, participants will be able to: 1. Define Advocacy, determine who advocates and to whom and when.

2. Give reasons for advocacy activities.

3. Identify the various stages in the process of advocacy.

4. State the value of advocacy activities to NSAs

Estimated Time: 120 Minutes

Methodology: Flip chart presentations, Group work, Story reading and open discussions

Session Content: 1. What is advocacy 2. When and why do we advocate?

3. Who is advocating for and to whom do we advocate?

4. The process of advocacy

Materials Needed: Flip charts, Markers, Masking tape.

Preparation Requirement: 1. Read and deepened understanding of facilitators notes on advocacy.

2. Write session topics and objectives on flip chart.

3. Write a definition of advocacy on flip chart.

4. Write reasons for advocacy on flip chart.

5. Write group task on flip chart.

Process: Step 1: Introduction

10 Minutes 78

The facilitator displays prepared flip chart with session topic and objectives and asks one participant to read the topic and objectives then asks participants what they know about advocacy and whether their organizations engage in advocacy activities.

Step 2: Brainstorming

10 Minutes

Participants brainstorm on the meaning of advocacy. Write their responses on flip chart. Ask participants if their definitions reflect what their organizations are doing.

Step 3: Flip chart/ Power Point Presentation

40Minutes

Present session’s content in a mini lecture style using power point or flip chart as aids, (see facilitator’s notes)

Step 4: Story Reading

20 Minutes

Divide participants into thematic groups and give each group a copy of the case study on Mnekuku Obalidu with the following instructions: 

Read the story;



Identify and list one key issue from the story in relation to your thematic area;



What action would the group take regarding the issues?



Who would you be advocating for and why?



Who would be your primary and secondary audience?

The group task is also displayed on a flip chart as a reminder while participants read and discuss. Presentation at plenary should highlight the reasons why the groups would take the actions.

Step 5: Conclusion

10 Minutes

Wrap up the session with a review of the session and invite reactions from participants.

79

FACILITATORS’ NOTES Defining Advocacy: 

Speaking or pleading on behalf of another.



Seeking audience with and on behalf of the disadvantaged to address the underlying causes.



Speaking on behalf of disadvantaged by influencing the decisions of governments, groups and individuals whose or actions affect the disadvantage:



Working with other people and organizations to make a difference, an action directed at changing the policies, positions or programs of any type of institution.



Pleading for, defending or recommending an idea before other people.



Speaking up, drawing a community’s attention to an important issue, and directing decision makers towards a solution.



Putting a problem on the agenda, providing a solution to that problem and building support for acting on both the problem and solution.

SOME REASONS FOR ADVOCACY 

To improve the living standards of the people.



To empower people, it helps them gain the confidence and ability to influence decisions that affect their lives.



To provide opportunities for NSAs to create awareness about policies and their effects on people.



To encourage others to support a cause.



To promote good governance at all levels.



To prevent injustices or denial of someone’s basic human rights.



To create political, social and economic environment where project intervention can be more successful and sustainable.

CASE STUDY 1: THE STORY OF MNEKUKU OBALIDU 4:4

80

Mnekuku is a born fighter. She fought her way through school, defying her father’s injunction that she gets married after secondary school. Kuku, as she is popularly called by her peers paid her way through University by running a restaurant business on campus.

She complemented this by her involvement in campus politics, going from being a course representative to being a Vice President of the Student Union. After graduation, she got involved in her community’s politics and got a large following of women and youths to support her aspiration to join the local council.

Kuku’s male opponents soon realized that they were up against a formidable force. They ganged up against her and used all forms of blackmail and violence to get her to step down. Kuku and her supporters were steadfast. On Election Day, a lot happened. Kuku and a large number of her supporters, mostly women were mobbed, ‘tear gassed’ and hospitalized with near fatal injuries.

Election results as announced by INEC showed that kuku got no votes even in her village ward. Independent election observers however told a different story. Kuku cried foul and went to her village associations and some persons…

NOTE: Possible Advocacy areas from this story are: Environment (Restaurants on Campus) Girl Child Education, Political Violence, Women in Politics, Transparency, and Early marriage.

Identifying Advocacy Audiences Once the issue and goals are selected, advocacy efforts must be directed to the people with decision-making power and, ideally, to the people who influence the decision makers such as staff, advisors, influential elders, the media and the public.

What are the names of the decision makers who can make your goal a reality? Who and what influences these decision makers?

Developing and Delivering Advocacy Messages Different audiences respond to different messages. For example, a politician may become motivated when s/he knows how many people in her district care about the problem. A Minister of Health or Education may take action when s/he is presented

81

with detailed data on the prevalence of the problem. What message will get the selected audience to act on your behalf?

Stages of Advocacy The first stage is the identification of an issue for policy action. This stage is also referred to as agenda setting. There are an unlimited number of problems which need attention, but not all can get a place on the action agenda. Advocates decide which problem to address and attempt to get the target institution to recognize that the problem needs action.

The second stage is solution formulation. Advocates and other key actors propose solutions to the problem and select one that is politically, economically, and socially feasible.

The third stage, building the political will to act on the problem and its solution, is the centerpiece of advocacy. Actions during this stage include coalition building, meeting with decision makers, awareness building and delivering effective messages.

The fourth stage, policy action, takes place when a problem is recognized, its solution is accepted and there is political will to act, all at the same time. This overlap is usually a short ‘window of opportunity’, which advocates must seize. An understanding of the decision-making process and a solid advocacy strategy will increase the likelihood of creating windows of opportunity for action.

The final stage, evaluation, is often not reached, though it is important. Good advocates assess the effectiveness of their past efforts and set new goals based on their experience. Advocates and the institution that adopts the policy change should periodically evaluate the effectiveness of that change.

Proactive or reactive advocacy?

•

Sometimes advocacy work is forced on us – the problem or issue is already there, and we use advocacy to reduce the problem. This is reactive advocacy.

•

At other times it is possible to plan for the future, to ‘set the agenda’ and use advocacy to create a positive environment or prevent a problem before it happens. This is proactive advocacy.

MODULE FOUR: SESSION 2 82

Development of Advocacy Tools Objectives: By the end of this session, participants will be able to: 1. Identify advocacy tools that NSAs can access for advocacy activities; 2. Develop advocacy messages and choose appropriate delivery formats for the messages; 3. Identify specific audiences and tailor message format and content to achieve maximum impact.

Estimated Time: 120 Minutes

Methodology: Flip chart presentations, Group work, Role play, open discussions

Session Content: 1. Researching advocacy audience; 2. Developing advocacy massages; 3. Packaging and delivering advocacy messages.

Materials Needed: Flip charts,

Markers, Masking tape

Preparation Requirement: 1. Read and deepened understanding of facilitators notes on advocacy.

2. Write session topics and objectives on flip chart.

3. Make adequate number of policy map for participants

PROCESS: Step 1: Introduction

10 Minutes

Present session’s objectives on flip chart or power point and ask a participant to read aloud. Ask participants if the objectives meet their expectations with respect to their organizations’ activities.

83

Step 2: Flip chart/ power point presentation

30 Minutes

The facilitator should explain the need to identify primary and secondary policy audiences after explaining the two concepts (see facilitator’s notes). Explain also that each audience requires a different message and a different medium. (See facilitator’s notes) Also explain to them how to use a policy map.

Step 3: Group Work

20 Minutes

Participants are to stay in their groups to brainstorm about which key decision makers and other influential key players that are related to the groups identified advocacy objective using a sample POLICY MAP (SEE APPENDIX). They should identify who needs to take action and who can influence those who need to take action. Participants’ responses should be recorded on sample maps for presentation at plenary.

Participants should also work out advocacy messages for the identified audiences. At plenary, participants should to identify the key words and phrases that are central to the messages and suggest the likely reaction of their target audience.

Justification should be given for the choice of a particular message format by the participants. (See Facilitators notes for suggested formats)

Step 4: Role - Play

50 Minutes

Participants should remain in their groups and brainstorm for 10 minutes on the mode and channels of delivering their messages. Participants should then prepare one role play per group to demonstrate how they will deliver their messages. At plenary, discussions should centre on message effectiveness in relation to the advocacy goal.

Step 5: Conclusion

10 Minutes

Wrap up the session by allowing the participants to ask questions and make comments.

84

Handout for Advocacy

What is a primary audience?

The primary audience includes decision makers with the authority to affect the outcome for your objective directly. These are the individuals who must actively approve the policy change. These decision makers are the primary targets of an advocacy strategy.

What is a secondary audience?

The secondary audiences are individuals and groups that can influence the decision makers (or primary audience). The opinions and actions of these influentials are important in achieving the advocacy objective in so far as they affect the opinions and actions of the decision makers. Some members of a primary audience can also be a secondary audience if they can influence other decision makers. For example, the Governor and the commissioner of health might influence one another’s opinions.

Therefore, they are both a primary audience (‘targets’) and a secondary audience (‘influentials’). In addition, your secondary audience may contain oppositional forces to your objective. If so, it is extremely important to include these groups on your list, learn about them, and address them as part of your strategy.

Samples of Policy Audiences 



Spouses of politicians

national)



Media



Businesses or business leaders



Women’s organizations



Nongovernmental organizations



Ministry officials



Community groups



Voters



Religious groups/churches



United Nations. agencies



Political parties



Other governments



Labor organizations



Multinational corporations



Academics/universities



Direct service organizations



Professionals



Practitioners



Opposition leaders



Opinion leaders



Speech writers



Many, many more....

Politicians

(local,

provincial,

85

Identifying Target Audiences

‘Policy Mapping’ is a tool used to identify and learn about critical audiences. The first stage of policy mapping is to list key decision makers and the individuals and groups that can influence these decision makers. Ranking the decision makers by importance is also extremely helpful in planning your strategy. If you are unsure or don’t know, you will need to do some research. Identifying the important decision makers and audiences is a constant task for advocates.

Sample Policy Map 1: Who Are Your Audiences? 1 Advocacy Objective: Pass a law to mandate and fund the building of 100 community schools for girls Primary Audience

Secondary Audience

Targets

‘Influentials’ Minister’s staff person for educational issues religious leaders with whom the PM consults regularly (could be opposition) Ministers of Education and Finance international donors national newspapers women’s groups/NGOs

Minister of Education

President Minister of Finance speech writers national and local parent organizations (could be opposition) teachers union national newspapers

Minister of Finance

President

international donors more research needed Chair of Parliamentary

Minister of Education

Council on Education

teachers union

All members of

President

Parliament

Ministers of Education and Finance teachers union national newspapers and radio programs voters

1

Adapted from Ritu R. Sharma An Introduction to Advocacy. Training Guide

Five Key Elements of a Message Content is only one part of a message. Other non-verbal factors such as who delivers the message, where a meeting takes place or the timing of the message can be as, or more important than the content alone. In addition, sometimes what is not said delivers a louder message than what is said.

Content/Ideas: What ideas do you want to convey? What arguments will you use to persuade your audience?

Language: What words will you choose to get your message across clearly and effectively? Are there words you should or should not use?

Source/Messenger: Who will the audience respond to and find credible?

Format: Which way(s) will you deliver your message for maximum impact? e.g., a meeting, letter, brochure, or radio ad?

87

Time and Place: When is the best time to deliver the message? Is there a place to deliver your message that will enhance its credibility or give it more political impact?

Elements of Message Content

What you want to achieve;

Why you to want to achieve it (the positive result of taking action and/or the negative consequence of inaction);

How you propose to achieve it;

What action you want the audience to take

Tips for delivering advocacy messages 

Deliver a consistent message to an audience through a variety of channels over an extended period of time.



Make sure that your message is being delivered by a source that the audience finds credible.



Create a message that the audience will understand.

Sharma, p 54

Suggested Message Formats Depending on the Audience and the Issue 

Formal or informal face-to-face meetings



Informal conversations at social, religious,



Political, or business gatherings



Letters: personal, organizational, or coalition



Briefing meetings



Program site visits



Fact sheets



Pamphlets or brochures



Graphics or illustrations 88



Short video presentations



Computer presentations



Interactive computer modeling programs



Overhead or slide presentations



Newspaper articles or advertisements



Broadcast commentary or coverage



Meetings with organization’s leaders and staff



Ready-to-use fact sheets



Graphics or illustrations



Short computer-modeling presentations



Briefing meetings for advocacy organizations



News release



Press conference or media event



Issue briefing for journalists



Graphics or illustrations



Fact sheet or back ground sheet



Media packet/press kit



Letter to the editor



Promotional items, e.g., buttons, fans, pens



Banners



Presentations at community meetings



Pamphlets, brochures, fliers



Newspaper ads or articles



Fact sheets



Radio shows



Television shows or news



‘Community’ summary of report

89

MODULE FOUR: SESSION 3 USE OF ICT FOR ADVOCACY

Objectives: By the end of this session, participants will be able to: 1. Appreciate the value of ICT in advocacy activity; 1. List ICT channels available to them for advocacy activities 2. Share their experiences on the use of ICT; 3. Demonstrate the use of available ICT channels for advocacy

Estimated Time: 120 Minutes

Methodology: Flip chart presentations, Group work, Simulations, Practical demonstrations, open discussions

Session Content: 1. What is the use of ICT to advocacy practice?

2. What ICT channels are available to us?

3. What are our experiences in the use of ICT? 4. Demonstrating the use of ICT

Materials Needed: Flip charts,

Markers, Masking tape

Preparation Requirement: 1. Read and deepened understanding of facilitators notes on advocacy.

2. Prepare session topic and objectives on power point.

3. Send this message to all participants who provided E-mail addresses and encourage

them to check their mails: “All participants are to come along

with their lap tops and modems for use if they have. Please ensure that your system is fully charged�

PROCESS: Step 1: Introduction

10 Minutes 90

Present session’s objectives on power point and inquire to know which participant checked his/her mail and what message they got. Ask if they have complied with the message.

Step 2: Power point Presentation

20 Minutes

The facilitator may need to explain what ICT means and how it can influence development processes (see facilitator’s notes).

Step 3: Group work

30 Minutes

Participants should remain in their groups to brainstorm on the uses of ICT advocacy and come up with a list of ICT channels of communication that are available to their organizations. Participants should share their experiences within the group on how they have fared in doing advocacy using those channels.

Group presentation at plenary should share one success story and one failed story form each group about experiences in the use of ICT for advocacy. The challenges should be highlighted.

Step 4: Demonstrating the use of ICT

50 Minutes

The facilitator will begin by demonstrating the use of ICT to selected participant; one from each group. Then participants in their groups will demonstrate using the available ICT channels which may include emails, phones, videos, etc. Participants should demonstrate how a network can be started through use of ICT.

Step 5: Conclusion

10 Minutes

Wrap up the session with an overview of the key learning points.

FACILITATOR’S NOTES

Information on every subject known to human beings can be sourced from the inter net. This note on ICT is from htt/tutor2u.net business/ict/intro

91

Introduction - what is ICT? You see the letters ICT everywhere - particularly in education. But what does it mean?

ICT is an acronym that stands for Information Communications Tecnology However, apart from explaining an acronym, there is not a universally accepted definition of ICT? Why? Because the concepts, methods and applications involved in ICT are constantly evolving on an almost daily basis. Its difficult to keep up with the changes - they happen so fast. Lets focus on the three words behind ICT: - INFORMATION - COMMUNICATIONS - TECHNOLOGY A good way to think about ICT is to consider all the uses of digital technology that already exist to help individuals, businesses and organisations use information.

ICT covers any product that will store, retrieve, manipulate, transmit or receive information electronically in a digital form. For example, personal computers, digital television, email, robots.

So ICT is concerned with the storage, retrieval, manipulation, transmission or receipt of digital data. Importantly, it is also concerned with the way these different uses can work with each other.

In business, ICT is often categorised into two broad types of product: (1) The traditional computer-based technologies (things you can typically do on a personal computer or using computers at home or at work); and (2) The more recent, and fast-growing range of digital communication technologies (which allow people and organisations to communicate and share information digitally) Let's take a brief look at these two categories to demonstrate the kinds of products and ideas that are covered by ICT: Traditional Computer Based Technologies These types of ICT include: Application

Use

Standard Office Applications - Main Examples Word processing

E.g. Microsoft Word: Write letters, reports etc

Spreadsheets

E.g. Microsoft Excel; Analyse financial information; calculations; create forecasting models etc 92

Database software

E.g. Oracle, Microsoft SQL Server, Access; Managing data in many forms, from basic lists (e.g. customer contacts through to complex material (e.g. catalogue)

Presentation software

E.g. Microsoft PowerPoint; make presentations, either directly using a computer screen or data projector. Publish in digital format via email or over the Internet

Desktop publishing

E.g. Adobe Indesign, Quark Express, Microsoft Publisher; produce newsletters, magazines and other complex documents.

Graphics software E.g Adobe Photoshop and Illustrator; Macromedia Freehand and Fireworks; create and edit images such as logos, drawings or pictures for use in DTP, web sites or other publications Specialist Applications - Examples (there are many!)

Accounting package

E.g. Sage, Oracle; Manage an organisation's accounts including revenues/sales, purchases, bank accounts etc. A wide range of systems is available ranging from basic packages suitable for small businesses through to sophisticated ones aimed at multinational companies.

Computer Aided Design

Computer Aided Design (CAD) is the use of computers to assist the design process. Specialised CAD programs exist for many types of design: architectural, engineering, electronics, roadways

Customer Relations Management (CRM)

Software that allows businesses to better understand their customers by collecting and analysing data on them such as their product preferences, buying habits etc. Often linked to software applications that run call centres and loyalty cards for example.

Traditional Computer Based Technologies The C part of ICT refers to the communication of data by electronic means, usually over some distance. This is often achieved via networks of sending and receiving equipment, wires and satellite links.

The technologies involved in communication tend to be complex. You certainly don't need to understand them for your ICT course. However, there are aspects of digital communications that you needs to be aware of. These relate primarily to the types of network and the ways of connecting to the Internet. Let's look at these two briefly (further revision notes provide much more detail to support your study).

Internal networks Usually referred to as a local area network (LAN), this involves linking a number of hardware items (input and output devices plus computer processing) together within an office or building.

The aim of a LAN is to be able to share hardware facilities such as printers or scanners, software applications and data. This type of network is invaluable in the office environment where colleagues need to have access to common data or programmes.

93

External networks Often you need to communicate with someone outside your internal network, in this case you will need to be part of a Wide Area Network (WAN). The Internet is the ultimate WAN - it is a vast network of networks.

ICT in a Broader Context Your ICT course will almost certainly cover the above examples of ICT in action, perhaps focusing on the use of key applications such as spreadsheets, databases, presentation, graphics and web design software.

It will also consider the following important topics that deal with the way ICT is used and managed in an organisation: - The nature of information (the "I" in ICT); this covers topics such as the meaning and value of information; how information is controlled; the limitations of ICT; legal considerations - Management of information - this covers how data is captured, verified and stored for effective use; the manipulation, processing and distribution of information; keeping information secure; designing networks to share information - Information systems strategy - this considers how ICT can be used within a business or organisation as part of achieving goals and objectives As you can see, ICT is a broad and fast-changing subject. We hope our free study materials (revision notes, quizzes, presentations etc) will help you master IT!

94

MODULE FOUR: SESSION 4 Development and Uses of IEC Materials

Objectives: By the end of this session, participants will be able to: 1. Discuss the role of IEC in advocacy activities 2. Discuss types and characteristics of effective IEC materials for advocacy activities Estimated Time: 120 Minutes

Methodology: Group work, open discussion, Flip chart presentation

Session Content: The role of IEC in advocacy

Materials Needed: Flip charts, Markers, Masking tape

Preparation Requirement: 1. Read and deepen understanding of facilitators notes on advocacy 2. Write session topics and objectives on flip chart 3. Collect samples of IEC materials from various organizations for analysis during group session

95

PROCESS: Step 1: Introduction

10 Minutes

Present session’s objectives on power point and request a participant to present, using the ICT system. Ask participants if they have heard about and used Information, Education and Communication (IEC) materials in their organizations.

Ask them to share their experiences.

Step 2: Power point presentation

30 minutes

The facilitator could request one of the participants to operate the system for presentation of the slides on Role of IEC in Advocacy while s/he gives the explanations (see facilitator’s notes)

Step 3: Group Work

20 Minutes

Participants will work in groups and each group will be given one or two samples of IEC material for analysis. Participants should answer the following questions WITH regards to the IEC sample: Does it convey the right message? What can it change? What is the target group? What are the likely indicators of success?

Participants should also consider language and design issues of the IEC materials. At plenary presentations the facilitator should encourage participants to create alternative IEC messages and designs for those that fall short of their expectation.

Step 4: Open discussion

20 Minutes

Engage participants in discussion about their experiences and to differentiate advocacy, IEC, Networking and Community Mobilization using the sample chart presented in then facilitator’s notes.

Step 5: Conclusion

10 Minutes

Conclude the session by making a review of important learning.

96

FACILITATOR’S NOTES What is IEC? IEC means information, education and communication. Materials that combine these three functions are so referred to. They give information about a product, a programme, or a policy, etc. They may also educate through this information, and they are a communication medium. How can we use them for advocacy?

List of some IEC materials: Posters, flyers, T-shirts, Caps, Souvenirs like bags, pens, cups, etc. Which of these are most effective for advocacy?

There is often the tendency to confuse between advocacy and information, education and communication (IEC) , networking and community mobilization.

So how do we differentiate advocacy, IEC, Networking and Community Mobilization?

We need to look at four variables: 1. What it can change; 2. The target group; 3. Whether it targets people who have influence over others; 4. Typical indicators of success.

ADVOCACY

IEC

Networking

COMMUNITY MOBILIZATION

What can it

Policies,

Awareness

Isolation and

Capacity of

change?

implementation

and

Duplication

communities to

of

behaviour

policies,

identify

laws

address

and

their problems

practices Target

Decision-makers, Particular age

Individuals or Members of a

Group

leaders,

group,

groups who

policymakers,

gender,

have

people

Targets

in residents

positions

an

of influence

area, etc

Yes

Not always

community a

of similar agenda

influential people 97

Yes

Yes

and

Indicators

Policies,

Percentage of

Members of

A community

of

implementation,

youth using

the

success

laws or practices

condoms;

or

more

changes in

partnership

attend

network problem is solved;

attitude

to achieve

people

more

living with

than they

HIV/AIDS

could if they

people

community meetings

worked alone

Source: Adapted from Osendo Omore, Research Officer, Transparency International – Kenya

MODULE FOUR: SESSION 5 Using Research Findings for Advocacy Activities Objectives: By the end of this session, participants will be able to: 1. Relate research to advocacy activities; 2. Share experiences on how they have used available data for advocacy activities

Estimated Time: 120 Minutes

Methodology: Flip chart presentations, Group work and Open discussions

Session Content 

What kind of data/information is needed for an issue?



Why is the data needed?

98



How will the data be generated?



How will the data be used?

Materials Needed: Flip charts,

Markers, Masking tape

Preparation Requirement: 1. Read and deepened understanding of facilitators notes on advocacy.

2. Write session topics and objectives on flip chart.

PROCESS: Step 1: Introduction

10 Minutes

Display session’s objectives on flip chart or power point and request a participant to read. Ask participants to recall their learning from Module 3 and to say what possible use they could put of findings from research. Support their responses with examples explaining that since research is motivated by a problem, findings are directed towards solving the identified problem.

Step 2: Flip Chart/ Power Point Presentation

20 Minutes

Facilitator to present session content in a mini lecture style using power point or flip chart (See Facilitator’s notes). Encourage participants to ask questions and make comments.

Step 3: Group Work/Plenary presentation

60 Minutes

Participants are to work in their previous groups to discuss the application of data-supported advocacy using the following questions as guide: 

What issue is being addressed?



What kind of data/information is needed?



Why is the data needed?



How will the data be generated?



How will the data be used?

Report back at plenary.

Step 4: Open Discussion

20 Minutes 99

Facilitator to lead open discussions for participants to share their organizational and personal experiences in the use of data for advocacy.

Step 5: Conclusion

10 Minutes

Conclude with a review of key learning points

FACILITATOR’S NOTES Using Data and Research for Advocacy Data and research are essential for making informed decisions when choosing a problem to work on, identifying solutions to the problem, and setting realistic goals. In addition, good data itself can be the most persuasive argument. Given the data, can you realistically reach the goal? What data can be used to best support your arguments?

Knowing your facts - Accessing Research Information Whether the decision is to firmly engage in advocacy activities or do a feasibility study for the agency to be engaged in advocacy activities, the first step in planning an advocacy campaign is to have a clear and comprehensive understanding of the issue that you want to bring to attention.

Knowing your facts is crucial to your credibility.

As you research the issue, you get a clearer sense of direction and purpose to the advocacy campaign. It will also help you develop short- and long term goals for creating the change. It will help you choose how to approach the issue, where to spend your energy.

The following are some of the ways to research the issue that you are interested in.

1. Take stock of all the information your agency has about the issue of concern.

Do you have first hand data? Is there any study done for your agency in the past? If appropriate and feasible, do your own primary research - interview affected Persons, conduct surveys, canvass the community. Talk to your colleagues, board, Volunteers, friends, clients and anyone who you can ask.

2. Do a keyword computer catalogue search and periodical indexes search at the public library (you may know a student or a researcher who has access to college or university libraries, that would be great, too) to get a general idea of the related issues. Don’t hesitate to ask the librarian for help. They are very resourceful and helpful.

100

3. Consult a specialised library in government agencies, non-governmental agencies and ask the librarian for help. The librarian would know the indexes, abstracts and other sources that would be relevant to your research.

4. Do an Internet search.

5. Start your own news clipping file -- read and clip relevant articles from several news papers and magazines. Find out what’s been reported on the issue. Don’t overlook the local community, professional societies, varsity or union papers. Keep track of authors and journalists who seem to share your point of view.

6. Network with other groups working on similar issue. They are normally the best source for information and you may be able to work together. There is strength in numbers!

7. Learn about the government policy or action on this point, call the agency concerned and request information. Be as specific as possible. Look for Bills and Acts as well as session papers.

8. You will want to know whether the issue has been raised previously (if so, where, when, and by whom?), what evidence exits to support or undermine your theory, who the experts on your side are, what the official government policy is on this issue and what possible avenues of recourse exist.

9. Once you have received and read some documents on the topic, contact the experts that were recommended to you that you noticed in your research and find out if and how they can help you.

10. Get as much information as possible from your opposition, by using your personal name and address, and by being friendly.

11. Now that you know more about the issue, you will have a better idea of what you want to see happen. Be sure to determine who your advocacy audience would 101

be since the strategies and the actions you choose would differ greatly depending on your target (i.e., general public, the private and corporate sector, government and its agencies, the media, educational institutions, employers, adults, seniors, people with disabilities, men, women, youth, children, etc.)

12. Keep your research up-to-date. This can be accomplished by regularly scanning newspapers and journals, getting on mailing lists, keeping abreast of information updates through the Internet and keeping in touch with other likeminded groups.

Source: Osendo Omore, Research Officer, Transparency International - Kenya

102

MODULE FIVE IMPROVING THE FUND RAISING ACTIVITIES OF NON STATE ACTORS

Aim This Module enables the realisation of the INSIDE’s first and third results by building the capacity of NSAs to continually conduct their internal capacity assessment; improving ways of mobilizing and applying resources to respond to the concerns of the communities they serve in order to reduce the number of people living in poverty while at the same time increasing the number of people enjoying improved service delivery and accountable governance.

Structure of Module Session 1: Definition of Concepts Session 2: Organisational Profiling Session 3: Prerequisites for Successful Resources Mobilisation Session 4: Internal and External Sources of Resource Mobilisation

103

MODULE FIVE: SESSION 1 Definition of Concepts

Session Objectives: At the end of session participants should be able to : 1. Define what Fund Raising is 2. Enumerate the various types of fund raising activities 3. Discuss the legal and corporate issues associated with fund raising 4. Identify and use various methodologies for conducting fund raising exercise

Estimated Time: 90 Minutes Methodology: Power point or Flip chart presentation, Brainstorming and Group work/Report back Session Content:     

What is Fund Raising Fund Raising methods and ideas Legal and administrative issues germane to fund raising What funders want to see Proposal Writing as a key component of fund raising for NSAs

Materials: Markers, Flip charts and Group work Assignment Preparations Required 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide



Read and acquaint yourself with the content of the session as presented in the Trainer’s.

104

PROCESS Step 1: Introduction:

10 minutes

Ask participants to define what fundraising is from their perspectives. Let them share their practical experiences with any fund raising activities they have been involved in or which they saw happened. Trainer can share his/her experience if s/he has. Note the successes and challenges of each story. They will be useful in the course of the presentation.

Step 2: Mini-lecture

20 Minutes

The trainer can now make the prepared power point or flip chart presentation already prepared.

Step 3: Group Work

30 Minutes

In small groups or using the buzz method, ask participants to: 

share what methods they have used in raising funds for their organisations



what challenges have they faced?



how have they responded to these challenges?

Ask groups to report back and display their answers on the walls. Request that a representative from each group reads the group’s responses to other participants.

Step 4: Review and discussion

20 Minutes

In plenary, discuss common features and differences revealed in the group responses. Note particularly how many of the groups identified Proposal writing as a major means of fund raising. The trainer may use these questions to conduct the review: 1. What are the challenges we face in raising funds for our organisations?

2. Are there any legal and or administrative restrictions 3. What are our skills and resources for addressing these problems?

105

4. What can we do to reduce these challenges and be prepared for any of these problems?

Step 5: Conclusion

10 Minutes

Conclude that in order to reach this type of assessment and conclusions, the community needs to carry out series of analyses. Also emphasis the need to make a distinction between gender and age as the various population groups experience hazards differently.

FACILITATOR’S NOTE What is Resource Mobilization?

Resource mobilization refers to the financing strategies employed by an organisation or individual to generate resources to support or pay for the goods and services used in the production and delivery of health care. The major strategies for resource mobilization include: • increased allocations from general government revenues; • specially targeted public revenue-raising efforts; • contributions from private donors, and foreign assistance; • user fees.

One financing arrangement may be used individually, or several different financing arrangements may be used in combination. While the mix of financing arrangements varies across organisations, the general pattern across most NSAs seems to be that government revenue from taxes provides the largest single source of funding followed by Donor financing.

106

The General Principles for Fund Raising include: 1. Building donor confidence through the efficient use of resources and delivery of your organisational commitments.

2. Undertake strategic regular dialogue with major donors.

3. Recognize the importance of, and develop the strategies for acquiring and using non financial resources such as contributions of personnel.

4. Provide satisfactory reporting on the use of donor funds 5. Use creative approaches and innovative fundraising techniques with nontraditional donors 6. Develop mechanisms to quickly respond to donor queries identified with them.

7. Always identify and approach potential donors 8. Have strategy for your resource mobilisation efforts, don’t make it ad hoc.

The strategy should be harmonised by a clear and comprehensive communication strategy that embraces the principle of subsidiarity. It must be judged by its efficiency in resource mobilization and communication efforts achieved. It should be seen to encourage involvement, responsibility and transparency and accountability among the components of the systems. Lastly, the strategy should ensure that the communication and information needs of the various targets groups are well understood and the delivery mechanisms are matched to differing needs.

What is Fund Raising?

Fundraising or fund raising is the process of soliciting and gathering contributions as money or other resources, by requesting donations from individuals, businesses, charitable foundations, or governmental agencies. Although fundraising typically refers to efforts to gather money for non-profit organizations, it is sometimes used to refer to the identification and solicitation of investors or other sources of capital forprofit enterprises20 Fundraising is a significant way that non-profit organizations may obtain the money for their operations. These operations can involve a very broad array of concerns 107

such as religious or philanthropic groups such as research organizations, public broadcasters, and political campaigns.

From the above definition, fund raising is not limited to just money, it includes looking for other resources too. Resources are defined as any physical or virtual entity of limited availability, or anything used to help one earn a living such as human, material, financial or process resources.

Resources have three main characteristics: utility, quantity (often in terms of availability), and use in producing other resources.

It is important to note that the value or the importance of a resource depends upon several factors which include among others the needs of the people, the level of technology and time. Human needs are not uniform all over the world. Over the years, they have grown and become more complex with the progress of human society. The level of technology also influences the utilization of resources, while the value of the resource changes with time. For example, water was used by early man purely for his personal needs. As time went on, water was used by humans for agricultural purposes namely irrigation. Later, water was also used as a means of transportation and humans built boats to travel on water. Nowadays, water is also used to generate electricity.21 Methods of Fund Raising There are an infinite number of ways to obtain resources for your work, so try different things. Whatever works, keep doing it. Be creative and have fun!

Below are some suggestions to help you begin: 

Request membership dues from individuals or organizations



Solicit in-kind contributions



Hold fundraising events such as dinners, concerts, film festivals, picnics, etc.



Cultivate large individual contributions



Look for corporate donations



Sell merchandise such as crafts, artwork, promotional items, etc.

108



Seek grants from foundations and international donor agencies



Win national or local government grants and contracts



Promote holiday giving (e.g., Christmas donations)



Auction donated goods and services



Raffle donated prizes



Sell advertising space in newsletters or other publications

Fund Raising Ideas 1. Donations Donations can be varied and creative. Individuals or organizations can give: 

Money



Labor



In-kind donations (equipment, office space, supplies, etc.)



Expertise (technical and program assistance)



Administrative support



Space for meetings and events

Legal Issues The laws which govern the giving and receiving of donations vary from country to country. Therefore, before you begin soliciting contributions, do some preliminary research. Some countries have NGO sector agencies or umbrella associations that can help you learn more about the laws that govern fundraising in your sector, or country.

The questions you need to answer before you begin include: 

What laws govern the giving and receiving of donations in your country?

109



Are there restrictions related to the use of donations for advocacy or political action? (E.g., no EU money can be used to support terrorism, while for some donors their monies cannot be used to influence national legislation.)



Are the amounts that individuals or organizations can contribute for the cause limited?



What are the requirements for reporting donated income?



Are there specific rules for accounting?



Are donations taxed?

2. Proposal Writing Grant seeking is a multibillion-dollar-a-year business. If it were a single company, it would rank at the top of the Fortune 500 list. Grant makers give away money because of their concern about social problems, injustices, or inequities. Grant seekers that are successful correctly perceive the sponsor's view of the world and incorporate that view in their grant proposal. Successful grant seekers are able to reflect the "priorities" of the sponsor. Many times, however, grant seekers dwell on their own need for funding instead of correlating their projects with the grant maker's goals and mission. Sponsors view grants as investments in improving the future and furthering their mission. Proposals are funded when they express the same priorities shared by the grant maker. Projects are rejected when they do not precisely reflect the priorities of the grant maker (Miner, 1998).22 Searching for Potential Funders As a fundraiser, you must research any funders who might be willing to contribute to your effort. Funders come from many different places ranging from: 

Individuals



Private sector companies (including multinationals)



Philanthropic/donor agencies and foundations



Government-sponsored initiatives

110

General Suggestions for Good Fundraising Practice 

Find out what kinds of organizations the donor has funded in the past, how much they typically give, and what their current interests are. An annual report will contain much of this information.



Be careful not to accept donations, grants or contracts for activities that do not match your vision, mission and objectives. You do not want to allow the donor to control your agenda or strategy.



Remember that all funders have their own programmatic and ideological agendas; approach organizations and foundations whose ideas match yours.



Avoid dependency on a few sources; work to diversify your funding base.



Appoint a qualified person involved in your effort to chair your fundraising efforts. This ensures that someone is paying attention to fundraising (in addition to you) and is accountable to the group.



Just as in advocacy, relationships are key. Invest time and energy in getting to know individuals at funding agencies.

111

MODULE FIVE: SESSION 2

Organisational Profiling

Session Objectives By the end of this session aims at enabling participants will be able to: 1. Discuss the concept of organizational profiling; 2. List basic steps for developing organizational profile; 3. identify the key information required in an organizational profile Estimated Time: 90 Minutes .

Methodology: Power point or Flip chart presentation, Brainstorming and Group work/Report back Session Content: 1. What is an organisational profile?

2. What are the basic steps for developing an organisational profile?

3. What information should it contain?

Materials: Markers, Flip charts and Group work assignment

Preparations Required 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide

112



Read and acquaint yourself with the content of the session as presented in the Trainer’s Note below

PROCESS Step 1: Introduction:

20 Minutes

Ask participants if they have drawn up their organisational profiles. Ask what we know to be organisational profile. Access a few and try an analysis of a few based on the the following criteria. 

Projects managed



Quantum of financial and other resources managed



Letters of commendation from funders, if any



Key achievements



Contact information of funders



Clear organisational contacts and information

Step 2: Mini-lecture

20 Minutes

Trainer makes a power point or flip chart presentation to cover the issues raised in the section on Session Content Step 3: Group Work

20 Minutes

In small groups or using the buzz method, ask participants to: 

share what challenges they are likely to face in developing their organisational profiles



how can these challenges be dealt with?

Ask groups to report back and display their answers on the wall. Request that a representative from each group reads the group’s responses to other participants.

Step 4: Review and discussion

20 Minutes 113

In plenary, discuss common features and differences revealed in the presentations and make suggestions on further improvements Step 5: Conclusion

10 Minutes

Review key learning points.

FACILITATOR’S NOTES Why do an organizational profile?

Donors seek to know that the organisations they will be dealing with have the following strengths: 

Well-run and efficiently managed organizations or effort.



Financial stability. Funders may want to see budget information from past years as well as future projections.



Can demonstrate evidence or examples of successful programs undertaken.



That they have good strategies that give them a reasonable chance of reaching their goals.



Can reasonably demonstrate what it is that distinguishes their work from other organizations in the same field?



What any previous contribution they made has accomplished in terms of results achieved.



Information on your own and your group members’ track records and successes at other donor funds management.



If your effort is new, that you can demonstrate or show a solid strategy for meeting realistic goals.

Steps in organizational profiling To develop good profiles, a SWOT analysis involving the comprehensive and integrative model of Organizational Profiling and Development which focus on structures of the organization, systems of the organization and people within the organization needs to be done. This assessment will: 

Uncover issues that need to be addressed 114



Identify and prioritize issues



Plan and facilitate decision-making meetings



Recommend action plans for development



Facilitate implementation of the plans



Provide follow-up evaluations of the success of the work

Organisational Profiling Wikipedia, the free encyclopaedia defines Profiling as the extrapolation of information about something, based on known qualities.

A comprehensive and integrative model of Organization Profiling and Development will focus on structure of the organization, systems of the organization and people within the organization to: 

Assess to uncover issues



Identify and prioritize issues



Plan and facilitate decision-making meetings



Recommend action plans for development



Facilitate implementation of the plans

Provide follow-up evaluations of the success of the work

Steps in Developing Organisational Profile.

1. Conduct an assessment of the organisation to span the following areas: 

Leadership Systems: Assessment of how senior leaders create values, expectations and set direction to build and sustain an organization that produces high performance.



Organisational Vision and Mission: Determine or develop current definitions of the company purpose and how the business understands customer, market and operational requirements to set direction for the future.

115



Customer and Market Focus: Examine how the organization deals with current market conditions and determines emerging customer requirements and expectations. For an NSA, this refers to its beneficiaries, funders, suppliers and other relevant stakeholders.



People and Human Resource Systems: Focus on key human resource practices directed toward creating high performance workplace teams and employees.



Decision making Systems: Identify how a business improves productivity, decision-making and ways of communicating at all levels.



Change and Transition Management: Stimulating and overseeing the desired changes identified in the action plan.



Organization Structure: Evaluate the appropriate organization design and structure for the company clarifying roles and responsibilities.



Management

Development

and

Training:

Developing

management

resources through assessment-based tools. Identifying areas of development for future success.

Business Results: Evaluate whether "real-time" measure of processes, products and services are aligned with overall organization strategy.

2. Gather all relevant information on the organisation’s past Projects and results achieved. Key areas of note include: 

Projects managed

   

Quantum of financial and other resources managed Letters of commendation from funders, if any Key achievements Contact information of funders

3. Ensure that all relevant documents and manuals are in place.

These include: 

Human Resources Manual



Financial Management and Internal Control Manuals 116

    

Procurement and Supply Management (PSM) Manuals Project Implementation Manuals Documents showing the Legal Status of the Organisation (some funders insist on specific schedules of CAC registration for NSAs) Current Organisational Strategic Plan The organisation’s Constitution

4. Constitute a Team to write the Organisational Profile This should ideally be made up of staff from the various units including finance. A third party within or from outside the organisation can be constituted to edit and streamline the developed profile before going to the print.

What Information should be contained in your Organisational Profile?

While there is no hard and fast rule about what information should be carried by your organisational profile, as can be seen from the forgoing a good OP should contain information about.     



How well you have run and efficiently managed your organizations or effort.

Financial stability. Funders may want to see budget information from past years as well as future projections.

Can demonstrate evidence or examples of successful programs undertaken.

Their capacity to manage funds as demonstrated by the quantum of resources from previous projects managed Good project management skills demonstrated by results from achieved on previous projects managed. This is also demonstrated by information on your own and your group members’ track records and successes at other donor funds management.

If your effort is new, that you can demonstrate or show a solid strategy for meeting realistic goals.

117

MODULE FIVE: SESSION 3 Prerequisites for Successful Fundraising and Resources Mobilisation

Objectives:

By the end of session participants should be able to: 1. Discuss the concept of fundraising 2. Determine the types of fundraising activities 3. Define the prerequisites for successful fundraising activities 4.Identify challenges of fund raising in their various organizations.

Estimated Time: 90 Minutes

Methodology: Power point or Flip chart presentation, Brainstorming and Group work/Report back Session Content: 1. What is Resource Mobilisation (RM)?

2. Types of fundraising methods 3. Prerequisites for successful funding raising activities 4. Challenges of RM Materials: Markers, Flip charts and Group work Assignment

118

Preparations Required 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide



Read and acquaint yourself with the content of the session as presented in the Trainer’s Note below

PROCESS Step 1: Introduction:

20 minutes

The facilitator asks participants to discuss in plenary or in buzz groups what they think about this Kiswahili proverb. How does this relate to the issue of resource mobilisation? Debrief by telling them that the proverb gives us hope that there will always be individuals and organisations that will be willing to support the causes we are trying to champion for which we are seeking to mobilise resources. As they give from their hearts out of charity, we have the responsibility of ensuring transparent and accountable way of applying the resources we have mobilised.

Alternatively, the trainer can start this session by asking participants to define what Resources Mobilisation is and allow them time to share their practical experiences with any RM activities they have been involved in. Trainer can share his/her experience if s/he has. Note the successes and challenges of each story. They will be useful in the course of the presentation.

Step 2: Mini-lecture

20 Minutes

The trainer can now make the already prepared power point or flip chart presentation.

Step 3: Group Work

30 Minutes

In small groups or using the buzz method, ask participants to: share what methods they have used in mobilizing resources for their organizations; hat challenges have they are faced with and how they responded to the challenges.

119

Ask groups to report back and display their answers on the walls. Request that a representative from each group reads the group’s responses to other participants.

Step 4: Review and discussion

15 Minutes

In plenary, discuss common features and differences revealed in the group responses. Note particularly how many of the groups identified Proposal writing as a major means of RM. The trainer may use these questions to conduct the review; 1. What are the challenges we face in mobilizing resources for our organisations?

2. What are the legal and or administrative restrictions?

3. What skills and resources do we need to address these challenges?

4. What is the role of transparency and accountability in resources mobilisation?

Step 5: Conclusion Conclude that for organisations to attain their prospects in RM they must have the structures, systems, personnel, reputation and integrity and above all, maintain good working relationships between their organisations and those entities that support them. This is achieved via transparent and accountable resource mobilisation, application

and

reporting.

.

FACILITATOR’S NOTE Tips for mobilising resources These tips include diverse methods for mobilizing resources starting with preparing for fundraising, assessing and using community strengths, while at the same time soliciting resources from external funding sources.

120

How can an organization raise the income needed to carry out its mission? Where are the required resources? How do you sustain your organization and work? These are the key questions confronting organizations when they consider how to maintain their work and strengthen organizational sustainability.

Developing a plan or strategy for resource mobilization can lead to creative efforts in using your own local assets to gain support for your organization. Multiple sources of funding can increase your independence and flexibility to implement programs and reduce reliance on external (or foreign) funding. With increased competition for scarce grant resources, thinking of, and creating options for new, diverse, and multiple funding streams will help your organization manage its programs.

This brief starts with aspects to consider prior to mobilizing resources. It discusses what your organization can do locally before soliciting for external sources for funding.

Phases of Resources Mobilisation According to Shannon St. John, there are three phases of resources mobilisation. 

Start-Up Phase



Survival



Sustainability

Sustainability will be achieved by diversified sources of revenue that DO NOT include gifts and grants from outside organizations. The time to develop a comprehensive plan for operating support from start-up to sustainability is Day One. Preparing for Resources Mobilisation Before you start RM, you should lay the foundation to have a compelling reason for donors to give. A plan that weighs your options can help save time and effort and have a better chance of success. See details in End Notes Section of this Module.

121

Prerequisites of Successful Resource Mobilization23 Preparing For Resources Mobilisation Before you start RM, you should lay the foundation to have a compelling reason for donors to give. A plan that weighs your options can help save time and effort and have a better chance of success. Some of the key elements that will strengthen your case include: 

Clear sense and commitment to your vision and mission -- who you are, where you are going, and how does your mission relate to the communities served



Promising program that will yield results



Effective management and leadership by your board members and staff who will ensure the accountability and transparency of the organization



Financial systems that will safeguard the resources raised, including adequate financial controls that demonstrate good management and builds trust



Solid reputation, credibility, and positive image



Mutual respect and knowledge sharing between the organization and the community it benefits, as well as other stakeholders



The ability to attract, create, and sustain new resources, especially based in the local community

Researching the Current Situation RM requires knowledge of the country’s current situation, including legal and tax structures, as well as what kind of fundraising activity could succeed in your unique environment, for example: • The legal situation in your country may allow or restrict certain types of activities for your type of organization. Be familiar with any special permission that is required for your fundraising activities • Tax consequences may affect how your organization reports the income and should be a consideration for selecting the appropriate activity • Tax relief for individual or corporate donations may be an incentive for giving 122

• Successful fundraising efforts of other civil society organizations (CSOs) may be replicated. On the other hand, creating innovative and fresh ideas may also inspire people to contribute • Building on local cultural and religious practices and traditions may help to attract a certain audiences Mapping Your Community’s Assets Each community has a unique set of assets upon which to build its future. The first step in a fundraising strategy is to identify and inventory the range of financial and nonfinancial resources of the individuals, community (including NGOs, groups, and associations), and local institutions (including local government agencies). Nonfinancial resources include skills, talents (such as handicrafts), and capacities.

Mapping can help your organization consider alternate and efficient resources for your proposed project. You may rediscover innovative solutions by mapping traditional technologies and practices, in areas such as pest control or conflict resolution. By being aware of your community members’ skills, you may be able to use a local resident to deliver services or training, rather than hiring an external consultant.

Focusing on the community’s assets could help to localize your fundraising and engage the local citizens to invest in their own future and create a sense of hope and control. Knowing one another’s assets could also help to build relationships among local residents, associations, and institutions.

Leadership Responsibilities A strong governance structure, such as a board of directors, is important to have in place to lead the organization in resource mobilization efforts. Funders may ask about the governance structure and composition (for example, gender breakdown or community member involvement) and board members’ names and affiliations.

123

The Board of Directors typically consists of volunteers with specific skills, knowledge, and experience. In many cases, they will be the body that is responsible and accountable to funders for the governance and finances of the organization.

Sound advice suggests that organisations consider including resource mobilization as one of the responsibilities for board members. Some examples of what a board member could do to help mobilize resources are: • Cultivate potential supporters • Speak on behalf of the organization and issues • Strategize with staff on fundraising • Recruit volunteers • Donate to the organization.

MODILE FIVE: SESSION 4 Internal and External Sources of Resources Mobilisation Objectives: At the end of session participants should be able to: 1. Define what is meant by Resource Mobilisation 2. Differentiate between Internal and External Sources of Resource Mobilisation 3. Determining how to conduct Internal Resource Mobilisation Activities

124

Estimated Time: 90 Minutes

Methodology: Power point or Flip chart presentation, Brainstorming and Group work/Report back Session Content: 1. What is Resources Mobilisation?

2. What are the sources of internal resource mobilisation?

3. How do we conduct internal organisational resources mobilisation?

Materials: Markers, Flip charts and Group work Assignment Preparations Required 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide



Read and acquaint yourself with the content of the session as presented in the Facilitator’s Note and End Notes below

PROCESS Step 1: Introduction

20 Minutes

Ask participants to list the qualities of organizations which donor partners will be looking for before they can release their funds. Write their responses on a flip chart and compare with your own list as follows: 

Well-run and efficiently managed organizations or effort.

125



Financial stability. Funders may want to see budget information from past years as well as future projections.



Evidence or examples of successful programs undertaken.



Good strategies that give them a reasonable chance of reaching their goals.



Can reasonably demonstrate what it is that distinguishes their work from other organizations in the same field?



What any previous contribution they made has accomplished in terms of results achieved.



Information on your own and your group members’ track records and successes at other donor funds management.



If your effort is new, that you can demonstrate or show a solid strategy for meeting realistic goals.

Step 2: Power Point or Flip Chart Presentation

20 Minutes

Trainer makes a power point or flip chart presentation to cover the issues raised in the section on Session Content (see facilitators’ notes) Step 3: Group Work

20 Minutes

In small groups or using the buzz method, ask participants to share what challenges they are likely to face in conducting both internal and external resource mobilisation activities and how can these challenges be dealt with? Ask groups to report back and display their answers on the wall. Request that a representative from each group reads the group’s responses to other participants.

Step 4: Review and discussion

20 Minutes

In plenary, discuss common features and differences revealed in the presentations and make suggestions on further improvements Step 5: Conclusion

10 Minutes 126

Conclude by letting participants know that they can access the services of Resource Mobilisation or Fundraising experts in developing their organisational profiles. The facilitator should bring out the issues of over dependence of external sources of funding affects organisational sustainability and what they can do.

FACILITATOR’S NOTE How can an organization raise the income needed to carry out its mission? Where are the required resources? How do you sustain your organization and work? These are the key questions confronting organizations when they consider how to maintain their work and strengthen organizational sustainability. Three types of sources of funds can be identified namely: Sources of Start-Up Funds : 

The “inner circle”



Other Community Leaders



The “usual suspects”



Private Trusts



Expatriates



International Agencies



Local Governments



In-kind gifts



Administrative fees

Sources of Survival Funds 

Previous funders



Administrative fees



Grants to Yourself



Fees for Services



Project Grants



Operating Endowment



Earned Income

Sources of Sustaining Funds 

Administrative fees



“Float”



Membership dues (in exchange for membership benefits, products services)



Fees for services 127

or



Product sales



Use of 'soft' assets (e.g., licensing agreements, patents, copyrights, etc.)



Use of 'hard' assets (e.g., rental of unutilized equipment, real estate, etc.)



Ancillary business enterprises



Investment earnings (e.g., income earned from both 'passive' investments like interest from savings; or dividends earned from more 'active' investments in the stock market, etc.). This category includes income from operating endowment.

INTERNAL SOURCES OF RESOURCES MOBILIZATION 1. MEMBERSHIP DUES Your organization may have members who form, own and operate the organization.

The organization can generate cash from membership dues or subscriptions. The amount should be spelled out in the original charter or bylaws and may be done on a sliding scale. Members are also a good source of volunteers and spokespeople for your cause. In return, the organization will be accountable to the membership base and provide benefits to them.

Organisations that are membership based can undertake as part of RM activities membership drive to enroll new members. Such organisations should consider conducting a house-to-house membership drive where volunteers recruit new people to join their organizations. Give new members an incentive to join -- a social gathering to orient new members, a membership card to show their affiliation, or a reduced price for the first month.

2. SPECIAL EVENTS

128

Special events, also known as benefits, are a popular fundraising activity. The organization sells tickets to a social event, concert, dance, or sports tournament and adds a margin of profit. You can also sell crafts, T-shirts with your logo, or food at the event to make more money. You can have a “work party” where you bring the community together for a day to help renovate houses or a community library.

Special events can be a fun way to publicize your cause, raise awareness of a specific issue, introduce a new program, create a positive image of your organization, reach out to your community about your services, mobilize your constituency, and celebrate your accomplishments.

Special events can also be labor-intensive, take staff time, and lose money. To maximize your chance of success, some tips in planning the event are: • Tie the event to your mission or cause • Choose an event that people want to attend • Choose a date that does not conflict with seasonal duties • Repeat your event annually if successful -- the first year may be the hardest and you may have learned lessons for the next one • Set an appropriate price • Recruit a local celebrity or dignitary to serve as an honorary chair • Nominate a volunteer to serve as the manager of the event and enlist other volunteers -- this could be a way to test new leadership skills and build a team • Find a local business sponsor to donate cash or goods in exchange for free advertising.

3. COST RECOVERY CSOs may choose to charge a nominal fee for their products or services. This helps the CSO to recover some of their costs and be accountable to their paying “clients.”

However, in reality, many of the CSOs work in areas where the poor do not have the ability to pay. An alternative could be to subsidize some of the costs by charging 129

those who can pay. To determine people’s ability to pay, CSOs will need to analyze their clients, market, and other competition.

4. BUSINESS VENTURES As part of their mission statement, many CSOs work to improve the economic conditions of a targeted group by helping to create new sources of income. The strategies employed to realize these goals can also be useful in generating income for CSOs directly. A business plan can have a significant impact on the success and mission of a venture.

Generating resources from the sale of goods and services could be a type of business venture. The goods and services may be directly related to the mission or not. A common source of fees is to charge for training workshops or consulting in a technical field. Other ways could be to sell produce from a vegetable garden or nursery.

Before you venture into a commercial or business proposition, some of the aspects to consider and to develop into a business plan are: 

A research on the business venture:



Thinking strategically:



Conduct a market analysis:



Develop a financial and operating plan:

EXTERNAL SOURCES OF RESOURCES MOBILIZATION 25 1. IDENTIFYING FOUNDATIONS AND DONOR PARTNERS’ SUPPORT Foundations, Trusts, and other grant-making entities (Donors Partners) that make grants are another major source of RM for development projects. The first step in seeking a grant from a foundation is to identify those foundations that operate in your geographic area and support work on your specific issues. Foundations have priorities, guidelines, and requirements detailing what they support. Usually foundations require a letter of inquiry or proposal demonstrating that your organization or project is a good investment. Many foundations require additional sources of funding, including a demonstration of community or in-kind support.

130

Do not be discouraged if your request is declined; most foundations receive many more proposals then they can support. If you are awarded a grant, send a thank you note immediately.

Respond promptly to the foundation’s request for reports and work with your bookkeeper to ensure that the financial records are sent on time.

Funders have their own guidelines, requirements, and application procedures. The grant proposal is a written description of your project plan based on the key questions asked by the funder. This will be taken up fully in the next sessions of this module.

2. CULTIVATING INDIVIDUAL DONORS Your organization can raise funds from individuals and present or past beneficiaries who give of their money and time. Individual solicitations require unique approaches depending on the person’s interests, motivations, and ability to give. For example, professionals can give regular, moderate amounts and may consider membership fees. The general public may want to give loose change at public collection boxes or buy a ticket for a special event. The politician in your community can make his or her contribution to the community via your organisation’s community development efforts.

Developing a list of potential individual donors who can give substantial sums (also called “prospect list”) starts with understanding what motivates them to give. It is important to recognize the motivations and incentives of the prospects so that you can tailor how you ask for a donation.

For donors to keep giving, it is critical to ensure that you continue to meet their expectations and continue to educate and inspire them about your cause. Depending on the donor, this may be a report with photos describing your achievements and how the funds were used. Treat your donors with respect and honor their commitment by using their donations appropriately. Your strongest supporters are those who you have already convinced to give once.

131

3. SOLICITING BUSINESS CONTRIBUTIONS Corporations or local businesses may be interested in contributing more than just funds. Ask for their expertise, volunteers, products, or services. Small businesses located in the community’s neighborhood may have a personal interest in the organization’s work and may sponsor events or provide prizes for raffles. A business may want to be associated with your organization because: • Of your organization’s reputation • Of your expertise on a specific issue or services you offer • Your organization offers advertising for the company’s product or services to a new market segment • Your organization provides an avenue to improve the company’s image in the community or country Accessibility to the decision makers of a company may be the biggest challenge you face. As with individual donor solicitation, building a relationship will require time and effort. Use your board members and network of friends to open doors. Use your best marketing tactics to convince them that forming an alliance with your organization will be beneficial to them. Corporations may provide grants to those organizations their employees are affiliated with.

Alliances with businesses also come with risks. Ensure that the company’s values are aligned with yours and that funding does not distract you from your mission.

OTHER SORCES OF RESOURCES 1. VOLUNTEERS AS RESOURCES Volunteers can provide great resources and benefits to your organization.

Volunteering is generally done by choice, without monetary reward (apart from expenses), and benefits the community. To recruit and keep your volunteers, you need to recognize the motivations and expectations of a volunteer. People give their time because they get something out of the service they provide. For example, a young person may gain skills or experience to apply for future opportunities.

132

Volunteers can be retirees, technical experts, young people, or student interns. They can serve for a long term, such as on your board or short term, such as providing labor to build a health facility. They may be a local resident or someone from another country. Regardless of who they are and what skills they bring, you may want to think systematically about managing volunteers to get the most of this valuable human resource.

Some steps are: • Identify tasks that need to be done, outline a job profile or skills required.

• Depending on your needs, recruit volunteers from places such as local schools or universities or inquire about foreign volunteer programs for placement of volunteers in your CSO. Corporations, local government offices, community associations, and other agencies may have skilled human resources to fill gaps in your organization.

Mapping your community’s assets may help you to identify local residents with specific skills and capacities.

• Ensure quality of the work by interviewing, selecting, and hiring the person with the appropriate qualifications. Managing volunteers can be as time consuming as managing staff.

• Retain volunteers by supervising them and providing support and mentorship as required. Volunteers usually desire opportunities that are meaningful and can fulfill their own needs (such as skills development, social environment, networks, learning).

• Recognize and acknowledge the volunteer in staff meetings and in public (in a newsletter or public event). Appreciation goes a long way.

• Keep track of volunteer hours and record this in your reports to funders and other stakeholders. This is a demonstration of in-kind support.

133

2. Professional associations, such as the Rotary or Lions Clubs, can provide excellent opportunities to network and connect to international sources of funding.

Local associations or community clubs may also provide donations or be a partner to organize charity events. Expatriate associations or international schools may also be interested in donating goods, such as books, toys, or furniture.

3. Intermediary CSOs, which may be funded by bilateral governments or individual donors, could be a source of grant funding or fee for service. They frequently subcontract with smaller organizations, paying them to help implement part of a broader development program or initiative, utilizing the unique skills of the particular group.

For example, community organizations may be able to provide popular education programming, mobilize the community, organize volunteers, administer micro-credit programs, and offer other critical services.

4. Faith based organizations could be another source of support depending on your locale. Religious leaders may be approached for their support, usually through a member of their congregation. They may be able to provide a venue for meetings, workshops, or even an event such as a theatrical performance, talent show, or art exhibit on their property.

5. Local authorities, government agencies, multilateral or bilateral agencies, and foreign embassies could be a source of direct grants, fees for service, technical assistance, or in-kind contributions. These sources may require discussion regarding your respective missions, values, and development priorities. Access for smaller, rural organizations to these agencies may be difficult, but building a strong reputation for your work, networking with diverse groups, and serving in leadership positions representing your constituency can help you and your organization be recognized.

6. CREATING A POSITIVE REPUTATION 134

Your reputation or the way others view your organization and its work is built by many years of credible results and relationships that make a difference to your community and by processes that are transparent to the public and accountable to your stakeholders. A positive image can help funders feel confident about supporting your organization. Your image is based on the effectiveness of your programs, the organization’s technical expertise, staff and board credibility, and relationships with the community and other stakeholders.

In addition to being a solid organization, you will need effective communication tools to share your organization’s results and strategies or “messages.” Your message should not only share what you are doing, but also educate the public about the issues you care about. It should also demonstrate the value you are adding to society. Your message should be targeted towards your audience and clarify your distinct niche.

FURTHER RESOURCES: Shannon E. St. John, Leadership and Resource Development for Community Foundations in Southeast Asia, Phuket, Thailand, July 11, 2005

Resource Mobilization Tips, written by Yumi Sera and Susan Beaudry, 2007: A publication of The Social Development Department - The World Bank, World Bank Small Grants www.worldbank.org/smallgrantsprogram

For information on organizational development, such as toolkits on communication, fundraising, and strategic planning, see the CIVICUS website: www.civicus.org.

135

For resources and manuals specifically for development and humanitarian NGOs, including manuals on financing income generation activities in conflict-affected countries, NGO capacity assessments, and building a small NGO, see the website www.networklearning.org.

For practical information, tools, and guidance on supporting NGO and community based organizations, wee the NGO support toolkit on the International HIV/AIDS Alliance website: www.ngosupport.net.

For information on foundations and tips on grant proposal writing and budgeting, see the Foundation Center website: www.foundationcenter.org

For information on mobilizing funds and resources, see the Resource Alliance website: www.resourcealliance.org.

136

MODULE SIX Responding to Call for Proposals and Introduction to Proposal Writing and Reporting: Aim This Module enables the realisation of the INSIDE’s third result by ensuring NSAs improved access to and transparent and accountable application of the necessary resources to address community- identified concerns in order to reduce the number of people living in poverty while at the same time increasing the number of people enjoying improved service delivery and accountable governance

Module Structure Session 1: Before you begin: Tips for Responding to Proposals Session 2: Developing a Good Problem Statement, Project Goals and Objectives.

Session 3: Developing Project Methodology and Activities Session 4: Developing the Project Logical Framework Analysis (LFA) Session 5: Developing the Project Monitoring and Evaluation Plan Session 6: developing the Project’s Budget, Project Packaging and Follow - Up .

137

MODULE SIX: SESSION 1 Before you begin: Tips for Responding to Proposals

Session Objectives: By the end of session participants should be able to : 

State what preparatory actions are necessary in responding to a CFP



Define the various steps required in responding to a CFP



Undertake a practice of the first steps in developing a Proposal

Estimated Time: 120 Minutes

Methodology: Power point or Flip chart presentation, Brainstorming and Group work/Report back Session Content: 1. What is Proposal Writing?

2. How do you respond to a call for proposals?

3. What to do before you start writing the proposal 4. The general structure of a Proposal Materials: Markers, Flip charts and Group work Assignment Preparations Required 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide 138



Read and acquaint yourself with the content of the session as presented in the Trainer’s Note below

PROCESS Step 1: Buzz Session

20 Minutes

The facilitator can project the topic on the screen and ask questions that will enable participants tell you how much they know about the topic. Alternatively, the following statement can be screened or put on the flip chart and participants asked to buzz up finding answers to the questions what the author is saying, why he said it, implications for the topic: Grantseeking is a multibillion-dollar-a-year business. If it were a single company, it would rank at the top of the Fortune 500 list. Grantmakers give away money because of their concern about social problems, injustices, or inequities. Grantseekers that are successful correctly perceive the sponsor's view of the world and incorporate that view in their grant proposal. Successful grantseekers are able to reflect the "priorities" of the sponsor. Many times, however, grantseekers dwell on their own need for funding instead of correlating their projects with the grantmaker's goals and mission. Sponsors view grants as investments in improving the future and furthering their mission. Proposals are funded when they express the same priorities shared by the grantmaker. Projects are rejected when they do not precisely reflect the priorities of the grantmaker (Miner, 1998).

Step 2: Discussion

15 Minutes

Receive and discuss their responses in relations to sessions’ objectives

139

Step 3: Mini-lecture

20Minutes

Facilitator proceeds with his/her presentation on the projector or flip charts> care should be taken to avoid wasting time on points that have already being raised and discussed at the preceding steps.

Step 4: Group Work and Preparations i.

60 Minutes

Divide participants into groups based on their thematic areas or any other acceptable bases.

ii.

Give some sample Call For Proposals to each group preferably an EU/EC call for proposal

Group Tasks i. In not more than 200 words, describe how the donor’s concern is related to your organization’s Aims and Objectives ii. What information do you think would be useful for the donor to know about your organization concerning this project? iii.

What information you wouldl need about the donor agency issuing the CFP?

iv.

How do you intend to persuade the Donor Partner (DP) that you are capable of executing the project successfully?

v.

How you will establish a rapport with the desk officer at the DP office?

Step 5: Conclusion

5 Minutes

Review key learning points

FACILITATOR’s NOTE TIPS FOR RESPONDING TO CALLS FOR PROPOSALS 140

1. Give it a try!

Don't hesitate to propose something. If something is interesting to you, the Donor Partner may probably be interested, too! You don't have to be a “name;” most donors judge proposals based on rating criteria alone. And that's why you need to give it a try.

2. Follow directions The call may be complex and comprehensive, but provides step-by-step instructions.

Your best road to success is carefully doing what is asked.

3. Use the structure from the Call The call dictates the format for your proposal--headings for the key areas that reviewers will be using to rate your submission. Using this format is critical to ensure that your proposal gets a balanced review. Don't add brochures, resumes, or additional information--they will not be judged in the mix and are annoying to reviewers.

4. Know your audience The reviewers are looking for ways to include you on the donor partners’ list of beneficiaries, but they need you to provide compelling evidence that your presentation meets the criteria. Your other audience is Donor partner itself. If you are new to the partner, it’s a good idea to check out a chapter meeting to see a representative of the DP, seek further clarifications if this is allowed and/or do some research about the DP’s audience.

5. Provide enough detail Remember that you are convincing reviewers that you can meet the needs of Donor Partner’s audience or target group. Providing sufficient detail that the reviewers can determine whether you meet the criteria is key. (Areas that tend to lack sufficient detail are the Presentation Plans/strategies and the Presenter Expertise sections.)

141

6. Be realistic Make sure you can accomplish what you propose within the time limits allowed; there's no need to oversell yourself. All proposal submitters have the same 90minute constraint.

7. Do your homework Reviewers have solid backgrounds in the track area they are reviewing. Nothing is more frustrating than reading a proposal from someone who thinks they reinvented needs analysis! Make sure your bibliographic references are anchored in the field.

Reviewers normally look at current, relevant information list to ensure you will meet the current needs of the targeted audiences.

8. Arrange for a content review Ask knowledgeable colleagues to review your content and presentation plan.

Successful presenters have told us that this is an important part of their preparation.

Of course, this means that you have to get started early enough to get input.

9. Write good and proofread your work Reviewers do not look for fancy production, but a proposal full of grammatical and spelling errors works against your credibility.

10. Use an editor An editor will help you identify areas that are unclear, poorly written, and also help with proofreading.

11. Keep references to the specified work limit The reference list gives reviewers a flavor of your experience. Adding additional information will not make your proposal more compelling.

12. Check your packet for completeness

142

Make sure you provide the right number of hard and soft copies if required. The electronic version requirement is normally added to aid the DP’s dissemination of the information to evaluators and for their Use. Cover letters and marketing pieces where required are necessary and must be included.

Basic Facts About Proposal Writing – Things to Know and Do Before You Start Writing.

A proposal writing exercise could be divided into three broad parts: 1. what to do before you start writing 2. what to do during the actual writing or drafting of the proposal document 3. what to do after sending documents.

EACH OF THESE PARTS IS AS IMPORTANT AS THE OTHER. THE EXTENT OF WORK YOU DO ON EACH PART DEPENDS ON THE TYPE OF PROPOSAL YOU ARE WRITING AND THE EXTENT OF THE RELATIONSHIP YOU HAVE WITH THE DONOR AGENCY.

This session deals mostly with the first part of things to do before the actual proposal writing exercise and starts work on what you do during the proposal writing phase.

Don’t start writing a funding proposal before you have done the necessary research, thinking and planning!

Before You Begin Read the funding guidelines and directions carefully.

Most funding announcements contain fairly detailed information about funding priorities, eligibility criteria, and submission requirements. Bilateral and Multi lateral 143

agencies, in particular, have complex application requirements that must be followed exactly or the proposal may be disqualified. o

Make sure you have enough time to prepare the proposal.

Funders’ deadlines are usually non-negotiable. Be realistic about how much time the proposal will take your agency to prepare given your current resources then decide whether it’s worth the effort. If you don’t have time to do it properly, don’t do it at all. o

Consider whether the grant is right for your organization.

Even if your organization meets general funding criteria, it may not be the right “fit” for a particular grants program. Following are some questions an applicant may want to ask before beginning the application process: o

Is the proposed program consistent with the mission and goals of my organization?

o

Does my organization currently have the staff expertise and resources to implement the program?

o

Does my organization have the capacity to administer the funds that it is applying for?

o

Does my organization have direct ties to and experience with the target population?

o

Is there community support for the proposed program?

o

Is the amount of money being offered worth the time and expense involved in applying for it?

o

If possible, discuss your proposed program with the funder before writing the proposal. Some funders, like USCM for example, are willing to discuss your proposed program by phone or to respond to your letter of inquiry (a letter that briefly describes your proposed program and the need that it addresses–see box to the right). In fact, some private funders require you to go through a screening process before submitting a proposal. Take advantage of any opportunities you have to get feedback from a funder before submitting a proposal. Making 144

sure, upfront, that your program is a logical fit with a particular funder will save you a lot of time and trouble in the long run. o

Consider collaborating with other organizations. Many funders, particularly federal agencies, prefer proposals that involve collaboration between two or more organizations because they avoid duplication of effort and enhance the capacity of the applicant to serve clients. You may increase your chances of being selected for funding if you pair up with another organization, particularly when your areas of expertise complement each other.

Again before you begin writing, you need to i.

Be clear about why and for whom you are writing the proposal.

The first question you need to ask yourself is: Why are you writing a funding proposal?

The simple answer to this is: You write a funding proposal to persuade someone to give your organization or project money. The chief purpose of a funding proposal is persuasion, NOT description. So, while you will need to describe the proposed project, you need to do so in a way that will convince a donor to give you money.

Understand the donor for whom you are preparing it - Choose the Donor and Know the Donor.

Who are you writing the proposal for?

There are two levels at which this question can be answered: Who meaning what kind of funding agency do you have in mind?

Who meaning what sort of person is likely to read it?

145

Culled from CIVICUS pg. 18, opcit EXPLAINING THE PROPOSAL WRITING STRUCTURE While funding sources vary in their guidelines and requirements for submission of proposals, the following components are fairly standard parts of most proposals: Cover Letter & Title, Summary or Abstract, Introduction, Statement of the Problem/Needs Assessment, Goals and Objectives, Program Plan and Methods, Monitoring and Evaluation, Budget, and Appendices Brief Description of each item in a Proposal Structure.

Cover Letter The cover letter should be written on the applicant's letterhead, and should be signed by the organization's highest official. It should be addressed to the individual at the funding source with whom the organization has dealt, and should refer to earlier discussions. While giving a brief outline of the needs addressed in the proposal, the cover letter should demonstrate a familiarity with the mission of the grant-making organization and emphasize the ways in which this project contributes to these goals.

Title Page Grant writers should design a bold and attractive cover that includes the name of the grant, a subtitle if necessary, the names of both the grant program and the funding source, the date of submission, the city and state, and the department's name. They should use graphics and color to heighten the appearance of the cover.

Table of Contents

146

Grant writers always should include a table of contents so reviewers can refer easily to a specific provision without fumbling through each page. They should use an outline format and indent the subsections for clarity.

Abstract/Summary Some funding sources require an abstract, a one-page description of what the program proposes to do and the expected results. It summarizes the important points of the program and highlights the key aspects of the problem statement, the program description, and the goals and objectives.

Problem Statement The problem statement is the bedrock upon which all else rests. If no problem exists, the department needs no funding. Grant writers should set a historical perspective that leads from the beginning of the problem, through different time periods, and up to the current condition. If it is a crime problem, insofar as possible, they should make a correlation between the crime problem and an underlying criminological theory (e.g., rational choice, routine activities, social disorganization, or conflict).

Also, writers should identify the antecedents that preexisted or currently coexist with the crime problem. They should use statistics and a variety of charts to bolster their claims and extract percentages, show rates, and add trend lines.

Goals and Objectives Often used interchangeably, goals and objectives, in fact, are two distinct criteria that must be met. A goal is a broad general statement explaining what the grant program is expected to accomplish. Goal statements often start with an action indicator, such as to or will (e.g., to reduce inmate population, to decrease fear of crime, will strengthen community partnerships, will minimize the temptation to join a gang). By contrast, objectives are specific, precise, and exact statements that lead step by step to the achievement of the goals. Four elements of an objective--subject, assignment, condition, and standard--must be met for it to be measurable.

147

1) The subject represents who is tasked with doing something (e.g., the tactical narcotics team, the patrol division, the municipal court system). The subject is the element or person that will be responsible for accomplishing what the program is designed to do.

2) The assignment depicts what the subject is to do (e.g., to effect arrests for curfew violations, to expedite incoming prisoners, to conduct a workload analysis). The assignment, an action, explains the specific task (or responsibility) required of the subject in question.

3) The condition denotes the given circumstances under which the task must be performed. Conditions, either environmental or situational (e.g., in the field, at the domestic violence advocacy center, in the county jail), explain how, where, and with what the assignment is to be done. Because the condition represents the "given" circumstances under which the assignment will be performed, the objective often contains that word (e.g., Given a cellular telephone, the neighborhood patrol officer will....).

4) The standard specifies how well the task must be accomplished. The standard defines what the expected or anticipated results will be (e.g., without error, with 90 percent accuracy, according to approved agency policy and procedure, within the first month).

Program Strategy/Method The program strategy is the specific method or activities that the department will employ for the duration of the grant program. In this section, the grant writer must provide a clear statement of how the department is going to organize and administer the project to meet the intended goals and objectives. The writers should confer with the various departmental elements involved in carrying out the plan and identify what each is prepared to commit (e.g., 15 police officers from the drug squad, 1 municipal prosecutor dedicated to the program, 5 street sweepers from the sanitation department for neighborhood clean up, and 3 drug and alcohol counselors from social services). If required by the RFP, the grant writer must identify specific individuals who, by virtue of training and experience, will carry out portions of the 148

program and attach their resumes. In short, this section requires that the writer states the means that the department will use to achieve the ends.

Budget Narrative The budget narrative details a comprehensive itemization and explanation of the costs incurred from the administration and implementation of the program. Budgeted expenses must be reasonable, allowable, and cost-effective for the activities proposed in the program strategy. The budget narrative also must describe and explain how each particular item was calculated. Typical budget categories include personnel,

fringe

benefits,

travel,

equipment,

supplies,

contracts,

utilities,

construction, indirect costs, and consultants. When creating the budget, the department must not overlook one important issue--the budget must be in proportion to the goals and objectives. Often, the goals of the project far exceed the funds being requested, thus making the goals unattainable. This is known as the reasonableness requirement of the budget.

Appendix Often, a grant application has a page restriction limiting the narrative portion. If this is the case, writers should include an appendix that contains all of the charts, tables, and supporting documents. They should not waste valuable space in the actual narrative section, but append all supporting materials and use an in-text citation (e.g., see chart 1 in appendix). In this way, writers can include organizational charts setting forth specific elements, flowcharts depicting a particular process, Gantt chart (12) denoting a sequence of events and milestones, and additional statistical data. A variety of off-the-shelf, user-friendly software applications exist for creating charts and diagrams. These programs can illustrate complex processes and strategies and can present ideas and information with greater impact through the power of clear visual communication.

Conclusion Whenever criminal justice agencies are tasked with addressing a problem, they should consider the grant process as a viable solution. They can use grants to start 149

new initiatives or supplement existing ones. Funding sources disperse millions of federal, state, and private funds every year, but agencies have to enter the process to win the award.

If grant writers apply the basic principles of researching, writing, and organizing to the process, they will add strength and credibility to their applications. And, once the award letter comes congratulating the agency on winning the grant, they can proclaim proudly that their efforts directly contributed to successfully gaining some much needed funds for their agency to create or maintain quality programs to safeguard their community.

150

151

MODULE SIX: SESSION 2 Developing a Good Problem Statement, Defining Project Goals and Objectives

Session Objectives: At end of session, participants should be able to: i.

Identify elements of a good problem statement

ii.

Write a problem statement based on a case study

iii.

Define goals and develop a goal statement from the case study

iv.

Define and develop objectives that meet the “SMART” and/or “SIMPLE” criteria

Estimated Time: 120 Minutes

Methodology Power point or Flip chart presentation, brainstorming and Group work/Report back Session Content: 1. Elements of a good problem statement 2. How to write a problem statement based on a CFP 3. Define goals and develop a goal statement from the CFP 4. Define objectives and develop objectives that meet the “SMART” and/or “SIMPLE” criteria

152

MATERIALS Markers, Flip charts and Group work Assignment Preparations Required 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide



Read and acquaint yourself with the content of the session as presented in the Trainer’s Note below

PROCESS Step 1: Introduction

20 Minutes

The facilitator can begin a general discussion around the word “problem” by asking the following questions: As a manager, what comes to your mind when you think of a problem? How would you define a problem within the context of a grant proposal?

Generate suggestions for definitions and record them on a flipchart. i.

Ask, “What is the purpose of a problem statement?”

ii.

Refer to the list developed above and ask: what are the elements or characteristics of a good problem statement?

iii.

Repeat the above steps for Objective

Step 2: Mini-lecture

15 Minutes

Make a PowerPoint presentation on the questions above. Be as brief as possible but be very explicit. See Facilitator’s Note below for possible resources.

Step 3: Group Work

60 Minutes

a. Put participants in their previous groups b. Let them develop a problem statement based on the CFP in the last session c. Ask participants to study the CFP in groups and do the following task on it: 153

o

Analyze the situation in CFP

o

identify the Solution they want to propose to the DP

o

develop a problem statement based on the analysis they have done above

o

Develop their goal statements in response to the problems

o

for each goal, set one SMART and SIMPLE objectives

(Note: it is important to allow at least one hour for this practical experience.

Facilitator should ensure that task is clearly explained to the participants and that participants are working as directed in their respective group).

Step 4: Group Presentations

20 Minutes

Facilitator receives the group reports and leads discussions on issues arising from the report back Step 5: Conclusion

5 Minutes

Review key learning points

FACILITATOR’S NOTES Developing the Problem Statement or Needs Assessment Section A problem statement explains the reason for the proposal. It should provide welldocumented evidence of a specific problem, explained from the beneficiaries' viewpoint. One of the pitfalls to be avoided is defining the problem as a lack of program or facility, i.e., giving one of the possible solutions to a problem as the problem itself. For example, the lack of a medical center in an economically depressed area is not the problem -- the problem is that poor people in the area have health needs that are not currently being addressed.

The problem described should be of reasonable dimensions, with the targeted population and geographic area clearly defined. It should include a retrospective view of the situation, describing past efforts to ameliorate it, and projections for the future. The problem statement, developed with input from the beneficiaries, must be 154

supported by statistics and statements from authorities in the field. The case must be made that the applicant, because of its history, demonstrable skills, and past accomplishments is the right organization to solve the problem.

Once the needs have been described, proposed solutions have to be set forth, wherever possible in numerical terms. The population to be served, time frame of the project, and specific outcomes must be defined. These measurable objectives form the basis for judging the effectiveness of the program. It is important not to confuse objectives with methods toward those ends. For example, the objective should not be stated as "building a prenatal clinic in Adams County," but as "reducing the infant mortality rate in Adams County to X percent by a specific date."

Project goals and objectives are a series of specific accomplishments designed to address the stated problems and attain the stated results. An objective is an endpoint, not a process indicator. It is a description of what will exist at the end of a project.

The clearer the objectives, the easier it is to plan and implement activities that will lead to attainment of these objectives. Writing clear objectives also makes it easier to monitor progress and evaluate the success of projects.

Objectives must be specific (what and when) and measurable (how much) and must describe what is desirable (suitable and appropriate for the situation) and obtainable (realistic).

Writing Tips for Objectives: Any organisation responding to a call for proposal must have a list of specific objectives in no more than one or two sentences each in approximate order of importance. Don't confuse your objectives (ends) with your methods (means). A good objective emphasizes what will be done and when it will be done, whereas a method will explain why or how it will be done. A goal is the ultimate result being expected and objectives define the immediate results statements.

155

A Possible Definition of a Problem Statement A problem statement provides focus and direction for a project. It looks beyond symptoms to clearly define the problem and state specific areas for change.

A good problem statement does the following: • Concisely states a situation that needs to be changed.

• States who/what is affected.

•Quantifies the problem (how many).

• Addresses an issue related to the organizational needs/purpose.

Purpose of a problem statement The purpose of the Problem Statement is to show why the proposed program is needed.

Using Statistics to Demonstrate your Statement of Problem 

Make sure that any statistics you cite are up-to-date and accurate; the persuasiveness of your argument will be weakened if you don’t bother to check your facts or use outdated statistics.



Whenever possible, use local–rather than state or national–data to illustrate your point, even if they are limited or anecdotal (based on your experience).

Using local data will assure reviewers that your organization knows what’s going on with the target population in the target community.



Don’t include information that doesn’t directly relate to the point you’re trying to make just to fill up space; it will only take away from your overall argument.



Avoid repeating a long list of statistics that you have copied from elsewhere without interpreting them; help the reader understand what these statistics mean and how they relate to the real life problems of people in your community.

156



Always provide references and dates of publication for the data that you cite so that reviewers can know what the source of that data is and how current the data are

When Data are not Available what do you do? Below is a suggestion.

Demonstrating human rights abuses When Limited Data Exist on Your Target Population Not all populations have a current or likely data on the situations they face. Even populations with serious social and economic problems such as human rights abuses may not have statistics readily available to support these assertions. You must make an honest assessment of whether or not a human rights abuses prevention intervention is needed for a particular population before you can make a persuasive case to funders. Still, there may be times when you believe a specific population is at risk of their human rights being abused even though this risk may not be fully reflected, or reflected at all, in official human rights abuses surveillance data.

For example: o

Persistent

under-reporting

and

misclassification

have

made

it

impossible to know the true extent of rape among married women. o

The human rights status of homeless persons or internally displaced persons may be very hard to determine because of the mobile and sometimes “hidden” nature of these populations.

What is a project goal?

A project goal briefly describes what you expect the project setting to be like after your project has completed its intervention.

• A goal is the solution to the problems you described earlier. Your problem statement was limited to those specific problems that could be solved by the project.

Your goal statement represents the solution.

• A goal is realistic. Though it take more than your individual project to achieve a project goal, it is advisable not to state that your project will accomplish more than it 157

possibly can. Your goal statement should however, define the scope of the project activity.

What are project objectives?

Project objectives are a series of specific accomplishments designed to address the stated problems and attain the stated goal. An objective is an endpoint, not a process. It is a description of what will exist at the end of a project.

The clearer the objectives, the easier it is to plan and implement activities that will lead to attainment of these objectives. Writing clear objectives also makes it easier to monitor progress and evaluate the success of projects.

When writing objectives, avoid “process” words; instead, use “endpoint” words: Process Words assist improve

Endpoint Words train distribute

strengthen

increase

promote

reduce

coordinate

organize

Characteristics of Objectives SMART and SIMPLE Objectives must be specific (what and when) and measurable (how much) and must describe what is desirable (suitable and appropriate for the situation) and obtainable (realistic).

158

Checklist: 

S Specific: Is the objective clear in terms of what, how, when, and where the situation will be changed?

M Measurable 

Are the targets measurable (e.g., how much of an increase or how many people)?

A Area-Specific 

Does the objective delineate an area or population (sex, age, and village)?

R Realistic 

Is the project able to obtain the level of involvement and change reflected in each objective?

T Time-Bound 

Does the objective reflect a time period in which it will be accomplished (e.g., during the first quarter or midpoint of the project period)?

For proposal writing purposes, it advisable that the objective is not only SMART, but also SIMPLE 8 defined in these terms of:

S – Specific; Indicate precisely what to change through your project.

I – Immediate: Indicate the time frame during which a current problem will be addressed.

M – Measurable: Indicate what you accept as proof of project success P – Practical: Indicate how each objective is a real solution.

L-- Logical: indicate how each objective systematically contributes to achieving your overall goal.

E – Evaluable: Indicate how much change has to occur for the project to be effective and how you will show that the expected change has occurred.

Although these categories are not mutually exclusive, each of your objectives should meet at least two or three of these six criteria.

For instance, given the goal of

"improving the quality of life for homeless individuals in our city," a proposal objective might be for the "Midwest Home Shelter Agency to reduce the number of homeless [Specific] [Practical] [Logical] during the next 24 months [Immediate] by 15 percent [Evaluable] as noted in the Department of Social Welfare Homeless Survey Report [Measurable]."

159

Key Questions to Answer: As you write the objectives section, answer these questions. Does the section 1. Clearly describe your project's objectives, hypotheses, and/or research questions?

2. Signal the project's objectives without burying them in a morass of narrative?

3. Demonstrate that your objectives are important, significant, and timely?

4. Include objectives that comprehensively describe the intended outcomes of the project?

5. State your objectives, hypotheses, or questions in a way that they can be evaluated or tested later?

6. Demonstrate why your project's outcome is appropriate and important to the sponsor?

Writing Tips for Objectives Section: List your specific objectives in no more than one or two sentences each in approximate order of importance. Don't confuse your objectives (ends) with your methods (means). A good objective emphasizes what will be done and when it will be done, whereas a method will explain why or how it will be done. Ensure your project includes goals (ultimate) and objectives (immediate) statements.

Just as the statement of objectives builds on the problem statement, the description of methods or procedures builds on the statement of objectives. For each objective, a specific plan of action should be laid out. It should delineate a sequence of justifiable activities, indicating the proposed staffing and timetable for each task. This section should be carefully reviewed to make sure that what is being proposed is realistic in terms of the

160

161

MODULE SIX: SESSION 3 Developing Project Methodology and Activities Objectives: By the end of this session, participants will be able to i.

Know what the term methodology connotes within the context of proposal writing

ii.

demonstrate practical skills for developing a good project methodology

iii.

Develop a list of activities to achieve each of their group’s project objectives

iv.

Develop a draft project implementation plan for their group’s project activities

Estimated Time: 120 Minutes

Materials Flipcharts, Markers, PowerPoint presentation equipment and accessories.

Preparations Required: 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide



Read and acquaint yourself with the content of the session as presented in the Trainer’s Note.

Methodology: Group work, flip chart/ power point presentation, Buzz session Step 1: Introduction

10 Minutes

Make a brief recap of the previous session saying how it impacts on the project methodology.

Step 2: Buzz Session

10 Minutes 162

Ask participants to buzz up and discuss the methodology aspect of proposal in terms of what it means and what they think it is all about relative to that section of the body of a proposal. Receive and discuss the outcome of their buzz session.

Step 3: Mini-lecture

15 Minutes

The facilitator makes a PowerPoint explanatory or descriptive presentation on METHODOLOGY as an aspect of a proposal document. Discuss the presentation and questions raised by participants.

Step 4: Group Work

30 Minutes

Participants to develop in their group work sessions their projects methodology and activities. Working in local groups, refer participants to the objectives of their live proposal developed at the last session and give them the following instructions: 

Each group to develop their methodology based on instructions in the CFP they are using



For each objective developed by your group during the previous session, develop a list of the activities needed to accomplish each of the objectives, justify each activity and copy all your work here on flipchart or PowerPoint for presentation.



Organize your objectives and activities into an implementation plan, using the framework provided. See Checklist.



Copy all the work done on one of the objectives on flipchart or PowerPoint for presentation (all the work on an objective refers to the objective itself, all the activities on it and the implementation plan for the activities).

Step 5: Group presentations and discussions

20 Minutes

In discussing the presentation, focus on how well the methodology proposed convinces the donor that the actions being proposed are doable. Determine whether or not each of the objectives contains all the essential characteristics or elements of an objective statement. Are the activities in the right sequence are the timeframe reasonable and logical; are there some activities or other vital information missed out?

163

Step 5: Conclusion

5 Minutes

Ask participants to share freely their experience working on this aspect of the proposal.

Methodology 9 Purpose of Methodology Section: The methods section describes your project activities in detail, indicating how your objectives will be accomplished. The description should include the sequence, flow, and interrelationship of activities as well as planned staffing for the project. It should present a clear picture of the client population, if any. It should discuss the risks of your method, and indicate why your success is probable. Finally, tell what is unique about your approach.

The purpose of this section is to describe and justify a set of activities and the means (how) of achieving them to meet the needs identified in the Problem and objective Statements.

Key Questions to Answer: Here are some key questions to answer. Does your proposal 1. Explain why you chose one methodological approach and not another?

2. Describe major activities for reaching each objective?

3. Indicate the key project personnel who will carry out each activity?

4. Show the interrelationship among project activities?

Writing Tips for Methodology Section: Begin with your objectives. Describe what precise steps you will follow to carry out each objective, including what will be done, who will do it, and when it will be done. If you have trouble writing this section, 164

assume the sponsor's check just arrived in the mail. What is the first thing you will do? Hire additional staff? Order equipment? What will you do next? Keep asking and answering the "What's next?" question and you will lead yourself through the methodology section (sometimes called procedures in other proposal guidelines).

Once you have determined the sequence of events you will follow in completing your project, cast the major milestones into a time-and-task chart. In graphic form, it segments your total project into manageable steps and lets your reviewers know exactly what you will be doing--and when. It says to the reviewers that you are organized and have thought out the major steps of your project. It lets them know you have done significant planning and are not just proposing on a whim. It gives them a road map of the territory you plan to cover. Finally, the time-and-task chart represents a clear, one-page, visual summary of the entire methodology section.

Vital Questions for developing this section of the proposal At minimum, the method or Proposed Program section should address these basic questions: o

What does the proposed program hope to achieve (what are its goals and objectives)?

o

How does the proposed program plan to achieve the stated objectives (what activities are planned, what means will be used and what is their content)?

o

When does the proposed program hope to achieve each task and activity (what is the order and timing of individual tasks and activities)?

o

Who is going to implement the tasks outlined in the proposed program section (who will staff and supervise the program)?

o

Why will the planned program activities and methodology lead to the anticipated outcomes (why do you think your program will work; why did you select the interventions that make up the program)?

165

Method or Program Implementation Plan Also known as the Work Plan or implementation plan, it should flow directly from your stated goals and objectives; that is, each activity described in the Program Plan should relate logically to a specific objective and the goal under which it falls. If you have written clear and specific objectives, it should be relatively easy to fill in the details of the Program Plan.

The exact format of this section of the proposal will vary depending on the requirements of the funding source and the grant writer’s preferences. Some applicants structure this section by first listing all their goals and objectives and then plugging in descriptions of activities under each one. Others list the goals and objectives separately from the description of the program and its activities. Some funders are interested in specific information about the proposed program and ask you to provide that information; in that case, just follow their suggested format.

Regardless of the format used, in most cases you will have to cover the following information: Program overview: If your format allows, consider writing a short summary of all the program components before describing each one in detail. Explain how each component relates to the others. This will make it easier for the reviewers to understand your program description.

Description of the individual interventions: Most project proposals are made up of a combination of individual services–or interventions. Describe each intervention separately, being careful to include as much as possible of the following information: o

Type of intervention (e.g., training, condom distribution, Human rights education, budget monitoring, counseling, prevention education and risk reduction workshops, community awareness event)

o

Information or skills to be delivered (environmental protection and preservation, sexual negotiation skills training, safer injection skills, how to engage service providers, etc) 166

o

Content of each intervention (topics to be covered)

o

Curriculum or model to be used (e.g., Red Cross HIV prevention curriculum, Stop AIDS model, in-house curriculum to be developed)

o

Staff positions assigned to conduct the intervention (e.g., program coordinator, peer educators, outreach workers)

o

Frequency and duration of the intervention (e.g., monthly tree planting campaigns, daily community outreach education programme for a total of three hours a day, weekly peer educators meeting lasting two hours)

o

Times and location of the interventions (e.g., outreach to high-risk MSM will be conducted between the hours of 11pm and 2am in bars frequented by MSM)

o

Number of persons expected to participate (e.g., maximum number of participants for safe sex workshop; expected number of street outreach contacts per month)

o

Client recruitment and retention (e.g, the program will be advertised through flyers and word-of-mouth, incentives such as a meeting stipend or subway tokens will be provided)

o

Activities or tasks related to implementing interventions (e.g., development of training materials, design of workshop content, recruitment and training of peer educators)

o

Linkages and referrals (how is the intervention related to other programs in your organization, what arrangements have you made with other local agencies to help you recruit clients, do you have a system for referring out clients who require assistance–such as accessing services–that your agency is not currently providing?)

o

Time lines Many funders require applicants to include a time line listing the key steps involved in implementing a project, including beginning and projected completion dates and staff responsible for each step.

Even if a time line is not required, it is a good idea to include one for several reasons. First, it reassures reviewers that your organization is realistic about the steps involved in implementing the project and the approximate length of time each step will take. Second, the time line

167

also serves as a tool which your organization and the funder can use to monitor the progress of the project. o

Staffing of project. It is important to convey to reviewers that your organization has a realistic understanding of the staff resources needed to implement the project. Briefly describe each proposed position by listing the job title, main responsibilities, and required skills.

Indicate whether the position will be full-or part-time by specifying the percentage of time to be spent on the position. It should be clear who will supervise each position and how they will do so (e.g., weekly staff meetings). If you have identified candidates for any of the proposed positions, provide a resume in the supporting documentation. If the program involves volunteers, funders will pay close attention to your plans for recruiting, training, supervising, and retaining them. Finally, be careful not to assign fulltime responsibilities to part-time staff or volunteers; reviewers may think you don’t understand what’s needed to do the job properly and that it won’t get done.

Justification of methods: It is important to provide an explanation of why your organization has chosen a particular set of interventions for the target population.

Most HIV prevention programs are designed according to a combination of formal (scientifically tested) and informal (based on experience) theory. There is nothing wrong with using informal theory; just make sure that you describe the assumptions that are behind the choice of each intervention. If you are basing the proposed program on formal theory, avoid copying the theory word-for-word; simply repeating a theory does not show the funder that you actually know how to apply the theory to real-life interventions. Instead, explain how each proposed intervention corresponds to the different elements of a theory.

For example, if you are using the Stages of Change theory of behaviour change, show how the different components of your HIV risk reduction program will take clients through the five stages of Pre-contemplation, Contemplation, Preparation, Action and Maintenance. If you are basing your program design on another program that has been demonstrated to be effective (e.g., the STOP AIDS model based on community mobilization, outreach, and small group meetings), then explain to 168

reviewers why you have chosen this model and what, if any, modifications you will need to make to tailor it to your target population.

169

MODULE SIX: SESSION 4

Developing the Project’s Logical Framework Analysis Session Objectives By the end of this session, participants will be able to i.

To introduce participants to the Proposal Writing planning tool called the LFA

i.

To enable participants have some practical experience by applying LFA structure to their live proposals

ii.

Describe the purposes, processes, and components of monitoring and evaluation within the context of proposal writing.

iii.

Develop measurable indicators for monitoring and evaluating progress toward objectives

iv.

Identify and select appropriate monitoring and evaluation activities and tools

v.

Design a monitoring and evaluation plan based on stated objectives, activities, and indicators for measuring progress.

Estimated Time: 120 Minutes

Preparations Required: 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide



Read and acquaint yourself with the content of the session as presented in the Trainer’s Note.

170

Methodology: Expository Presentation, Explanations and Practical Group Activity Materials Flipcharts, Markers, Presentation Equipment and accessories PROCESS Step 1: Introduction

10 Minutes

Make a brief recap of workshop activities so far in order to create a basis for introducing LFA at this point in the life of the workshop.

Step 2: Brainstorming

20 Minutes

Ask participants what they know about LFA. Record responses on flip chart.

Step 3: Mini-lecture

30 Minutes

Make an expository introduction of what LFA is all about to the participants including its uses, structure and content and what is logical about it Step 4: Group work

40 Minutes

Participants work in local or home groups and using the LFA Framework provided to attempt to apply LFA to one of their live proposals which they have been working on since the beginning of the workshop.

Step 5: Plenary presentations and discussion Step 6: Conclude by reviewing key learning points

FACILITATOR’S NOTES

171

The LFA is a way of describing a project in a logical way so that it is: • Well designed.

• Described objectively.

• Can be evaluated.

• Clearly structured.

In Results Based Management, the LFA is defined as a succinct tabular summary of a project or program showing its Results, Reach and Resources( 3Rs) as well as its performance indicators. Another key characteristic of an LFA is that it indicates what conditions and assumptions will enhance and or hinder the achievement of the three Rs. WHY USE LFA? LFA can be a useful tool, in the planning, monitoring and evaluation and management of development projects. It is not the only planning tool, and should not be considered an end in itself, but using it encourages the discipline of clear and specific thinking about what the project aims to do and how, and highlighting those aspects upon which success depends.

LFA also provides a handy summary to inform project staff, donors, beneficiaries and other stakeholders, which can be referred to throughout the lifecycle of the project. LFA should not be cast in stone. As the project circumstances change, it will probably need to reflect these changes but everyone involved will have to be kept informed.

What is so interesting about using LFA? Perhaps because we are very conscious of the complexity of development projects, we find it hard to believe that they can be reduced to one or two pages of an A4 paper. Remember that the log frame isn't intended to show every detail of the project, or to limit the scope of the project. It is simply a convenient, logical summary of the key factors of the project.

172

Facilitators should assure participants that though some of the terminology involved in LFA may seem rather intimidating, they should not be put off by the language.

Remember that the goal, purpose, outputs and activities are all objectives but at different levels of the project hierarchy. Different donors use slightly different terminology, but the logical frameworks are all the same in principle. They should take time to introduce participants to the various terminologies involved in developing the LFA.

WHAT IS LOGICAL FRAMEWORK ANALYSIS (LFA)?11 A log frame (also known as a Project Framework) is a tool for planning and managing development projects. It looks like a table (or framework) and aims to present information about the key components of a project in a clear, concise, logical and systematic way. The log frame model was developed in the United States and has since been adopted and adapted for use by many other donors, including the Department for International Development (DFID).

DFID describes the Logical Framework as "a tool to help designers of projects think logically about what the project is trying to achieve (the purpose), what things the project needs to do to bring that about (the outputs) and what needs to be done to produce these outputs (the activities). The purpose of the project from the DFID viewpoint is to serve our higher level objectives (the goal)".

A log frame summarizes, in a standard format: • What the project is going to achieve? • What activities will be carried out to achieve its outputs and purpose?

173

• What resources (inputs) are required?

• What are the potential problems which could affect the success of the project?

• How the progress and ultimate success of the project will be measured and verified?

SAMPLE EU-INSIDE LOGICAL FRAMEWORK FOR SMALL GRANTS PROJECTS Term

Intervention Logic

Objectively

Verifiable Sources and Means of Assumptions

Indicator

of Verification

Achievement Overall

What are the overall What

are

Objectives broader objectives to indicators

the

key What are the sources

related

to of information for these

which the action will the overall objectives? indicators? contribute?

Specific

What

specific Which

Objectives objective action

is

indicators What are the sources Which

factors

the clearly show that the of information that exist conditions

intended

and

outside

the

to objective of the action or can be collected? Beneficiary's responsibility

achieve to contribute has been achieved?

What are the methods are necessary to achieve

to

required

the

overall

objectives?

to

get

this that

information?

objective?

conditions) should

(external

Which

be

risks

taken

into

consideration?

Expected

The results are the

What are the indicators What are the sources

results

outputs envisaged to to measure whether

What external conditions

of information for these must be met to obtain the

achieve the specific

and to what extent the indicators?

expected results on

objective. What are

action achieves the

schedule?

the expected results? expected results? (enumerate them) Activities

What are the key

Means: What are the

What are the sources

What pre-conditions are

activities to be

means required to

of information about

required before the action

carried out and in

implement these

action progress? Costs starts? What conditions

what sequence in

activities, e. g.

What are the action

order to produce the personnel, equipment, costs? How are they

outside the Beneficiary's direct control have to be

expected results?

training, studies,

classified? (breakdown met for the implementation

(group the activities

supplies, operational

in the Budget for the

by result)

facilities, etc

Action)

174

of the planned activities?

A Logical Framework (DFID model) Taken from DFID’s “Guidelines on Humanitarian Assistance”, May 1997 NOTE: The two boxes in the centre of the "Activities" row are not used for Measurable Indicators and Means Of Verification as the progress and success of the Activities are measured at the Outputs level. Remember, the Activities are carried out to achieve the Outputs. These "spare" boxes can therefore be used to provide any useful additional information such as Inputs and Budgeting requirements.

MODULE SIX: SESSION 5 Developing the Project’s Monitoring and Evaluation Plan

Objectives: By the end of this session, participants will be able to 1. Describe the purposes, processes, and components of monitoring and evaluation within the context of proposal writing.

2. Develop measurable indicators for monitoring and evaluating progress toward objectives 3. Identify and select appropriate monitoring and evaluation activities and tools

175

4. Design a monitoring and evaluation plan based on stated objectives, activities, and indicators for measuring progress.

Estimated Time: 120 Minutes Method Explanations, Discussions and Group Activity Materials Flipchart, Markers, PowerPoint presentation equipment and accessories Preparations Required: 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide



Read and acquaint yourself with the content of the session as presented in the Trainer’s Note.

PROCESS Step 1: Introduction

10 Minutes

Call participants’ attention to last session and remind them of the logical structure of proposal writing earlier presented during the life of the workshop to draw a link of the topic with workshop proceedings so far.

Step 2: Buzz session

15 Minutes

Ask participants to discuss in buzz group why a Monitoring and Evaluation plan is important in the body of a proposal document. Take their responses and discuss as necessary.

Step 3: Mini-lecture

30 Minutes

176

Make an expository PowerPoint presentation of basic information required to develop a good monitoring and evaluation plan for a proposal document. Field some questions on your presentation

Step 3: Group Work

30 Minutes

Working in local real life proposal groups, ask participants to do the following: a. Select between three and five of the objectives of your live proposal b. Develop indicators for the selected objectives c. Develop a monitoring and evaluation plan for the selected objectives within the context of the whole proposal. Plan must show clearly the tools to be used.

Step 4: Plenary/ Group presentations

30 Minutes

Facilitator to receive Group Reports and facilitate discussions around the relevant issues.

Step 5: Conclusion

5 Minutes

Facilitator may sample participants’ experience in doing the task they have just reported.

FACILITATOR’S NOTES Why is M & E is an important component in the proposal writing process? 

It gives donors the impression that we are ready to be transparent.

177



It makes it clear that we know what we are doing and that we are not afraid to be checked.



Serves as a measure to check success or failure of project.



Shows the indicators to be used to check program activities.

What do we monitor and evaluate?

In most cases, it is activities that are monitored, while objectives vis-à-vis outcomes are evaluated. This however is not a rule it all depends on the dimension of M&E activity itself. A proposal with a good M&E design assures both donor and stakeholders alike that they will have evidence of how well resources meant for the project are been utilized and the results been achieved.

Results Chain Monitoring and Evaluation This describes a logically linked set of results defined in terms of time: so some can be immediate, others distant. All Results at each stage however, aggregate to produce the results at the next higher level called the results chain which include: Impact The higher-order objective to which a development intervention is intended to contribute.

Outcome The likely or achieved short-term and medium-term effects of an intervention’s outputs. They are End of project results which are the consequence of the achievements of a set of outputs Output The products, capital goods and services which result from a development intervention; may also include changes resulting from the intervention which are relevant to the achievement of outcomes.

Activity Actions taken or work performed through which inputs, such as funds, technical assistance and other types of resources are mobilized to produce specific outputs.

178

Inputs The financial, human, and material resources used for the development intervention.

Through indicators established on each of these steps one can assess whether the desired changes are actually occurring and to what extent. Identifying aspects that appear to work well and those that do not, provides important information to be used to manage the change process and to maximize the benefits for targeted populations.

Monitoring as a Concept Monitoring refers to the review or appraisal of project activities with a view to ascertaining whether or not they are being implemented as planned. It is a continuous function that tells programme managers the progress and difficulties encountered in the implementation of the project. Monitoring entails the collection and analysis of data on the implementation activities.

Monitoring involves operational assessment of projects through: 

Measurement



Recording



Collection



Processing and



Communication of information to assist project management decision making

The purpose of monitoring is to look back and ascertain the extent to which the implementation of the project activities has achieved the project objectives. It seeks to explain unexpected results (positive and negative) that were identified during monitoring, and generally to document lessons learnt so that issues of sustainability, reliability and cost effectiveness can be taken care of. Monitoring determines whether the work is on schedule; enables project managers to see whether the budget is being followed as well as helps to determine whether adequate progress is being made on the work plan.

Evaluation as a Concept 179

This is the process of assessing the achievements of the projects AFTER implementation (or) in the case of projects spanning a long period, after implementation of parts of the project. The evaluation of a single project, spanning a short period is usually done at the end. Projects spanning a long period are evaluated mid-term as well as at the end. Evaluation could occur at any stage of project but largely at the end (ex-post or post mortem).

Too frequently, proposals don't explain how the project will be evaluated. At best, they mention some vague process, such as holding a discussion meeting or assigning the evaluation to an expert, with no specifics on how the evaluation will be conducted or what will be learned from the evaluation.

Key Questions to Answer: As you write the Monitoring and evaluation section, let it answer these questions. Does your monitoring and evaluation section 1. Describe why monitoring and evaluation is needed in the project?

2. Provide a definition of what is meant by monitoring and evaluation?

3. Clearly identify the purpose of your monitoring and evaluation and the audiences to be served by its results?

4. Demonstrate that an appropriate monitoring and evaluation procedure is included for every project objective?

5. Provide a general organizational plan or model for your evaluation?

6. Demonstrate that the scope of the evaluation is appropriate to the project?

Demonstrate the extent to which the project is practical, relevant, and generalizable?

7. Describe what information will be needed to complete the evaluation, the potential sources for this information, and the instruments that will be used for its collection?

8. Clearly summarize any reports to be provided to the funding source based on the monitoring and evaluation, and generally describe their content and timing?

The Monitoring and Evaluation Plan

180

The Monitoring and Evaluation Work Plan is a flexible guide to the steps you can use to document project activities, answer evaluation questions, and show progress toward project goals and objectives. As a guide, the M&E Work Plan explains the goals and objectives of the overall plan as well as the evaluation questions, methodologies, implementation plan, matrix of expected results, proposed timeline, and M&E instruments for gathering data.

To ensure that M&E activities produce useful results, it is essential that you incorporate M&E in the program design stage. Planning an intervention and designing an M&E strategy are inseparable activities. To ensure the relevance and sustainability of M&E activities, project designers must collaborate with stakeholders and donors to develop an integrated and comprehensive M&E plan.

Projects at all levels, whether single interventions or multiple integrated projects, should have an M&E plan in place to assess the project’s progress toward achieving its goals and objectives and to inform key stakeholders and program designers about M&E results. Such plans will guide the design of monitoring and evaluation, highlight what information remains to be collected and how best to collect it, and suggest how to use the results to achieve greater effectiveness and efficiency.

Comprehensive M&E plans should describe the overall goals and objectives of the country program (i.e., they should be site-specific); the specific M&E questions, methods, and designs to be used; what data will be collected and how; the required resources; who will implement the various components of the M&E work plan; and the timeline of the M&E plan.

How to Monitor and Evaluate: M&E is essentially a four-step process. As we will see, if the objectives and methodology sections of your proposal are precise, you are well on your way to completing the evaluation protocol.

181

1. Identify precisely what will be monitored and evaluated. If you wrote measurable objectives, you already know what to evaluate.

2. Determine the methods you will use to monitor and evaluate each objective.

More precisely, you will need to describe the information you will need and how you propose to collect it.

3. Complete your M&E design. Specify the analyses you plan to make and then carry out your evaluation by collecting and interpreting the data needed for each objective. Your evaluation design may be simply to observe the behavior of a particular population or something more complex like a rigorous experimental and multiple control group design.

4. Summarize the resulting data analyses and indicate its use. Consider including mock data tables that show what your resulting data might look like.

Note that of these four steps, the first two are completed as you write the objectives and methods sections of your proposal. In other words, you are half-done with the monitoring and evaluation section before you start it.

Writing Tips for Evaluation Section: Where possible, include a separate monitoring and evaluation component for each project objective. Strengthen your evaluation section by including examples of surveys, questionnaires, data collection instruments, data analysis forms, and other evaluation methodologies in order to demonstrate the credibility of your evaluation section. If you will use outside evaluators, identify costs, credentials, and experience.

Key Terminologies What are the major terms used in developing the M&E aspect of a fund-sourcing proposal?

These include the word evaluation, monitoring, indicators, results, input, output, outcome, impact, goal, objectives and others. A good M&E design in a proposal document is one who uses these terms in their correct context and concept to provide information on how a proposed project will be monitored and evaluated. It is 182

therefore very important for a project manager to have a good understanding of these terms.

There were discussions as per the concepts of each of the terms but

the group accepted the following as sufficient for their description of some M&E basic terms:12 Indicator : Signal that reveals progress (or lack thereof) towards objectives; means of measuring what actually happens against what has been planned in terms of quantity, quality and timeliness. An indicator is a quantitative or qualitative variable that provides a simple and reliable basis for assessing achievement, change or performance.

Developing a Project M&E Plan

1. Understand the rationale, key elements, and steps required in developing a Monitoring and Evaluation Work Plan The Monitoring and Evaluation Work Plan is a flexible guide to the steps used to document project activities, answer evaluation questions, and show progress toward project goals and objectives.

2. Apply program goals and objectives in developing a Monitoring and Evaluation Work Plan The first step in developing a Monitoring and Evaluation Work Plan requires writing a clear statement that identifies program goals and objectives and describes how the program expects to achieve them.

183

3. Develop and select (as appropriate) program monitoring and evaluation questions and indicators, and review the issues related to program evaluation, including selection of data collection methodologies Evaluation questions should be determined based on inputs from all stakeholders, including the program managers, donors, and members of the target population.

4. Determine monitoring and evaluation methods, including identification of outcome indicators, data source, and plans for data analysis Design methodology should include monitoring and evaluation (as appropriate), data collection methods, an analysis plan, and an overall timeline for the comprehensive plan.

5. Review Monitoring and Evaluation Work Plan implementation issues Who will carry out the work? How will existing data and past evaluation studies be used? Roles and responsibilities for each component of the work plan should be clearly detailed.

6. Identify internal and external monitoring and evaluation resources and capacity required for implementation of a monitoring and evaluation plan Identifying evaluation resources means identifying not just the funds for the evaluation, but also experienced personnel who can assist in planning and conducting the evaluation activities.

184

7. Develop and review a Monitoring and Evaluation Work Plan matrix and timeline The matrix provides a format for presenting the inputs, outputs, outcomes, and impacts—and their corresponding activities—for each program activity.

8. Understand monitoring and evaluation data flow

9. Develop and/or review and implement a monitoring and evaluation work plan for country/site program, taking into consideration donor and country/site (government) requirements The Monitoring and Evaluation Work Plan guides the process that will document project activities, answer evaluation questions, and identify progress toward goals and objectives. This guide will contain the objectives, evaluation questions, methodologies, implementation plan, and matrix of expected results, proposed timeline, and data collection instruments.

Key Elements of a Monitoring and Evaluation Work Plan

The scope of the monitoring and evaluation—Specifying program goals and developing a conceptual framework that integrates the inputs, activities, outputs, outcomes, and impact and establishes realistic expectations for what monitoring and evaluation can produce.

185

The methodological approach—this refers to determining monitoring and evaluation methods, including identification of outcome indicators, data source, and plans for data analysis.

The implementation plan—Delineating activities, roles, responsibilities, and a timetable for identified activities with realistic expectations of when data will be analyzed and results will be available.

A plan for disseminating and using the results—determining who will translate the results into terms understandable to program designers, managers, and decision-makers; how findings will be shared and used (e.g., written papers, oral presentations, program materials, community and stakeholder feedback sessions); and the implications for future monitoring and evaluation.

Seven Steps to Developing a Monitoring and Evaluation Work Plan If these elements have not already been developed, these steps may help to create a monitoring and evaluation plan.

1 Identify Program Goals and Objectives The first step requires writing a clear statement that identifies country (site) program goals and objectives (and sometimes sub-objectives) and describes how the program expects to achieve them. A program logical model or results framework can then be easily diagrammed to establish a monitoring and evaluation plan.

2. Determine Monitoring and Evaluation Questions, Indicators, and their Feasibility 186

In this step, monitoring and evaluation specialists and program managers identify the most important evaluation questions, which should link directly to the stated goals and objectives. Questions should come from all stakeholders, including the program managers, donors, and members of the target populations. The questions should address each group’s concerns, focusing on these areas: “What do we want to know at the end of this program?” and “What do we expect to change by the end of this program?”

Framing and prioritizing monitoring and evaluation questions is sometimes difficult, especially when resources, time, and expertise are limited and where multiple stakeholders are present. Monitoring and evaluation questions may require revision later in the plan development process.

3 Determine Monitoring and Evaluation Methodology—Monitoring the Process and Evaluating the Effects This step should include the monitoring and evaluation methods, data collection methods and tools, analysis plan, and an overall timeline. It is crucial to clearly spell out how data will be collected to answer the monitoring and evaluation questions.

The planning team determines the appropriate monitoring and evaluation methods, outcome measures or indicators, information needs, and the methods by which the data will be gathered and analyzed. A plan must be developed to collect and process data and to maintain an accessible data system.

The plan should address the following issues: What information needs to be monitored? How will the information be collected? How will it be recorded? How will it be reported to the central office? What tools (forms) will be needed? For issues that require more sophisticated data collection, what study design will be used? Will the 187

data be qualitative, quantitative, or a combination of the two? Which outcomes will be measured? How will the data be analyzed and disseminated?

4. Resolve Implementation Issues: Who Will Conduct Monitoring and Evaluation? How Will Existing Monitoring and Evaluation Results and Past Findings Be Used?

Once the data collection methods are established, it is important to clearly state who will be responsible for each activity. Program managers must decide: How are we really going to implement this plan? Who will report the process data and who will collect and analyze it? Who will oversee any quantitative data collection and who will be responsible for its analysis? Clearly, the success of the plan depends on the technical capacity of program staff to carry out monitoring and evaluation activities.

This invariably requires technical assistance.

It is important to identify existing data sources and other monitoring and evaluation activities, whether they have been done in the past, are ongoing, or have been sponsored by other donors. At this step, country office monitoring and evaluation specialists should determine whether other groups are planning similar evaluations and, if so, invite them to collaborate.

5 Identify Internal and External Monitoring and Evaluation Resources and Capacity Identifying monitoring and evaluation resources means identifying not just the funds for monitoring and evaluation, but also experienced personnel who can assist in planning and conducting monitoring and evaluation activities. It also means determining the program’s capacity to manage and link various databases and computer systems.

6 Develop the Monitoring and Evaluation Work Plan Matrix and Timeline 188

The matrix provides a format for presenting the inputs, outputs, outcomes, and impacts—and their corresponding activities—for each program objective. It summarizes the overall monitoring and evaluation plan by including a list of methods to be used in collecting the data. (An example of a matrix is presented in the End Notes Section of this Module in Session 4) The timeline shows when each activity in the Monitoring and Evaluation Work Plan will take place.

7 Develop Plan to Disseminate and Use Evaluation Findings The last step is planning how monitoring and evaluation results will be used, translated into program policy language, disseminated to relevant stakeholders and decision-makers, and used for ongoing program refinement. This step is not always performed, but it should be. It is extremely useful in ensuring that monitoring and evaluation findings inform program improvement and decision-making. A mechanism for providing feedback to program and evaluation planners should be built-in so that lessons learned can be applied to subsequent efforts.

This step often surfaces only when a complication at the end of the program prompts someone to ask, “How has monitoring and evaluation been implemented and how have the results been used to improve HIV prevention and care programs and policies?” If no plan was in place for disseminating monitoring and evaluation results, this question often cannot be answered because monitoring and evaluation specialists have forgotten the details or have moved on. The absence of a plan can undermine the usefulness of current monitoring and evaluation efforts and future activities. Inadequate dissemination might lead to duplicate monitoring and evaluation efforts because others are not aware of the earlier effort. It also reinforces the negative stereotype that monitoring and evaluation are not truly intended to improve programs. For these reasons, programs should include a plan for disseminating and using monitoring and evaluation results in their overall Monitoring and Evaluation Work Plan.

Further Reading 189

Core Module 3: Developing a Monitoring and Evaluation Work Plan Monitoring HIV/AIDS Programs: A Facilitator’s Training Guide, A USAID Resource for Prevention, Care and Treatment. September 2004 Family Health International.

MODULE SIX: SESSION 6 Developing the Project’s Budgeting, Packaging and Follow – Up

Objectives: By the end of this session, participants will be able to i.

describe the role of budgets in project proposals and during project start-up and monitoring activities

ii.

have good understanding of how to develop the budget aspect of a grant/funding proposal document

iii.

have practical experiences of how to estimate project costs and prepare a budget as part of a grant/funding proposal document.

Estimated Time: 120 Minutes

Method Buzz discussions, Interactive Explanations and Group Activity Materials Flipcharts, Markers, PowerPoint Presentation Equipment and accessories and Handout – a sample budget. (Please prepare ahead of time and make sure that

190

budget to be used is culled from an approved proposal a sample culled from a credible source, for instance, one suggested by a donor agency) Preparations Required: i.

Develop your power point or flip chart presentation

ii.

Write out the Group Work assignment on your flip paper or in a PPT slide

iii.

Read and acquaint yourself with the content of the session as presented in the Trainer’s Note.

PROCESS

Step 1: Introduction

15 Minutes

In buzz groups ask participants to discuss briefly their experiences with making and using budgeting either as individuals or as organisations. Facilitator debriefs and probes their submissions to help them bring out as much as possible, the basic elements of a budget and its use particularly in a proposal setting.

Step 2: Mini-lecture

20 Minutes

Make PowerPoint or flip chart presentations on basic information about budgeting in grant/funding proposals (see some guide information in the facilitator’s). Field questions on your presentations

Step 3: Group Activity

60 Minutes

In local working groups or any other suitable groups, ask participants to work on the following task:

191

Using the proposal document that is being developed in the course of this workshop, develop a budget for the proposals.

Step 4: Plenary Discussions.

20 Minutes

This should focus on helping participants to see what they did correctly and what they missed out as well as things they could improve upon. Facilitator should use the opportunity to add any further information that might help the budgeting skills of the participants.

Step 5: Conclude as appropriate

FACILITATOR’S NOTES What is a budget?

Whether it is a government institution or a CSO, the budget remains the most important economic policy instrument and should therefore reflect the institution’s priorities. All project or program interventions must eventually have to confront the need for financial resources and civil society groups can be more effective if they know about how the budget is drafted, approved, implemented and evaluated.

A Budget is defined as a financial plan for collecting and allocating resources for a definite period of time. A national budget often contains actual figures for a certain period of past fiscal years, as well as an estimate of the current and coming years.

Why use budgets?

The budget is the key policy instrument used by an institution whether government or private to ensure that things happen, and thus shows it’s true priorities. A government’s programs that fulfill its obligations that help realize socio-economic rights must be included in its budget, and it must account not only for the amount 192

budgeted, but also the amount actually spent. Budgets, therefore, are instruments that allow us to monitor how services are delivered and policies implemented.

Monitoring Budgets The monitoring of government budgets can lead to policy reform, establish a path for “transparent, effective and efficient” budgeting principles, and make it possible to provide concrete recommendations for program evaluation and improvement.

Information gleaned from budget analysis can be used to educate people about their rights, and help them access these rights. Advancement of human rights is a twoway stream. People in need of help must communicate their needs to those in power, and articulate sustainable solutions. And those in power need to know if their methods and programs are effective to ensure that a win-win situation is created.

Cost every item As you calculate estimated expenditures for each budget line item, don’t forget to account for anticipated future expenses such as increases in rent or salaries that may occur during the project period. Ensure inflationary trends are also reflected.

Keep copies of all the backup materials you used to come up with the figures contained in your budget, including cost estimates, notes, mathematical calculations, and adding machine tape. That way, if you have to make any changes in the budget, you will know how you came up with your original figures.

Have someone compare the budget against the Proposed Program to make sure that the numbers listed in each section are consistent with each other. For example, if you state in the Proposed Program section that you will hold six prevention workshops during the project period, make sure that the budget contains expenses for exactly six Packaging our proposals Packaging our proposal is equally as important as its content. A poorly packaged proposal is a reviewers’ disdain and may mar the chances of your organisation being 193

considered. Another critical issue is follow up on our submitted proposals. Details are found in the End Notes section.

Purpose of a Project Budget: A project budget is more than just a statement of proposed expenditures; it is an alternate way of expressing your project. Programs officers will look at your budget to see how well it fits your proposed activities. Incomplete budgets are examples of sloppy preparation. Inflated budgets are signals of waste. Budgets that are too low cast doubt on your planning ability. In essence, your budget is as much a credibility statement as your project narrative.

Key Questions your budget preparation must answer: As you prepare your budget, answer these questions. Does your budget s 1. Provide sufficient resources to carry out your project?

2. Include a budget narrative that justifies major budget categories?

3. Present the budget in the format desired by the sponsor?

4. Provide sufficient detail so the reviewer can understand how various budget items were calculated?

5. Separate direct costs from indirect costs and describe what is covered in the latter?

6. Relate budget items to project objectives?

7. Include any attachments or special appendices to justify unusual requests?

8. Identify evaluation and dissemination costs?

Allowable Budget Categories: Unless the sponsor’s guidelines dictate otherwise, you can include in your budget request such things as accounting, advertising, animals,

audiovisual

instruction,

auditing,

binding,

books,

computer

time,

consultants, dues, equipment, fringe benefits, indirect costs, instruments, insurance, legal

services,

maintenance,

periodicals,

postage,

publication,

recruitment,

registration fees, relocation, renovation, rent, repairs, salaries and wages, security, subcontracts, supplies, telephone, travel, and tuition.

194

Direct Costs. Those costs that are line items listed in the budget as explicit project expenditure are called direct costs. The direct costs are usually categorized into personnel (people) and non- personnel (things) components. Personnel costs include such items as salaries, wages, consultant fees, and fringe benefits. Nonpersonnel costs include such items as equipment, supplies, travel, and publication charges. Space and utilities may be reflected as direct costs or included as a part of your indirect cost rate.

Indirect Costs: Those costs that are not directly listed in the budget and yet are costs incurred in the project are called indirect costs. Indirect costs are real costs that are hard to pin down, such as payroll and accounting, library usage, space and equipment, and general project administration. Do you include in your proposal budget the costs associated with preparing payrolls or the time your boss spends talking with you about the project? While you could cost out those factors, and others, they become more difficult to quantify. At the same time, they are real project costs--someone has to write your payroll checks. Rather than calculating a strict cost accounting of these nebulous factors, many sponsors allow you to calculate a percentage of your direct costs and add it to your budget request.

Semantically, the government institutions use the term indirect costs to refer to these extra project operating costs. These costs are usually figured as a percentage of the grant, either of the total direct costs or the total project salaries and wages.

Organizations regularly receiving federal grants have an approved federal indirect cost rate that is included in the budgets of federal proposals. If you plan to submit federal proposals periodically but do not have a federal indirect cost rate, ask your federal program officer to refer you to the appropriate federal agency so you can negotiate a federal indirect cost rate for your organization.

Foundations and donor partners usually use the term administrative costs rather than indirect costs when referring to extra project operating costs, though the terms are interchangeable. Foundations vary considerably in their policies regarding the allowability of administrative costs. Some will pay administrative costs on grants, and their application guidelines specify the allowable percentage of total direct costs.

195

Others say explicitly in their application materials that they do not allow administrative costs.

In contrast to governments and foundations, corporations use the term overhead to mean administrative or indirect costs. As business professionals, they are accustomed to the concept of overhead and are apt to have a fairly high overhead rate. In most instances, corporate application materials do not specify a policy regarding the payment of overhead. You have three options for determining a reasonable overhead rate to include in your proposal. First, if they are a publicly held company, you may be able to determine their overhead rate by studying the latest annual report. Second, some corporate officials might be willing to tell you what their overhead rate is as a percentage of their total costs. Third, if you have no basis for calculating their corporate overhead, you can use your federally negotiated indirect cost rate since it is an audited figure. If none of these three options is acceptable, your fallback position is to include all costs as direct-cost items.

Cost Sharing: Those costs that your organization will contribute to the total project costs are called shared costs. You may contribute partial personnel costs, space, volunteer time, or other costs towards the total project expenses. Your cost sharing may be in the form of "hard" dollars (cash) or "soft" dollars (in-kind contributions). Inkind contributions do not require a cash outlay from your organization yet would cost real dollars if you had to pay for services rendered. Volunteer time is one example of in-kind cost sharing.

Cost sharing may be mandatory or voluntary. Mandatory cost sharing is often referred to as "matching funds;" it is required whereas voluntary cost sharing is optional. Your promise of cost sharing in a proposal budget may be a key factor in a sponsor's funding decision. 

Mandatory--as one of the eligibility requirements of the grant, the sponsor requires you to share a certain percent of the total project costs. For example, "Local organizations are required to provide a local match totaling 75 percent of the requested grant funds." In this case, if a sponsor provides $20,000, you must provide an additional $15,000 toward the total project cost of $35,000.

196



Voluntary--you offer cost sharing in your proposal as an incentive to get the grant award. For instance, a sponsor may indicate, "Consideration will be given to organizations with in-kind contributions." In response, you may offer 20 percent cost sharing of personnel time toward the total project cost of $150,000. This means the sponsor would contribute $125,000 and you would provide $25,000 of the total project costs. However, you can cost share too much: for some agencies, higher levels of cost sharing require more administrative monitoring on their part, something program officers may wish to avoid. Accordingly, check with your project officers to see if they have a "preferred level" of voluntary cost sharing.

Assuming you've decided to cost share on your proposed budget, the funds may come either from internal or external sources-or both. 

Internally--you may allocate a portion of your direct or indirect costs to your proposed project. These shared costs may take on the form of cash or in-kind contributions. Consider this internal cost sharing example: assume you decide to cost share 20 percent of the project director's salary towards your proposed project. This means that instead of your project director receiving 100 percent of her salary from your agency personnel budget, she will now receive 80 percent from that source and the remaining 20 percent from the cost sharing account on the grant; you merely reallocate a portion of her salary; her income remains the same; the source(s) of income are changed on the bookkeeping records.



Externally--you may allocate extramural dollars from other sources to the project. For instance: (a) you have a matching grant from another sponsor; (b) a wealthy philanthropist has given you unrestricted dollars that can be earmarked to this project; or, (c) revenue is generated from another fund raising activity, e.g., golf outing income, can be directed to this project. In each case, you can redirect dollars from those sources to help support the total costs of your proposed project, thereby showing your sponsor you are financially committed to supporting your proposal.

197

Writing Tips for Budget Section: Here are some tips for planning your budget.

Make sure your calculations are as clear as possible. Show the basis of your calculations. Fuzzy: travel = $324. Specific: local mileage for project director, 100 mi/mo @ .27/mi x 12 mo = $324. Indicate name, location, and date of travel.

Estimated office supplies (pens, pencils, paper clips, and so forth) at an average of $300/year per key person. List the components of your fringe benefit rate; indicate whether they include health, life, retirement, dental, and disability insurance, and other benefits. In multiyear budgets, allow for yearly increases; indicate annual percent increases. (Ask your program officer what percentage increases are currently being approved in multiyear budgets.) If the project is to occur in phases, identify the costs associated with each phase. Don't overlook budget support for such things as service or maintenance contracts, insurance, shipping, or installation.

If you anticipate training costs associated with the purchase of new equipment, include those costs in your budget as well. Include a budget narrative immediately following your budget to explain or justify any unusual expenditure items, even if one is not required by the sponsor.

Some sponsors expect you to continue funding your project after the grant expires. If you have a financing plan for future funding, briefly outline it. Other fund-raising options include membership fees, user charges, local organizations, other granting agencies, wealthy individuals, product sales, publications, service fees, direct mail, bequests, memorial gifts, phone-a-thons, and capital campaigns.

Another Suggestion on Budget The budget lists and justifies the costs of implementing the proposed project.

Although the proposal budget is usually not scored by reviewers, it may influence–for better or worse–their impressions of your proposal. In fact, the budget is the first section of the proposal that some reviewers look at because it provides important clues about the applicant agency and the proposed program. A carefully prepared budget that contains reasonable costs that are clearly related to the proposed project can enhance the impact of your proposal. Similarly, a budget that is sloppy, that 198

contains costs that have nothing to do with the proposed project or omits costs clearly required by the project, or that has costs that are too high or too low, may put off reviewers. Therefore, it is important to approach the budget as seriously as you would any other part of the proposal.

Remember, however, that a proposal budget is only an estimate and will probably be changed during the negotiation process if your proposal is funded.

The format of a budget depends on the requirements of the funding source and your organization’s own accounting practices. Generally speaking, governmental funding sources require the most information and frequently provide you with specific budget forms to complete. Private foundations usually have less detailed requirements but nevertheless appreciate a carefully prepared budget. Because there are many different ways of preparing a budget and no single “right� way, a sample budget is not presented here. Instead, we discuss steps that should be taken to prepare a thorough budget and offer general pointers on what funders look for when reviewing proposal budgets. We recognize that the person writing the proposal is not always the same as the person preparing the proposal budget. However, we offer detailed information on important aspects of budget preparation because the primary writer of the proposal should ensure that the budget adequately supports the proposed project.

Getting Ready to Do a Budget 1. Begin by reading the budget section in the funding announcement carefully and noting any special instructions. See whether the funder provides you with a specific budget format; if a specific format is required or recommended, follow it exactly, even if it is not the way your organization normally prepares budgets. Look carefully to see whether the funder has any restrictions on funding certain items or services. For example, some funders will not pay for capital costs (costs related to purchasing a long-lasting physical asset) such as construction costs or the purchase of office equipment. The federal government also has restrictions on paying for such things 199

as meals, beverages, and drug injection equipment. USCM, because of its focus on funding HIV prevention rather than the care and treatment of people infected with HIV, will not pay for medical, laboratory, or psychiatric services.

2. Go back and read the Proposed Program section of your proposal from beginning to end. As you read, make a list of all the staff who will be involved in implementing the project, whether they will be paid staff working full- or part-time on the project, consultants, or unpaid volunteers. Next to each staff position, write the percentage of time to be spent on each position (e.g., 100%, 15%). (You can also express this information as a decimal of a Full-time Employee or FTE–e.g., 0.75 FTE or 1.00 FTE). Finally, remember to include or make allowances for fringe benefits (e.g., health insurance, payroll taxes) for employees who will be receiving them. In some cases, fringe benefits can be quite high, say as high as 40 percent of an employee’s salary, which will affect how much your organization can afford to pay for each position. Fringe benefits may be itemized and charged at their actual cost or lumped together and charged as a percentage of salary.

3. Next, make a list of each activity and service mentioned in the Proposed Program section. Are there any specific costs attached to these? For example, if you plan to conduct prevention workshops, will you be serving any snacks or providing participants with stipends? If you’re planning to hold educational events featuring expert speakers, will you be paying the speakers a fee? If your project involves regular street outreach, will you have to purchase condoms, lube, bleach kits and other prevention supplies? How are you planning to promote your project? For example, will you be printing any promotional materials such as brochures? Will you be advertising in any local publications? Next to each activity, list its estimated cost based on past expenditures for similar items or estimates provided to you by vendors.

4. Then, make a list of all one-time or occasional expenses related to your project such as purchase of computers or other office equipment (if allowed by the funder), 200

staff travel to an annual HIV/AIDS conference, or staff training. Again, list the estimated cost based on past experience or by asking for estimates from vendors.

5. Next, make a list of all ongoing organizational expenses that are essential to the running of your project but that cannot be easily separated from a larger total and assigned to a specific project. These might include rent, telephone, utilities, postage, and equipment rental. There are basically two ways to list these expenses in a budget: as direct or indirect costs (see box entitled “What Are Direct and Indirect Costs?” for a more detailed explanation of the two). A cost may be either direct or indirect depending on how an organization decides to treat it. For example, one organization may treat office supplies as a direct cost and charge the actual cost of purchased supplies to a specific project; another may treat it as an indirect cost and charge a set percentage each month for office supplies. The decision of whether to treat a cost as direct or indirect depends on the likelihood that a funder will reimburse for those charges. Before you decide whether to make certain costs direct or indirect, find out what the funder’s definition is of direct and indirect costs and what is an allowable indirect rate.

This information may be included in the funding

announcement; if it isn’t, you should call the funder directly to clarify the matter.

6. Remember to list in-kind expenses–if you have any. In-kind expenses are nonmonetary donations to your project of such things as volunteer time, staff time, equipment, supplies, and office space. They can be donated by other programs within your organization or by outside sources. Generally speaking, key project activities should not be assigned to in-kind employees. Create a second column for in-kind expenses.

7.Come up with an initial total. If a funding announcement states an average or maximum grant amount for which you can apply, be careful not to exceed that amount or you may run the risk of having the proposal disqualified without even being read. In some cases, you may have to modify the work plan to keep the total cost of the project within the range of available funding. Be careful, however, not to

201

cut out too many key project activities or personnel in order to balance the budget or you may jeopardize the quality of the proposed project.

Sustainability. Some funders, particularly private foundations, are concerned about the long-term sustainability of your proposed project. In other words, they want to make sure that if they invest in your project, they are investing in something that will still be around a few years after. If you’re addressing this issue, describe how you plan to obtain additional funds to continue the project in the future.

PACKAGING YOUR PROPOSAL – HINTS ON ACCEPTABLE APPEARANCE

15

While you will obviously spend much time working on the content of your proposal, you should also pay attention to the appearance or design of your proposal. Just as clothing is important in the business world for establishing initial impressions, so, too, is the appearance of your proposal as it reaches the reviewer's hands. The proposal should "look" familiar to the reader. A familiar proposal is a friendly proposal. Look at the printed materials issued by the sponsor. Note their use of type size and style, white space, and headings. Structure your proposals to match the private foundation's publication preferences; when appropriate, use the same type size, style, layout, and headings as they do in their publications. Your proposal will look more credible when you consider these factors.

As you learn about your audience and consider proposal appearance, try to anticipate which reading styles the reviewers are likely to use: skim reading, search reading, or critical reading. Recall that your earlier prospect research from a past reviewer or program officer identified the likely manner in which your proposal would be reviewed. Reviewers skim proposals when they have many pages to read in a very short time. Reviewers search proposals when they are following an evaluation sheet that assigns points to specific proposal sections. Reviewers always critically read proposals, especially when the reading occurs in the time luxury of a mail review. The following writing and editing tips are particularly appropriate for all three reading styles.

202

Before You Send the Proposal: A Checklist .Follow funders’ instructions exactly: Make sure your proposal follows all instructions related to the organization and formatting of the proposal such as section titles, margin width, type size, page limitations, page order and numbering, and the inclusion of a table of contents and abstract page. Following directions is even more important in matters of content, such as limitations on grant amounts, restrictions on specific kinds of activities or expenditures, and all criteria that determine eligibility. .Pay attention to proposal deadline: Check whether the deadline is for the postmark date or date for receiving the proposal. Whichever the case, send the proposal by a carrier or service that will absolutely guarantee that the deadline will be met. (If the proposal must be received by a certain date, sending it by regular mail is rarely a good idea; no matter how early you send it, there can always be delays.)

Check the address you are mailing to very carefully; a wrong number in a zip code or street number can delay the proposal and cause you to miss the deadline. .Make time to edit the proposal: Sloppy, poorly written proposals are unlikely to succeed. Typos, misspellings, grammatical errors, unclear sentences, and sections that have been copied from other documents and inserted into your proposal without being properly integrated into it give the impression that the proposal was rushed or, worse, that the applicant organization is not very professional. For some reviewers such mistakes can create a bad first impression that may be hard to overcome. (You are trying, after all, to inspire confidence in your abilities.)

They can also make the proposal so frustrating to read that reviewers miss important information or lose interest in the substance of the proposal. Someone other than the main writer of the proposal should read the proposal from beginning to end to check for errors and clarity of meaning. (Note: running Spell-check on your computer is not enough; a reference to a “peace of paper� may not be flagged by the program, but reviewers will certainly notice the error.)

203

Make sure all sections of the proposal are consistent with each other.

Often different people prepare different sections of a proposal and due to time constraints no one checks each section to make sure that it agrees with the other sections. Or last-minute changes are made to one section without adjusting related sections to reflect those changes. For example, if you originally propose in the Program narrative to hold a series of eight workshops and later decide to scale back to only six, you should go back and change the original number wherever it appears in the work plan (e.g., budget, timetable, evaluation plan). This may be hard to do at the last minute, but such inconsistencies will count against your proposal. Again, asking someone other than the main writer of the proposal read it from beginning to end to make sure that all parts are consistent with each other should help you avoid this common pitfall. .

Check the appendix to make sure it includes all required attachments. Often funders require certain attachments such as audit statements or evidence of your organization’s 501Š3 (tax exempt) status that, if left out, may disqualify your proposal.

Follow-up, Communications, Responding to Queries, Reviewing, Rating and Revising Write, Modify, Resubmit Few proposals are successful the first time around. If your proposed project is rejected by a funder, try again. Try with a different funder and if possible, resubmit the proposal to the original grant maker. Before you resubmit an idea, it is wise to incorporate any feedback you received on your rejected proposal. Remember, when resubmitting a proposal it is necessary to redraft the proposal document to reflect the new CFP (in terms of organization, components, budget requirements, etc.). Do not

204

simply photocopy your old proposal for the new submission and do not submit proposals that do not fully fulfill the current CFP. What happens to my proposal after it reaches the grant-maker?

In some foundations, the staff screen out proposals that are ineligible or poorly planned or simply not within the organization's current focus. Staff then research the remaining proposals and write recommendations for the board. The research may include meeting with the applicants. Recommendations may go to the board with or without the original proposals. The board makes the final decisions.

In other foundations, staff members make decisions on smaller requests. In still other foundations, the board sees every proposal unscreened by staff.

Grant-makers with no paid staff typically do not have the resources to do a thorough review of each applicant. They therefore tend to fund projects and proposals that are already familiar to their boards, perhaps through personal involvement or because an applicant has been recommended by someone they know and trust.

Following up the Proposal There are two kinds of follow-up related to the writing of funding proposals. Firstly there is the .what’s happening? kind of follow-up, when you have submitted a proposal and waited some time for a response. Secondly, if you are fortunate enough to be successful in your application, there is the follow-up that helps to build strong and supportive ties between project/organisation and donor.

So, you have done a proposal that meets all the donor criteria, you have submitted it in good time. You might get a quick response. You might not. Time drags on and you are not sure where your stand.

To follow up you could do either of these:

205

By telephoning the donor representative to ask how your application is doing, and by when you should expect a response; or Following up in writing to ask how your application is doing, and by when you should expect a response. Such follow-ups should be: Politely worded and pleasant; Persuasive rather than aggressive.

Remember that the donor does not owe you anything. You may hope that donor representatives will be helpful and treat you with respect, but there is no guarantee.

Nevertheless, you cannot afford to get a reputation for being demanding or for treating donor grants as your right. Such a reputation travels quickly in donor circles and may make future applications less likely to be successful. You do not want to alienate the donor community.

Even if the answer is ‘no’ at the end of the process, this does not mean that you have reached the end of your relationship with the donor. There are often good reasons for a ‘no’ answer and you are entitled to ask for a reason for rejection, if one is not offered. Some possible reasons for refusal include:

The donor’s criteria for giving grants are not met by your proposal; The proposal is not seen as being in a priority area for the donor (geographical or issue priority); The proposal does not, for some reason, impress the representative who did the initial screening; The donor does not have sufficient funds available at this time to support the proposal.

The more you know about the reasons for refusal, the less likely you are to make the same mistake the next time. Remember to do your homework. Sending an inappropriate proposal is a waste of everyone’s time.

206

What should I do if my proposal is rejected?

The letter giving you the unhappy news will probably be a form letter. But if you wish and the funder has staff, you may phone and ask, "Can you tell me anything that will help us another time?" Perhaps they liked your proposal but just ran out of money; perhaps there was some tiny point of confusion that could be resolved easily. But don’t make such a call if you are feeling angry or combative. You are trying to get information, not argue a case in court.

If you are rejected, but after an objective review of the funder’s guidelines you still believe there is a match, apply again in about a year. Many applicants are only successful on the second or third try.

What should I do if my proposal is funded?

If your proposal is funded, you may receive the check with a cover letter. Or you may get a full-blown contract stipulating, among other things, that you must submit a report when the project is done.

In all cases, write immediately to acknowledge the gift. If you sign a contract, be sure to read it first and note when and what kinds of reports are due. Then turn the report in on time. If you realize you can’t do so, send a note or call to say it will be late.

Before preparing a report for a funder, check to see if the funder has specific reporting forms and guidelines otherwise you can use a generic reporting template.

Report Form provides a standardized format for a nonprofit grantee to use in reporting to different grant makers about work it has accomplished with their grants, reducing the amount of time the grantee must spend rearranging basic information to fit funders’ varying reporting requirements.

207

MODULE SEVEN INTRODUCTION TO MONITORING AND EVALUATION

Aim This module is intended to build the Monitoring and Evaluation capacity of NSAs to actively engage in the process of designing and implementing programs, analyzing and using data and engender improvement in program delivery and outcomes.

Structure of Module Session 1: Definition of Concepts Session 2: Developing Monitoring and Evaluation Systems Session 3: Processes of Indicator Selection Session 4: Tools for Data Collection, Collation, Analysis and Reporting Session 5: The Importance of Results Based Management (RBM) in Development Session 6: Data Quality Assurance (DQA)

208

MODULE SEVEN: SESSION 1 Definition of Concepts Session Objectives: At the end of session participants should be able to : 

Define what Monitoring and Evaluation are



Define the concepts of Data Collection, Collation and Analysis



Define what constitutes the elements of an M&E System



State the importance of M&E to project management

Estimated Time: 90 Minutes

Methodology: Power point or Flip chart presentation, Brainstorming and Group work Session Content: 1.

2.

3.

4.

What is Monitoring and Evaluation?

Concepts of Data Collection, Collation and Analysis Elements of an M&E System Importance of M&E in project management

Time: 90 Minutes Materials: Markers, Flip charts

Preparations Required 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide 209



Read and acquaint yourself with the content of the session as presented in the Trainer’s Note below

PROCESS Step 1: Introduction

20 Minutes

The Power of Measuring Results If you do not measure results, you cannot tell success from failure If you cannot see success, you cannot reward it If you cannot reward success, you are probably rewarding failure If you cannot see success, you cannot learn from it If you cannot recognize failure, you cannot correct it If you can demonstrate results, you can win public support

Source: Kusek & Rist, Ten Step Results-Based Monitoring and Evaluation System

Facilitator reads the above quotation and asks participants to state what they think about it. Let them share their practical experiences on any M&E activity they have been involved in or which they have seen happened which justifies this statement either positively or negatively. Trainer can share his/her experience if s/he has. Note the successes and challenges of each story. They will be useful in the course of the presentation.

Step 2. Mini-lecture

20 Minutes

The trainer can now make the prepared power point or flip chart presentation already prepared 210

Step 3: Group Work

30 Minutes

In small groups or using the buzz method, ask participants to: 

share what methods they have used in conducting M&E activities for their organisations



what challenges have they faced?



how have they responded to these challenges?

Ask groups to report back and display their answers on the wall.and request that a representative from each group reads the group’s responses to other participants.

Step 4: Review and discussion

25 Minutes

In plenary, discuss common features and differences revealed in the group responses. Note particularly how many of the groups identified Proposal writing as a major means of fund raising. The trainer may use these questions to conduct the review: 1. What are the challenges we face in conducting M&E activities for our organisations?

2. What are our skills and resources for addressing these problems?

3. What can we do to reduce these challenges and be prepared for any of these problems?

Step 5: Conclusion

5 Minutes

Facilitator concludes by stating the necessity of M&E in project or programme management.

211

FACILITATOR’S NOTES Monitoring involves operational assessment of projects through: 

Measurement



Recording



Collection



Processing and



Communication of information to assist project management decision making

NSAs benefiting from the EU-INSIDE grants must be able to adopt monitoring and evaluation terminology and plans that emphasizes the distinction between: 1) program-based and population-based results; 2) short/medium- and long-term population-based results; and, 3) program monitoring and impact assessment.

Definition of Concepts For most organisations, M&E systems have been developed to respond to the requirements of external donors/funders. This may explain why most organisations have weak internal organizational M&E systems.

Within governments and organisations, Monitoring and Evaluation Capacity Development (MECD) helps build sound governance, -improving transparency, and building a performance culture to support better management and policymaking, and to strengthen accountability relationships—through support for the creation or strengthening of national/sectoral monitoring and evaluation systems.

212

It is important to note from the onset that those directly concerned – local decisionmakers and affected groups – have the most to gain from monitoring and evaluation, and should be centrally involved. By participating, they will know better what to do to achieve their objectives. Participatory approaches are important, and strategies need to make special efforts to involve affected communities

In generating learning with maximum practical application for supporting the work of their organisations and partners, it is important for EU-INSIDE organisational support programmes (OSPs) to distinguish clearly between different types and levels of monitoring and evaluation which have different purposes and different resource implications. They need to make choices about the level of effort it is appropriate to devote to monitoring or evaluation.

NSAs benefiting from the EU-INSIDE grants must be able to adopt monitoring and evaluation terminology and plans that emphasizes the distinction between: 1) program-based and population-based results; 2) short/medium- and long-term population-based results; and, 3) program monitoring and impact assessment.

Definition of Terms A good starting point is for participants to understand that Monitoring and Evaluation are two distinct, but interrelated concepts and set of activities.

Monitoring is an assessment process that tracks inputs to ensure that they reach the pre-determined destination (i.e. the target population) and assesses progress of 213

implementation (output) against plans and target for timely management decisions. It assesses the process of transforming inputs into outputs and uptake of services by project actors. Hence, it is an integral part and routine activity of project implementers. This implies that monitoring must be integrated within the project management structure.

Monitoring can also be defined as the review or appraisal of project activities with a view to ascertaining whether or not they are being implemented as planned. It is a continuous function that tells programme managers the progress and difficulties encountered in the implementation of the project. Monitoring entails the collection and analysis of data on the implementation activities.

Monitoring involves operational assessment of projects through: 

Measurement



Recording



Collection



Processing and



Communication of information to assist project management decision making

The purpose of monitoring is to look back and ascertain the extent to which the implementation of the project activities has achieved the project objectives. Seek to explain unexpected results (positive and negative) that were identified during monitoring, and generally to document lessons learnt so that issues of sustainability, reliability and cost effectiveness can be taken care of. Determine whether the work is on schedule; enables project managers to see whether the budget is being followed as well as helps to determine whether adequate progress is being made on the work plan.

Evaluation:

214

An evaluation is the periodic assessment of project performance (outcomes) and effects (impact). It's the review of the relevance and efficiency of the project in view of the stated objectives and aims. The process is informed by monitoring data; as project evaluation uses output targets to measure performance. Monitoring and evaluation therefore, inform each other, hence, a common twin-term in planning and management. Thus, the benefiting NSAs of the EU-INSIDE projects are expected to have their strategic frameworks with in-built M & E systems that respond to and showcase progress towards the achievement of the programmes three key results.

Evaluation can also be defined as an analysis of the relevance, effectiveness and efficiency of a multi-sectoral team’s program or project interventions and response strategies. Evaluation systematically assesses the protection impact of the policies, programmes, practices, partnerships and procedures on refugee women, men, boys and girls. Evaluation criteria can include the sustainability of programmes and response activities, co-ordination and consistency, and the effectiveness of monitoring and reporting systems.26

Monitoring and evaluation are different but complementary functions that mutually reinforce one another. Monitoring is a continuing function that uses the systematic collection of data on specified indicators to provide management and the main stakeholders of an ongoing development intervention with indications of the extent of progress and achievement of objectives and progress in the use of allocated funds.

Evaluation is the systematic and objective assessment of an on-going or completed project, programme or policy, its design, implementation and results, with the aim to determine the relevance and fulfillment of objectives, development efficiency, effectiveness, impact and sustainability

215

In results-based management use is made of a results chain which shows how activities, through a number of intermediate causal links, are expected to result in the realisation of the goals that projects, programmes and policies. Training of farmers in improved agricultural techniques can lead to changes in agricultural practices which can improve their yields, which in turn can enhance incomes and household livelihoods. Training of extension workers and building the capacity of their agency can be another important means to reach this goal.

PURPOSE OF MONITORING AND EVALUATION

Carrying out effective monitoring and evaluation of a project enables an organisation to: 1. Account for what has been accomplished through the project funding by all the stakeholders 2. Promote learning about which intervention strategies work in the communities and which don’t.

3. Provide feedback to inform decision-making at all levels: community, partner organizations, local government, state or federal government and other agencies.

4. Contribute to the body of knowledge about development issues.

5. Assess the cost-effectiveness of different intervention strategies 6. Position high quality project designs for future funding opportunities.

7. Increase

the

effectiveness

of

community

centred

project

design,

implementation and programme management.

8. Contribute to policy development around development issues that centre on people’s definition of development that will enhance sustainability.

216

Various Levels at which M&E can be practised in Development Programming

M&E challenges need to be tackled on multiple levels. There has been a move away from single stand-alone projects towards programmatic and sector wide approaches.

In M&E, this has resulted in the development of programmatic and sector wide frameworks.

Various development agencies, in response to mounting requirements for accountability, have been developing M&E systems to show results obtained, especially on the organisational level of the country office. For an overview of the various levels on which M&E can be applied see box 5 below.

With the increase of partnerships formed to reach development goals, there is a need for M&E systems that cover these wider partnership efforts, rather than the efforts of each of the agencies involved. Moreover there is the challenge that the MDGs actually ask for results-based M&E systems beyond the country level, which requires harmonization and coordination across national systems and the systems of UN agencies, multilateral and bilateral donors, civil society and others concerned.

Multiple Levels on which M&E can be applied Project level: looking at a relatively short term focused endeavour often by one donor organisation in cooperation with partner agencies Programme level: a longer term endeavour, of one or more donor agencies in cooperation with multiple partner agencies Sector level: looking at a sector wide longer term programmatic approach with the involvement of multiple donors and sector specific partner agencies Organisational level: the whole of programmatic efforts of a single donor organisation, in cooperation with other donors and partner agencies National Country level: the effects of all programming of international donors and national efforts (ODA and non ODA) on development and poverty alleviation

217

Regional level: looking at the effects of specific region wide interventions and policies and the summative information of nation based statistics in order to compare regional development trends and patterns Global level: looking at the effects of specific global interventions and policies and the summative information of nation based statistics in order to identify global development trends and patterns27

A Result A result is a describable or measurable change arising from a cause and effect relationship.

The major elements to remember: 1. The notion of CHANGE, which defines a visible transformation in the target group or area 2. The notion of CUASALITY, which denotes the relationship between an action and results achieved there from like objectives, results derivable from them must be S. M. A. R. T principle.

A statement of result should illustrate the type and level of human transformation which occurred from the project’s or program’s intervention. Such could be: 

An improvement (in the governance structures, or health conditions)



An increase (of revenues of a targeted group or community)



A reduction (in infant mortality rate)



A strengthening (of the capacities of local NGOs)



A transformation in the attitudes, practices or behaviour of a given group

Indicator An indicator is a ‘pointer’ that helps us to measure progress towards achieving stated results. There are two types of indicators: Quantitative and Qualitative indicators 218

STEPS IN MONITORING AND EVALUATION: 1. Define programme objectives - Formulate the results and impacts expected from the program 2. Identify components to monitor and evaluate o

Based on a framework that describes how the program works, identify the components that will be monitored and/or evaluated

o

Evaluation should take place when the results from monitoring show that it is beginning to effect change.

3. Identify indicators o

Build consensus around selected indicator(s) so that everyone collects the same information

o o

Select the most relevant indicators Choose a reasonable number of indicators,

4. Identify data sources o

is there existing data?

o

Where can the necessary information be found?

5. Develop a M&E Plan o

prepare a planning document for monitoring and evaluation that will describe all the activities to be conducted to monitor and evaluate the program - establish a calendar for data collection: what data will be collected, when, where and by whom - implement the M&E

6. Disseminate and use the data o

prepare the M and E report

o

share the results at each level in order to make decisions to improve the performance, results and impact of the projects and programmes

219

MODULE SEVEN SESSION 2 Developing Monitoring and Evaluation Systems Objectives: At the end of this session participants should be able to: 1. Define what a Monitoring and Evaluation system is 2. Determine the steps for developing M&E systems 3. Define what constitutes the elements of an M&E System

Estimated Time: 90 Minutes

Methodology: Power point or Flip chart presentation, Brainstorming and Group work Session Content: 1. What is a Monitoring and Evaluation System?

2. Elements of an M&E System 3. Steps for developing organisational M&E systems Time: 90 Minutes Materials: Markers, Flip charts Preparations Required 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide



Read and acquaint yourself with the content of the session as presented in the Facilitator’s Note below

220

PROCESS Step 1: Introduction

10 minutes

Start by asking participants to define what they understand to be a monitoring and evaluation system. Note specifically what the participants understand about the word system. Note responses and flip on charts Step 2: Mini-lecture

20 Minutes

The trainer can now make the prepared power point or flip chart presentation already prepared. (See facilitator’s notes for resource) Step 3: Group Work

30 Minutes

In small groups or using the buzz method, ask participants to: 

share the steps for developing organisational M&E systems



State what they will do, who will be involved and what resources will be required to develop their organisational M&E systems



what challenges will they face?



how have they responded to these challenges?

Ask groups to report back and display their answers on the walls. Request that a representative from each group reads the group’s responses to other participants.

Step 4: Review and discussion: In plenary, discuss common features and differences revealed in the group responses. Note particularly how many of the groups have clear n of what it takes to develop organisational M&E Systems Step 5: Conclusion

221

Facilitator concludes by stating the necessity of developing organisational M&E systems and its use and application in project or programme management.

FACILITATOR’S NOTE A M&E system is constructed and developed as a process that combines the functions of establishing the methodology for measuring and evaluating strategies being used to achieve sustainability, monitoring the implementation of the strategy; evaluating results and reporting and disseminating results achieved by making them a core part of the overall strategy of the management system. Very few countries, and especially developing countries, have formal monitoring and auditing capacities and procedures in place for strategic planning frameworks. However, in most, several government agencies and significant NGOs and business associations this is a given.

Many principles for developing M&E systems exist such as “The Bellagio principles for assessing progress towards sustainable development” These principles deal with four aspects of assessing progress towards sustainable development, (See details in Session End Notes) which include: ■ measuring and analysing sustainability; ■ monitoring implementation of the strategy; ■ evaluating the results of the strategy; ■ reporting and dissemination of the above findings An organisation’s monitoring and evaluation system is made up of the following monitoring instruments:        

Log frame: Data Capturing Forms/Systems: Input, Output and Impact Indicators: Reporting Formats: Dissemination of Reports and Evaluations: Processes for Conducting Surveys: Geographic Information System (GIS) Beneficiary Assessments, Audience reviews and evaluations 222

Over time, the objectives and goals, monitoring techniques and data available may change, as well as many other aspects of the process. When these changes occur, the plan should be updated to reflect the most current concerns.

A Monitoring and Evaluation System A M&E system is constructed and developed as a process that combines the functions of establishing the methodology for measuring and evaluating strategies being used to achieve sustainability, monitoring the implementation of the strategy; evaluating results and reporting and disseminating results achieved by making them a core part of the overall strategy management system. Very few countries, and especially developing countries, have formal monitoring and auditing capacities and procedures in place for strategic planning frameworks. However, in most, several government agencies and significant NGOs and business associations this is a given.

Data quality also needs to be assured; principles for this include: ■ Integrity and objectivity in the collection, compilation and dissemination of statistics; ■Methodological soundness (eg following international standards, guidelines and agreed practices); ■ Accuracy and reliability; ■ Serviceability (timeliness, consistency and policy relevance); ■ Accessibility (including assistance to users)

Who should undertake monitoring and evaluation?

223

Internally Driven Monitoring (Conducted By Local Strategy Stakeholders) Those directly concerned – local decision-makers and affected groups – have the most to gain from monitoring and evaluation, and should be centrally involved. By participating, they will know better what to do to achieve their objectives.

Participatory approaches are important, and strategies need to make special efforts to involve affected communities.

The

Bellagio

development

principles

for

assessing

progress

towards

sustainable

28

In November 1996, an international group of measurement practitioners and researchers from five continents came together at the Rockefeller Foundation’s Study and Conference Centre in Bellagio, Italy, to review progress to date and to synthesize insights from practical ongoing efforts. The following principles resulted and were unanimously endorsed. These principles deal with four aspects of assessing progress towards sustainable development.

Principle 1 deals with the starting point of any assessment – establishing a vision of sustainable development and clear goals that provide a practical definition of that vision in terms that are meaningful for the decision-making unit in question.

Principles 2–5 deal with the content of any assessment and the need to merge a sense of the overall system with a practical focus on current priority issues.

Principles 6–8 deal with key issues of the process of assessment, while Principles 9 and 10 deal with the necessity for establishing a continuing capacity for assessment.

Assessment of progress towards sustainable development should consider the following aspects: 224

1 Guiding vision and goals ■ be guided by a clear vision of sustainable development and goals that define that vision.

2 Holistic perspectives ■ include review of the whole system as well as its parts; ■ consider the well-being of social, ecological and economic sub-systems, their state as well as the direction and rate of change of that state, of their component parts, and the interaction between parts; ■ consider both positive and negative consequences of human activity, in a way that reflects the costs and benefits for human and ecological systems, in monetary and non-monetary terms.

3 Essential elements ■ consider equity and disparity within the current population and between present and future generations, dealing with such concerns as resource use, over-consumption and poverty, human rights, and access to services, as appropriate; ■ consider the ecological conditions on which life depends; ■ consider economic development and other, non-market activities that contribute to human/social wellbeing.

225

4 Adequate scopes ■ adopt a time horizon long enough to capture both human and ecosystem timescales – thus responding to needs of future generations as well as those current to short-term decision-making; ■ define the space of study large enough to include not only local but also long distance impacts on people and ecosystems; ■ build on historic and current conditions to anticipate future conditions – where we want to go, where we could go.

5 Practical focus – Be based on: ■ an explicit set of categories or an organizing framework that links vision and goals to indicators and assessment criteria; ■ a limited number of key issues for analysis; ■ a limited number of indicators or indicator combinations to provide a clearer signal of progress; ■ standardizing measurement wherever possible to permit comparison; ■ comparing indicator values to targets, reference values, ranges, thresholds or direction of trends, as appropriate.

6. Openness ■ make the methods and data that are used accessible to all;

226

■ make explicit all judgements, assumptions and uncertainties in data and interpretations.

7. Effective communication ■ be designed to address the needs of the audience and set of users; ■ draw from indicators and other tools that are stimulating and serve to engage decision-makers; ■ aim, from the outset, for simplicity in structure and use of clear and plain language.

8. Broad participation ■ obtain broad representation of key grass-roots, professional, technical and social groups – including youth, women and indigenous people – to ensure recognition of diverse and changing values; ■ ensure the participation of decision-makers to secure a firm link to adopted policies and resulting

9. Ongoing assessment ■ develop a capacity for repeated measurement to determine trends; ■ be iterative, adaptive and responsive to change and uncertainty because systems are complex and change frequently; ■ adjust goals, frameworks and indicators as new insights are gained;

227

■ promote development of collective learning and feedback to decisionmaking.

10. Institutional capacity: Continuity of assessing progress towards sustainable development should be assured by: ■ clearly assigning responsibility and providing ongoing support in the decision-making process; ■ providing institutional capacity for data collection, maintenance and documentation; ■ supporting development of local assessment capacity

Externally

Driven

Monitoring

and

Evaluation

(Conducted

By

Agreed

Independent Bodies or By Donors) Unbiased opinion and independent expert analysis can make a critical contribution to understanding, such as where special expertise is needed (air, soil and biodiversity assessment, etc) and where impartial judgment is called for. An external assessment can give stakeholders new insights and avoid or overcome conflicts of interest in self-assessment. Independent monitoring and auditing can be used to measure the performance of organizations against their mandates and to assess compliance with rights, powers and responsibilities. So far, independent auditing of government performance (at any level) in relation to strategy development and implementation is rare. Recently governments in Africa have adopted the Ose of Peer review strategies to ensure this is done.

The official procedures for auditing public expenditure that exist in many countries could possibly provide a useful model, as in Canada where the Auditor General’s 228

office looks at government bodies’ performance in terms of sustainable development.

The model of independent commissions, both one-off and on a continuing basis, could also be useful

Elements of a monitoring and evaluation system How do we know that a strategy for sustainable development has been successful, or is on the right path? Not only do strategies have multiple objectives, but also strategy activities will change over time and so will social, economic and environmental conditions. This presents a considerable challenge for monitoring and evaluation, but one that must be met, since the whole point of a strategic approach is to learn and adapt. The central monitoring and evaluation requirement is, therefore, to track systematically the key variables and processes over time and space and see how they change as a result of strategy activities (Spellerberg 1991).

To do this requires: ■ measuring and analysing sustainability; ■ monitoring implementation of the strategy; ■ evaluating the results of the strategy; ■ reporting and dissemination of the above findings

Measuring and analysing sustainability is necessary to determine the state of the society, the economy and the environment, the main strengths and weaknesses, the issues for the strategy to address, and underlying factors. The most productive way to approach this is to undertake an indicator-based sustainability assessment, supplemented by spatial analysis and possibly other contributing measurements and 229

analyses. The indicators chosen for the assessment need continued monitoring to identify trends, detect (and, if possible, anticipate) change and track progress.

Monitoring implementation of the strategy is necessary to ensure standard management oversight and accountability. Regular monitoring is needed of the following factors to assure that strategy activities are proceeding well:

■ Inputs in terms of financial, physical and human resources applied to the strategy and its related activities; ■ Process quality in terms of how strategy principles are satisfied (eg peoplecentred, participation, integration, commitment generation, ■ outputs in terms of the generation of strategy products (goods, services and capacities) by agencies involved in the strategy; ■ outcomes in terms of access to, use of, and satisfaction with strategy products (which are not necessarily under the control of agencies involved in the strategy); ■ the performance of individual strategy actors in implementing the strategy, in terms of the effectiveness and efficiency of their service provision and management.

Evaluating the results of the strategy is necessary to correlate actions with specific changes in human and environmental conditions, test the strategic hypotheses (choice of priority issues, analysis of underlying factors, prescription of actions), assure accountability, capture lessons and develop capacity through learning.

Reporting and dissemination This is necessary as it provides feedback of key messages to key stakeholder groups, and thus enable them to continuously improve their behaviour, the strategy itself and its component activities. Much of the guidance from Chapter 7 (Communications) is directly relevant.

230

Some – or too frequently all – of these elements have been missing from many M&E strategies in the past.

An organisation’s monitoring and evaluation system is made up of the following monitoring instruments: Log-frame: This is an important monitoring tool, with objectively verifiable indicators which are simple and easy to measure, and yet bringing out key elements of performance.

Data Capturing Forms/Systems: These are standard reprinted forms that enable the collection of information from service delivery points by service providers. This must be a clear link between data collected at the community, district, regional and national levels with the proposed performance indicators in the log-frames. Every indicator will have a data capturing system or instrument. These will be the various forms which include the application, appraisal, monitoring, completion, evaluation, payment vouchers, justification forms, etc.

Input, Output and Impact Indicators: Input indicators will refer to commitments and disbursements which will be monitored by type and location; output indicators will measure the achievements in terms on numbers; impact or outcome indicators will measure the change resulting from the output.

Reporting Formats: Reporting is a critical element of any effective M&E system due to its important role of facilitating accessibility by various managers, implementers and other key stakeholders, to important information required to aid implementation and resource allocation decisions. Reports will include daily, weekly, monthly, quarterly, six monthly and/or annual reports. Others could be, Regional Offices 231

fortnightly, quarterly and annual reports, district monthly reports and provincial assessment reports. Reporting formats will be developed which are concise and highlighting key issues needed to improve the performance of the project. Timeliness in the delivery of reports and their wide circulation will be given their due importance.

Dissemination of Reports and Evaluations: The dissemination of reports and evaluations usually uses various fora, including the media debriefings, debriefing of Steering

Committee

members,

workshops,

through

the

Information

and

Communications component and the annual general meetings.

Processes for Conducting Surveys: These provide household data which will monitor access to and availability of services, poverty and other living conditions.

Comparisons can be made between beneficiary and non beneficiary households.

Geographic Information System (GIS) will be used to monitor the location of projects. The Longitude and Latitude co-ordinates will be collected using Global Positioning Systems and Geographical Information System (GIS) capability of MMS will allow the mapping of projects.

Beneficiary Assessments, Audience reviews and evaluations these are various ad hoc studies which can be commissioned.

Steps in Developing and Monitoring and Evaluation Systems in an Organisation In Managing Troubled Waters, the National Research Council (NRC) developed a seven-step process for developing and implementing monitoring programs:

232

1. Define program expectations and goals—This includes identifying public concerns along with current regulations emphasis and focusing the objectives on pertinent environmental and health regulations.

2. Define the strategy of the program project or study—Developed by addressing specific questions to be answered. Scientists and managers must focus the questions being asked on the monitoring that is to be conducted, which will deliver the information required. These focus questions will vary from program to program.

3. Conduct relevant studies and research—that provide the groundwork for the construction of the monitoring design through development of methods, models, and techniques.

4. Develop a sampling and measurement program (the project indicators) —the purpose of this step is to produce a sampling design that identifies what measurements should be monitored and where and when the measurements should be taken.

5. Implement the project, program or study—the implementation of the study will provide information and data for scientists and managers;

6. Synthesize the data - the data will need to be analyzed and converted into useful information for managers and decision-makers to utilize.

233

7. Report the results of a monitoring program to a varied audience consisting of managers, decision-makers, and the public (NRC, 1990).

The most important aspect of the process is that each step builds upon the previous steps. Therefore, when developing a program, it is important to revisit and rethink the steps in the process. Over time, the objectives and goals, monitoring techniques and data available may change, as well as many other aspects of the process. When these changes occur, the plan should be updated to reflect the most current concerns.

MODULE SEVEN: SESSION 3 Indicator Selection

Session Objectives: At the end of session participants should be able to: 1. Define what an Indicator is 2. Determine the steps for developing program and project Indicators 3. The role of Indicators in an M&E systems 4. Start the processes of developing their organisational Indicator Framework Estimated Time: 120 Minutes

Methodology: Power point or Flip chart presentation, Brainstorming and Group work 234

Session Content: 1. What is an Indicator?

2. Steps for developing organisational program and project indicators 3. Role of indicators in Monitoring and Evaluation Systems

Materials: Markers, Flip charts Preparations Required 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide



Read and acquaint yourself with the content of the session as presented in the Facilitator’s Note.

PROCESS Step 1: Introduction

20 minutes

Facilitator can start with the story of Alice in Wonderland and ask participants to discuss either in groups or in plenary the import of the conversation and how it relates to an Indicator. Note responses on the flip chart.

Alice needed someone to show her the way round. “Where do I go from here?” the little girl asked. “A lot depends on where you want to go” the person replied. “I don’t have a specific place to go”, Alice retorted. “In that case,” said her guide, “any road can lead you there”.

Step 2: Mini-lecture

20 Minutes 235

The trainer can now make the prepared power point or flip chart presentation on INDICATORS. See facilitator’s notes.

Step 3: Group Work

20 Minutes

In small groups or using the buzz method, ask participants to: 

Share the steps for developing organisational Indicators framework



State what they will do, who will be involved and what resources will be required to develop their organisational indicator framework



Discuss possible challenges



State how they will respond to these challenges.

Ask groups to report back and display their answers on the walls. Request that a representative from each group reads the group’s responses to other participants.

Step 4: Review and discussion

20 Minutes

In plenary, discuss common features and differences revealed in the group responses. Note particularly how many of the groups have clear understanding of what it takes to develop organisational indicator frameworks Step 5: Conclusion

5 Minutes

Facilitator concludes by stating the necessity of developing organisational indicator framework and its use and application in project or programme management.

FACILITATOR’S NOTE What is an indicator?

Indicators are the quantitative or qualitative variables that provide a simple and reliable means to measure achievement, to reflect the changes connected to an intervention, or to help assess the performance of an organization against the stated 236

outcome. Indicators should be developed for all levels of the results-based M&E system, meaning that indicators are needed to monitor progress with respect to inputs, activities, outputs, outcomes, and goals. Progress needs to be monitored at all levels of the system to provide feedback on areas of success and areas in which improvement may be required.

Why do we need indicators in project management?

The outcome indicators to be developed will help to answer two fundamental questions: “How will we know success or achievement when we see it? Are we moving toward achieving our desired outcomes?” These are the questions that are increasingly being asked of governments and organizations across the globe.

The “CREAM” of Good Performance Indicators The “CREAM” of selecting good performance indicators is essentially a set of criteria to aid in developing indicators for a specific project, program, or policy (SchiavoCampo 1999, p. 85). Performance indicators should be clear, relevant, economic, adequate, and monitorable. CREAM amounts to an insurance policy, because the more precise and coherent the indicators, the better focused the measurement strategies will be.

Clear - Precise and unambiguous Relevant - Appropriate to the subject at hand Economic - Available at a reasonable cost Adequate - Provide a sufficient basis to assess performance Monitorable - Amenable to independent validation

237

It is important to note that every indicator has cost and work implications. In essence, when we explore building M&E systems, we are considering a new M&E system for every single indicator. Therefore, indicators should be chosen carefully and judiciously. What is the ideal number of indicators for any one outcome? The minimum number that answers the question: “Has the outcome been achieved?�

Baseline Data on Indicators – Where are we Today?

One cannot project performance into the future (set targets) without first establishing a baseline. The baseline is the first measurement of an indicator. It sets the current condition against which future change can be tracked. For instance, it helps to inform decision makers about current circumstances before embarking on projecting targets for a given program, policy, or project. In this way, the baseline is used to learn about current or recent levels and patterns of performance. Importantly, baselines provide the evidence by which decision makers are able to measure subsequent policy, program, or project performance.

Here we will (a) establish baseline data on selected indicators; (b) build baseline information; (c) identify data sources for indicators; (d) design and compare data collection methods as well as determine the importance of conducting pilots. The exercise will answer the following basic questions: 1. What are the sources of data?

2. What are the data collection methods?

3. Who will collect the data?

4. How often will the data be collected?

5. What is the cost and difficulty to collect the data?

6. Who will analyze the data?

7. Who will report the data?

8. Who will use the data?

238

Planning for Improvement – Selecting Results Targets Target setting is the final step in building the performance framework. It, in turn, is based on outcomes, indicators, and baselines.

The reasoning process is a deductive one, flowing back from the desired outcomes.

In essence, targets are the quantifiable levels of the indicators that a country, society, or organization wants to achieve by a given time. For example, one target might be “all families should be able to eat two meals a day, every day, by 2010.”

Details of what an indicator is the steps for developing organisational, project or program wide indicators are found in the End Notes section of this Module.

Designing an Organisational M&E Indicator Framework According to the United states Environmental Protection Agency (EPA), for groups to be successful in their mission to improve or protect the ecosystems within their regions, programs must be created with a set of goals and the result in mind.

Therefore, each program must be designed around a clear purpose. For example, a purpose might be to collect data that will inform scientists and managers about important aspects of a region they are working to protect. 29

What is an indicator?

The definition of an indicator varies from program to program. The following are examples of the definitions of an “indicator” used in differing applications:

239

“Environmental Indicators are specific, measurable markers that help assess the condition of the environment and how it changes over time. Both short term changes and general trends in those markers can indicate improved or worsening environmental health.”(Based on Barbara Keeler, personal communication, April 18, 2006) “ “An Indicator is a particular characteristic or reference marker used to measure whether an outcome is being achieved.” (EPA, 1994)

“Indicators are objective descriptions of a particular aspect of our natural, economic, or social environment.” (The Heinz Center, 2003)

Indicators are used to summarize complex information into a simplified and useful form to facilitate the measurement of status and trends. Indicators communicate information, quantify responses, and simplify information about complex data.

Indicators can be a cost-effective, accurate alternative to monitoring the individual components of a system. Therefore, indicators can be an effective means of assisting groups in tracking the progress of their programs (EPA, 2003a).

“When tracked over time, an indicator can provide information on trends in the condition of a system. In order to develop an appropriate indicator, it must be directly linked to the cause, effect, or action it is tracking. Ideally, indicator development should be preceded by the development of an assessment question” (EPA, 2003a).

Specifically, indicators should be linked to the issues and goals specific to an estuary program’s Comprehensive Conservation and Management Plan.

240

It is clear that the varied definitions of an indicator reflect the application, the complexity of language used, and the degree of precision required based on programmatic context. Besides, the implementation of indicators depends on the systems to which the indicators are being applied.

Uses of Indicators As stated above, indicators can assist the programs in tracking progress toward their goals. Indicators that are not linked to a program’s goals and objectives will not support efforts to assess the progress of management actions. Where possible, local and regional indicators can augment national assessments; therefore, to the degree possible, comparable indicators should be developed to support all levels of objectives.

Indicators are invaluable for measuring the achievement towards milestones and progress in meeting environmental goals. Indicators can also function as early warning signals for detecting relatively small adverse changes in environmental quality. For example, the change in air and ocean temperatures throughout the world has been used for years as an indicator of global warming, while the change in land use within an area can be an indicator of changes in human activities. Although these require very different types of measurements, both are indicators of human influence on our ecosphere.

Levels and Types of Indicators The following definitions illustrate the use of different levels and types of indicators:

241

Worldwide Indicator This defines an indicator with worldwide applicability as a response to a common stressor (e.g., global warming, etc) or as an indicator with value regardless of geographic location (e.g., water temperature, Universal access to ART, MDGs, etc).

Cultural/Societal Indicator This is an indicator that can measure human activity—specifically, the impact of human activity on ecosystem integrity or human response to ecosystem stressors.

Examples of the former include population, impervious land cover, and wetland filling; examples of the latter include fish consumption advisories and beach closure days.

Economic Indicators These are indicators that normally show general trends in the economy. Examples of economic indicators include unemployment levels, the Consumer Price Index, industrial production, bankruptcies, and stock market prices.

Ecological Indicators These are indicators that characterize measurable (quantifiable) characteristics related to the structure, composition, or functioning of the ecological systems (EPA, 2003b). Generally biotic in nature, these can be specific individual measurements, an index of measures, or a model that characterizes an ecosystem or one of its critical components (EPA, 2003b). An important aspect of an ecological indicator is that it quantitatively estimates the condition of ecological resources, the magnitude of

242

stress, the exposure of biological components to stress, or the amount of change in condition (EPA, 2003b).

Environmental Indicators Any indicator that measures the state of air, water, and land resources, pressure on those resources, and the resulting effect on ecological and human health is defined as an environmental indicator. An environmental indicator shows progress in making air cleaner and water purer and in protecting the land (EPA, 2003b). This type of indicator measures environmental conditions (e.g., human health, quality of life, and ecological integrity) or stressors that provide useful information on patterns and trends.

Programmatic Indicators These define a programmatic, policy, or administrative response to a given issue such as good governance, transparency and accountability, addressing an economic, social or environmental problem. These performance measures may or may not lead to detectable improvements in these targeted conditions.

Each of these indicator types can be broadly applied or can be useful in certain situations. In the examples given above, global warming is considered a worldwide indicator, while changes in human activities are considered a cultural/societal indicator.

Steps to developing an Indicator framework The following five steps are helpful when beginning the indicator development process and are discussed in more detail below: 243



Determine the spatial scale of the program



Convene a steering committee



Identify the purpose and need for indicators



Identify the issues



Conduct a baseline assessment of each issue

STEP 1: DETERMINE THE SPATIAL SCALE OF THE PROGRAM The assessment of an organisation or country’s programmes occurs on a number of different levels. Local programs assess one or more specific issues for their local areas; regional programs assess differences over a slightly larger area while national programs assess changes in the overall coastal condition throughout the nation (e.g., NCA). The first step in the process is to determine the level at which the group is interested in interacting. This will determine who will be included in discussions regarding program indicators development.

Whenever possible, it is always best to try to align local and regional programs with programs at a higher (i.e., national) spatial scale. This allows for future comparisons with data collected over the larger area. If the group is interested only in local issues, it may not feel it needs to consider regional initiatives, so some convincing may be necessary.

STEP 2: CONVENE A STEERING COMMITTEE Steering committees should be formed during the initial phases of the indicator development process so that they can be a part of the entire process. The earlier in the process the steering committee is involved the more efficient and effective the indicator development process will be to achieve the desired program outcomes.

244

Steering committees are normally formed with a mix of people from different backgrounds, agencies, and organizations. Because the committee members are an integral part of the indicator development process, it is important that each person on the committee be included for a specific reason (for example, his or her expertise in a technical area or understanding of monitoring programs in the region). Committee members also must be actively involved in each step of indicator development, not only as reviewers of the final result. Groups that have an effective steering committee have found that it is easier to establish indicators and obtain the desired outcome by the end of the process.

The most important aspect of an effective steering committee is to convene the right balance of managers, policy-makers, researchers, and the public so that all are represented. Once the steering committee is formed, members should be briefed on the goals of the indicator development process. If a definition of the word “indicator� has not already been developed, the committee members should be asked to do so based on the needs of their program.

The key to a successful steering committee is communication. Regular communication of information on indicator development can be accomplished through e-mail distributions, conference calls, meetings, and workshops.

STEP 3: IDENTIFY THE PURPOSE AND NEED FOR INDICATORS Step 3 in the process should answer the following questions: (1) Why are we developing indicators? and (2) Why is there a need for it? The answers to these questions are the starting blocks for the rest of the program, so getting consensus on these answers is important.

245

Normally, the purpose and need for the program are not difficult to determine because most groups were motivated by a specific issue or group of issues that needs to be addressed. Some programs have their purpose and need specified as part of their charter. The actual purpose of the program will depend on the complexity and scope of the issues the group is attempting to address. If the group is addressing only a single issue, then the purpose and need statement will focus on just that issue The more focused the purpose and need statements are, the more focused the resulting program will be. In addition, it is important that all parties involved in the program development understand the purpose and need statements clearly and are reminded of them throughout the process, so that a program can be developed to meet these goals.

STEP 4: IDENTIFY THE KEY ISSUES Step 4 in the process uses the purpose and need statements to identify the issues, management objectives, and questions the program will address. For many programs, this was addressed when their management plans were developed.

Critical attributes for issue identification are:

1. The issues must be directly linked to the purpose and need statements;

2. Consider public, scientific, and management concerns in a measurable fashion; and

246

3. Details on the issues should be stated in terms of management objectives and questions that point to the critical information needs (EPA, 1993).

The process of identifying issues can be simple or intricate, depending on the program goals. If the program has only one goal, then it will develop management objectives around this one issue. For more complex programs, the number of issues addressed will depend on the key issues affecting the sector and what the program plans to cover. In this instance, the steering committee will need to define the priority issues within the sector along with the coinciding management objectives.

Management objectives are specific actions designed to quantify/qualify the changes intended by the program for each priority issue. Each of the developed management objectives should have a specific goal and time period against which progress can be measured. In some instances, a quantitative value may not be associated with an issue. In these instances, it is important to be as specific as possible in order to ensure the program has some baseline condition to measure against. These management objectives are then used to form questions that the selected indicators will address.

STEP 5: CONDUCT A BASELINE ASSESSMENT OF EACH ISSUE Once the management issues and objectives are selected and outlined, the next step in the process is conducting a baseline assessment of each issue. Mature programs have normally already accomplished this task, but should review the information to make sure it is up to date. For new programs, how well this task can be accomplished will depend on how well the issue has been studied in the area.

247

A baseline assessment of an issue compiles and analyzes all available information on that subject for that area. It defines the present conditions of that issue for that particular area. If the issue is a new one, then an initial monitoring program might need to be conducted to determine the starting point; for others, the baseline assessment may only need to consist of a review of the most recent reports on the issue. It is important to understand current conditions so that trends can be identified.

For example, if the group were concerned about changing infection rates within the location from year to year, the baseline assessment would need to include information on current sero prevalence levels throughout the location over the past year and, if possible, from previous years, so that it can be determined how levels have changed over time.

Types of Indicators

There are two types of indicators, namely quantitative and qualitative indicators.

Quantitative Indicators are Statistical measures defined in terms of: 

Number of



Frequency of



% of



Ratio of



Variance with

While Qualitative indicators are value judgments or perceptions measured in terms of 

Congruency with



Presence of 248



Quality of



Extent of



Level of



Satisfied with

Criteria for Selecting Indicators 1. Validity; Does the indicator allow you to be precise in measuring the results?

2. Reliability; Do the indicators measure trends over time. A key factor for data reliability is consistency in time of collection of the data.

3. Representative of population; Do the indicators provide for disaggregated information by sex, age group, etc 4. Simplicity; Is the information available and will it be feasible to collect and analyse?

5. Affordability; do we have the human, material and financial resources to collect and analyse the intended data?

Use of Performance Management Indicators in M&E Performance Management Indicators are used for ensuring the monitoring of an organisation’s performance on a project. This monitoring process allows you to compare what was achieved against what was planned within a specific period of time.

Considerations in using Performance Information (PI) include: 

When will performance information be needed by the stakeholders?

249



What type of PI needs to be presented to the stakeholders?



How will stakeholders make decisions based on the PI

Performance Information therefore has three uses, namely:

1. To examine the project’s strategic trade –offs which include Results, Reach and Resources. The Considerations include: 

Can we improve our results given the available resources?



Can we decrease or increase coverage of target groups and still achieve results?



Can we increase, decrease or reallocate resources given the stated PI?

2. To enhance organisational learning The iterative and participatory process of planning for results, developing implementation plans and self assessment allows for continuous performance measurement and program impact evaluation which finally leads to organisational learning and action.

3. To strengthen Cause-Effect linkages Within a participatory review framework based on valid and reliable performance and risk assumptions, management can make decisions on how to allocate or reallocate resources (inputs) to specific project activities in order to achieve specified resultsoutputs, outcomes and impact

250

251

MODULE SEVEN: SESSION 4 Developing Tools for Data Collection, Collation, Analysis and Reporting Session Objectives: At the end of session participants should be able to 1. Define what is data and the various forms of data 2. Determine the tools for data collection, collation and analysis 3. Define the forms of data reporting and dissemination Estimated Time: 90 Minutes

Methodology: Power point or Flip chart presentation, Brainstorming and Group work Session Content: 1. What is a Data and what are its forms?

2. The tools for data collection, collation analysis and reporting 3. Report writing 4. Methods of data reporting and dissemination

Materials: Markers and Flip charts 252

PREPARATIONS REQUIRED 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide



Read and acquaint yourself with the content of the session as presented in the Facilitator’s Notes.

PROCESS Step 1: Introduction:

10 Minutes

As participants to discuss either in groups or in plenary what they mean by data, its forms and variations. Let them share their experiences with data collection and management either on previous projects or otherwise noting specifically their areas of frustration with the processes. Note their responses and flip on charts Step 2: Mini-lecture

20 Minutes

The trainer can now make the prepared power point or flip chart presentation.

Step 3: Group Work

30 Minutes

In small groups or using the buzz method, ask participants to: 

share the steps they will be using to develop their organisational data collection tools



State what they will do, who will be involved and what resources will be required to develop their organisational data collection systems



what challenges will they face?



how will they respond to these challenges?

Ask groups to report back and display their answers on the wall. Request that a representative from each group reads the group’s responses to other participants.

253

Step 4: Review and discussion

20 Minutes

In plenary, discuss common features and differences revealed in the group responses. Note particularly how many of the groups have clear understanding of what it takes to develop organisational data collection frameworks, what they are used for and its relationship to improve programming.

Step 5: Conclusion

10 Minutes

Facilitator concludes by stating the necessity of developing organisational indicator framework and its use and application in project or programme management.

FACILITATOR’S NOTES “What is not documented has not happened�.

Documenting what has happened is the sole aim of all forms of data collection systems and techniques.

What is Data Collection?

Data Collection is defined as a term that is used to describe the process of preparing and collecting numbers, characters, images or other outputs in tools that collect the data - for example as part of a process improvement or similar project. The purpose of data collection is to obtain information to keep on record, to make decisions about important issues, to pass information on to others. Primarily, data is collected to provide information regarding a specific topic.

254

Data collection tools are the instruments used to collect information for use in performance assessment, self-evaluation and external evaluation. Examples are mail, telephone, in-person and web-based surveys, direct or participatory observation, interviews, focus groups, expert opinion, case studies, literature search, and content analysis of internal and external records. The data collection tools must be strong enough to support the findings of the evaluation.

Data collection tools are any form of guide which enables the recording of information about a thing with a view to keeping track of the thing being recorded for example a list of an organisation’s members or data showing customer satisfaction.

In developing data collection tools, the issue of quality of the data should be thought of alongside as early as possible. Data quality can be assessed in several ways, for example, in research, data quality can come in the form of use of different types of analyses: frequency counts, descriptive statistics (mean, standard deviation, and median), normality (skewness, kurtosis, frequency histograms, normal probability plots), associations (correlations, scatter plots).

Here are some recommendations on general implications arising from the need to take data users’ needs into account in dissemination strategies and technologies: 

adopt a proactive strategy towards the improvement of data dissemination



diversify data dissemination strategies and technology solutions according to the needs of different types of users



use prototyping and vigorous testing to perfect dissemination products



use modern marketing techniques to increase data use



choose hardware and software platforms that are compatible with standard technologies



provide web links to national counterpart sites and other sites containing useful census information



consider creating community profiles of the result of the interventions being disseminated to increase its use 255

The Concepts of Data Collection, Collation and Analysis The term data means groups of information that represent the qualitative or quantitative attributes of a variable or set of variables. Data are typically the results of measurements and can be the basis of graphs, images, or observations of a set of variables. Data are often viewed as the lowest level of abstraction from which information and knowledge are derived. Raw data refers to a collection of numbers, characters, images or other outputs from devices or tools that collect such information to convert physical quantities into symbols that are unprocessed. 30 Data collection is a term used to describe the process of preparing and collecting numbers, characters, images or other outputs in tools that collect the data - for example as part of a process improvement or similar project. The purpose of data collection is to obtain information to keep on record, to make decisions about important issues, to pass information on to others. Primarily, data is collected to provide information regarding a specific topic.

Data collection also includes both the collection of the numbers and objective analysis of the numbers. Data collection usually takes place early on in a project, and is often formalized through a data collection plan which often contains the following activity.

1. Pre collection activity – Agree goals, target data, indicator definitions, data collection methods and assigned responsibilities 2. Collection – data collection 3. Present Findings – usually involves some form of sorting, analysis and/or presentation.

Data Collection Plan 256

A data collection plan will detail the sampling frame and the frequency of data collection. It will stipulate who is responsible for what, how much it will cost and who will pay. Since few organisations have the financial or human resources to collect every bit of data they would like to monitor their programmes, the process of detailing responsibilities and a budget will often lead to a re-examination of priorities.

Data collection plans should not forget to include data that are already collected by agencies not directly involved in HIV work, and that can help in monitoring HIVrelated trends or behaviors. Data generated by TB programmes can be useful in illustrating trends in HIV, particularly in the male population where sentinel surveillance data for HIV is scarce. Reproductive health programmes may already have data on service use or sexual behaviour which can eliminate the need for some data collection in general population surveys or health facility surveys. The data collection plan should stipulate systems by which data from other sources will be collected, reported and analysed by the M&E system for HIV. Data Analysis Analysis of data is a process of inspecting, cleaning, transforming, and modeling data with the goal of highlighting useful information, suggesting conclusions, and supporting decision making. Data analysis has multiple facets and approaches, encompassing diverse techniques under a variety of names, in different business, science, and social science domains.

Data mining is a particular data analysis technique that focuses on modeling and knowledge discovery for predictive rather than purely descriptive purposes. Business intelligence covers data analysis that relies heavily on aggregation, focusing on business information. In statistical applications, some people divide data analysis into descriptive statistics, exploratory data analysis, and confirmatory data analysis.

EDA focuses on discovering new features in the data and CDA on confirming or falsifying existing hypotheses. Predictive analytics focuses on application of statistical or structural models for predictive forecasting or classification, while text analytics applies statistical, linguistic, and structural techniques to extract and

257

classify information from textual sources, a species of unstructured data. All are varieties of data analysis.

Data integration is a precursor to data analysis, and data analysis is closely linked to data visualization and data dissemination. The term data analysis is sometimes used as a synonym for data modeling, which is unrelated to the subject of this article.

Data analysis is a process, within which several phases can be distinguished including: 

Data cleaning



Initial data analysis (assessment of data quality)



Main data analysis (answer the original research question)



Final data analysis (necessary additional analyses and report)

Data collection tools This is an instrument used to collect information for use in performance assessment, self-evaluation and external evaluation. Examples are mail, telephone, in-person and web-based surveys, direct or participatory observation, interviews, focus groups, expert opinion, case studies, literature search, and content analysis of internal and external records. The data collection tools must be strong enough to support the findings of the evaluation.

Data collection tools are any form of guide which enables the recording of information about a thing with a view to keeping track of the thing being recorded for example a list of an organisation’s members or data showing customer satisfaction.

Data collection tools come in the form of standard reprinted forms, registers, summary forms, cards, to complex computer operated data collection tools and statistical packages such as excel, SPSS, etc.

Data Cleaning

258

Data cleaning is an important procedure during which the data are inspected, and erroneous data are -if necessary, preferable, and possibly- corrected. Data cleaning can be done during the stage of data entry. If this is done, it is important that no subjective decisions are made. The guiding principle provided by Adèr (ref) is: during subsequent manipulations of the data, information should always be cumulatively retrievable. In other words, it should always be possible to undo any data set alterations. Therefore, it is important not to throw information away at any stage in the data cleaning phase. All information should be saved (i.e., when altering variables, both the original values and the new values should be kept, either in a duplicate dataset or under a different variable name), and all alterations to the data set should carefully and clearly documented, for instance in a syntax or a log.

Initial data analysis The most important distinction between the initial data analysis phase and the main analysis phase, is that during initial data analysis one refrains from any analysis that are aimed at answering the original research question. The initial data analysis phase is guided by the following four questions:

Quality of data The quality of the data should be checked as early as possible. Data quality can be assessed in several ways, using different types of analyses: frequency counts, descriptive statistics (mean, standard deviation, and median), normality (skewness, kurtosis, frequency histograms, normal probability plots), associations (correlations, scatter plots).

Other initial data quality checks are: 

Checks on data cleaning: have decisions influenced the distribution of the variables? The distribution of the variables before data cleaning is compared to the distribution of the variables after data cleaning to see whether data cleaning has had unwanted effects on the data.



Analysis of missing observations: are there many missing values, and are the values missing at random? The missing observations in the data are analyzed 259

to see whether more than 25% of the values are missing, whether they are missing at random (MAR), and whether some form of imputation (statistics) is needed. 

Analysis of extreme observations: outlying observations in the data are analyzed to see if they seem to disturb the distribution.



Comparison and correction of differences in coding schemes: variables are compared with coding schemes of variables external to the data set, and possibly corrected if coding schemes are not comparable.

The choice of analyses to assess the data quality during the initial data analysis phase depends on the analyses that will be conducted in the main analysis phase

by Philip Kotler

A Data Use Plan There is no point at all in collecting data that cannot or will not be used. The ultimate use of the data should guide the design of a coherent M&E system, especially the selection of the most appropriate indicators in a country. A clear plan for data use and dissemination will include a stipulation of the end users for each indicator, and how the data will be presented to them. It may include a plan for developing a shared database of information, and for sharing data between programme elements, researchers, donor agencies and others. A framework for regular dissemination of information to the public may also be included. In general, the data generated by M&E systems are used in three major ways: advocating for action; planning, revising and improving programs; and attributing change in the epidemic to interventions undertaken.

Overview of the Evaluation Framework Evaluation takes place at multiple levels. At each stage we gather different information that comes together to reveal how the project has been conducted and 260

what has occurred as a result. It is important to identify at the outset how we will gather the information for each level of evaluation.

There are four main types of evaluations:

A. Formative Evaluation Research. This should be conducted during the planning (or re-planning) stage of a prevention program to identify and resolve issues before the program is widely implemented. This is the point where flexibility is greatest and program sponsors are freer to make decisions about how to proceed. Formative evaluation explores the need for interventions, provides the information needed to define realistic goals and objectives for the interventions, and helps program planners make tentative decisions about effective, feasible intervention strategies. It can be used as an exploratory tool, but it can also help project managers adjust objectives to changing situations. It is used to identify unacceptable or ineffective intervention approaches, designs and concepts.

Methods include: • Reviews of existing information • Focus group discussions • Individual in-depth interviews • Participant observations • Short quantitative surveys with structured questionnaires Its main limitation is its inability to be generalized to other projects.

261

B. Process Evaluation. Once activities are underway, one must determine if they are being performed correctly, on time and within budget. Process evaluation addresses such basic questions as: To what extent are planned intervention activities realized?

What services are provided, to whom, when, how often, for how long and in what context?

Input (the resources required, in terms of person-power, money, material and time) and output (the immediate service improvement expressed as commodities distributed, staff trained and service units delivered) are key elements of process evaluation. These questions are often answered in quantitative terms. Qualitative evidence of how and why prevention programs work (or fail to work) is equally important

in

answering

process

evaluation

questions.

Understanding

how

intervention activities produce effects can help explain the intervention outcome but does not show whether interventions are effective.

Methods include: • Reviews of service records and regular reporting systems • Key informant interviews • Exit interviews of service users • Direct observations by .mystery clients.

• Quantitative population-based surveys for assessing program coverage and barriers to service use

C&D. Effectiveness Evaluation: Assessing Outcome and Impact. Evaluating the effectiveness of AIDS prevention programs almost always requires quantitative 262

measurements to assess the extent to which objectives were met. Effectiveness evaluation will help answer such questions as, “What outcomes were observed?

What do the outcomes mean?” and “Has the program made a difference?”

For all programs, this type of evaluation in two parts, short-term and intermediate program effects defined in terms of (program outcome) and long-term program effects (program impact).

Outcome and impact evaluation is intimately connected to process evaluation.

Process information can help the evaluator understand how and why interventions have achieved their effects and, perhaps, what specifically is making the difference.

Examining outcome/impact indicators without assessing program implementation might lead to erroneous conclusions about the effectiveness of the interventions.

MONITOR capacity improvements and performance of the data and management and reporting system to produce quality data.

263

MODULE SEVEN: SESSION 5

Results Based Management (RBM) in Development

Session Objectives: At the end of session participants should be able to : 

Define what Results Based Management is



Determine the tools for RBM



Determine the steps for Instituting RBM in their Organisations

Estimated Time: 120 Minutes Methodology: Power point or Flip chart presentation, Brainstorming and Group work Session Content: 5. What is a Data and what are its forms?

6. The tools for data collection, collation analysis and reporting 7. Report writing 8. Methods of data reporting and dissemination Materials: Markers and Flip charts Preparations Required 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide

264



Read and acquaint yourself with the content of the session as presented in the Facilitator’s Notes.

PROCESS Step 1: Introduction

20 minutes

Ask participants to discuss either in groups or in plenary any ONE of the following questions: 1. Which interventions have had more impact in Nigeria and why: government interventions or donor agents interventions or private sector driven interventions?

2. Why is budget implementation less fruitful in developing economies than in the developed ones?

3. What are your experiences with successful and failed projects?

Note responses and flip on chart.

Note: Always and almost, successful interventions are those that start with a clear goals and objectives with stated results to be achieved. A budget not tied to specific results to be achieved is also most likely not be successfully implemented. It is subject to abuse and corruption.

Step 2: Mini-lecture

20 Minutes

The trainer can now make the power point or flip chart presentation already prepared on Result Based Management.

Step 3: Group Work

30 Minutes

In small groups or using the buzz method, ask participants to: 

Detail the steps for developing organisational RBM framework 265



State what they will do, who will be involved and what resources will be required to develop their organisational RBM systems



what challenges will they face?



how will they respond to these challenges?

Ask groups to report back and display their answers on the wall and request that a representative from each group reads the group’s responses to other participants.

Step 4: Review and discussion

15 Minutes

In plenary, discuss common features and differences revealed in the group responses. Note particularly how many of the groups have clear understanding of what it takes to develop organisational RBM frameworks Step 5: Conclusion

5 Minutes

Facilitator concludes by stating the necessity of developing results against which management of resources can be measured. Facilitator should emphasis the importance of developing organisational RBM frameworks and its use and application in project or programme management.

FACILITATOR’S NOTES The Government of Nigeria and its organs have recently been facing increasing calls for reform from both external and internal stakeholders. One of this call has for example, been that Nigerian leaders should demonstrate accountability and transparency in the mobilisation, allocation and utilisation of resources, devise fair and equitable public policies, and deliver tangible goods and services in a timely and efficient manner. These pressures have come from government officials, parliaments, opposition parties, program managers and staff, citizens, businesses, NGOs, civil society, and the media.

266

To achieve this call, Monitoring and Evaluation Capacity Development (MECD) is essential in helping to build sound governance, -improving transparency, and building a performance culture that supports better management and policymaking, and to strengthen accountability relationships—through support for the creation or strengthening of national/sectoral Results Based Management systems

Benefits of a monitoring and evaluation system Until the mid-1990s, most monitoring and evaluation had been done in a relatively piecemeal fashion. Organisations need to have coherent M&E systems. A coherent system has several advantages. Where resources are scarce, this is an important asset. Data generated by a comprehensive M&E system ought to serve the needs of many constituents, including programme managers, researchers or donors, eliminating the need for each to repeat baseline surveys or evaluation studies when they might easily use existing data. Good co-ordination should lead to better use of resources.

In addition to improving accountability, M&E systems enable stakeholders to learn from their practice and to build knowledge about what types of projects, programmes and policies are effective and why this is so. This growing knowledge base can then be used to further improve development policies and programming. RBM is a powerful public management tool that can be used to improve the way governments and organizations achieve results. Just as governments need financial, human resources, and accountability systems, governments also need good performance feedback systems.

Other reasons why we need RBM include: i) To support performance based budgeting (ii) To inform the design of new projects (iii) To support outcome-based budgeting (iv) To optimize project outcomes 267

(v) To demonstrate public accountability (vi) To support reward and recognition (vii) To support transparency in government,

What then is Results Based Management?

It is said that if you do not know where you are going, any road will take you there.

This lack of direction is what results-based management (RBM) is supposed to avoid. It is about choosing a direction and destination first, deciding on the route and intermediary stops required to get there, checking progress against a map and making course adjustments as required in order to realise the desired objectives.

A simple explanation is that RBM is a broad management strategy aimed at changing the way institutions operate, by improving performance, programmatic focus and delivery. It reflects the way an organization applies processes and resources to achieve interventions targeted at commonly agreed results.

Results-based management is a participatory and team-based approach to programme planning and focuses on achieving defined and measurable results and impact. It is designed to improve programme delivery and strengthen management effectiveness, efficiency and accountability.

RBM helps moving the focus of programming, managing and decision-making from inputs and processes to the objectives to be met. At the planning stage it ensures that there is a necessary and sufficient sum of the interventions to achieve an expected result.33

A more descriptive than definitive answer to the question is that RBM is a means to improve management effectiveness and accountability by involving key stakeholders in defining realistic expected results, assessing risk, monitoring progress toward the 268

achievement of expected results, integrating lessons learned into management decisions and reporting on performance. 34

Results Based Management (RBM) can mean different things to different people. A simple explanation is that RBM is the way an organization is motivated and applies processes and resources to achieve targeted results.

RBM encompasses four dimensions, namely: 

specified results that are measurable, monitorable and relevant



resources that are adequate for achieving the targeted results



organizational arrangements that ensure authority and responsibilities are aligned with results and resources



processes for planning, monitoring, communicating and resource release that enable the organization to convert resources into the desired results.

Inputs

35

The human, financial, organisational and physical resources contributed directly or indirectly by the project stakeholders

Activities The coordination, technical assistance and training tasks organized and coordinated by the project personnel Outputs

A short-term developmental result that is the logical consequence of project activities

Outcomes A medium-term developmental result that is the logical consequence of achieving a set of project outputs Impact

A long-term developmental result that is the logical consequence of achieving a combination of outputs and outcomes

Expected results at the output, outcome and impact level are linked in a sequence of three cause-effect relationships, in which each level of results is related to the next higher one by means of achievement. This results-chain is a continuation of the 269

cause-effect relationship between input and activities explained earlier. The causeeffect linkages can be expressed with "if “then" phrases, representing the internal logic of the program/project. For example: "if" the developmental outputs are achieved as expected, "then" we should achieve the outcomes, and; "if" the outcomes are achieved as expected, "then" we should achieve the impact.

The Principles of RBM RBM is hinged on six principles:

1. Partnership: For RBM to be a success, expected results must be mutually defined and agreed upon by all major stakeholders through a consensus building process.

2. Accountability: Sharing responsibility for results. Canadian partners, Developing Country partners, and CIDA all share responsibility for results achieved including how the results are planned and reported. Participation is therefore a key element of accountability in project implementation.

3. Transparency: For reported results to be accepted, they must be clearly defined and identified as well as the corresponding indicators for results measurement. This is shown in the PMF tool which generates the data to be used in the preparation of the reports.

These first three principles relate directly to the implementation of RBM projects and programs in an organisation.

270

4. Simplicity: make it simple: RBM programmes must be easy to understand and simple to apply. It must be devoid of complex data collection systems and performance measurement indicators. The maxim ‘Small is beautiful’ applies here too.

5. Learning by Doing: RBM is implemented on an iterative basis which implies refining approaches as we learn from our experiences and mistakes.

6. Broad Application: The RBM approach is applicable in all circumstances involving the management of projects and programs including one’s personal life.

RBM is comprised of six distinct components: 

stakeholder participation;



defining expected results;



identifying assumptions and risks;



selecting performance indicators;



collecting performance information, and



performance reporting.

1. Stakeholder participation RBM and participatory development approaches are not only complementary, but essential to one another. In RBM, programs/projects must be designed, planned and implemented using a participatory approach where all stakeholders are involved throughout the program/project life-cycle. Expected results must be mutually defined and agreed upon through a consensus building process involving all major 271

stakeholders. This enhances stakeholder's sense of ownership and subsequent commitment to continuous performance assessment, annual performance appraisal, program/project adjustments and annual work planning.

There are several participatory mechanisms or techniques available to help foster participation. Some of these are: Rapid Rural Appraisal (RRA), Participatory Rural Appraisal (PRA)6 , Participatory Learning and Action (PLA) and others.

2.

Building

a

Performance

Framework

A Performance Framework is an RBM tool that is used to conceptualise projects by asking some fundamental questions of the key stakeholders i.e. the funders, program/project delivery partners and beneficiaries: 

Why are we doing this program/project?



What results do we expect to achieve for the resources being invested?



Who will the program/project reach out to in terms of beneficiaries?



How would the program/project best be implemented?

The effectiveness of this RBM tool depends on the extent to which it incorporates the full range of stakeholder views. As mentioned earlier, stakeholder participation is an essential ingredient because it helps generate the necessary level of consensus with regard to these questions. However, before we go any further in building a Performance Framework, we have to understand the internal logic of the developmental results chain.

3.

Identifying

Assumptions

and

Risk

Completing a risk analysis is part of the appraisal process when designing and 272

planning a program/project. All stakeholders should participate in identifying assumptions, assessing risk and establishing risk indicators. Once completed, the "Assumptions - Risk Indicators" column of the results-oriented LFA can be filled in.

The first step in conducting a risk analysis is the identification of assumptions.

3.1

Identifying

Assumptions

When planning a program/project and defining expected results, it is important to remember that the environment within which these programs/projects are managed is ever-changing and may be volatile. Since development programs/projects are not implemented in a controlled environment, external factors can often be the cause of their failure. When in the planning and design stage, the necessary conditions for success must be identified. Accordingly, care should be taken to make explicit the important assumptions upon which their internal logic is based.

These are the assumptions made about how the cause and effect relationships are supposed to behave in any given implementation environment. Assumptions describe the necessary conditions that must exist if the cause-effect relationships between levels of results are to behave as expected. In general terms, if the assumptions hold true, the necessary conditions for success exist.

Because assumptions are conditions over which we have no or very little control, identification during planning is critical as well as developing the mitigating actions.

4. The Performance Management Framework (PMF) Because measuring performance is a vital component of the RBM approach, it is important to establish a structured plan for data collection, analysis, use and dissemination of performance information. This plan must describe who will do what, when and how. A Performance Measurement Framework will help structure the answers to these questions. It will document the major elements of the monitoring system and ensure that comparable performance information is collected on a 273

regular and timely basis. Its main components are organised in a matrix format as illustrated in the table below.

Performance

Performance

Data

Collection

Framework

Indicator

Sources

Methods

Frequency Who Responsible

Impact Outcomes Outputs Reach Resources

There are six criteria that should be used when selecting performance indicators.

Each one is presented below along with an illustrative question in guise of an explanation.

1. Validity - Does it measure the result?

2. Reliability - Is it a consistent measure over time?

3. Sensitivity - When the result changes will it be sensitive to those changes?

4. Simplicity - Will it be easy to collect and analyse the information?

5. Utility - Will the information be useful for decision-making and learning?

6. Affordability -Can the program/project afford to collect the information?

Although performance indicators should be identified across the entire spectrum of the performance framework, from resources through to impact level results, it should be noted that RBM emphasises measuring the achievement of developmental results more so than the use of resources.

274

is

5.

Collecting

Performance

Information

Once the performance indicators have been selected, the next step in completing the Performance Measurement Framework is to resolve issues surrounding the collection of the performance information. More specifically data sources, methods and techniques of collection and analysis as well as frequency of collection will have to be determined. Roles and responsibility for each of these tasks should be clarified and

confirmed.

It is necessary to identify the data source for each indicator that has been selected.

Data sources are the individuals or organisations from which the data will be obtained. This exercise should be completed during the project/program planning in order to assess the availability of the data and identify any potential problems. It is important to choose data sources wisely to avoid having to switch data sources midway through a program/project as this may jeopardise data reliability. We should first focus on existing sources to maximise value from existing data. In some cases, organisations that have been identified as a data source may require some capacity building in data collection. This should not be viewed negatively. It is an opportunity to obtain information that is tailored to program/project information needs.

6.0

Performance

Monitoring

It is the responsibility of the Program/Project Manager and his/her team to define the most appropriate approach to measure and monitor program/project performance.

However, it is also important and necessary to discuss these options with all stakeholders especially the donors and developing country partners. Involving the major stakeholders early in the design of the Performance Measurement Framework approach enhances commitment to the performance monitoring function. A participatory approach also ensures that the full range of stakeholder information needs (and potential sources of information) is identified, as well as any obstacles or constraints

to

the

collection 275

of

performance

information.

There are three basic approaches to performance monitoring from which to choose.

In all three cases, the Program/Project Manager has overall accountability for performance monitoring. The first option is internal monitoring. In this case, performance measurement and monitoring is the responsibility of those who are most closely involved in program/project implementation, including the Executing Agency or donor partner in this case EU-INSIDE. Internal monitoring is essentially a form of continuous performance self-assessment where the project delivery participants have the capacity, and are given the responsibility, to undertake performance measurement and reporting. The second option is external monitoring where a consultant is contracted as the Project Monitor to independently track and report on performance to the donor partner. Program/Project Manager and his/her team, as well as the Project Steering Committee where necessary. This option is normally used only for large, complex projects. The third option, external support, combines the above approaches such that the program/project delivery partners are responsible for the performance measurement function, but they are assisted by a Performance Advisor who is contracted to help build their capacity and advise the donor partner on the validity and reliability of the performance information being reported.

It is important to select an approach which is cost-effective, appropriate and reflects all the stakeholders’ needs for timely performance information. Factors to consider are: 

the magnitude of the investment;



the program's/project's technical complexity;



the experience and capacity of the delivery partners;



the commitment of partners to self-assess;



the availability of in-house partner resources;



the degree of "innovation";



the level of external risk;



the potential for lessons-learned that may not otherwise be available; and,



the availability of performance information from other donors.

276

Using

Performance

Information

for

Management

Decision-Making

Although the RBM approach may initially appear linear, it is in fact an iterative management model. There is constant feedback to the planning and management process as results are assessed. Based on constant feedback of performance information, inputs and activities can be modified and other implementation adjustments made. This corresponds to the two management functions of continuous performance measurement and iterative implementation.

Performance information should be used to make adjustments in program/projects in three key ways: where results are being achieved, actions can be taken to strengthened them; where progress is difficult, different approaches can be tried or activities added; and, where activities-outputs are considered to be obsolete, they should be abandoned. Performance information can also be used to examine strategic trade-offs between resource use, extent of reach and the achievement of developmental results. Managers and stakeholders should ask themselves the following questions: 

Can we improve our results given the resources available to reach the targeted beneficiaries?



Can we decrease coverage of beneficiary groups, or increase critical mass for better results?



Can resources be increased, decreased or re-allocated to improve costeffectiveness?

The answers to these questions will certainly depend on the unique circumstances, but in each case they require a close examination and decision about strategic tradeoffs between resources, reach and results. This process of data analysis and examination of trade-offs will enhance organisational learning.

277

Ten Step Model for Results-Based Monitoring and Evaluation36 A ten step model was developed for developing and sustaining monitoring and evaluation systems. The 10 step model for results-based M&E has a core (steps 2-9) of overall agreed issues. Moreover, the model includes preconditions for the development of an M&E system (step 1: readiness assessment) and a final step to sustain the system within an organisation

The ten steps in the model are not necessarily sequential or linear. Often one would need to be working on a combination of steps at the same time and one might have to go back and forth between steps. The steps can be applied at various levels: organisational, policy, programme and project levels. Based on the level at which they are applied, they differ in their reach and complexity.

The Ten Steps to Institutionalizing a Results-Based Monitoring and Evaluation System include: i.

Conducting an organizational readiness assessment

ii.

Agreeing on outcomes to monitor and evaluate

iii.

Selecting the key indicators to monitor outcomes

iv.

Developing baseline data on indicators

v.

Planning for improvement and selecting targets

vi.

Monitoring for results

vii.

The role of evaluations

viii.

Reporting findings

ix.

Using findings

x.

Sustaining the M&E systems within the organisation

Details of these steps can be read in the handbook quoted below.

278

MODULE SEVEN: SESSION 6 The Concept and Application of Data Quality Assurance (DQA)

Session Objectives: By the end of session participants should be able to: 1. Define the concept of Data Quality Assurance 2. Determine the tools for conducting Data Quality Assurance 3. Define the forms of data reporting and dissemination Estimated Time: 90 Minutes

Methodology: Power point or Flip chart presentation, Brainstorming and Group work Session Content:    

What is a Data and what are its forms?

The tools for data collection, collation analysis and reporting Report writing Methods of data reporting and dissemination

Materials: Markers and Flip charts Preparations Required 

Develop your power point or flip chart presentation



Write out the Group Work assignment on your flip paper or in a PPT slide



Read and acquaint yourself with the content of the session as presented in the Facilitator’s Notes.

279

PROCESS Step 1: Introduction

10 minutes

Ask participants to discuss either in groups or in plenary what they mean by data quality, its forms and variations. Let them share their experiences involving data quality issues they may have been involved in either on previous projects or otherwise noting specifically their areas of frustration with the processes. Note responses and flip on charts Step 2: Mini-lecture

20 Minutes

The trainer can now make the power point or flip chart presentation already prepared. See facilitator’s notes for resource.

Step 3: Group Work

30 Minutes

In small groups or using the buzz method, ask participants to: 

share the steps they will be using to develop their organisational data quality assurances tools and procedures



State what they will do, who will be involved and what resources will be required to develop their organisational data collection systems



what challenges will they face?



how will they respond to these challenges?

Ask groups to report back and display their answers on the wall. Request that a representative from each group reads the group’s responses to other participants.

Step 4: Review and discussion

20 Minutes

In plenary, discuss common features and differences revealed in the group responses. Note particularly how many of the groups have clear understanding of

280

what it takes to develop organisational data quality assurance frameworks, what they are used for and its relationship to improve programming.

Step 5: Conclusion

10 Minutes

Facilitator concludes by stating the necessity of developing organisational indicator framework and its use and application in project or programme management.

FACILITATORS NOTES What is Data Quality Assurance?

Data quality assurance entails the accurate recording/mapping of services already provided at a service delivery point and the accurate reporting of such accurate data to the next level of data flow.

Importance of Data Quality Assurance includes among others the following: 1. To ensure that reported data are relevant, timely and accurate as well as available 2. To ensure the efficient use of data collection tools and resources due to limited data collection resources 3. To ensure facilities report only selected quality data that can be defended to national leaders, policy makers and donors 4. Capacity gaps and resources at the sub-national level (LGA/State) make it important for supervisors to ensure the quality of the data been reported 5. Regular data records review and routine DQA is an M&E Core function How good should data be?

It is important to note that no data is perfect! However, collected data should be good enough to document performance and support decision-making. It should recognize that different objectives/indicators may require different levels of measurement

281

quality and so support this. It should lend itself to use professional judgment and be sufficient to support documented decisions with supporting information.

Essentially, DQA is used as a tool to conduct: 

Routine data quality checks as part of an on-going supervision



Initial and follow-up assessments of data management and reporting systems – measure performance improvement over time:



Strengthening program staff’s capacity in data management and reporting:



Preparation for a formal data quality audit·



External assessment by partners, other stakeholders

The Data Quality Audit Tool is a creation of Global Fund, MEASURE Evaluation, other partners to evaluate data quality for performance based funding. It arose out of the need expressed for a tool for programs/projects to use for self assessment, capacity building and to prepare for external audits. It uses the GAVI DQA methodology for assessing accuracy of immunization coverage data with emphasis on the use of the following: 

Cluster sampling technique



National level estimate of data quality

Two components of the tool include: 1) Systems assessment 2) data verifications.

The objective of the tool is to verify rapidly 1) the quality of reported data for key indicators at selected sites; and 2) the ability of data-management systems to collect, manage and report quality data. Implement measures with appropriate action plans for strengthening the data management and reporting system and improving data quality.

Dimensions of data quality Validity Valid data are considered accurate: A key attribute of valid data is that they measure what they are intended to measure. The questions to ask and answer include: 282



Is there a relationship between the activity or program and what the data is measuring?



What is the data transcription process? Is there potential for error?



Are steps being taken to limit transcription error (e.g., double keying of data for large surveys, built in validation checks, random checks)?



If there are data errors, what do you do with that information?



If raw data need to be manipulated, are the correct formula being applied and applied consistently (e.g. from site to site, over time)?



What do I do if I have a missing/incomplete data set?



Are final numbers reported accurately (e.g. does the total add up)?

Reliability Data reliability speaks to whether the data are measured and collected consistently.

It answers the question; will repeated measurements using the same procedures get the same results? Others include: 

Is the same instrument used from year to year, site to site?



Is the same data collection process used from year to year, site to site?



Are there procedures in place to ensure that data are free of significant error and that bias is not introduced (e.g., instructions, indicator information sheets, training, etc.)?

Completeness Data is said to be comprehensive when the data collected is defined in terms of the: 

percent of all fields on data collection form filled in



percent of all expected reports actually received



Are the data from all sites that are to report included in aggregate data? If not, which sites are missing?



Is there a pattern to the sites that were not included in the aggregation of data?

283

Precision Data precision is said to have been achieved if collected data have sufficient detail, e.g. are disaggregated appropriately where necessary. The margin of error in the data is less than the expected change the project was designed to effect 

Is the margin of error less than expected change being measured?



Are the margins of error acceptable for program decision making?



Would an increase in the degree of precision be more costly than the increased value of the information?

Timeliness Data is not useful if it is not sufficiently current and frequent to inform management decision-making – they are received by the established deadline. To meet this dimension, it is important that data pass the following tests: 

Are data available on a frequent enough basis to inform program management decisions?



Is a regularized schedule of data collection in place to meet program management needs?



Do program staff know and understand the reporting deadlines?

Is it

consistent across all reporting sites? 

Are the data reported as soon as possible after collection?

Integrity Data are said to pass the integrity dimension if they are protected from deliberate bias or manipulation for political or personal reasons. Things to consider include: 

Are there risks that data are manipulated for personal or political reasons?



What systems are in place to minimize such risks?



Has there been an independent review?

Confidentiality

284

Clients are assured that their data will be maintained according to national and/or international standards

When do you undertake DQA? The best place to start data quality assurance is to integrate data quality control mechanisms into standard operating procedures. Others include: 

Integrating data quality checks into routine supervisory visits



Conducting periodic formal assessments (every two years for an established system, more frequently for newer systems)

Key factors that Ensure Data Quality 

Functioning information systems



Clear definition of indicators consistently used at all levels



Description of roles and responsibilities at all levels



Specific reporting timelines



Standard/compatible data-collection and reporting forms/tools with clear instructions



Documented data review procedures to be performed at all levels



Steps for addressing data quality challenges (missing data, double-counting, lost to follow up, …) are well defined



Storage policy and filling practices that allow retrieval of documents for auditing purposes (leaving an audit trail)



Know your data - The best way to improve data quality is to USE the data!

285

Issues in Data Quality Assurance (DQA) The three most common types of Data quality errors found at facility level are data availability, data consistency and data validity. A brief description of each is provided below:

Data Availability – this is the most fundamental Data quality issue, and refers primarily to gaps in Accessing Data. If fields are missing or records cannot be located, then it is difficult to ascertain whether required services have or have not been delivered. Gaps in Data limit the ability to conduct analysis can result in patient mis-management and under-reporting of results.

Data Consistency – this deals with a higher level of error - the correct transference of Data from one record or Data collection tool to another. In all patient encounters, there is a flow of Data between service points and Data collection tools, either for aggregation or patient management purposes. This requires the careful attention of staff, Zonal Inspectors, State Inspectors, and National M&E officers in the transcription of Data from one form to another. Failing to demonstrate adequate care can also result in client mis-management, incorrect aggregations and misalignment of Data between different tools. During a rapid assessment it is not possible to review all possible sources of inconsistency. Therefore, this tool recommends a random selection of between three and five client IDs from the list of possible ID cards and compare with registers to give some insight into standards at each facility.

Data Validity – Even if Data is available and consistent, the final type of check necessary is related to the aggregation of Data. Data validity in this context deals with simple calculation errors, or failing to correctly sum Data from registers and lower-level Data entry tools into monthly summary forms. The monthly summary forms are the main source of Data used to assess progress in service provision, and feed into government and donor reports. It is not feasible to assess all possible 286

errors, so this tool is focusing on verifying a selection of the most important variables.

Steps for Conducting DQA Typically, the implementation of the DQA can be conducted in six steps: 

Determine purpose of the DQA



Select levels and sites to be included



Identify indicators, data sources and reporting period.



Conduct site visits.



Review outputs and findings.



Develop a system strengthening plan, including follow-up actions.

Figure 1: Chronology and Steps of the DQA

Methodology for Conducting DQA 1. Data Verification o

Documentation Review

o

Recounted results – trace and verify

o

Cross checks – compare with alternative data sources

The purpose of this step is to assess on a limited scale if Service Delivery Points and Intermediate Aggregation Sites are collecting and reporting data accurately and on time. The data verification step takes place in two stages: o

In-depth verifications at the Service Delivery Points; and 287

o

Follow-up verifications at

the Intermediate Aggregation

Levels

(Districts, Regions) and at the M&E Unit.

2. Reporting Performance o

Timeliness, completeness, availability, Validity (Intermediate level and higher)

3. System Assessment o

Are elements in place to ensure quality reporting?

The purpose of the SA is to identify potential risks to data quality created by the data management and reporting systems at: o

the M&E Management Unit;

o

the Service Delivery Points;

o

any Intermediary Aggregation Level (District or Region).

The RDQA assesses both (1) the design; and (2) the implementation of the datamanagement and reporting systems. It covers 8 functional areas (HR, Training, Data Management Processes , etc.)

Functional Areas of an M&E System that Affect Data Quality

1. M&E Capabilities, Roles and Responsibilities: Are key M&E and datamanagement staff identified with clearly assigned responsibilities?

2. Training: Have the majority of key M&E and data-management staff received the required training?

288

3. Data Reporting Requirements: Has the Program/Project clearly documented (in writing) what is reported to who, and how and when reporting is required?

4. Indicator Definitions: Are there operational indicator definitions meeting relevant standards and are they systematically followed by all service points?

5. Data-collection and Reporting Forms and Tools: Are there standard datacollection and reporting forms that are systematically used? Are source documents kept and made available in accordance with a written policy?

6. Data Management Processes: Does clear documentation of collection, aggregation and manipulation steps exist?

7. Data Quality Mechanisms and Controls: Are data quality challenges identified and are mechanisms in place for addressing them? Are there clearly defined and followed procedures to identify and reconcile discrepancies in reports? Are there clearly defined and followed procedures to periodically verify source data?

8. Links with National Reporting System: Does the data collection and reporting system of the Program/Project link to the National Reporting System?

Key Success Factors for Data Quality Assurance

289

1. Functioning information systems 2. Clear definition of indicators consistently used at all levels 3. Description of roles and responsibilities at all levels 4. Specific reporting timelines 5. Standard/compatible data-collection and reporting forms/tools with clear instructions 6. Documented data review procedures to be performed at all levels 7. Steps for addressing data quality challenges (missing data, double-counting, lost to follow up, ‌) 8. Storage policy and filling practices that allow retrieval of documents for auditing purposes (leaving an audit trail)

MODULE EIGHT EFFECTIVE PARTNERSHIP AND NETWORKING

Aim This Module enables the realization of INSIDE’s first and third results by building NSAs skills in partnership and network and to promote effective relationship among Non-State Actors and other relevant stakeholders in government and the private sector.

290

Module Structure

Session 1: Effective Networking Session 2: Coalition Building and Management Session 3: NSA Government Partnership Session 4: NSA Private Sector Partnership

SESSION 1: EFFECTIVE NETWORKING Objectives: By the end of this session, participants should be able to: 1. Define what a network is and share their experiences about networking 2. Identify stakeholders in government and private sector that they can network with 3. Carry out a simple SWOT analysis on the potential of their NGO for carrying out an advocacy campaign

Estimated Time: 120 Minutes

Methodology: Brainstorming, Flip chart presentations, Experience sharing, Group work, and Open discussion

Session Content: 

What is a network?



How are networks formed and sustained?



What is the capacity of NSAs for networking?

Materials Needed: Flip charts,

Markers, Masking tape,

Analysis and SWOT Analysis Charts

Preparation Requirement: 291

Prepared

Stakeholder



Read and deepened understanding of facilitator’s notes



Write Session’s topic and objectives on Flip Chart

PROCESS: Step 1: Introduction

10 Minutes

Display session’s objectives on flip chart or power point and request a participant to read. Ask participant to comment on the objectives with respect to their expectations and concerns.

Step 2: Brainstorming

20 Minutes

Ask participants to brainstorm on the meaning of network and networking with examples form their own experiences. Record participants responses on flip chart.

Step 3: Presentation/ open discussion.

30 Minutes

Present session content as summary on flip chart or power point and lead open discussion to ensure a shared understanding (See facilitator’s notes)

Step 4: Web game

30 Minutes

Engage participants in a web game and process the activity with suggested questions, (See facilitator’s notes)

Step 5: Conclusion

10 Minutes

Conclude by recalling key learning points.

FACILITATOR’S NOTES What is a network?

A network consists of individuals or organizations willing to assist one another or collaborate.

Building Your Advocacy Network Step 1:

292

Who should be in your network? You will want to get to know people and organizations that are working toward the same objective as you are. You will also want to include people who can influence decision makers in your network, and, if possible, the decision makers themselves. Finally, keep your eyes, ears and mind open for anyone else who could help you.

Step 2: How do you meet potential network members? It is important to build an open and trusting relationship from the beginning. Here are just a few ways to start building trust with people: collaborate on projects of mutual interest; help bring attention to their work; assist them with special projects; share information with them; attend their meetings and invite them to yours.

Step 3: How do you get them interested in your advocacy objective? As you get to know them, discuss your idea/ objective with them. Be open to their suggestions and ideas; it is helpful when others feel that they have some ownership of the idea. When they support the objective, they will be much more interested in helping you.

Step 4: How can they help you? When you are ready, ask them to do something specific to help you reach your objective. Start small, e.g., .Could you mention to the director that you heard about this idea and think it has merit?. As your relationship is strengthened, you can ask them to do more, e.g., .Could you arrange for us to meet with the director and present the proposal together?. But remember that it is a twoway street and the more they do for you, the more you should do for them.

THE WEB GAME Tell participants they are going to play a web game. Invite sixteen (16) participants (8 females, 8 males) to the middle or front of the hall.

Instruct

participants to stand in a circle. Give a roll of tough string to one participant and instruct him/her to hold onto the end of the rope and throw the roll to another participant who in turn throws to another while still holding to his/her own end.

293

Instruct participants to keep throwing until the roll is finished and there is a web in the middle. Ask each participant to pull the string at his/her end. Go round, admiring the web and the synergy (you may put something on the web or ask participant to hold free hands or move around, still holding unto the string). Whisper to one participant or give a pre-arranged signal to one participant to let go of his/her end of the rope.

Note the reaction of other participants in the web game. While they are still standing, ask the following questions: 

Who was pulling the web?



What happened when one end was dropped?



Why was that end dropped?



What happens to a team, network or coalition when one partnership is not keeping his/her side of the bargain?

294

SESSION 2: COALITION BUILDING AND MANAGEMENT Objectives: By the end of this session, participants should be able to: 1. Explore the advantages and disadvantages of joining coalitions 2. Identify some networks and coalitions in Nigeria; 3. Assess coalitions in Nigeria in terms of leadership, information sharing, accountability, funding, mobilization and sustainability; 4. List challenges facing networks and coalitions in Nigeria; 5. Develop strategies for managing networks and coalitions in Nigeria Estimated Time: 120 Minutes

Methodology: Brainstorming, Presentation and the Longest rope

Session Content: 1. What is a Coalition?

2. Sharing experiences about our relationships with fellow NSAs, Government and Private Partnership.

3. Identifying Networks and Coalitions in Nigeria.

4. Assessing Networks and Coalitions 5. What is the way forward for our Networks and Coalitions?

Materials Needed: Roll of string, flip charts, masking tape

Preparation Requirement: 1. Read facilitators notes.

2. Write the session’s topic of objectives on the flip chart.

3. Write definitions of coalition on flip chart.

4. Make enough copies of Handouts on Advantages and Disadvantages of coalitions.

PROCESS Step 1: Introduction

10 Minutes 295

Display session’s objectives on flip chart or power point and request a participant to read aloud. Ask participants to comment on the objectives with respect to their expectations and concerns.

Step 2: Brainstorming

10 Minutes

Participants are to brainstorm on the definition of coalition with examples of coalitions they belong to or are aware of. Record their responses on the flip chart.

Step 3: Presentation

30 Minutes

Explain to participants that there are no rules for building coalitions but that there are four general steps to help an organization start. These are: Deciding who should be in; Deciding how to meet the potential members; Getting members interested in the advocacy objective and Asking members to engage in specific activities towards achievement of advocacy goals.

Present details of session content on flip chart or power point, (see facilitator’s notes)

Step 4: Group Work

60 Minutes

Divide the participants randomly into groups of and ask them to brainstorm on how to establish good relationships with decision makers. Ask each group to make a rope on the floor by joining items of clothing from their bodies. Tell participants that the group that makes the longest rope will be the winner. Go round to monitor how groups make the rope, taking note of the team synergy. Decide which rope is longest and reward the group with a special energizer.

Get back to plenary and process participants’ responses to the task by asking the following questions: 

What was the motivation to achieve the set objective?



How did individuals feel like when contributing to the rope?



Were the items the same for everybody?



Does the exercise say something about multiple intelligences and multiple abilities in our organizations?



What personal sacrifices were made for the group?

296



Who contributed the most and how does the person feel?



Who did not contribute anything and how does it feel?

Participants should share experiences of their relationships with other NSAs, government or private sector, using the following guide: 

Which network/coalition do you belong?



How did you join it?



Is it permanent or temporal; formal or informal; geographic or issue based; single issue or multi-issue based?



Do you know other members? What is the power structure, communication flow?



How is it funded?



What does your organization contribute to it?



How does your organization benefit from it?



Is it responsive to needs and requests? 

What are the challenges in terms of Leadership and power relations, Information

sharing,

Transparency

and

accountability,

Funding,

Mobilization, Sustainability?

Step 5: Conclusion

10 Minutes

Conclude by highlighting key learning points.

297

FACILITATOR’S NOTES

What is SWOT? SWOT stands for: Strengths, Weaknesses Opportunities and Threats. Strengths and weaknesses related to forces within the organization. For instance, the enthusiasm to effect positive changes in the environment is strength, while a lack of capacity among staff members is a weakness. Opportunities and threats on the other hand are outside influences that may affect the organization. For instance, a good working relationship with another organization is an opportunity while stoppage of funds from a donor is a threat.

FACILITATORS NOTES What Is a Network? 

An interconnected system of things or people; "he owned a network of shops"; "retirement meant dropping out of a whole network of people who had ...



communicate with and within a group; "You have to network if you want to get a good job"



An extended group of people with similar interests or concerns who interact and remain in informal contact for mutual assistance or support.

wordnetweb.princeton.edu/perl/webwn What Is\Coalition?

Coalitions are organized groups of people who have come together for the purpose of accomplishing a goal that is common to all parties involved. Due to the fluid nature of coalitions, it is possible for individuals, businesses, and other types of organizations to participate within a coalition, while still maintaining their own separate identity. Here are some facts about the coalition, how alliances of this type are formed, and what being part of a coalition means to an individual or group.

298

A coalition or alliance may be formed to address matters of common concern to some sector of the community. A local, state or national coalition may focus on improvements within the community, such assisting homeless persons in finding work, or providing transportation for senior citizens. Politics may also be grounds for the formation of a coalition, as individuals, human rights organizations and other entities combine their efforts to help bring about the passing of new legislation that they believe will make the community a better place to live. In most instances, a coalition will disband once the goal that drew everyone together has been attained.

In other situations, the coalition may evolve into a permanent structure in its own right, establishing a new association that continues the work begun by the coalition.

While a coalition is essentially an alliance of like-minded persons and organizations, it is important to remember that not everyone will operate with the same motivation when it comes to achieving the common goal. For instance, one participant may be a part of the coalition out of desire to bring about a change that will improve conditions for loved ones. Another participant may be thinking in terms of getting valuable publicity from the connection with the coalition. A third ally may be thinking in terms of what the realization of the goal will mean in the way of increased social prominence within a given clique. The reasons behind the joining of factions from a variety of backgrounds can vary, and may often be somewhat selfish in nature.

The coalition is a great way for allies from many different backgrounds to come together and work toward the realization of a common cause. Once the goal is met, the parties may choose to maintain some communication as a result of the rapport established during their work together. This keeps the door open for the formation of another coalition at some future date, in the event another matter of common interest should arise. http://www.wisegeek.com/what-is-a-coalition.htm

LIST OF SOME NETWORKS/COALITIONS IN NIGERIA 

LACVAW

-

Legislative Advocacy Coalition on Violence Against

Women 

C.F.C.R

-

Citizens’ Forum For Legislative Reforms



GECORN

-

Gender And Constitution Reform Network 299



WORNACO -

Women’s Organizations for Representative National

Conference 

WANEP

-

West African Network For Peace



WIPNET

-

Women in Peace-building Network



NOPRIN

-

Network of Police Reforms In Nigeria



NSF

-

Nigeria Social Forum



C4C

-

Coalitions for Change



ERN

-

Electoral Reforms Network



NGBN

-

Nigeria Gender Budget Network.



FOIC

-

Freedom of information coalition



CIPOGG

-

Coalition for Issues-based Politics and Good Governance



DIN

-

Development Initiatives Network



SMI

-

Support for Mankind Initiative



NGOCE

-

NGO Coalition for the Environment



CISNAN

-

Coalition Of Nigerian Ngo in HIV/AIDS.



NINPREH

-

Nigeria Network of NGOS/CSOS for Population and Rep.

Health 

CSACEFA

-

Civil Society Coalition On Education For All



CSP

-

Community Support Network



WOCON

-

Women Consortium of Nigeria



YCWN



YTI

-

Youth for Transparency International



HURIWA

-

Human Rights Writers Association of Nigeria



TMG

-

Transition Monitoring Group

-

Youth Crime Watch of Nigeria

300

SESSION 3 NSA – GOVERNMENT PARTNERSHIP Objectives: At the end of this session, participants should be able: 1. Identify government roles in the achievement of the MDGs. 2. Identify NSA roles in achievement of MDG. 3. Explore ways of creating a synergy.

Estimated Time: 120 Minutes

Methodology: Reflection, Group Work, Presentation Session Content 1. What are the roles of NSA and government in the achievement of MDGs? 2. How can NSA and government become effective partners in Development?

Materials Needed: Flip charts,

Markers, Masking tape

Preparation Requirement 1. Read facilitators notes.

2. Write the session’s topic of objectives on the flip chart.

PROCESS Step 1: Introduction

10 Minutes

Present session’s objectives on flip chart or power point and introduce an energizer that will reflect collective effort.

Step 2: Group Work

30 Minutes

Divide participants into three groups and give each group one of the following questions to brainstorm on: 

What are governments’ roles in the realization of the MDGs?



What are NSAs roles in the realization of the MDGs?



How can government and NSAs partner to achieve MDGs?

Each group should present at plenary and should highlight the challenges.

Step 3: Presentation

20 Minutes 301

Present and discuss keys to successful Public Private Partnership on power point or flip chart. Discuss each point in relation to the peculiar experiences of the participants. 

Political leadership/willpower



Public sector involvement



Careful planning



Adequate funding



Sustained communication



Selecting the right partner



Enabling Environment

Step 4: Conclusion

10 Minutes

Conclude session with a review of key learning points.

SESSION 4: NSA/PRIVATE SECTOR PARTNERSHIP

2 Hours

Objectives By the end of this session, participants should be able to: 1. Identify roles of the private sector in the realization of MDGs. 2. Explore ways of partnership with the private sector to realize the MDGs.

Methodology: Brainstorming, Group work, presentation.

Session Content 1. What are the roles of NSA and government in the achievement of MDGs? 2. How can NSA and government become effective partners in Development?

Materials Needed: Flip charts, Markers,

Masking tape

Preparation Requirement 1. Read facilitators notes.

2. Write the session’s topic of objectives on the flip chart.

302

Process Step 1: Introduction

10 Minutes

Present session’s objectives on flip chart/power point and ask a participant to read aloud. Ask participants to reflect on the acronym: PPP

Step 2: Brainstorming

30 Minutes

Ask participants to brainstorm on the roles of the private sector. Record responses on flip-chart and compliment with facilitator’s list which include: 

Service providers e.g. education, health and infrastructure



Key stakeholders in development



Provide enabling environment for the achievement of these goals



Influence decisions

Step 3: Open Discussion

30 Minutes

Lead discussion on role of private sector around the following issues: 

Government traditional roles/commitment to the people.



Private sector commitment/responsibility to the people.



Accountability and transparency issues.



Tracking performance

Ask participants to share experiences on NSA private sector alliances in Nigeria.

Step 4: Group Work

30 Minutes

Group participants randomly ask them to share their experiences in their engagement with the private sector. Presentations at plenary should highlight challenges and how they were overcome

Step 5: Conclusion

10 Minutes

Highlight key learning points

303

MODULE NINE FINANCIAL MANAGEMENT AND REPORTING Aim The aim of this Module is to build the capacity of Non-State Actors (NSAs) in financial management and reporting

Structure of Module Session 1- Introduction to Financial Management Session 2- Procurement and Acquisition Session 3 - Principles and Practice of Accountability and Transparency Session 4 - Internal Control Mechanisms/Procedures Session 5 - Preparing Financial Reports/ Statements

304

MODULE NINE: SESSION 1

Introduction to Financial Management Session Objectives: By the end of this module, participants will be able to: 

Explain the principle and practice of financial management an reporting



Explain the and processes of financial management and reporting



Develop and apply of tools for effective financial management and reporting

Estimated time: 90 Minutes Materials: Flipchart paper, markers, tapes, A4 papers

Preparation Required: Facilitator should read the Training Manual well ahead of time. She/he should prepare on the flipchart papers all necessary terms/definitions, assignments, and group works as appropriate.

Methodology: Brainstorming, Group Work, Question and Answer, Discussion and Mini-lecture.

305

PROCESS:

Step 1: Introduction

10 minutes

Facilitator introduces the objectives of the session. He/she tells them that the first activity is for the group to define financial management.

Step 2: Group Work

25 Minutes

The Facilitator breaks the participants up into four groups. The group should be asked to quickly come up with one line definition of financial management, financial reporting and three points each on the importance of financial management and reporting. The answers by the four groups are written out in four flipchart papers.

The answers/responses by the four groups are then compared to the definitions already prepared by the facilitator.

Step 3: Brainstorming

20 minutes

Facilitator should request participants to mention steps and activities in the yearly accounting cycle? Their responses are jotted on the flipchart paper and compared with the material already prepared by the Facilitator on the activities in the yearly accounting cycles.

Step 4: Mini-lecture

25 minutes

Facilitator concludes the session encouraging participants to note that raising money and using money and reporting on it require more attention. In many cases inadequate attention to these and other related issues have put many CSOs in difficult relationship with their funders and sponsors. In some instances some organizations are risking donor confidence through poor financial management.

Indeed the unique challenges that many CSOs face are related to non-compliance with reporting and accountability requirements. Participants are then informed about the next session will be on strategic plan. See facilitator’s notes.

306

Step 5: Conclusion

10 Minutes

To assess their understanding of the sessions, Facilitator request participants to respond to the following questions: (i)

What are the steps/activities in financial management?

(ii)

Why is financial management and reporting important in NSAs’s setting?

FACILITATOR’S NOTES

I.

Importance of financial management 

It is an essential tool that is required to move ahead with an organization’s expansion plans.



It allows administrator the general principles to improve the effectiveness of organizations ors to uses

II.

Importance of financial reporting i. Opportunity to present useful information to financial statement users so that proper decisions can be made.

ii. Comprehensive data makes a good understanding of the entity's activities possible. iii. It furnishes information about the organization’s economic resources, claims against those resources, owners' equity, and changes in resources and claims. iv. It provides information about financial performance during a period and management's discharge of its stewardship responsibility to stakeholders Such as members in the case of membership organizations v.

Useful to the managers and directors themselves in making decisions on behalf of the members and other stakeholders.

vi. Can help aid in making important future decisions.

307

III.

Activities in the Yearly Accounting Cycles

Bookkeeping and controls: Book keeping simply refers to organization’s day-to-day financial records by manually recording every financial transaction into a journal. The journal entry included the date, the name of the accounts to be debited and credited, and the amounts. The bookkeeping process further required that all journal amounts be rewritten in (or "posted" to) the organization’s general ledger and subsidiary ledger accounts.

Trial balance is used periodically to show whether an organization’s accounts are in balance, meaning the total of the debit balance accounts was equal to the total of the credit balance accounts. Once the trial balance is in balance, the bookkeeping phase is completed and the "books" are turned over to the organization’s accountant for the preparation of financial statements. These days, with the use of computer programs, these processes and procedures have been made easy and automated.

An effective financial system provides for financial controls;

to help ensure that

financial transactions are recorded and maintained accurately, and that personnel don't unintentionally (or intentionally) corrupt the financial management system.

Controls range from very basic (e.g., using a checkbook and cash register tapes to more complex, e.g., yearly financial audits).

Critical Operating Activities in Financial Management: Managing a Budget - A budget depicts what an organization expects to spend (expenses) and earn (revenue) over a time period. Amounts are categorized according to the type of business activities, or accounts (for example, telephone costs, sales of catalogs, etc.). Budgets are useful for planning organization’s finances and then tracking if it being operated according to plan. They are also useful for projecting how much money an organization needs for a major initiative, for example, buying a facility, hiring a new employee, etc. There are yearly (operating) budgets, project budgets, cash budgets, etc. The overall format of a budget is a record of planned income and planned expenses for a fixed period of time.

308

Managing Cash Flow (including managing your bank account) : The overall purpose of managing your cash flow is to make sure that you have enough cash to pay current bills. Organizations can manage cash flow by examining a cash flow statement and cash flow projection. Basically, the cash flow statement includes total cash received minus total cash spent. Cash management looks primarily at actual cash transactions.

Financial Statements and Analysis: Financial Statements: To really understand the current and future conditions of an organization, the leadership has to look at certain financial statements. These statements are generated by organizing and analyzing numbers from the organization’s accounting activities.

There are two primary financial statements namely the Profit and Loss Statement (or Income Statement) and the Balance Sheet. (Some sources believe that there are other primary statements, too, such as the cash flow statement or change in capital, etc. However, the Income Statement and Balance Sheet are the two standard statements for any business.)

Profit and Loss (Income) Statements: These "P and L" statements depict the status of overall profits. These statements include much money earned (revenue) and subtract how much was spent (expenses), resulting in how much money made (profits) or lost money (deficits). Basically, the statement includes total sales minus total expenses. It presents the nature of your overall profit and loss over a period of time. Therefore, the Income Statement gives you a sense for how well the business is operating.

Balance Sheets: Whereas the P and L statement depicts the overall status of an organization’s profits (or deficits) by looking at income and expenses over a period of time, the balance sheet depicts the overall status of an organization’s finances at a fixed point in time. It totals all assets and subtracts all liabilities to compute overall

309

net worth (or net loss). This statement are referenced particularly when buying or selling a business, or applying for funding.

Financial Analysis: Financial analysis can tell you a lot about how an organization is doing. Without this analysis, you may end up staring at a bunch of numbers on budgets, cash flow projections and profit and loss statements. You should set aside at least a few hours every month to do financial analysis. Analysis includes cash flow analysis and budget deviation analysis mentioned above. Analysis also includes balance sheet analysis and income statement analysis. There are some techniques and tools to help in financial analysis, for example, profit analysis, break-even analysis and ratios analysis that can substantially help to simplify and streamline financial analysis. How you carry out the analysis depends on the nature and needs of you and your organization.

IV.

Use of Software Package for Financial Management 

There are available software packages to manage accounts books. For example there a number of very useful software packages that can automate bookkeeping, generation of financial statement and their analysis.



Accounting software package can greatly reduce the time to enter and manage accounting transactions, and generate financial statements.



These software packages notwithstanding, a basic understanding of the accounting process is still imperative



Knowledge of hat journals are used, what general accounts exist, good understanding of financial statements and how to analyze them are useful; an accounting package cannot do this!

V.

Relationship with Banks and Bankers 

A business account at a bank is necessary and very important for the financial management of an organization. Thus, ask for advice and references from other organizations, especially those that are of the size and nature of yours.

310

MODULE NINE: SESSION 2

Procurement and Acquisition Management Objectives By the end of this module, participants will be able to:

1. Discuss the concept and practice of procurement and acquisition 2. List the basic elements and stages of procurement and acquisition management.

3. Appreciate the tenets of effective procurement and acquisition process 4. Demonstrate their knowledge and understanding of the principles and best practice in procurement and acquisition management.

5.

Estimated time: 90 Minutes

Materials: Flipchart paper, markers, tapes, cards, A4 papers etc.

Preparation Required Facilitator should read the Training Manual well ahead of time. She/he should prepare on the flipchart papers all necessary terms/definitions, assignments, and group works as appropriate.

Methodology: Experience sharing, Discussion, Group Work and Mini-lecture

PROCESS:

Step 1: Introduction

10 minutes

The facilitator introduces participants to the objectives and expected outcomes of the session. She/he tells them that the first activity is for the group to have a common understanding of the concepts of ‘procurement’ and ‘acquisition’.

311

Step 2: Brainstorming

15 Minutes

Facilitator writes on a flipchart paper the terms ‘procurement’ and ‘acquisition’.

She/he asks the participants to say what they understand by it based on the practice in their organizations. Their responses are written down on a flipchart paper and compared to the definitions already prepared by the Facilitator.

Step 3: Experience Sharing

15 Minutes

Facilitator tells participants to share organizational and personal experiences on steps and processes involved in ensuring good procurement and acquisition practice in an organization. Participants ‘responses are written on a flipchart paper as they are mentioned. If the steps and processes listed below are left out, the facilitator should present and discuss same with participants.

Step 4 : Mini-lecture

20 minutes

Facilitator introduces participants to the basic elements and principles of efficient and effective procurement and acquisition practice, ensuring that the gaps left by participants’ responses are filled.

Step 5: Group Work

20 Minutes

Participants should demonstrate their knowledge and understanding of the principles and best practice in procurement and acquisition management by working in group to work out hypothetical procurement situations.

Step 6: Wrap up and Evaluation

10 Minutes

Facilitator concludes the session by telling participants the next session will be on principles and practices of accountability and transparency. To assess their understanding of the sessions, Facilitator request participants to ask questions:

312

FACILITATOR’S NOTES

I.

Meaning of Acquisition and Procurement

Acquisition simply means the acquisition of goods and/or services at the best possible total cost of ownership.

Acquisition is otherwise refers to as procurement which is the acquisition of goods and/or services at the best possible total cost of ownership, in the right quality and quantity, at the right time, in the right place and from the right source for the direct benefit or use of corporations, individuals, or even governments, generally via a contract, or it can be the same way selection for human resource.

Procurement can refer to buying, outsourcing, etc of any resources. Simple procurement may involve nothing more than repeat purchasing. Complex procurement could involve finding long term partners or suppliers.

II.

Basic elements and principles of efficient procurement and acquisition process o Transparency/Openness o Competition o Tendering

III.

Steps in Procurement and Acquisition Process

Procurement life cycle in modern organization usually consists of seven steps:

i. Information gathering: If the potential customer does not already have an established relationship with sales/ marketing functions of suppliers of needed products and services , it is necessary to search for suppliers who can satisfy the requirements.

ii. Supplier contact: When one or more suitable suppliers have been identified, requests for quotation (RFQ), requests for proposals (RFP), requests for 313

information (RFI) or requests for tender (RFT) may be advertised, or direct contact may be made with the suppliers.

iii. Background review: References for product/service quality are consulted, and any requirements for follow-up services including installation, maintenance, and warranty are investigated. Samples of the products and services being considered may be examined, or trials undertaken.

iv. Negotiation: Negotiations are undertaken, and price, availability, and customization possibilities are established. Delivery schedules are negotiated, and a contract to acquire the products and services is completed.

v. Fulfillment: Supplier preparation, expediting, shipment, delivery, and payment for the products and services are completed, based on contract terms. Installation and training may also be included.

vi. Consumption, maintenance, and disposal: During this phase, the company evaluates the performance of the P/S and any accompanying service support, as they are consumed.

vii. Renewal: When the products and services have been consumed and/or disposed of, the contract expires, or the product or service is to be re-ordered, company experience with the products and services is reviewed. If the products and services are to be re-ordered, the organization determines whether to consider other suppliers or to continue with the same supplier.

314

MODULE NINE: SESSION 3

Principles and Practices of Accountability and Transparency

Objectives By the end of this module, participants will be able to: 

List and discuss the key principles and practice of transparency and accountability.



Appreciate the tenets of transparency and accountability in the management of organizations

Estimated time: 90 Minutes

Materials: Flipchart paper, markers, tapes, cards, and A4 papers

Preparation Required: Facilitator should read the Training Manual well ahead of time. She/he should prepare on the flipchart papers all necessary terms/definitions, assignments, and group works as appropriate such as the definitions of transparency and accountability, its importance and also steps and procedures to ensure transparency and accountability.

Methodology: Group work, Experience-sharing, Mini-lecture and brainstorming

315

PROCESS:

Step 1: Introduction

10 minutes

The facilitator introduces participants to the objectives and expected outcomes of the session. He/she tells them that the first activity is for the group to define transparency and accountability.

Step 2: Group Work

20 Minute

Facilitator breaks the participants up into four groups and asks them to quickly come up with one line definitions of transparency and accountability. Facilitator writes on a flipchart paper the various definitions by the four groups. Their answers are written on the same flipchart paper. Their answers are then compared to the definitions below:

Transparency means making available at a regular basis detailed, current, timely information to all stakeholders of the operations and activities of the organization.

Accountability means demanding from the organization to tell all stakeholders how it is carry out its operations and activities including how it is raising funds and how the funds are spent.

Step 3: Mini-lecture

30 minutes

Facilitator makes a prepared presentation on flip chart or power point about the importance of transparency and accountability in an organization using the following questions as guide:     

What is the importance of transparency and accountability?

Why would stakeholders especially target beneficiaries, government, and donors/funders want grantees to demonstrate transparency and accountability?

In what specific ways can organizations ensure transparency and accountability?

What are the benefits of transparency and accountability?

What are the principles of transparency and accountability?

316

Step 4: Experience-sharing

20 Minutes

Ask participants to share their experiences, in pairs or groups, about applying the principles of transparency and accountability.

Step 5: Wrap up and Evaluation

10 minutes

Facilitator concludes the session encouraging participants to note that transparency and accountability must be put on the forefront of the activities of NSAs. Participants are then informed about the next session will be on internal control mechanisms.

FACILITATOR’S NOTES

Meaning of Transparency and Accountability

Transparency simply means making available at a regular basis detailed, current, timely information to all stakeholders of the operations and activities of the organization.

Accountability simply means demanding from the organization to tell all stakeholders how it is carry out its operations and activities including how it is raising funds and how the funds are spent.

Some Principles of Transparency and Accountability i. Organizations should regularly and openly convey information to the public about their mission, activities, accomplishments and decision-making processes. ii. Information from organizations should be easily accessible to the public and should create external visibility, public understanding and trust in the organization. iii. Organizations should always comply with all legally required reporting procedures. iv. Organizations should responsibly use its resources toward its mission and to benefit the targeted community. v. The organization’s budgets and expenditures should be subjected to financial audit procedures and process.

317

vi. Organizations should establish comprehensive systems/mechanism for regular performance measurement and its performance evaluation should be shared with the public. vii. Openness in the activities and operations of the structures and institutions for internal governance. For example, boards of directors should provide information to the public that describes their decisions and decision-making processes. They should make meeting agendas and descriptions of significant decisions available to those who request them. viii. Organizations should openly gather and exchange information on lessons learned and best practices with other organizations to promote overall effectiveness and accountability within the sector. ix. Fairness and equity practices should be encouraged. For example, information regarding tender, contract, vacancies, fees and services should be made readily available to the public.

318

MODULE NINE SESSION 4 System of Internal Control Objectives: 1. By the end of this module, participants will be able to: 2. Discuss the principles and practice of internal control 3. List and describe the elements and process of internal control 4. Appreciate the importance and benefits of the system internal control in an organization.

Estimated time: One and half hour

Materials: Flipchart paper, markers, tapes, cards, and A4 papers

Preparation Required: Facilitator should read the Training Manual well ahead of time. She/he should prepare on the flipchart papers all necessary terms/definitions, assignments, and group works as appropriate. Facilitator prepares definitions of internal control, its importance as well as steps and procedures to ensure effective system of internal control on the flipchart papers.

Training methodology: Facilitator begins by introducing participants to the objectives of the session. In a plenary session participants are asked to explain internal control, using their own language and English language. In a brainstorming session participants respond to why internal control is important in the management of organizations. Participants’ responses are then compared with already prepared reasons.

PROCESS:

319

Step 1: Introduction

5 Minutes

The facilitator introduces participants to the objectives and of the session. She/he tells them that the first activity is for the group to define internal control.

Step 2: Brainstorming

20 Minutes

Facilitator asks the participants to brainstorm definitions of internal control and roles and responsibilities in internal control system. Facilitator writes on a flipchart paper the various definitions on the flipchart paper and then compares with the already prepared notes by the Facilitator.

Step 2: Open discussion

30 Minutes

Facilitator leads open discussion with the group about the importance of internal control with the following questions as guide: Why is internal control important? Why would any organization want to set up an effective internal control system? What are the benefits of internal control? Their responses are jotted on the flipchart paper and compared to the materials prepared by the facilitator.

Step 4: Mini-lecture

30 minutes

Facilitator presents materials already prepared on a flipchart or power point and encourages participants to note the benefits, steps and procedures in effective internal control. see facilitators’ notes for resource.

Step 5 (15 minutes):- Facilitator share with the participants that there are many benefits of internal control system. Reference is made to the already prepared material on the flipchart paper.

Step 8: Wrap up and Evaluation

15 Minutes

Facilitator concludes the session encouraging participants to seriously consider setting up or activating internal control system in their respective organizations. To assess their

understanding of the session, Facilitator request participants to respond to the following questions: 320



What are the benefits of internal control system?



What are the basic principles underlying internal control ?

FACILITATOR’S NOTES Meaning of Internal Control Internal control is the process designed by organizations to ensure that its resources are directed, monitored and measured to accomplish specific goals or objectives. It is indeed a process designed by the authorities of an organization to provide reasonable assurance regarding the achievement of objectives in the following areas: i) Effectiveness and efficiency of operations; ii) Reliability of financial reporting; and iii) Compliance with laws and regulations.

II.

Objectives of Internal Control

Proper Authorization 

Empower employees to perform tasks and make decisions that make significant impact.



Usually involves signature and authorization code.

Segregation of duties 

Ensure that no single individual is given too much responsibility -no employee should be in a position to both perpetrate and conceal irregularities



Three general categories of functions must be separated o

Authorization function 321

o

Recording function: preparing source documents, maintaining journals, Preparing reconciliations, or preparing performance reports

o

Custody of asset: direct or indirect e.g. receiving checks in mail

Documents and records 

Source documents designed to facilitate collection of all relevant information o

Provide space for proper authorizations, receipt of assets, etc

o

Should be prenumbered--account for all documents, reducing likelihood of fraudulent use





Audit trail: path that a transaction traces through a system o

Allows verification

o

Consists of reference numbers, dates etc.

Access (allow access to assets only for authorized purposes)

Safeguarding of assets 

Physical protection of assets



Requires o

Effective supervision and segregation of duties

o

Physical protection measures designed to restrict access

o

Protect

and

control

access

to

records

and

documents

-- blank checks, purchase orders, bank codes, etc Internal check o

Independent

review

of

performance

of

clerical

functions

compare two independent sets of records: e.g. bank reconciliation, subsidiary

reconciliation

compare records to physical count: e.g. periodic inventory o

Basis for double entry accounting system: debits = credits 

use differences to trace error



finds errors more likely to be made by a human than a computer

In addition, accounting and data processing must be operationally efficient.

322

The specific target used to determine whether a control is operating effectively is called the control objective. Control objectives fall under several detailed categories; in financial auditing, they relate to particular financial statement assertions, but broader frameworks are helpful to also capture operational and compliance aspects.

Framework for Internal Control:

The framework looks at the following conditions/aspects i. Existence (Validity): Only valid or authorized transactions are processed (i.e., no invalid transactions) ii. Occurrence (Cutoff): Transactions occurred during the correct period or were processed timely. iii. Completeness: All transactions are processed that should be (i.e., no omissions) iv. Valuation: Transactions are calculated using an appropriate methodology or are computationally accurate. v. Rights & Obligations: Assets represent the rights of the company, and liabilities its obligations, as of a given date. vi. Presentation & Disclosure (Classification): Components of financial statements (or other reporting) are properly classified (by type or account) and described. vii. Reasonableness-transactions or results appear reasonable relative to other data or trends.

Internal Control Activities: Internal control activities are designed to provide reasonable assurance that particular objectives are achieved, or related progress understood. These activities include: i.

Separation of Powers/Segregation of duties - separating authorization, custody, and record keeping roles to limit risk of fraud or error by one person.

323

ii.

Authorization of transactions - review of particular transactions by an appropriate person.

iii.

Retention of records - maintaining documentation to substantiate transactions.

iv.

Supervision or monitoring of operations - observation or review of ongoing operational activity.

v.

Physical safeguards - usage of cameras, locks, physical barriers, etc. to protect property, such as merchandise inventory.

vi.

Top-level reviews-analysis of actual results versus organizational goals or plans, periodic and regular operational reviews

vii.

IT Security - usage of passwords, access logs, etc. to ensure access restricted to authorized personnel.

viii.

Top level reviews-Management review of reports comparing actual performance versus plans, goals, and established objectives.

ix.

Controls over information processing-A variety of control activities are used in information processing. Examples include edit checks of data entered, accounting for transactions in numerical sequences, comparing file totals with control accounts, and controlling access to data, files and programs.

Role and Responsibilities of Internal Control Who is Responsible for Internal Control? i. Everyone in an organization has responsibility for internal control to some extent. This is so because virtually all employees produce information used in the internal control system or takes other actions needed to effect control. ii. Everyone in an organization has responsible for communicating upward problems in operations, noncompliance with the code of conduct, or other policy violations or illegal actions. iii. Management is responsible for maintaining a system of internal control generallyhe Management or more precisely the Chief Executive Officer of the organization has overall responsibility for designing and implementing effective internal control. iv. The chief executive of the organization sets the "tone at the top" that affects integrity and ethics and other factors of a positive control environment.

324

v. The internal auditors and external auditors of the organization also measure the effectiveness of internal control through their efforts. They assess whether the controls are properly designed, implemented and working effectively, and make recommendations on how to improve internal control.

Benefits/Functions of Internal Control i. Internal control plays an important role in preventing and detecting fraud and protecting the organization's resources, both physical (e.g., machinery and property) and intangible (e.g. reputation or intellectual property such as trademarks). ii. At the organizational level, internal control objectives enhances the reliability of financial reporting, timely feedback on the achievement of operational or strategic goals, and compliance with laws and regulations. iii. At the specific transaction level, internal control refers to the actions taken to achieve a specific objective (e.g., how to ensure the organization's payments to third parties are for valid services rendered.) iv. Internal control procedures reduce process variation, leading to more predictable outcomes. v. Effective internal control implies the organization generates reliable financial reporting and substantially complies with the laws and regulations that apply to it. vi. Internal control is considered very important; in many countries internal control is provided for as part of ways of ensuring appropriate corporate discipline. The Nigerian Company and Allied Act (1990) for example has relevant provisions that suggest the importance ascribed to internal control in a corporate organizations.

Procedures/Steps to Ensure Effective Internal Control 

Assigning authority and responsibility o Written

policies

and

procedures manual

(includes

formal job

descriptions detailing responsibilities/ describes management policies) 325

o Standards of ethical behavior, acceptable practices, conflicts of interest 

Monitoring performance o Effective supervision o Performance reporting system o Internal auditing (organized independently of accounting and operating functions/review

and

evaluate

effectiveness

of

internal

structure) 

Personnel policies and practices o

Hire, train, evaluate, compensate, promote fidelity bonding

o

Required to take annual vacation

326

control

MODULE NINE: SESSION 5 Preparing Financial Reports Objectives:

By the end of this module, participants will be able to: 1. Share their experiences in financial reporting in their organisations 2. Identify and explain the purposes, objectives and requirements of financial reporting 3. Discuss the process/procedures of financial reporting in NSAs

Estimated time: 120 Minutes

Materials: Flipchart paper, markers, tapes, cards, A4 papers

Preparation Required: Facilitator should have studies the Facilitator’s Notes before the session; prepare the objectives and outcomes of the session; prepares on flipcharts the definitions of financial report, its main characteristics, importance and also steps in the preparation of financial reports. Reference to previous sessions in the module is encouraged

Training methodology Brainstorming, Group work, and Discussion

PROCESS: Step 1: Introduction

15 Minutes

The Facilitator introduces participants to the objectives and outcomes of the session. Where no questions are asked he/she puts up the flipchart with the meaning of financial reporting (The flipcharts are covered so that participants will not see the contents).

Step 2: Brainstorming

20 minutes 327

Facilitator requests participants to use their experience to brainstorm on the meaning of ‘financial report’. Facilitator writes three to five responses from participants on a flipcharts before disclosing the already prepared definitions to the participants. He/she then requests participants to compare their definitions with that already prepared on the flipcharts.

Step 3: Group work 1

15 minutes

The Facilitator breaks the participants up into four groups. Each group is given a flipchart containing two purposes/reasons and one key requirement of financial reporting for his/her group. The groups are given five minutes to read and discuss the contents and write down their observations, concerns and challenges with respect to applying these tenets in their organizations.

Step 5: Group work 2

15 minutes

Facilitator repeat the same process by re-grouping participants into four new groups to brainstorm on the topic importance/benefits of financial reporting. Outcomes of the group work are written out on flipchart papers that are later on presented in a plenary session. The facilitator will lead the participants to compare their responses with the material already prepared by the Facilitator.

Step 3 Discussion

15 minutes

Facilitator guides participants to discuss the steps adopted in their respective organizations to report financial transactions Their responses are jotted on the flipchart paper and compared with the material already prepared by the Facilitator.

Step 4: Wrap up and Evaluation

10 Minutes

Facilitator concludes the session encouraging participants to note that this session deepened their understanding of the process of financial reporting. To assess their understanding of the sessions, Facilitator request participants to respond to the following questions: (iii)

What are the steps in financial reporting?

(iv)

Why are many NSAs finding it difficult to practice financial reporting?

328

FACILITATOR’S NOTES Facilitator begins by introducing participants to the objectives and outcomes of the sessions. In a plenary session the Facilitator discusses financial reporting as a key element in the promotion of accountability and transparency. Nonprofit organizations have an ethical obligation to their constituents and the public to conduct their activities with accountability and transparency as discussed in one of the previous sessions. It is therefore expected that nonprofit organizations should regularly and openly convey information about their activities, accomplishments and decisionmaking processes including financial reporting. Facilitator uses questions and answers to solicit participants’ response on why an organization (especially nongovernmental organizations) need to report periodically on its financial transactions, and also how, and for what benefits. In a group working session, participants will be asked to apply the identified steps in financial reporting to their respective organizations and discuss their observations in plenary sessions.

I.

Meaning of Financial Report

A financial report is a formal record of the financial activities of an organization, person, or other entity. In some cases financial reports are referred to as ‘financial statements’. These are record s of financial transactions presented in a structured manner and in a form easy to understand. Typically financial reports include four basic financial statements 1. Balance sheet: also referred to as statement of financial position or condition, reports on a company's assets, liabilities, and Ownership equity at a given point in time.

2. Income statement: also referred to as Profit and Loss statement (or a "P&L"), reports on a organization’s income, expenses, and profits over a period of time. Profit & Loss account provide information on the operation of the enterprise. These include sale and the various expenses incurred during the processing state.

329

3. Statement of retained earnings: explains the changes in an organization's retained earnings over the reporting period.

4. Statement of cash flows: reports on a company's cash flow activities, particularly its operating, investing and financing activities.

For large corporations, these statements are often complex and may include an extensive set of notes to the financial statements and management discussion and analysis. The notes typically describe each item on the balance sheet, income statement and cash flow statement in further detail. Notes to financial statements are considered an integral part of the financial statements.

The financial statements of non-profit organizations that publish financial statements, such as charitable organizations and large voluntary associations, tend to be simpler than those of for-profit corporations. Often they consist of just a balance sheet and a "statement of activities" (listing income and expenses) similar to the "Profit and Loss statement" of a for-profit.

II.

Purpose of Financial Report

The main objective of financial statements is to provide information about the financial position, performance and changes in financial position of an organization, person or any other entity. In this way important information about the financial status/transactions of an organization/ person that is useful to a wide range of users in making economic decisions is made available. 

Leadership of organizations requires financial statements to make important management decisions that affect its continued operations. Financial analysis is then performed on these statements to provide management with a more detailed understanding of the figures. These statements are also used as part of management's annual report to the stockholders (recall the session on transparency and accountability).



Financial reports are also useful for measuring performance especially when there is need to measure outcomes against investments in human and material resources.

330



Prospective donors/funders can demand to seen the financial reports of organizations requesting for assistance and grants to enable them review such applications. Financial analyses are often used by donors/funders to provide them with the basis for making decisions.



Financial institutions (banks and other lending companies) use them to decide whether to grant an organization loans to finance expansion and other significant expenditures.



Media and the general public are also interested in financial statements for a variety of reasons.

III.

Characteristics /Requirements and Contents of Financial Reports

Understandability Information should be presented in a way that is readily understandable by users who have a reasonable knowledge of business and economic activities and accounting and who are willing to study the information with reasonable diligence.

Relevance Information in financial statements is relevant when it influences the economic decisions of users. It can do that both by (a) helping them evaluate past, present, or future events relating to an entity and by (b) confirming or correcting past evaluations they have made.

Materiality is a component of relevance. Information is material if its omission or misstatement could influence the economic decisions of users.

Timeliness is another component of relevance. To be useful, information must be provided to users within the time period in which it is most likely to bear on their decisions.

Reliability 331

Information in financial statements is reliable if it is free from material error and bias and can be depended upon by users to represent events and transactions faithfully.

There is sometimes a tradeoff between relevance and reliability - and judgement is required to provide the appropriate balance.

Reliability is affected by the use of estimates and by uncertainties associated with items recognized and measured in financial statements. These uncertainties are dealt with, in part, by disclosure and, in part, by exercising prudence in preparing financial statements. Prudence is the inclusion of a degree of caution in the exercise of the judgments needed in making the estimates required under conditions of uncertainty, such that assets or income are not overstated and liabilities or expenses are not understated. However, prudence can only be exercised within the context of the other qualitative characteristics in the Framework, particularly relevance and the faithful representation of transactions in financial statements. Prudence does not justify

deliberate

overstatement

of

liabilities

or

expenses

or

deliberate

understatement of assets or income, because the financial statements would not be neutral and, therefore, not have the quality of reliability.

Comparability Users must be able to compare the financial statements of an entity over time so that they can identify trends in its financial position and performance. Users must also be able to compare the financial statements of different entities. Disclosure of accounting policies is important for comparability.

Elements of Financial Report/Statement Financial statements portray the financial effects of transactions and other events by grouping them into broad classes according to their economic characteristics. These broad classes are termed the elements of financial statements.

332

The elements directly related to financial position (balance sheet) are: 

Assets



Liabilities



Equity

The elements directly related to performance (income statement) are: 

Income



Expenses

The cash flow statement reflects both income statement elements and some changes in balance sheet elements. 

Asset. An asset is a resource controlled by the entity as a result of past events and from which future economic benefits are expected to flow to the entity.



Liability. A liability is a present obligation of the entity arising from past events, the settlement of which is expected to result in an outflow from the entity of resources embodying economic benefits.



Equity. Equity is the residual interest in the assets of the entity after deducting all its liabilities.



Income. Income is increases in economic benefits during the accounting period in the form of inflows or enhancements of assets or decreases of liabilities that result in increases in equity, other than those relating to contributions from equity participants.



Expense. Expenses are decreases in economic benefits during the accounting period in the form of outflows or depletions of assets or incurrence of liabilities that result in decreases in equity, other than those relating to distributions to equity participants.

IV.

Step in the Preparation of Financial Statements

333

Most organizations create financial statements at the end of each month, quarter and fiscal year. These financial statements tell the story of how well the organizations have done over a certain period of time - monthly, quarterly or yearly.

These financial statements are analyzed and reviewed for management reasons and decision-making reasons.

Financial statements are created using the information from ledger accounts. One statement uses and builds on the information of another.

Income Statement The income statements are usually the first financial statement to be created. The information is drawn from the ledger accounts and formed into the income statement.

The income statement reports the revenues, expenses and resulting net income or loss. This statement only shows the results for the period that it was created for. The ledger accounts that are used in the creation of the financial statement are the revenue accounts, expense accounts and capital gains or losses accounts.

Statement of Retained Earnings The next statement to be created is the statement of retained earnings. This statement uses information directly from the financial statement. This statement shows the earnings retained by operations. In order to build this statement, you must take the beginning retained earnings from the previous period as well as the net income from this current period. This statement also takes into account the dividends paid out during the accounting period. The dividends paid out are subtracted from retained earnings.

Balance Sheet The next statement to be created is the balance sheet. The balance sheet is meant to report on an organization’s financial health at a given period in time. This statement has three sections: assets, liabilities and owners equity. This statement simply reports the balances of these accounts and tallies the results. If the balance sheets show more assets than liabilities, the business is headed in the right direction.

334

335

Appendix I

Glossary of Key Terms 

Assets : furniture (e.g. desks, chairs) and equipment (e.g. welding



machine)



Audit : auditor takes stock of the financial transactions and ensures that there is no irregularities in the financial management of the co-operative



Breakeven : no loss or profit made on sale of goods



Budget : funds that have been approved to meet expenses



Capital : money required for start-up and running costs of the organization



Capital Needs : amount of resources for start-up (e.g. computer, desks)



Cash Flow : funds available to run the co-operative



Cash Register : to record a sale and issue a receipt



Cash Slip : voucher issued in respect of receipt of payment



Credit : to purchase an item or commodity and pay at a later date



Debts : money owed (if liabilities exceed assets then you are



in debt)



Delivery note : proof of delivery (goods or services received)



Garnishee : summons to court for non-payment



GRN : (Goods Received Note) Proof of goods or services received



Insolvency : liabilities exceed assets, cannot pay back money owed or meet operational cost



Invoices: a document that tells you to pay for the goods or materials you have received. An invoice lists details of what you have bought and tells how much you must pay, when you must pay, who you must pay, and how you must pay.



Liability: debts; money that must be paid. Debt on terms of less than five years is usually called a short-term liability, and debt for longer than five years is a long-term liability



Mark-up : percentage mark-up on cost of goods



Petty Cash: money used to meet day-to-day expenses for running the office (e.g. posting letters, buying tea, etc.), separate from money in the bank.

336



Profit : difference between cost and selling price



Reimbursements : expenses accrued by staff on behalf of the co-operative



that must be paid for



Remuneration: payment made to the board for services rendered.



Requisition : form to complete in order to seek authority to effect



payment for goods or services received (this is tokeep proper records of monies spent by the organization)



Working Capital : money to cover fixed and variable costs



Allowance : money allocated for task or extra service (e.g. travel)



Balance Sheet : shows assets and liabilities of the co-operative (how



much the co-op is worth)



Bank Statement : reflects financial activities in cheque account(money



in and out)



Bookkeeping : daily records of financial transactions



Cheque : a form of paper payment(banks debit and credit



accounts from cheque payments)



Cheque account : can write cheques against account



Deposit Book : record of deposits and withdrawals from cheque



account



Disbursements : money paid out for incurring an expense



Financial : the system on how to manage finances



Management



Income statement: compares income to expenses. Shows profit or loss



Insurance : protection against loss or damage



Record Keeping : detailed records of all transactions



Refund : money or goods returned



Savings account : money is saved and accrues interest



Service Charges : fee charged by banks for transactions



Subsistence : reimbursement of costs accrued by members (e.g.



Allowance travel costs for conferences)



Suspense : transactions that do not have proper account 337

MODULE TEN Governance and Management Issues

Aim The aim of the Module to build the capacity of NSAs in good governance and management

Structure of Module

Session 1- Internal Governance: Principles and Practice Session 2 - Leadership & Management in NSAs. Session 3 - Principle and Practice of Strategic Planning Session 4 - Team Building in NSAs

338

MODULE SESSION

Internal Governance: Principles and Practice Session Objectives: 1. By the end of this module, participants will be able to: 2. Explain the concept of internal governance 3. Share their experiences on internal governance in their organisations 4. Appreciate the practice of good internal governance in their organisations

Estimated time: 120 Minutes

Materials: Flipchart paper, markers, tapes, cards and A4 papers.

Preparation Required: Facilitator should read the Training Manual well ahead of time. She/he should prepare on the flipchart papers all necessary terms/definitions, assignments, and group works as appropriate. Facilitator should prepare on flipchart papers the definitions of ‘governance’ ‘internal governance’, and the importance of good internal governance.

Training methodology Discussion, Experience sharing, Mini-lecture

PROCESS

Step 1 Introduction

20 Minutes

The facilitator introduces participants to the objectives and expected outcomes of the session. She/he tells them that the first activity is for the group to have a common understanding of ‘internal governance’.

339

Step 2: Brainstorming

30 Minutes

Facilitator writes on a flipchart paper the term ‘internal’ and asks the participants to say what they understand by it. Their responses are written on the same flipchart paper. On another flipchart paper she/he writes the term ‘governance’ and asks participants to say their understanding of it. Their responses are jotted on the same flipchart paper and compared to the definitions on the flipchart paper already prepared by the Facilitator.

Step 2: Experience- sharing

30 minutes

Facilitator requests participants to pair up and share their experience on internal governance in their organizations. The discussion should be guided by the following questios: (i)

What type of internal governance doe your organization have have?

(ii)

What type of internal governance should NSAs have?

(iii)

Why do NSAs need to have good internal governance?

(iv)

What are the indicators of good internal governance?

Step 4 (20 minutes):- In a brainstorming session, Facilitator tells participants to state the elements and indicators of good internal governance in NSAs. Participants’ responses are written on a flipchart paper as they are mentioned. If the principles listed in the facilitator’s notes are left out, the facilitator should present and discuss same with participants.

Step 3: Mini-lecture

30 Minutes

Facilitator introduces to participant the basic principles of good internal governance using already prepared material on the flipchart paper or power point.

Step 6: Wrap up and Evaluation

10 Minutes

Facilitator concludes the session by telling participants the next session will be on leadership and management. To assess their understanding of the sessions, Facilitator request participants to respond to the following questions: 340

(v)

What is internal governance?

(vi)

Why is internal governance important?

(vii)

What are the basic principles of good internal governance?

FACILITATOR’S NOTES Facilitator begins by introducing participants to the objectives of the sessions. In a plenary session participants are asked to explain key terms such as ‘governance’, ‘internal governance’, ‘policy making’ using their own language and English language. All the concepts are then related to show the importance of good internal governance in an organization. In a brainstorming session participants respond to why good internal governance is important. Participants’ responses are then compared with already prepared reasons.

I. 

Definition of Governance/Internal Governance

Governance refers to the set of measures through which either societies or organizations are governed or directed.



Internal governance refers to governance within organizations, with a particular focus on how internal conditions change as a result of broader societal processes of change.



Good governance is about both: o

Performance—how an organization uses governance arrangements to contribute to its overall performance and the delivery of goods, services or programmes, and

341

o

Conformance—how an agency uses governance arrangements to ensure it meets the requirements of the law, regulations, published standards and community expectations of probity, accountability and openness.

II.

Elements and Indicators of Good Internal Governance

i. Effective and efficient corporate governance - This refers to the existence of a set of rules that define the relationship between stakeholders, management, and board of governors/directors of an organization and influence how that organization is operating.

ii. The presence of strong governance standards provides better access to resources also contributes to organizational growth.

iii. Presence/prominence of values of fairness, transparency, accountability, and responsibility to stakeholders.

iv. A sound institutional environment- Elements such as secure private property rights, functioning judiciary, and free press are necessary to translate corporate governance laws and regulations into on-the-ground practice.

III.

Importance of Good Internal Governance 

Good internal governance helps an organization achieve its objectives.

On the other hand, poor governance can bring about the decline or even demise of an organization.



Good governance contributes positively to public confidence in an organization, capability and integrity, as well as its employees’ satisfaction levels.

IV.

Principles and Framework of Good Internal Governance

The governance framework is based on the following principles including: 342



Accountability—being answerable for decisions and having meaningful mechanisms in place to ensure the organization adheres to all applicable standards



Transparency/openness—having clear roles and responsibilities and clear procedures for making decisions and exercising power



Integrity—acting impartially, ethically and in the interests of the agency, and not misusing information acquired through a position of trust



Stewardship—using every opportunity to enhance the value of the public assets and institutions that have been entrusted to care



Efficiency—ensuring the best use of resources to further the aims of the organization,

with

a

commitment

to

evidence-based

strategies

for

improvement 

Leadership—achieving an agency-wide commitment to good governance through leadership from the top.

343

MODULE TEN: SESSION 2

Responsibilities/Functions of Leadership in Management Session Objectives 1. By the end of this module, participants will be able to 2. Identify qualities of good leadership in organition 3. Identify the roles and responsibilities of effective leaders 4. Appreciate the need for good leadership in the management of NSAs.

Estimated time: 90 Minutes

Materials: Flipchart paper, markers, tapes, cards and A4 papers.

Preparation Required Facilitator should read the Training Manual well ahead of time. She/he should prepare on the flipchart papers all necessary terms/definitions, assignments, and group works as appropriate. Facilitator should prepare on flipchart papers the definitions of ‘governance’ ‘internal governance’, and the importance of good internal governance.

Methodology Brainstorming, Role play, Open Discussion, Mini-lecture, Experience sharing

PROCESS: Step 1: Introduction

10 minutes

The facilitator introduces participants to the objectives and outcomes of the session.

She/he tells them that the first activity is for the group to define leadership and management.

Step 2: Brainstorming

20 Minutes 344

At plenary, participants are requested to brainstorm on the definitions of leadership and management. Facilitator writes on a flipchart paper the various definitions then compares with the definitions already prepared on flip chart or power point. See facilitators notes.

Step 2: Open Discussion

20

Minutes

Facilitator leads a discussion with the group about the importance of leadership with the following questions as guide: Why is leadership important? Why would anyone want to be leader? What are the benefits of being a leader? What are the benefits for you as a participant? Their responses are jotted on the flipchart paper and compared to materials prepared on the flipchart.

Step 3: Role Play

30 Minutes

Facilitator guides participants to do a role play e.g. Trust Walk. Processing questions may include the following: How does it feel to lead or be led?

What skills are needed to be a leader and a follower?

What are the basic functions of management?

What are the experiences around leadership and management issue among NSAs?

Their responses are jotted on the flipchart paper and present at plenary.

Step 4 Mini-lecture

20 Minutes

Facilitator is to do a brief presentation on flipchart or power point to consolidate the learning. See facilitators’ notes for resource.

Step 5: Wrap up and Evaluation

10 Minutes

To assess their understanding of the sessions, Facilitator requests participants to respond to the following questions: (viii)

What are the characteristics of good leadership?

(ix)

Why is leadership important in NSAs

(x)

What are the basic principles for leadership development?

345

FACILITATOR’S NOTES Facilitator should encourage participants to seriously consider as strategic objectives identifying, developing and sustaining leadership in their respective organizations.

Without leaders at every level of organizations, organizations may well underperform. Also, such organizations may miss strategic opportunities, stifle innovation, underutilize their employees, and fall short of their goals/targets in service delivery, quality, and productivity. Leadership at every level makes all of the difference as to whether an organization will be around for the long haul. Participants are then informed about the next session will be on strategic plan.

Seven Habits of Highly Effective People.

Facilitator may share with the participants these points form a popular book: Seven Habits of Highly Effective People. This book lists seven habits that will make any person an effective leader. Facilitator to go over the Seven Habits and discuss them briefly: • Be proactive • Begin with the end in mind • Put first things first • Think Win-Win • Seek first to understand, then to be understood • Synergize…work together to achieve more • Sharpen the saw

Seven Habits of Highly UN-EFFECTIVE people.

• Begin with no end in mind • Put first things last • Think Win-Lose • Seek first to talk, then pretend to listen • Don’t cooperate 346

• Wear yourself out

Role of leadership in organisation 

Planning/Organizing/Prioritizing: helping the organization to set goals and stay focused on them



Oversight and Evaluation: tracking progress toward goals; evaluating how effective the organization is in fulfilling its purpose, how efficient it is in operating, and how well the team works together



Communication: articulating the goals and vision of the organization ; encouraging involvement and showing the value of involvement for individual recovery and for the organization as a whole



Leadership Development: helping all members find ways to serve and contribute their talent; matching that talent to task and bringing out the best in others (coaching and mentoring)



I.

What is leadership? What is management?

Leadership simply refers to a process of social influence in which one enlists the aid and support of others to accomplishment of a common task.

Management is the act of getting people together to accomplish desired goals and objectives. It comprises of planning, organizing, staffing, leading or directing, and controlling an organization.

II.

Why is leadership important? i. • Become a role model for others ii. • To do good for the community iii. • Create change iv. • To learn more about your hidden strengths and talents v. • It will make you more competitive for college vi. • You will have access to more grants and scholarships vii. • The skills can help you in the future (e.g. college, job/career, personal life) 347

III.

What skills will you need to be a leader? i. • Confidence ii. • Initiative iii. • Determination iv. • Critical thinking skills v. • Good listening skills vi. • Good people skills

V.

Basic functions of management

These can be classified as planning, organizing, leading/directing, and controlling/monitoring. i. Planning: Deciding what needs to happen in the future and generating plans for action. ii. Organizing: (Implementation) making optimum use of the resources required to enable the successful carrying out of plans. iii. Staffing: Job analyzing, recruitment, and hiring individuals for appropriate jobs. iv. Leading/Directing: Determining what needs to be done in a situation and getting people to do it. v. Controlling/Monitoring: Checking progress against plans, which may need modification based on feedback VI.

What are the core competences of effective leadership?

Some of the competencies that are central to the role of leaders include:

348



Strategic Thinking



Coaching



Problem Solving



Decision Making



Systems Thinking



Delegation



Performance Management and

Inspiring a Shared Vision



Managing Conflict



Building and Sustaining Teamwork

Leading Change



Quality and Productivity Improvement

Accountability 





Servant Leadership



Emotional Intelligence



Innovation and Creativity



Customer Service



Employee Development



Develop Trust



Dealing with Ambiguity

MODULE TEN: SESSION 3

Principle and Practice of Strategic Planning

Session Objectives By the end of this module, participants will be able to: 1. Discuss strategic planning as a tool for effective management; 2. Share experiences on strategic planning in their families and their organization: 3. Appreciate strategic planning as a tool for effective management.

4. Demonstrate their understanding of strategic planning by drawing up work plans

349

Estimated time: 120 Minutes

Materials: Flipchart paper, markers, tapes, cards and A4 papers

Preparation Required: Facilitator should read the Training Manual well ahead of time. She/he should prepare on the flipchart papers all necessary terms/definitions, assignments, and group works as appropriate. Facilitator prepares the definitions of Strategic Planning, and the importance, key elements and steps in strategic planning on the flipchart papers or power point.

Methodology Brain storming, Discussion, Mini-lecture, Group work, Experience sharing, PROCESS:

Step 1: Introduction

15 minutes

The facilitator introduces participants to the objectives and outcomes of the session.

He/she tells them that the first activity is for the group to have a common understanding of strategic planning and a tool for effective management.

Step 2: Brainstorming

15 Minutes

Facilitator writes on a flipchart paper the term ‘strategy’ and asks the participants to say what they understand by it. Their responses are written on the same flipchart paper. On another flipchart paper she/he writes the term ‘planning’ and asks participants to say their understanding of it. Their responses are written on the same flipchart paper and compared to the definitions prepared by the Facilitator.

Step 2: Discussion

20 minutes

In a plenary session Facilitator requests participants to use their explanations of both terms (strategic planning to explain their understanding of the concept ‘strategic planning’. Their explanations are recorded on a flipchart paper. She/he goes ahead to ask them to harmonize their explanations into a common one. Facilitator refers

350

participants to the definition/description of strategic planning already prepared on a flipchart, and with them compares it with one they commonly produced.

Step 3: Mini-lecture

20 minutes

Facilitator introduces to participants strategic planning, and the steps in the development of a strategic plan using the guide below using flip chart or power point presentation: (i)

The benefits of a strategic plan in management

(ii)

Situation - evaluate the current situation and how it came about.

(iii)

Target - define goals and/or objectives (sometimes called ideal state)

(iv)

Path - map a possible route to the goals/objectives

Step 4: Group work and Presentation:

40 Minutes

Participants are divided into groups to attempt to do strategic planning, using their groups as hypothetical organisations. Each group is to make a presentation at plenary.

Step 5: Wrap up and Evaluation

15 minutes

Facilitator should make participants to understand that organizational planning sets the overall direction, activities and strategies an organization employs to fulfill its mission. NSAs have a duty to engage in sound planning, define a clear vision for the future, and specify strategies, goals and objectives for plan implementation.

Facilitator should emphasize the following points in consideration of challenges in the development and practice of strategic plan: i. That creating a vision, values, and a strategic plan can be a daunting task for reasons like time, energy, commitment and lack of experience. ii. That yesterday’s success does not ensure success in the future. It requires challenging

the

status

quo,

changing

behaviors,

implementing

new

procedures, hiring different people, and putting new systems in place in order to deliver on the strategy.

351

iii. That the best plans and ideas without great execution are just plans or ideas, they don’t result in much of anything. Regardless of the size of an organization, a strategic plan is the foundation on which all operations and activities can be connected and “aligned”.

Facilitator concludes the session by telling participants the next session will be on building skills for team work . To assess their understanding of the sessions, Facilitator request participants to respond to the following questions:

i. What is strategic planning? ii. Why is strategic planning important in management? iii. What are the steps in the development of a strategic plan?

FACILITATOR’S NOTES Vision - Define the vision and set a mission statement with hierarchy of goals and objectives (vi)

SWOT - Analysis conducted according to the desired goals

(vii)

Formulate - Formulate actions and processes to be taken to attain these goals

(viii)

Implement - Implementation of the agreed upon processes

(ix)

Control - Monitor and get feedback from implemented processes to fully control the operation

352

I.

Planning in Management Process

Planning is a continual process through all phases of the dynamic management process.

What is Strategic plan? o Strategic planning is an organization's process of defining its strategy, or direction, and making decisions on allocating its resources to pursue this strategy, including its material and human resources. o Strategic planning is the formal consideration of an organization's future course. It is an exercise of foresight that takes informed decisions about the future. o All strategic planning deals with at least one of these key questions: i.

What organization are we, and what do we do?

ii. What organization do we wish to be? iii. How do we get to become and remain the kind of organization that we wish to be?

In consideration of the above questions strategic planning represents a process for determining where an organization is going over a period of time. In order to determine where it is going, the organization needs to know exactly where it stands, then determine where it wants to go and how it will get there. The resulting document is called the Strategic Plan – a document that describes an organization’s strategy or direction, and which helps to make decisions on allocating its material and human resources to pursue this strategy.

The purpose of strategic planning is to build a sustainable future within a continually changing environment.

353

II.

Strategic Analysis Techniques

A strategic analysis technique refers to an analysis techniques used in strategic planning. These include: SWOT analysis (Strengths, Weaknesses, Opportunities, and Threats ), PEST analysis (Political, Economic, Social, and Technological), STEER

analysis

(Socio-cultural,

Technological,

Economic,

Ecological,

and

Regulatory factors) EPISTEL (Environment, Political, Informatic, Social, Technological, Economic and Legal).

III.

Key Elements of a Strategic Plan

The key elements of a Strategic Plan are Mission, Vision and Values Mission: Defines the fundamental purpose of an organization, succinctly describing why it exists and what it does to achieve its Vision. There are long terms or the short term missions.

A mission is not an objective with a timeline, but rather the overall goal that is accomplished as organizational goals and objectives are achieved.

Vision: Defines the desired or intended future state of an organization in terms of its fundamental objective and/or strategic direction.

Vision is a long term view, sometimes describing how the organization would like the world in which it operates to be. For example a charity working with the poor might have a vision statement which read "A world without poverty" It is sometimes used to set out a 'picture' of the organization in the future. In that regard a vision statement provides inspiration, the basis for all the organization's planning. It can be constructed to answer the question: "Where do we want to go?"

354

Values: Beliefs that are shared among the stakeholders of an organization. Values drive an organization's culture and priorities.

IV.

Stages in the Development of Strategic Plan

Typically, a strategic planning process involves the following stages: 

Designing the Plan: This entails preparation of the plan process i.e planning the plan.



Conduction Situation Analysis: This simply entails an evaluation of the current situation and how it came about. For example, it may involve scanning

the

organization ‘s internal environment to determine its strengths, weakness and constraints and its external environment to determine its opportunities and threats (SWOT). 

Formulating the Mission/Vision Statements and Goals: This stage is based on the SWOT analysis. The organization’s vision defines the desired or intended future state of an organization in terms of its fundamental objective and/or strategic direction. The organization’s mission defines the fundamental purpose of an organization, succinctly describing why it exists and what it does to achieve its vision.

The organization’s goals are concise statements, each of which describes an action theme around which are focused a series of activities. Taken together, the organization vision, mission and goals statements should define the purpose and kind of organization envisaged and the mode in which it intends to offer its provision.



Production of Planning Guidelines: Planning guidelines provide detailed objectives and outline broad activities envisaged for the accomplishment of the goal as they relate to the units in the organization.



Production of Strategic Plan: This entails developing specific activities that would contribute to achieving the objectives outlined in the planning guidelines. The activities are broken down in groups spanning over a period of three or five years with overall projection of incomes from all sources. Each unit in the organization 355

prepares its plan based on the strategic planning guidelines and these are centrally processed to arrive at the organization’s strategic plan. Then follows stakeholders’ consultations, after which it is revised where necessary and produced as a finalized document. 

Formulation of Strategies:

This stage consists of producing periodic (usually

annual) operational plans and budgets. At this stage, the organization examines whether or not the strategic objectives set out in the plan are relevant; whether there are unexpected opportunities which should be exploited; and why some of the earlier set objectives have not been achieved. 

Plan Monitoring and Assessment: At this stage the plan defines frameworks for monitoring and evaluation of performance, results, outcomes and impact.

Implementation of Strategy by the Organization: This involves carry out activities outlines in the operational plans. It is simply the implementation of the agreed upon processes in the plan.



Feedback Evaluation and Review: Evaluation and review of the strategic plan are carried out, usually after a period, three or five years.

The organization gets

feedback from implemented processes to fully control the operation

Strategic planning is a continuous rolling process of both planning and implementation of plans.

It involves reviewing the organization’s mission and setting qualifies targets or obstacles in the context of internal and external environment of the organization. It requires inventing new categories, not merely rearranging old ones in order to facilitate real strategic change.

It is also a collective exercise as all stakeholders should be involved in the process for it to succeed.

As a medium – to – long term form of planning, it generally spans a period of three to five years.

356

V.

Benefits of Strategic Planning

1. Strategic planning provides organizations with purpose and direction. How are you going to get somewhere if you don’t know where you are going?

Everyone in an organization needs to know what you sell or do, who your target beneficiaries are etc.

2. Strategic plan helps organization to effectively and efficiently deploy resources

3. Strategic planning is a requirement to survive in a fast changing world.

Strategic planning helps the leadership of organizations to look ahead, anticipates change, and develops a strategy to proactively and successfully navigate through the turbulence created by change.

4. Strategic plan helps to reduce risk of failure. Organizations that don’t plan have exponentially higher rates of failure than those that plan and implement well.

5. It provides opportunity for all stakeholders to participate in deciding the priorities and setting the objectives and thereby enlists their commitments and action towards achieving such objectives.

357

MODULE TEN: SESSION 4 Team Building Objectives By the end of this module, participants will be able to: 1.

2. List and discuss critical skills for effective team performance 3. List and describe essential requirements for effective team work 4. Demonstrate their understanding of a team or group charter format and how to develop one Estimated time: 120 Minutes

Materials: Flipchart paper, markers, tapes, cards, A4 papers and others

Preparation Required: Facilitator should read the Training Manual well ahead of time. She/he should prepare on the flipchart papers all necessary terms/definitions, assignments, and group works as appropriate. .

Methodology Brainstorming, Discussion, Role Play, Group work.

PROCESS:

Step 1: Introduction

15 minutes

The facilitator introduces participants to the objectives and outcomes of the session.

He/she tells them that the first activity is for the group to have a common understanding of team work.

Step 2: Brainstorming

15 Minutes

Facilitator flashes the term ‘team’ on a flash card and asks the participants to say what they understand by it. Their responses are written flipchart paper. Then s/he flashes another term ‘work’ and asks participants to say their understanding of it.

358

Their responses are also jotted on the same flipchart paper and both are compared to the definitions below:

Team: A group of people in a common purpose.

Work: The effort applied to produce a deliverable or accomplish a task.

Teamwork: The capability to comprehend and recognize the diverse strengths and abilities in a group setting and then applying them to one final solution.

Step 3: Role Play

30 minutes

Facilitator selects some participants to do a role play on team building. (A good role play that will reflect the characteristic of team spirit, the stages and the challenges should be used). Processing questions for the role play should include the following: o Did team members share a common goal? o Was each of them working towards achievement of this goal? o What were the distracting factors in the team? o Was individual differences recognized in the selection of the team. o Were the stages of team formation easily recognizable?

Step 4: Mini-lecture

15 minutes

Facilitator Presents already prepared session content on flip chart or power point.

Step 5: Group work and presentation

35 minutes

Facilitator breaks participants into groups to identify and discuss issues that need to be addressed as a team forms itself, or reforms itself. Group responses are written on a flipchart paper and presented at plenary.

Step 6: Wrap Up and Evaluation

10minues

Facilitator concludes the session by assessing participants’ understanding of the session. Facilitator requests participants to respond to the following questions:

(xi)

What is teamwork?

359

(xii)

Why are the ten essentials of teamwork?

(xiii)

What are the issues for consideration as a team forms itself or reforms itself?

FACILITATOR’S NOTES I.

Definitions of Terms

Team: A team comprises a group of people in a common purpose.

Work: The effort applied to produce a deliverable or accomplish a task.

Teamwork: Teamwork is the capability to comprehend and recognize the diverse strengths and abilities in a group setting and then applying them to one final solution.

III.

IV.

Ten essentials of team work include: 

Common Goals



Leadership



Interaction and Involvement of all members



Maintenance of Individual Self Esteem



Open Communication



Power within groups to make decisions



Attention to process and content



Mutual trust



Respect for differences



Constructive conflict resolution

Basics of a Team Charter Format The most important aspect to developing a team or group charter is the process of working together to become clear about what your purpose is: what values guide your work together, agreements about how to work together, who you serve and what stakeholders need from you and why, and who plays what role on a team or in the office. The charter is a written documentation of a dynamic 360

process. The dynamics process is on-going. Role clarification, values and norms need to be constantly clarified, especially as new members enter and exit teams.

Teams will be more successful if they address these issues together and revisit them at least every six months and whenever a new team member and/or leader enters the team. It is the monitoring and reassessing of the team member’s commitment to each other and programmatic progress and accomplishments on a regular basis that makes the Team Charter a living document as opposes to a document gathering dust on a shelf.

V.

Issues for Consideration as a Team forms itself or Reforms Itself 

What is our purpose? What are we supposed to do?



What are our operating values



How will we work together? For example, what are our operation norms (and what do they mean in behavioural terms – e.g. what do we mean by mutual accountability?)



What are the linkages do you need to establish or strengthen with other teams/offices/organizations?



What do our clients/stakeholders need from us. For example, how do we want to collaborate with them?



Who will do what? And what is my role?



How will we make decisions?



How will we resolve conflicts?



What do we expect from our team leader and what does he/she expect from us?

MODULE ELEVEN 361

Corporate Social Responsibility and Meeting the Needs of Constituents

Aim of Module

The main aim of the training module is to build the capacity of NSAs to practice and respond to needs of their constituents

Structure of Module Session 1- Introduction to Social Responsibility Session 2 - Meeting the Needs of Constituencies Session 3 - Skills in Income Generation & Entrepreneurial Training

362

MODULE SESSION

Introduction to Social Responsibility Objectives By the end of this module, participants will be able to: 1. Explain the concept and practice of social responsibility in NSAs 2. Identify and explain the elements and assumptions of the idea of social responsibility 3. List and identify the characteristics of an organization that is socially responsible to the community of stakeholders 4. List and identify indicators of social responsibility.

Estimated time: 90 Minutes

Materials: Flipchart paper, markers, tapes, cards, A4 papers

Preparation Required: Facilitator should study the Facilitator’s Notes before the session; prepare the objectives and outcomes of the session; prepare on flipcharts the definitions of social responsibility, and its importance.

Methodology Question and Answer, Group work,

PROCESS:

Step 1: Introduction

15 minutes

The Facilitator introduces participants to the objectives and outcomes of the session. If no questions are asked he/she puts up the flipchart with the meaning and key elements of social responsibility. (The flipcharts are covered so that participants will not see the contents)

363

Step 2: Discussion

20 minutes

Facilitator requests participants to use their knowledge and experience to give their own meaning of ‘social responsibility’. Facilitator writes three to five responses from participants on a flipcharts before disclosing the already prepared definitions to the participants. He/she then requests participants to compare their definitions with that already prepared on the flipcharts.

Step 3: Experience sharing

20 minutes

Facilitator requests participants to pair up and share activities in their organizations that represent social responsibility. Facilitator should then randomly select some pairs to share their experiences at plenary.

Step 3: Group work

20 minutes

The Facilitator breaks the participants up into four groups. A representative of each group is asked to pick a flipchart containing an element of social responsibility for his/her group. The groups are given five minutes to read and discuss the elements among their members. The elements of social responsibility include: 

Association with organization’s corporate values.



Voluntariness is central to social responsibility



Targeted at the stakeholders



Empowerment of the most vulnerable groups

Step 4: Mini-lecture

20 minutes

Facilitator makes a flip chart or power point presentation, which s/he had already prepared base the facilitators’ notes.

Step 5: Group Work Facilitator

20 minutes

re-groups participants into four new groups to brainstorm on the

challenges faced by NSAs around issues of social responsibility. Outcomes of the group work are written out on flipchart papers that are later on presented in a plenary session.

364

Step 4: Wrap up and Evaluation

15 minutes

Facilitator concludes the session encouraging participants to note that this session deepened their understanding of the concept and practice of social responsibility.

Participants are then informed about the next session will be on meeting the needs of their constituents. To assess their understanding of the sessions, Facilitator request participants to respond to the following questions: (xiv)

What are the activities a non-profit organization that ensures social responsibility?

(xv)

Why are many CSOs finding it difficult to practice social responsibility?

FACILITATOR’S NOTES I.

Meaning and Key Elements of Social Responsibility

Social responsibility is an idea or understanding that an entity such as a government, corporation, organization or individual has a responsibility to society at large. It is also the obligation of organization management to make decision and take actions that will enhance the welfare and interests of society as well as the organization.

Social responsibility as a non-binding, or soft law principle has received some normative status in relation to private and public corporations in the United Nations Educational, Social and Cultural Organization (UNESCO) Universal Declaration on Bioethics and Human Rights developed by the UNESCO International Bioethics Committee particularly in relation to child and maternal welfare, and the International Organization for Standardization (ISO). The latter is developing an international standard to provide guidelines for adopting and disseminating social responsibility.

II.

Elements of Social Responsibility 

Social responsibility is closely associated with organization’s corporate values.

365



Voluntariness is central to social responsibility - The voluntariness of its consideration and the universality of its domain represents the essence of the social responsibility



Social responsibility is targeted at the stakeholders in the following main areas of social responsibility which include: the employees, providers of finance, consumers,

community

and

environment,

government,

and

other

organizations or groups.  III.

Empowerment of the most vulnerable groups

Rationale/Main Assumptions 

Organizations benefit from society and, therefore, have an obligation to improve it.



Organizations do not exist by themselves; they consist of a group of people.

Therefore, people constitute the assets in an organization.



Stakeholders: it is of utmost necessity for people to participate with other people and for organizations to be able to carry out their mission.



Transparency: the fact of managing resources from other sources, and the need to count on the credibility of civil society make transparency a key issue in the relation with stakeholders.



Environmental management: all social activities consume natural resources and produce waste. It is each one’s responsibility to assume the impact this may causes on the environment and adapt its activity to it.



Communication: communication actions are responsible for the organization social image.



Social involvement: organizations develop a relationship with the environment where they live, which could be not linked with the activities they carry out.

IV.

Importance of Social Responsibility Social responsibility is quite important to the society, organization and human.

366



It is related to the ethical responsibility, and differentiates into difference level of social responsibilities, which is economic, legal, ethical, and discretionary responsibilities.



Helps many organizations to know and also to rationalize the impact of their interactions with the environment.



Helps to tighten the bonds with the rest of social agents (agents of positive social change)

MODULE ELEVEN: SESSION 2

Meeting the Needs of the Constituents Objectives By the end of this module, participants will be able to:

1. List and discuss the needs of their constituents 2. List and discuss strategies for responding to the needs of their constituents; 3. Appreciate the need to effectively respond to the needs of their constituents

Estimated time: 105 Minutes

Materials: Flipchart paper, markers, tapes, cards, A4 papers and others

Preparation Required: Facilitator should study the Facilitator’s Notes before the session. He/she prepares the objectives and outcomes of the session and the importance of effective response of NSAs to the needs of their constituents on the flipchart papers.

Methodology: . Focused Group Discussions, Group Exercises and Presentations, and Plenary Sessions.

367

PROCESS:

Step 1 Introduction

10 minutes

Facilitator introduces participants to the objectives and outcomes of the session.

He/she tells them that it is important for NSAs to build strong relationships with their constituents. In many cases, the strength of NSAs relationships can determine their success. NSAs need to keep in touch with their constituents, understand their needs, and develop appropriate response.

Step 2: Brain storming

20 Minutes

The first activity is for the group to have a common understanding of the concept of ‘constituent’. Facilitator writes on a flipchart paper the term constituent’. She/he asks the participants to say what they understand by it based on their understanding of the previous sessions and also the practice sin their respective organizations. Their responses are written down on a flipchart paper and compared to the definitions already prepared by the Facilitator.

Step 3: Group work

20minutes

Facilitator tells participants that finding out about the different needs of their constituents is very important, and that it is the first step towards ensuring relevance.

He/she then request participants to group themselves into four groups. Each group is to list and discus five major needs of the constituents of their respective organizations, how they came to discover these needs and also the strategies used to meet them and the results/outcomes. Each of the four groups records its findings on a flipchart paper for presentation at a plenary session. Participants are encouraged to ask questions. They are asked to compare their needs to find out which needs appeared most from all the groups. Facilitator refers participants to the already prepared material on wide range of needs of constituents of NSAs in Nigeria.

Step 4: Experience sharing

20minutes

368

Facilitator asks participants to share information and knowledge on principles of efficient and effective procurement and acquisition.

Participants’ responses are

written on a flipchart and shared at plenary.

Step 5: Discussion

20 minutes

Facilitator starts a discussion with participants in a plenary session using the following questions:   

What are the dominant, common and most pressing needs of the constituents?

How do NSAs plan and mobilize human and material resources to address these needs?

How does this affect the activities and operations of NSAs in Nigeria?

Step 6: Wrap up and Evaluation

15 minutes

Facilitator concludes the session by telling participants the next session will be on principles and practices of income generation and entrepreneurial training as one of the strategic response of NSAs to the needs of their constituents. To assess their understanding of the sessions, Facilitator requests some of the participants recall key points from the presentations so far made.

MODULE ELEVEN: SESSION 3 Skills in Income Generation and Entrepreneurial Training Objectives By the end of this session, participants should be able to: 1. Explain the concept and practice of income generation

369

2. Identify and discuss strategies and opportunities for income generation activities by NSAs 3. Appreciate the need for NSAs to engage in income generation activities

Estimated time: 105 Minutes

Materials: Flipchart paper, markers, tapes, cards, A4 papers

Preparation Required: Facilitator should study the Facilitator’s Notes before the session; prepare the objectives and outcomes of the session; prepares on flipcharts the definitions and examples of income generation, and also their importance and benefits.

Methodology Discussion, Group work/ group presentation

PROCESS Step1: Introduction

15 Minutes

Facilitator begins by introducing participants to the objectives and expected outcomes of the session.

Step 2: Discussion

20 Minutes

Facilitator requests participants to use their knowledge and experience from their respective organizations to give their own meaning of ‘income generation’ with illustrations/examples. Facilitator writes three to five responses from participants on a flipcharts before disclosing the already prepared definitions to the participants.

He/she then requests participants to compare their definitions with that already prepared on the flipcharts.

Step 3 : Group work and presentation

40 Minutes

The Facilitator breaks the participants up into four groups to perform the following tasks: 1. What is the reason/ purpose/ rationale for income generation among NSAs? 370

2. What are the benefits of income generating activities by NSAs? 3. List two strategies for income generation by NSAs 4. Share among the group one failed story and one successful story of income generation activities by NSAs Groups should present the responses at plenary.

Step 4: Mini-lecture

20 Minutes

Facilitator makes an already prepared power point or flip chart presentation on session content after which s/he request participants to ask question or make comments.

Step 4: Wrap up and Evaluation

10 Minutes

Facilitator concludes the session encouraging participants to note that this session deepened their understanding of income generation and its importance for sustainability, economic empowerment and other benefits. Participants are then informed told that some of the strategies discussed are applicable to individuals and well as organizations and they are also relevant to the previous sessions on meeting the needs of constituents.

FACILITATORS’ NOTES

Some reasons for generating funds 

Promoting Sustainability



Alternative sources of funding for activities



Economic and social empowerment especially for the most venerable groups (women and youths)



Promotion of Self-reliance and Reducing Donor’s Dependence



Meeting the Needs of Constituents

Strategies for generating income 371



Fund raising activities



Investment activities



Entrepreneurial activities (This needs to be discussed in some details; This strategies entails orientation and training in entrepreneurial skills for leaders and members of CSOs)



Activities of Cooperatives and thrift societies/movements



Commercialization of donor funded-activities (but with the consent and approval of the donors). And example may be the selling of publications, and also use of facilities funded by donors



Partnership with business enterprises/organizations



Soliciting for government’s supports / Exploring CSO/Government partnership

372