No Longer vulnerable The Oxfam Australia Program Framework for South Africa July 2012 – June 2015
Purpose This document is intended to provide the reader with a broad overview of the program framework for the OAU program in South Africa. It describes: the underpinning choices that will inform a more detailed design of the program management elements; the principles that will inform the work; and some of the key processes and ways of working. Over the course of the coming months elements of this framework will be detailed and the accompanying program management tools developed, tested and adopted. The framework is to be reviewed at the end of the phase to check it remains fit-for purpose, but will be treated as a ’living document’, open to adaptation and improvement as learning emerges from implementation.
The South African Context The South African socio-economic environment is characterised by inequality. This inequality is reflected in the relationships between men and women; in the disparities between rich and poor; and in the unevenness of access to essential services like health, education and social protection. While the legislative and policy frameworks of the country are sound (and often held up as some of the best in the world) there remains a distinct gap between the articulated ambitions and the implementation of programs. The consequence of this has been a failure of service delivery and increasing dissatisfaction on the part of the citizens of the country in relation to the State. The service delivery failures are compounded by the growing perception that the State is increasingly less accountable and that corruption is endemic and unchecked. This has the potential to increase political apathy and further erode accountability– a potential vicious cycle. The country faces a number of development challenges arising out of the stark inequality, the most critical and relevant to this discussion being:
the high levels of unemployment and poverty results in increasing vulnerability at an individual and community level;
poor health outcomes are compounded particularly by a generalised HIV and AIDS epidemic, high levels of poverty, poor administration and a lack of human resources for health;
communities are becoming increasing vulnerable to climatic and social shocks;
a lack of accountability, on the part of duty bearers for the delivery of social services.
While these are complex issues in and of themselves, they interact to further erode the country’s development program and progress. A sound development response in the South African context will need to be integrated and adaptable, and draw on a range of approaches in order to effect change. The approach will need to take into consideration the political, social and economic complexity of South African society, often described in terms of its duality, disparity and inequality.
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Strategic choices The Oxfam Australia program in South Africa, given the need to maximize the impact of the limited resources available, will focus on ensuring that people living in South Africa:
have improved health outcomes - focused on HIV and AIDS and increasing household access to potable water (these are seen as ‘multipliers issues’ i.e. successes in these areas have the potential to translate into broader development gains)
have access to opportunities to improve their livelihoods – encompassing both agricultural activities to produce food for their own consumption as well as through participation in income generating activities
have access to and can enable social protection/rights – through the collective and individual actions of people living and working in the country to improve social policy and develop practice that would allow the realisation of rights and associated protections
Theory of change Acting to influence social change is inherently complex and the outcomes require that change occurs in multiple spheres, and at multiple levels. These range from changes in cultural and institutional systems to changes at an individual level such as people’s attitudes and beliefs or their access to, and control over resources. Supporting change requires that programs able to respond to the broad range of issues that impact on women and men’s lives – both material needs in the short term and structural issues in the medium to long term. Given this complexity, the impact and sustainability of any program is contingent on its contribution to the capacity of women and men to claim their rights, respond to external trends and shocks, influence those with power and to hold duty-bearers to account. For this reason, Oxfam’s program approach is composed of elements of rights-based, participatory and capacity-building approaches. Through these the program aims to support community members and social change organizations to reduce the vulnerability of, and improve the quality of life in communities’ they work with and are part of.
The Integral framework Rao and Kelleher’s “integral framework”1 (see Figure 1) provides a useful tool in articulating the approach of Oxfam Australia and its partners. The framework suggests that in order to effect long term, sustainable change in the lives of women and men, the social systems and institutions that determine the 1
See Rao, A. and Kelleher, D. “Is There Life After Gender Mainstreaming?”, Gender at Work, 2005.
Page | 2 Figure 1: Rao & Kelleher's integral Framework
distribution of power and goods (according to Roa and Kelleher “who gets what, who does what and who decides”) must be transformed. The framework provides a model of the various spheres in which change needs to occur in order to achieve this transformation.
These spheres described by the quadrants in the figure one are:
women’s and men’s individual consciousness (knowledge, skills, political consciousness, commitment); women’s objective condition (rights and resources, access to health services and safety, opportunities for a voice); informal norms, such as inequitable ideologies, and cultural and religious practices; formal institutions, such as laws and policies
The strength of this approach is that it challenges assumptions that change in one area, such as the formal/systemic arena of policy reform at the national level, necessarily results in improvements in the ability of individuals to access infrastructure, services and knowledge. Rather than presenting a theory of change in the form of a linear logic model, this framework accommodates complexity and recognises that strategies to achieve change in one sphere will have effects in others and can, therefore, be supported by complementary changes in others. This analysis is particularly significant in the South African contexts where delivery and effective use of services are highly inadequate despite the alignment of relevant policies to global ‘best practice’.
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Applying the Theory of Change In order to address these four spheres the following approaches/key activities will be reflected across the program and partnerships:
Beliefs, Awareness, Knowledge & Capacity: through increasing knowledge and awareness; increasing awareness of rights; increasing awareness and acceptance of the role of women and other vulnerable groups within the program; increasing the ability of communities to hold duty bearers to account; increasing capacity to implement and manage.
Reduced inequalities: through the provision of facilities and services that meet the needs of women and vulnerable groups; equitable access to WASH services by men, women, children and vulnerable groups; improved participation of women and vulnerable groups within the design, management and implementation of the program; improved participation of women and vulnerable groups to defend their rights at community and government level.
Access to services: through the provision, operation and maintenance of appropriate, sustainable facilities, either through the provision of services by community based organisations or the government.
Governance and Effectiveness: through facilitating the active involvement of the community in their own development; supporting partner assessment and monitoring of the provision of services by government; supporting community advocacy and engagement with government to hold duty bearers to account
Theory of action In order for development to occur and to be sustained it is important that civil society organisations be supported to develop community development approaches that are of a high quality , that is strategic, adaptive and responsive to immediate community needs while all of the time remaining strategic and focused on long term gains. In order to achieve this, a number of inputs need to be made into the organization at the right time, in an appropriate form and with realist expectations as to the impact any interventions will have. For the purpose of this theory of change and within the context of the limited resources
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available through the Oxfam program, the following inputs are discussed: funding; organizational development; capacity development; networking support; and information. -
Funding: secure funding within clear parameters for usage remain a central component of the support strategy employed by Oxfam. Secure funding is central to the organisations ability to plan and run locally appropriate, responsive programming. A funding framework that is flexible, but with clear operational limitations and a positive working relationship with the funding organization allows for greater innovation and, in the medium term, a programming approach that is inherently innovative and as consequence has greater impact.
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Organisational development: External support to develop their strategies, to improve their organisational functioning and to manage change are important contributors towards their sustainability. This kind of intervention needs to be appropriately timed and delivered by the right service providers (internal and external to Oxfam) in a format that is appropriate for the issue being addresses. Organisational development support should be customised to meet organisations’ specific needs
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Capacity development: It is commonly recognized that organisations have inherent capacity available to them as a consequence of the skills and experience of their members. These skill sets are not always complete though and are also sometime ‘out of date’. An appropriate capacity building program responds to the capacity development needs through both generic programs and processes and through customised processes focused on specific organisations. Again, it is important that the methods and approaches chosen , are developmentally sound, contextually appropriate and adaptable.
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Networking support : The opportunity to network, to learn and share with peers is an important component of the support provided to partners. These opportunities are provided on an individual basis, but also through partner collectives established and supported by Oxfam as well as through Oxfam facilitated learning and sharing events.
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Information : This is both an input into the program and an output. Commissioning and disseminating research that is relevant to the partnership and to inform program direction is an essential activity as is documenting and sharing good practice emerging from the program work. Important to the credibility of the decision making emerging from this is the use of credible, experienced researchers and academics. Incorporating the information function into all phases of program management also contributes significantly to monitoring, evaluation and learning processes.
In order to promote and support the change that civil society organisations in the partnership are working towards Oxfam in South Africa carefully manages the application of the inputs it has at its disposal. Additionally though, Oxfam also promotes and supports the development of an integrated programming approach that is intended to ensure that the people the organisation works with have access to the broadest range of services and support that they need at the shortest possible distance of where they live and work. No particular model for the delivery of these integrated programs is favored, but a holistic understanding of the interrelatedness of the stressors impacting on communities is stressed, so as to ensure that programs, where they do not do this already, are designed with this ideal in mind in the medium to long term.
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The final component in the Oxfam theory of action is the fostering and enabling environment in which the partners we work with are better able to deliver their programs. This involves Oxfam often acting as intermediary, facilitator and public supporter of particular partner work or engagement with duty bearers and power holders. Over and above this role, Oxfam takes on a critical role in the influencing the design of policy chiefly through the commissioning of informed opinion and providing public platforms at which these opinions can be discussed and debated.
The south Africa Program framework Aim People living and working in South Africa are less vulnerable
Program Objectives Civil society organisations supported by Oxfam in South Africa deliver programs that: 1. improve health outcomes relating to HIV and AIDS, tuberculosis and water related infections and diseases 2. increase and sustain food security and livelihoods options available to households 3. increase and uphold access to social protection/rights In order to achieve the above objectives, Oxfam will support organisations that: 1. improve health outcomes - strengthen community based provision of essential health services - assist community members to assert the right to quality health care - support the development and implementation of integrated HIV programs - reduce the incidence of water related diseases and infections - improve household nutrition levels
2. improve livelihoods
3. increase social protection - improve access to water - ensure that the views and - provide emergency food opinions/ voices of relief minority groups are - improve household food represented security - advocate for the - increase the income development of generating capacity of appropriate social policy impoverished communities - monitor and advocate for - ensure that community quality implementation of members have the skills to policy support their own - support communities to development hold local government to - support the development account for the delivery of of markets for locally social services produced products - support community - develop disaster risk participation in the
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reduction capacity in high risk areas
delivery of programs - work with power holders to ensure the support protection of vulnerable members of communities
Cross cutting issues Gender: the programs undertaken will employ sound power analyses that promote women’s leadership; work towards a broad awareness and promotion of women’s rights; and address the gendered impact of HIV, food security and climate change on women. Active citizenship: in which the broader population of the country holds duty bearers to account for the delivery of quality social services. Rather than framing these as advocacy and campaigns activities, the program will reflect its impact under the broad category of program work we will call influencing.
Management objectives It is important to the Oxfam approach that we articulate a set of objectives and performance measures against which the practice of the organisation will be assessed. The Oxfam partnership approach is intended to:
1. strengthen community development approaches with a focus on supporting civil society organisations (both formal and informal groups of people) 2. support the sustainable delivery of, and increased community participation in, integrated development programs. 3. create and sustain enabling environments with a focus on communities of vulnerable people
Major activities to be undertaken The work of OAU in South Africa has traditionally consisted of three separately articulated and identifiable programs: the Joint Oxfam HIV and AIDS Program (JOHAP); the uMkhanyakude Partnership Program (Food Security); and the Childrens’ Social Protection Program (CSP). Over the last two years the South Africa program has grown to accommodate two more AusAID funded programs: a water, hygiene and sanitation (WASH) program through the Africa Australia Community Engagement Scheme (AACES) and a disaster risk reduction program (DRR) As stated before in the strategy, these programs are becoming increasingly integrated, in terms of the way they are designed and implemented and in the manner in which the issues they respond to at a community level becoming more interconnected and complex.
Focus areas
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Over the coming three year phase the program will prioritise work in the area of gender; will focus more strongly on influencing strategies and developing active citizenship; and will also begin to explore the central role access to food plays in sustaining development outcomes. The traditional focus of the program, health and specifically HIV and AIDS, will continue to be central part of the strategy as the program seeks to improve participation in decisionmaking on health policy and implementation while continuing to reinforce the need to continuously improve prevention, treatment, care and support work. Children, particularly in the age cohort 0-5 years, will continue to be a priority group for the program as will work to develop a response to the HIV treatment for adolescents. Water, considered to be a primary development input and a resource under increasing pressure in South Africa will be addressed as a health input, an issue around which active citizenship can be stimulated and as a primary input into the production of food and the achievement of sustainable livelihoods. The following elements will be clearly articulated in annual plans over the period 2012-2015 Gender All of the work undertaken under this strategy will have a strong gender analysis. Work will be done both internally (with staff) and externally (with partners and other groups) do develop the skills and tools needed to improve pour programming in a way that makes it more ‘gendered’. By this we mean that the program will recognize and respond to the need to place women more centrally as both actors in development and as primary beneficiaries of our work. Active citizenship Work in this area will have an emphasis on improving participation in local/municipal government, particularly in decision making related to the planning and managing health and water and sanitation resources and facilities. High level policy work will focus on monitoring implementation of the South Africa national Strategic Plan on HIV, STSs and TB and on the community participation design and consultation processes for the National Health Insurance. Specific opportunities will be explored for the establishment of a campaign focused on food and nutrition. As this is new are of work, the three year cycle will be treated as a learning and design phase, with several small pilot projects being designed and managed with a view to using the learning to inform future strategies. Work undertaken will include specifically commissioned research with reputable research institutions , the development and implementation of a capacity building program for staff and partners and a strategy to increase the public profile of the agency as a ‘go to’ organisation for development in South Africa. Despite the ambition to grow the Oxfam brand in the public space – our engagement with the South African government will still primarily be through our partners. Food and nutrition
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Work in this area is largely exploratory. We will continue to support work around food security and livelihoods and expand our water access work to improve the productive output of household food gardens, food producing cooperatives and other small scale producers. The emphasis of the work will be providing appropriate food that will contribute towards the achievement of positive health outcome. Additionally research will be commissioned to better understand household food choices and the external factors impacting on these, to define a package of services/inputs that could contribute to improved food security and to highlight the critical role women play in the production, procurement and preparation of food. A particular campaign area will be explored during this cycle under this theme: that of building ‘consumer groups’ in rural communities to more actively use their buying power to shape what food is available in these communities. The potential to connect these to more ‘middle class’, urban based groups to generate a broader ‘food movement’ will also be explored. Health and HIV and AIDS We will continue to support organisations working across the continuum of the HIV and AIDS response and will strengthen work to look at dual infection with tuberculosis. Significant achievements t a partner level will be documented formally and a series of case studies will be developed and disseminated. Specific, innovative work around the provision for youth friendly services will be supported as will further work to develop integrated response models. Policy work will focus on the NSP and NHI and partners will also be supported to engage in discussion around a future human resource framework for health. Particular attention will be paid to considerations around the community health workers who are currently employed by civil society organisations. Research work will focus on the intersections between HIV and AIDS treatment and access to water and the implications of opportunistic infections arising water related diseases for Social protection While this area of work will be focussed on increasing social protections for children generally, two age cohorts are of particular interest: 0-5 year old children in early childhood development (ECD) facilities and 13 – 16 year old adolescents on accessing or preparing to access antiretroviral treatment. Work supported in the ECD sector will include programs to improve the quality of teaching through innovative approaches to improving ECD practitioner’s skills; through hygiene and sanitation education and training, improving the number of learning days lost to water related diseases and infections; improving the governance of crèche facilities; lobbying local
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government fro increase access to subsidies; and exploring innovative approaches to the provision of child care. The work around adolescent treatment will be located in existing partners’ education, awareness raising and prevention programs; developing a deeper understanding of adolescent sexuality and the prevention approaches best suited to working with both infected young people and young people at risk of infection; and supporting partners do develop and promote support models that are appropriate to the current social norms. Water, sanitation and hygiene (WASH) WASH work will be integrated across the program. Over the course of the next three years specific attention will be paid to improving our understanding of and programming around WASH and gender; developing a modular water access solution using water harvesting as a basis; developing an integrated model to supplement water, food and energy inputs for rural households; testing and recommending appropriate water filtration technologies that can be applied at teh point of consumption; supporting communities to engage local government around issues related to the delivery water; and rolling out a large scale hygiene and sanitation program using schools (ECD, primary and secondary), adult basic education groups and home based care workers education as entry points into community. As can be seen from the above, the intention is to further develop and refine the integrated programming model that is the basis for the current strategic plan. Each year of the phase will be marked by the development of an annual operational plan that will detail the activities to be undertaken in any particular year, note changes in the operating environment as they occur and document any modifications to the strategy necessitated by such changes. The strategy, while having a long term ambition, will be delivers in a reflexive and adaptive manner i.e. responsive to a very dynamic country context.
Indicator Matrix for the Oxfam Australia Program in South Africa The table following describes the indicators that will be used over the course of this program phase. These will be tested and refined and additional indicators may be developed where appropriate. It is important to note that these indicators from part of a larger more complex data set and should not be viewed ‘acontextually’. A broader set of tool as and approaches, as articulated in the section above, will be employed to convey a more complete picture of the change occurring at an individual, organizational, community and societal level. Note: Where possible and relevant data will be disaggregated by gender, age, geographical area and disability
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Aim: People living and working in South Africa are less vulnerable Outcomes and indicators improve health outcomes relating to HIV and AIDS, tuberculosis and water related infections and diseases # of people who benefit from integrated approaches to health and wellbeing2 # of people provided with voluntary HIV/AIDS and STD testing & counselling and other care services provided (including home based care) # of additional people with increased access to essential medicines and health commodities including HIV treatment # of people trained in the delivery of comprehensive HIV prevention and care services
increase and sustain food security and livelihoods options available to households
increase and uphold access to social protection/rights
# of people assisted to attend and complete life skills, literacy, technical /vocational /job skills training or leadership programs
# of women beneficiary in leadership roles in partner programs
# of people assisted to participate in sustainable livelihood generation activities4 # of people reporting increased financial security including through establishment of small business # of households reporting an increase in food security
# of prevention services3 provided
# of people able to access social transfers5
# of people provided with increased access to safe water
# of communities/people assisted to develop community disaster risk reduction plans
# of people provided with increased access to appropriate sanitation.
# of programs/training for community members and organisations which include a focus on accountability and transparency of leadership and/or propoor policy # of structures/systems put in place to allow communities to engage government and other duty bearers .e.g. traditional leaders # of communities reporting an increase in the level/quality of government service delivery attributable to the project or program
# of people with access to hygiene facilities # of people trained in the delivery of comprehensive WASH programs
2
including nutrition, infection control, access to health care, oral rehydration, bed nets and Maternal Child Health outreach activities, etc.) 3
e.g. condoms, needles and syringes, IEC, antenatal testing and counseling, peer outreach)
4
includes formal and informal sectors
5
such as cash or in kind transfers including food
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# of people with increased knowledge of hygiene practices Objectives and process indicators strengthen community development approaches with a focus on supporting civil society organisations (both formal and informal groups of people) # of partners contracted Proportion of program spend on grants Proportion of program spend on capacity building and support Proportion of contracts completed by due date # of partners with capacity building plan in program proposals # of good practice case studies developed Proportion of partner with developed MEL plans Proportion of partners with sustainability plans Proportion of partners expressing satisfaction with program management systems and support provided Program reports delivered on time Program reports meet donor requirements
support the sustainable delivery of, and increased community participation in, integrated development programs.
create and sustain enabling environments with a focus on communities of vulnerable people
# of exchange visits facilitated
Social policy monitoring systems developed (OAU)
# of models of integrated programs developed # of good practice examples emerging from partner work
# of CSOs supported to work for improved protection of women
Increased participation of beneficiaries in partner programs.
# of partners supported for advocacy and lobbying media work
Beneficiaries indicate high levels of satisfaction with services received
# of CSOs playing an active role in engaging with government /decision-makers in order to improve increased access to services for the poor
Proportion of partners involved in collaborative service delivery
# of CSOs supported to work for improved protection of women, children and marginalised groups # of partner organisations engaged with governments on human rights, law and justice # of media pieces referencing partner work # of research pieces commissioned and disseminated # of references to Oxfam
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or partner research
Risk Analysis Risk
Internal/ External
The program internal framework proposed is ambitious and untested and is not implemented properly The organisation is in external the midst of several change processes which will impact on the levels of investment into the program
Probability of occurring (low/medium/high)
Mitigation strategy
low
Learning and reflection processes are built into the program cycle. MEL systems are purpose designed and an adaptive management style is adopted
medium
A fundraising strategy is developed and implemented and new opportunities for program funding are explored. Confederation relationships are managed proactively an influencing strategy is develop for Oaxfam and partners are supported to develop the skills to engage government. A carefully measured approach to public engagement is adopted. Media and campaigns strategies are to be developed. External relations and spokesperson roles are limited to select individuals A fundraising strategy is developed and implemented and new opportunities for program funding are explored.. A human resource plan is developed to ensure that the form of the organisation is fit for purpose. Ongoing, proactive training and
Local government is unwilling to cooperate with partners
external
Medium
Higher visibility for Oxfam in South Africa increases brand risk
external
Low
The funding environment is uncertain
External
Medium
Program size and complexity makes it difficult to implement with the current HR framework
Internal
Medium
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Risk
Internal/ External
Probability of occurring (low/medium/high)
Technical capacity to deliver on components of the program is low.
internal
low
Partners resist new ways of working
Internal
low
Ineffective and unethical management systems in place by partners and OAus.
Internal
Low
Mitigation strategy
support is provided to staff. Careful human resource management and recruitment strategies are put in place. Budgetary provisions are made for the purchase of external expertise on a contract basis All plans are socialized with partners. Partner communication and feedback is prioritised Ongoing internal monitoring, accountability systems and reviews, including.
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Annexure One; annual operational plan 2012-2013
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Annexure two : Oxfam’s Partnership model Oxfam in South Africa works through partners i.e. the program is delivered primarily by local civil society organisations with Oxfam providing support to partners through five main mechanisms within the framework of an overarching country program by:
providing program funding to support organisations’ ongoing work designing and delivering capacity building programs that seek to improve the skills, knowledge and technical competency of partner staff commissioning and disseminating relevant/contextual research creating opportunities for networking and linkages with other like-minded organisations nationally and internationally documenting and disseminating partner and beneficiary experiences and learning
The program partnerships are deliberately diverse in order to ensure that a broad range of experiences, learning and skills can be harnessed and shared. While individual partnerships are important, the mix of partnerships across the program is critical to meeting the effectiveness and impact of the program. The mix/range of partnerships, in terms of the size, skills and ‘type’ of organisation, is described in the figure below:
National/Regional advocacy and campaigns, networking, ‘watchdog’ bodies, and specialist civil litigation bodies
Non governmental capacity building, research, technical or thematic specialist, network type organisations
* Community based local service providers, advice offices, community care organisations, civic organisations Figure 2: Partnerships framework * Note: the term community based organisation refers to the nature of the organisation’s program, not its registration. Throughout this document, this term will be used to refer to the organisations whose programs are embedded in community, that have a high level of local ownership and are generally staffed and managed by the people most affected by the issues.
As can be seen from the figure, there is a strong bias towards support for community based organisations who will make up the larger proportion of partnerships. In addition, partners
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are also selected to ensure the program is diverse in terms of its geographical spread, the range of issues covered, the beneficiary groups they work with and the networks they are able to access and influence.
Program partnerships for learning and collaboration The program partnerships are designed to maximize learning amongst and between partners of varying skills level, experience and thematic expertise. Through contact with this broad set of partnerships, a deeper and more nuanced understanding of the development landscape and the particular issues confronting South African society at any particular time. These partnerships if managed in a way that ensures continuous communication within the partnership, allows Oxfam and its partners to develop and test a shared understanding of the context in which programs are delivered. Over and above the remote sharing and facilitated learning provided by and through Oxfam, through regular news briefs, email discussion, newsletters, etc. partners are also encouraged to meet, talk and work with each other directly. Through this direct contact through peer exchanges, telephonic and email conversations between staff and through facilitated learning, the opportunity for collaboration is maximized. The cross partner collaboration has a multiplier effect in that it supports the broad and rapid dissemination of learning and through this adaption of methodologies and approaches and better integration of programs and services across partner organisations. The diagram below describes the idealized learning and collaboration processes supported by the partnership model Lobby government
Mobilise and educate
Highlight needs Generate issues
Build technical capacity
link, learn & share Provide evidence
Mobilise and educate Engage power bearers
Generate issues
Represent community
Figure 3: Learning and collaboration in the partnership model
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Partner Selection Partner are selected on the basis of their program ‘fit’ as defined by the program strategy, aims and objectives developed for each of our programming areas. Partners are identified through three main processes:
An extensive partnership mapping exercise is completed as part of the initial program design. This process includes involving expert organisations to be part of the initial design discussions and program scoping, a desktop review of the sector/region/thematic area to determine possible partnerships and field visits and assessments of the local conditions under which the program is to be delivered. This mapping provides Oxfam with the information needed to explore potential program partnerships
Partner approach Oxfam directly once the program is established and if they believe their work is aligned
Field staff identify potential partners once the program is established to fill technical or information gaps, to meet specific needs of marginalised groups not benefitting from the program or who have well established programs that can be enhanced through support from Oxfam
The establishment of a formal relationship – the signing of a working agreement - with a partner can take up to a year as several processes have to be undertaken before partners can be contracted, including:
an initial site visit by a Program Coordinator to share information about Oxfam, its ways of working and the program
a capacity assessment to determine whether the organisation meets minimum standards for contracting and to identify capacity gaps which may need to be filled through the development and implementation of a capacity development process. This will include an audit of financial systems and processes
the submission of a concept note by the partner which will be assessed and feedback given to complete a final proposal as per the Oxfam (or backdoor) requirements
the proposal is appraised and a final decision taken as to whether or not the partnership and the proposed body of work is viable, taking into account program limitations and the likelihood of the objectives being achieved.
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Annexure Three: Program Management Principles Critical to the success of the Oxfam program in South Africa is the well established, tested program management framework. The underpinning, unarticulated principles that govern the practice of implementing the framework are that:
Partnerships are based on mutual respect, transparency and open communication
In order to provide the support needed to ensure the success of the program, Oxfam has to have a relationship with and deep knowledge of the partners work
While minimum standards have to be met, each partnership is different and the ways of working have to be adjusted to compensate for these differences
Regular communication with and between partners and within the affiliates is critical and messaging has to be consistent across the agency
Consistency, in terms of the processes used to make the decisions has to be maintained.
Partner Support Enhancing South African civil society’s capacity to deliver high quality development programs that lead to a reduction in vulnerability requires that a significant amount of resources be invested in organisational development, skills development and learning. Partner support needs are identified, planned for and responded to through two main mechanisms:
Partner themselves identify their individual capacity building needs
OAU staff identify partner specific, and more generic program wide capacity gaps.
Organizational development and skills building Training interventions are designed through consultative processes out of which a response and implementation plan is developed that may involve one or more combinations of the following options:
Partner organizations plan for and manage the capacity building response as a component of their overall program for which they are funded
OAU contracts consultants to work with an individual partner to deliver customized programs funded through the OAU capacity building budgets
OAU designs and delivers generic capacity building processes for clusters of partners supported by external consultants
These processes may take the form of once off workshops or training events or longer, more integrated accompaniment processes. Consultants engaged to do this work have to have a demonstrated track record and recognised expertise, but are also assessed for
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partner fit, i.e. their ability to work within the cultural and practice norms that exist in the partner organisation.
Partner learning Partner organisations are encouraged to learn with, and from their peers. In order to facilitate this, OAU sets up and manages a number for annual learning events, supports partner exchange visits, encourages the documentation and sharing of good practice6, supports partner to attend local, national and global conferences relevant to their work and facilitates contact with other program partners and civil society organizations outside of the partnership.
6
Both ad hoc and formalized documentation and distribution mechanisms e.g. partner newsletter, program newsletter, case studies, email notes, etc.
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Annexure four: Oxfam’s Monitoring and Evaluation (M&E) Approach M&E components of any program design are essential. It is however insufficient to merely describe the program logic and measurements – a clear statement on the application, points of measurement (both in terms of the timing of data collection and the level7 at which measurement is made), the assumptions underpinning the chosen framework and the limitations are important to make upfront. Monitoring is differentiated from evaluation, in terms of both the timing/frequency of activities and the use of results obtained. For the purpose of this program framework, the following definitions will apply:
Monitoring: is the ongoing collection of data in real time or near real time to assess the progress of the programs and to inform program management decisions (operational and thematic) on an ongoing basis. Monitoring activities should, wherever possible, be integrated into the normal program management activities and not form an onerous addition to the program. Monitoring is a progress measure.
Evaluation: is the process of assessing the cumulative impact of a process over and extended implementation period. Evaluations are stand alone processes that answer a specific or several questions as they relate to the overall strategic direction of the program and/or approach. Evaluation is an impact measure.
Emphasis is placed on the use of monitoring and evaluation information. Both monitoring and evaluation results should be reflected on and learned from by. Implicit in the framework is that the results of these processes have application, informing decisions about the program and the way it is managed and delivered. The differentiation between the two is at the point of application.
The results of monitoring process should inform rapid, ongoing changes made to the program to endure that it remains contextual and aligned to achieve the program objectives. Such changes may be small and regular.
Evaluation processes should inform a fundamental relook at the program at strategic moments and should focus on whether or not the overall design of the program is coherent, relevant and supportive of achieving the aim of the program.
The framework described in the diagram below articulates the relationship between M&E processes and the program phasing. It suggests some of the tools in current use within the OAU program and suggests the points at which these tools and processes may be most
7
It is important that the impact measures are set at the right level in the program i.e. that the delivering agency has some control (no matter how limited) over the outcomes/consequences of their intervention and also that these measures are relevant and attributable within the program approach
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appropriately applied. It is does not provide a comprehensive list and serves merely to show a suitable framework can be constructed and how the various elements can be connected.
Monitoring The monitoring processes used to ensure program quality are:
All programs are designed with in phases of three to five years with a midterm review and final evaluation built into the program’s strategic plan. These evaluations are normally conducted by independent consultants and involve oxfam staff, partners and beneficiaries as informants. All consultancy work is defined by a clear terms of reference with specific outputs agreed upon in advance of contracting the consultant.
Partners are generally appraised for the duration of the phase based on a three/five year strategic plan, an operational plan for year one (including a detailed budget) and indicative budgets for the remainder of the phase
Partners are also required to produce an annual operational plan that defines the annual working agreements that are entered into between Oxfam and the partner. Partners are appraised on an annual basis, their performance reviewed and adjustment made to their working agreements on the basis of the review. Even if partners are appraised for a full program phase annual funding is not guaranteed as partners need to meet contractual obligations before funding agreements are renewed.
Partners are required to submit six monthly reports to Oxfam. These reports include both financial and narrative information and are used as the basis for the program report, also provided on a six monthly basis. o
Partners are encouraged to provide case studies and anecdotal evidence and to use media to enhance the quality of reports and to provide a more nuanced
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view of their programs and a deeper understanding of the context, issues being addressed and partner and beneficiary experiences. o
Financial reports include expenditure against the original budget as well as a bank reconciled acquittal
Based on these reports, Coordinators produce a six-monthly review of partner progress which forms part of the Oxfam monitoring record.
Program Coordinators undertake field visits at least twice a year to meet with staff and beneficiaries and to address any emerging issues related to program implementation. An additional management visit is conducted by senior managers of oxfam to selected partners on an annual basis to ensure that they remain in touch with program activities and developments, to assess the quality of relationships and to reinforce partnerships. All visits require that a minimum two week notice is given to partners.
Finance staff conducts annual finance monitoring visit and may be called upon to conduct audits of partners’ activities, should the quality of reports warranty such an investigation. While no prior notice of finance audits are required in terms of our contractual relationship with partners, finance visits are generally scheduled with minimum of two week notice.
Over and above the annual field visits, Oxfam staff maintain contact with partners through email, telephone calls and through direct contact at a variety of learning events. Oxfam staff provide partners with relevant information, facilitates connections with service providers and other program partners and make themselves generally available for consultation around a range of issues.
Partner work is documented and good practice highlighted through publications commissioned and funded by Oxfam. These documenting exercises include the use of video and other forms of multimedia as well as the more standard printed publications. Partners are encouraged and supported to document their own program perspectives, especially what they consider to be the impact of their work, using a variety of media, tools and approaches.
Evaluation As stated previously evaluation processes are intended to provide strategic information that informs the overall strategy and comments on the appropriateness of the program design to achieve the stated aim/impact. Evaluation work should ideally be conducted at two or three points in the program cycle. These are:
A formative evaluation may be conducted at the beginning of a program phase (or in the design phase for a new program). This type of evaluation has the purpose of describing the operating environment and making some suggestions as to what potential strategies could be chosen in order to effect the change required.
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Mid-term evaluations are intended to check progress towards the aims and should ideally focuses on problem areas that have emerged as potential stumbling blocks towards the achievement of the program aims. These areas of investigation should be deuced by a careful analysis of monitoring information.
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Summative evaluations are conducted at the end of a phase to assess overall impact and to provide the information needed for the next design phase. The evaluation should identify strategies that have and have not worked and which have not and make recommendations as to how the overall functioning of the program could be improved.
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Annexure Five: Indicative Budget The budget figures presented are based on the assumption that the programming environment will remain consistent over the three year period, that no new programs will be stared and that there will be no increases in staffing as a consequence. It further assumes that at a minimum we should anticipate an annual increase in costs at a rate of 10%.
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