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  • 1. COMMUNITY RIGHTS ADVOCACYAND PROJECT MANAGEMENT MANUALTendayiBoboShamisoMtisiGilbertMakorePlaxedesJohna u t h o r sA TOOLKIT FOR USE BY COMMUNITY BASED ORGANISATIONS (CBOs)FfZimbabwe EnvironmentalLaw Association
  • 2. Publishedby: ZimbabweEnvironmentalLawAssociation (ZELA)Sponsoredby: EuropeanUnionAuthors: ShamisoMtisi,GilbertMakore,PlaxedesJohnandTendayiBoboCopyright: 2010.ZimbabweEnvironmentalLawAssociation(ZELA)Thispublicationmaybereproducedinwholeorinpartand in any form for educational or non-profit uses,without special permission from the copyright holder,provided full acknowledgement of the source is made.No use of this publication may be made for resale orother commercial purposes without the prior writtenpermissionofZELA.YearofPublication: 2010Availablefrom: ZimbabweEnvironmentalLawAssociation(ZELA),No.6LondonDerryRoad,Eastlea,Harare, Zimbabwe: Tel: 253381;252093,Email:zela@mweb.co.zw,Website:www.zela.orgLayoutArtist: DorcasChamatunhu(Suneaglesemail:dikudk@yahoo.com)SupportedBy:ZimbabweEnvironmentalLawAssociation EuropeanUnionFf
  • 3. TABLE OF CONTENTSAcknowledgement 3Abbreviations ........... 4Introduction ........... 5Community Rights ........... 7Environmental, Economic, Social and Cultural Rights ........... 7Strategies to Secure Community Rights ........... 8........... 10Project Planning and Implementation ........... 14Project Evaluation ........... 16Tools for Project Implementation Management ........... 17Promoting Participation and Ownership by the Community ........... 18HIV/AIDS and Gender Mainstreaming in Projects ........... 19Project Proposal Writing Structure ........... 20CBO Governance Issues ........... 22Common Institutional and Administrative Arrangements ........... 23Board Meetings ........... 24Financial Management ........... 29Golden Rules of Financial Management ........... 30Key Books of Accounts to be Kept ........... 30Expenditure Cycle ........... 32Reporting ........... 33Bookkeeping and Record Keeping ........... 34Glossary ........... 35...........Policy And Practice Advocacy ToolkitTABLE OF CONTENTSAcknowledgement 3Abbreviations ........... 4Introduction ........... 5Community Rights ........... 7Environmental, Economic, Social and Cultural Rights ........... 7Strategies to Secure Community Rights ........... 8........... 10Project Planning and Implementation ........... 14Project Evaluation ........... 16Tools for Project Implementation Management ........... 17Promoting Participation and Ownership by the Community ........... 18HIV/AIDS and Gender Mainstreaming in Projects ........... 19Project Proposal Writing Structure ........... 20CBO Governance Issues ........... 22Common Institutional and Administrative Arrangements ........... 23Board Meetings ........... 24Financial Management ........... 29Golden Rules of Financial Management ........... 30Key Books of Accounts to be Kept ........... 30Expenditure Cycle ........... 32Reporting ........... 33Bookkeeping and Record Keeping ........... 34Glossary ........... 35...........Policy And Practice Advocacy ToolkitTABLE OF CONTENTSAcknowledgement 3Abbreviations ........... 4Introduction ........... 5Community Rights ........... 7Environmental, Economic, Social and Cultural Rights ........... 7Strategies to Secure Community Rights ........... 8........... 10Project Planning and Implementation ........... 14Project Evaluation ........... 16Tools for Project Implementation Management ........... 17Promoting Participation and Ownership by the Community ........... 18HIV/AIDS and Gender Mainstreaming in Projects ........... 19Project Proposal Writing Structure ........... 20CBO Governance Issues ........... 22Common Institutional and Administrative Arrangements ........... 23Board Meetings ........... 24Financial Management ........... 29Golden Rules of Financial Management ........... 30Key Books of Accounts to be Kept ........... 30Expenditure Cycle ........... 32Reporting ........... 33Bookkeeping and Record Keeping ........... 34Glossary ........... 35...........Policy And Practice Advocacy ToolkitTABLE OF CONTENTSAcknowledgement 3Abbreviations ........... 4Introduction ........... 5Community Rights ........... 7Environmental, Economic, Social and Cultural Rights ........... 7Strategies to Secure Community Rights ........... 8........... 10Project Planning and Implementation ........... 14Project Evaluation ........... 16Tools for Project Implementation Management ........... 17Promoting Participation and Ownership by the Community ........... 18HIV/AIDS and Gender Mainstreaming in Projects ........... 19Project Proposal Writing Structure ........... 20CBO Governance Issues ........... 22Common Institutional and Administrative Arrangements ........... 23Board Meetings ........... 24Financial Management ........... 29Golden Rules of Financial Management ........... 30Key Books of Accounts to be Kept ........... 30Expenditure Cycle ........... 32Reporting ........... 33Bookkeeping and Record Keeping ........... 34Glossary ........... 35...........Policy And Practice Advocacy ToolkitTABLE OF CONTENTSAcknowledgement 3Abbreviations ........... 4Introduction ........... 5Community Rights ........... 7Environmental, Economic, Social and Cultural Rights ........... 7Strategies to Secure Community Rights ........... 8........... 10Project Planning and Implementation ........... 14Project Evaluation ........... 16Tools for Project Implementation Management ........... 17Promoting Participation and Ownership by the Community ........... 18HIV/AIDS and Gender Mainstreaming in Projects ........... 19Project Proposal Writing Structure ........... 20CBO Governance Issues ........... 22Common Institutional and Administrative Arrangements ........... 23Board Meetings ........... 24Financial Management ........... 29Golden Rules of Financial Management ........... 30Key Books of Accounts to be Kept ........... 30Expenditure Cycle ........... 32Reporting ........... 33Bookkeeping and Record Keeping ........... 34Glossary ........... 35...........Policy And Practice Advocacy ToolkitTABLE OF CONTENTSAcknowledgement 3Abbreviations ........... 4Introduction ........... 5Community Rights ........... 7Environmental, Economic, Social and Cultural Rights ........... 7Strategies to Secure Community Rights ........... 8........... 10Project Planning and Implementation ........... 14Project Evaluation ........... 16Tools for Project Implementation Management ........... 17Promoting Participation and Ownership by the Community ........... 18HIV/AIDS and Gender Mainstreaming in Projects ........... 19Project Proposal Writing Structure ........... 20CBO Governance Issues ........... 22Common Institutional and Administrative Arrangements ........... 23Board Meetings ........... 24Financial Management ........... 29Golden Rules of Financial Management ........... 30Key Books of Accounts to be Kept ........... 30Expenditure Cycle ........... 32Reporting ........... 33Bookkeeping and Record Keeping ........... 34Glossary ........... 35...........Policy And Practice Advocacy ToolkitTABLE OF CONTENTSAcknowledgement 3Abbreviations ........... 4Introduction ........... 5Community Rights ........... 7Environmental, Economic, Social and Cultural Rights ........... 7Strategies to Secure Community Rights ........... 8........... 10Project Planning and Implementation ........... 14Project Evaluation ........... 16Tools for Project Implementation Management ........... 17Promoting Participation and Ownership by the Community ........... 18HIV/AIDS and Gender Mainstreaming in Projects ........... 19Project Proposal Writing Structure ........... 20CBO Governance Issues ........... 22Common Institutional and Administrative Arrangements ........... 23Board Meetings ........... 24Financial Management ........... 29Golden Rules of Financial Management ........... 30Key Books of Accounts to be Kept ........... 30Expenditure Cycle ........... 32Reporting ........... 33Bookkeeping and Record Keeping ........... 34Glossary ........... 35...........Policy And Practice Advocacy ToolkitTABLE OF CONTENTSAcknowledgement 3Abbreviations ........... 4Introduction ........... 5Community Rights ........... 7Environmental, Economic, Social and Cultural Rights ........... 7Strategies to Secure Community Rights ........... 8........... 10Project Planning and Implementation ........... 14Project Evaluation ........... 16Tools for Project Implementation Management ........... 17Promoting Participation and Ownership by the Community ........... 18HIV/AIDS and Gender Mainstreaming in Projects ........... 19Project Proposal Writing Structure ........... 20CBO Governance Issues ........... 22Common Institutional and Administrative Arrangements ........... 23Board Meetings ........... 24Financial Management ........... 29Golden Rules of Financial Management ........... 30Key Books of Accounts to be Kept ........... 30Expenditure Cycle ........... 32Reporting ........... 33Bookkeeping and Record Keeping ........... 34Glossary ........... 35...........Policy And Practice Advocacy ToolkitTABLE OF CONTENTSAcknowledgement 3Abbreviations ........... 4Introduction ........... 5Community Rights ........... 7Environmental, Economic, Social and Cultural Rights ........... 7Strategies to Secure Community Rights ........... 8........... 10Project Planning and Implementation ........... 14Project Evaluation ........... 16Tools for Project Implementation Management ........... 17Promoting Participation and Ownership by the Community ........... 18HIV/AIDS and Gender Mainstreaming in Projects ........... 19Project Proposal Writing Structure ........... 20CBO Governance Issues ........... 22Common Institutional and Administrative Arrangements ........... 23Board Meetings ........... 24Financial Management ........... 29Golden Rules of Financial Management ........... 30Key Books of Accounts to be Kept ........... 30Expenditure Cycle ........... 32Reporting ........... 33Bookkeeping and Record Keeping ........... 34Glossary ........... 35...........Policy And Practice Advocacy ToolkitTABLE OF CONTENTSAcknowledgement 3Abbreviations ........... 4Introduction ........... 5Community Rights ........... 7Environmental, Economic, Social and Cultural Rights ........... 7Strategies to Secure Community Rights ........... 8........... 10Project Planning and Implementation ........... 14Project Evaluation ........... 16Tools for Project Implementation Management ........... 17Promoting Participation and Ownership by the Community ........... 18HIV/AIDS and Gender Mainstreaming in Projects ........... 19Project Proposal Writing Structure ........... 20CBO Governance Issues ........... 22Common Institutional and Administrative Arrangements ........... 23Board Meetings ........... 24Financial Management ........... 29Golden Rules of Financial Management ........... 30Key Books of Accounts to be Kept ........... 30Expenditure Cycle ........... 32Reporting ........... 33Bookkeeping and Record Keeping ........... 34Glossary ........... 35...........Policy And Practice Advocacy Toolkit
  • 4. ACKNOWLEDGEMENTSThe initial recognition of the need to develop this manual on community rightsand project management arose out of a project being implemented by ZELA tosupport the organizational development of Community Trusts in Zimbabwe. Theproject is aimed at building the capacity of community based organizations todemand and claim the environmental, economic, social and cultural rights ofminingcommunities.To a larger extent this report is a result of the sterling efforts of differentindividuals and organizations. In particular, the authors would like to thank theEuropean Union for providing the financial support that enabled theorganization to publish this work and to implement the project on building thecapacity of community based organizations as a vehicle for spearheading theenvironmental, economic, social and cultural rights of communities in miningareas. The authors would also like to thank all ZELA staff members for lendingtheirsupportduringthewritingofthisimportantbook.We hope this guide will assist the local communities to appreciate their role inenvironmental management and community development and that it willenablethemtobetterperformthatrole.3ACKNOWLEDGEMENTSThe initial recognition of the need to develop this manual on community rightsand project management arose out of a project being implemented by ZELA tosupport the organizational development of Community Trusts in Zimbabwe. Theproject is aimed at building the capacity of community based organizations todemand and claim the environmental, economic, social and cultural rights ofminingcommunities.To a larger extent this report is a result of the sterling efforts of differentindividuals and organizations. In particular, the authors would like to thank theEuropean Union for providing the financial support that enabled theorganization to publish this work and to implement the project on building thecapacity of community based organizations as a vehicle for spearheading theenvironmental, economic, social and cultural rights of communities in miningareas. The authors would also like to thank all ZELA staff members for lendingtheirsupportduringthewritingofthisimportantbook.We hope this guide will assist the local communities to appreciate their role inenvironmental management and community development and that it willenablethemtobetterperformthatrole.ACKNOWLEDGEMENTSThe initial recognition of the need to develop this manual on community rightsand project management arose out of a project being implemented by ZELA tosupport the organizational development of Community Trusts in Zimbabwe. Theproject is aimed at building the capacity of community based organizations todemand and claim the environmental, economic, social and cultural rights ofminingcommunities.To a larger extent this report is a result of the sterling efforts of differentindividuals and organizations. In particular, the authors would like to thank theEuropean Union for providing the financial support that enabled theorganization to publish this work and to implement the project on building thecapacity of community based organizations as a vehicle for spearheading theenvironmental, economic, social and cultural rights of communities in miningareas. The authors would also like to thank all ZELA staff members for lendingtheirsupportduringthewritingofthisimportantbook.We hope this guide will assist the local communities to appreciate their role inenvironmental management and community development and that it willenablethemtobetterperformthatrole.ACKNOWLEDGEMENTSThe initial recognition of the need to develop this manual on community rightsand project management arose out of a project being implemented by ZELA tosupport the organizational development of Community Trusts in Zimbabwe. Theproject is aimed at building the capacity of community based organizations todemand and claim the environmental, economic, social and cultural rights ofminingcommunities.To a larger extent this report is a result of the sterling efforts of differentindividuals and organizations. In particular, the authors would like to thank theEuropean Union for providing the financial support that enabled theorganization to publish this work and to implement the project on building thecapacity of community based organizations as a vehicle for spearheading theenvironmental, economic, social and cultural rights of communities in miningareas. The authors would also like to thank all ZELA staff members for lendingtheirsupportduringthewritingofthisimportantbook.We hope this guide will assist the local communities to appreciate their role inenvironmental management and community development and that it willenablethemtobetterperformthatrole.ACKNOWLEDGEMENTSThe initial recognition of the need to develop this manual on community rightsand project management arose out of a project being implemented by ZELA tosupport the organizational development of Community Trusts in Zimbabwe. Theproject is aimed at building the capacity of community based organizations todemand and claim the environmental, economic, social and cultural rights ofminingcommunities.To a larger extent this report is a result of the sterling efforts of differentindividuals and organizations. In particular, the authors would like to thank theEuropean Union for providing the financial support that enabled theorganization to publish this work and to implement the project on building thecapacity of community based organizations as a vehicle for spearheading theenvironmental, economic, social and cultural rights of communities in miningareas. The authors would also like to thank all ZELA staff members for lendingtheirsupportduringthewritingofthisimportantbook.We hope this guide will assist the local communities to appreciate their role inenvironmental management and community development and that it willenablethemtobetterperformthatrole.ACKNOWLEDGEMENTSThe initial recognition of the need to develop this manual on community rightsand project management arose out of a project being implemented by ZELA tosupport the organizational development of Community Trusts in Zimbabwe. Theproject is aimed at building the capacity of community based organizations todemand and claim the environmental, economic, social and cultural rights ofminingcommunities.To a larger extent this report is a result of the sterling efforts of differentindividuals and organizations. In particular, the authors would like to thank theEuropean Union for providing the financial support that enabled theorganization to publish this work and to implement the project on building thecapacity of community based organizations as a vehicle for spearheading theenvironmental, economic, social and cultural rights of communities in miningareas. The authors would also like to thank all ZELA staff members for lendingtheirsupportduringthewritingofthisimportantbook.We hope this guide will assist the local communities to appreciate their role inenvironmental management and community development and that it willenablethemtobetterperformthatrole.ACKNOWLEDGEMENTSThe initial recognition of the need to develop this manual on community rightsand project management arose out of a project being implemented by ZELA tosupport the organizational development of Community Trusts in Zimbabwe. Theproject is aimed at building the capacity of community based organizations todemand and claim the environmental, economic, social and cultural rights ofminingcommunities.To a larger extent this report is a result of the sterling efforts of differentindividuals and organizations. In particular, the authors would like to thank theEuropean Union for providing the financial support that enabled theorganization to publish this work and to implement the project on building thecapacity of community based organizations as a vehicle for spearheading theenvironmental, economic, social and cultural rights of communities in miningareas. The authors would also like to thank all ZELA staff members for lendingtheirsupportduringthewritingofthisimportantbook.We hope this guide will assist the local communities to appreciate their role inenvironmental management and community development and that it willenablethemtobetterperformthatrole.ACKNOWLEDGEMENTSThe initial recognition of the need to develop this manual on community rightsand project management arose out of a project being implemented by ZELA tosupport the organizational development of Community Trusts in Zimbabwe. Theproject is aimed at building the capacity of community based organizations todemand and claim the environmental, economic, social and cultural rights ofminingcommunities.To a larger extent this report is a result of the sterling efforts of differentindividuals and organizations. In particular, the authors would like to thank theEuropean Union for providing the financial support that enabled theorganization to publish this work and to implement the project on building thecapacity of community based organizations as a vehicle for spearheading theenvironmental, economic, social and cultural rights of communities in miningareas. The authors would also like to thank all ZELA staff members for lendingtheirsupportduringthewritingofthisimportantbook.We hope this guide will assist the local communities to appreciate their role inenvironmental management and community development and that it willenablethemtobetterperformthatrole.ACKNOWLEDGEMENTSThe initial recognition of the need to develop this manual on community rightsand project management arose out of a project being implemented by ZELA tosupport the organizational development of Community Trusts in Zimbabwe. Theproject is aimed at building the capacity of community based organizations todemand and claim the environmental, economic, social and cultural rights ofminingcommunities.To a larger extent this report is a result of the sterling efforts of differentindividuals and organizations. In particular, the authors would like to thank theEuropean Union for providing the financial support that enabled theorganization to publish this work and to implement the project on building thecapacity of community based organizations as a vehicle for spearheading theenvironmental, economic, social and cultural rights of communities in miningareas. The authors would also like to thank all ZELA staff members for lendingtheirsupportduringthewritingofthisimportantbook.We hope this guide will assist the local communities to appreciate their role inenvironmental management and community development and that it willenablethemtobetterperformthatrole.ACKNOWLEDGEMENTSThe initial recognition of the need to develop this manual on community rightsand project management arose out of a project being implemented by ZELA tosupport the organizational development of Community Trusts in Zimbabwe. Theproject is aimed at building the capacity of community based organizations todemand and claim the environmental, economic, social and cultural rights ofminingcommunities.To a larger extent this report is a result of the sterling efforts of differentindividuals and organizations. In particular, the authors would like to thank theEuropean Union for providing the financial support that enabled theorganization to publish this work and to implement the project on building thecapacity of community based organizations as a vehicle for spearheading theenvironmental, economic, social and cultural rights of communities in miningareas. The authors would also like to thank all ZELA staff members for lendingtheirsupportduringthewritingofthisimportantbook.We hope this guide will assist the local communities to appreciate their role inenvironmental management and community development and that it willenablethemtobetterperformthatrole.
  • 5. ABBREVIATIONSCBO CommunityBasedOrganisationEESCR Environmental,Economic,Socialand CulturalRightsEIA EnvironmentalImpactAssessmentNGO Non-GovernmentalOrganisationJCT JusticeforChildrenTrustLRF LegalResourcesFoundationRDC RuralDistrictCouncilTAI TheAccessInitiativeZELA ZimbabweEnvironmentalLawAssociationZLHR ZimbabweLawyersforHumanRightsZWLA ZimbabweWomenLawyersAssociation4
  • 6. INTRODUCTIONThis manual is meant to help Community Based Organizations (CBOs) to betterunderstandtheoftencomplicatedandtheoreticalaspectsofcommunityrightsandproject management. It is intended to capacitate CBOs with knowledge so thattheycaneffectivelyimplementprojectsandadvocateforpolicy,administrativeandlegalchangesthatadvancetheirenvironmental,economic,socialandculturalfroma development perspective. This manual will therefore guide them in taking stepstowardsreachingtheirdevelopmentalgoals.Inparticularthefollowingaspectsareexplained in this manual and can serve as a guide to CBOs to effectively implementtheirprojectsanddemandandclaimtherightsofcommunities;· Knowledge of community rights and the strategies to use to demand andclaim them is very important. For rural communities there is need todemand and claim ownership over natural resources, public participationin decision making processes around natural resources management andaccess to information. In that matrix, the rights to derive economic, socialand cultural rights cannot beoveremphasized. In urbanareas CBOs should be able tofocus on issues such as theright to access safe and cleanwater, shelter, transport,waste management facilities,education and electricityamongothers.It is vital that CBOs also devisetheir own strategies inadvocating for policy, legaland administrative or practicalchanges that will enhancecommunity developmentespecially anchored aroundnatural resources management.In that regard the manualcontains a toolkit derived from an Advocacy Handbook developed by TheAccess Initiative (TAI) which outlines the key tools and steps that can beused to achieve change at both a practical and policy level. Some of thesteps include; the need to clearly identify the problem to be addressed,defining the policy and practical solution being advocated for by thegroup, identifying the individuals and institutions that can assist theQuick Reference·Environmental,economic, social andcultural rights·Advocacy strategies·Project management·Proposal writing·Financialmanagement5
  • 7. CBO to achieve change, identifying existing and ongoing opportunitiesthat can be used to leverage change, assessing both the financial, humanand technical resources available to the CBO or its partners, developing aworkplan and evaluating and monitoring the impact of their advocacyactivities.When community based organisations are implementing projects, it isvital that they systematically organize their intervention or projectactivities according to some widely accepted guidelines, although theseshould be customized. In this manual there is information on how aproject is designed, planned, implemented, monitored and evaluated.Further, it contains information on cross-cutting issues that are central toproject implementation such as gender mainstreaming and HIV/AIDS.Another importantaspect is the ability to write a good project proposal asthemanualcontainsasectiononprojectproposalwriting.More importantly, CBOs should be aware of the basic tenets of financialmanagement. Financial management is key to the sustainability of CBOs.There is need for CBOs to know how to manage, account and report onfinancial resources received from donors or derived from incomegenerating activities. The CBOs should know the books of accounts tokeep, the purchasing procedures, financial reporting and how tofundraise.CBOs should also be able to put in place governance structures thatensure transparency and accountability in the management of the affairsof the CBO. In that regard the manual advocates for religious compliancewith the provisions of the legal document setting up the CBO or othernational laws and policies that impact on operations of CBOs inZimbabwe.WhoCanusethisManual?Thismanualcanbeusedbycommunitybasedorganizationsandindividualsinruraland urban settings. The issues raised in this manual apply to the operations ofgrassroots organizations that have been recently formed and those that are facingproblems in managing their affairs. It can also be used by organizations that aretryingtoengagepolicymakersandthosetryingtoenforcecommunityrights.6
  • 8. COMMUNITYRIGHTSEnvironmental,Economic,SocialandCulturalRights(EESCR)Community Based Organizations should be aware of the rights and principles thatmay enhance community development. These rights and principles are providedfor in national, regional and international legal instruments. The two majorinternational and regional instruments that provide economic, social and culturalrights and principles are the African Charter on Human and Peoples Rights and theInternational Convention on Economic, Social and Cultural Rights. TheEnvironmental Management Act (Chapter 20:27) also contains environmentalrights that are important for CBO activists to know and claim. It is vital forgovernment, local authorities and other actors to take measures to fulfill theserights. In summary the following rights and principles should be claimed at thegrassrootslevel;· Right of every person to an adequate standard of living for himself and hisfamily, including adequate food, clothing and housing. In that regardgovernments are encouraged to take measures to improve methods ofproduction, conservation and distribution of food, disseminate knowledge ofthe principles of nutrition and develop or reform agrarian systems to achieveefficientdevelopmentandutilizationofnaturalresources;· Right of every person to the enjoyment of the highest attainable standard ofphysical and mental health. The State is required to take the necessarymeasures to protect the health ofpeople and to ensure that theyreceive medical attention when theyaresick.· Right of everyone to take part incultural life. The State has a duty topromote and protect morals andtraditional values and customsrecognizedbythecommunity.· Right to work and enjoyment of justand favourable conditions at worksuch as safe and healthy workingconditions. Safe and healthy workingconditions may include working in anenvironment that does not causeinjury,deathordisease· Righttoeducation· All peoples shall freely dispose of theirwealth and natural resources. The7SNAPSHOT OF RIGHTSEnvironmental, Economic,Social and Cultural Rights·Food·Education·Shelter·Clothing·Safeandhealthyenvironment·Medicalcare·Protectionoftraditionalvalues·Accesstoenvironmentalinformation·Use naturalresources
  • 9. state is encouraged to ensure that this right is exercised in the exclusiveinterestofthepeople.· Every person shall have the right to a clean environment that is not harmful tohealth· Every person shall have access to information concerning the environmentandanopportunitytoparticipateindecision-makingprocesses· Every person shall have effective access to judicial and administrativeproceedings,includingredressandremedywhentheirrightsareviolated.· Every person has a duty to protect the environment for the benefit of presentandfuturegenerations,and· Environmental management must place people and their needs at theforefront of its concern. This means people should be allowed to use naturalresourcesfordevelopment.StrategiesToSecureCommunityRightsIn this section it is important to outline the different strategies that can be used byCBOs in both rural and urban communities to claim, demand and assertenvironmental, economic, social and cultural rights. The following strategies canbeused;Identify and report cases of environmental, economic, social and culturalrights violations in your area to public interest law groups. Public interest lawgroups that offer free legal assistance include; Zimbabwe Environmental LawAssociation (ZELA) (Tel: 04 253381; Email: zela@mweb.co.zw), ZimbabweLawyersforHumanRights(ZLHR)(Tel:04251468),LegalResourcesFoundation(LRF) (04 251170-4); Justice for Children Trust (JCT) (Tel: 04 797723) andZimbabwe Women Lawyers Association (ZWLA) (Tel: 04887187) amongothers.· Establish/form Community Based Groups (CBOs) or grassroots organisationscomposed of local residents. The CBOs should be legally registered and theobjective will be to advance and spearhead community interests and rights.Formation of CBOs will eliminate fear and build confidence since residentswill act as a group than as individuals in trying to enforce and claim theirrights.Engage and lobby without fear, local representatives such as the Councilors,village heads, Chiefs, Rural and Urban District Councils, Members ofParliamenttobemorerepresentativeandaccountabletothepeople.Thiswillcompel them to find ways of having the concerns and problems facing thecommunity addressed by the government, private companies, localauthoritiesorotherresponsiblepersons.8
  • 10. Write letters to newspapers andother media outlets to drawattention to violations ofenvironmental, economic, socialand cultural rights. This caninclude letters demanding formore clinics, schools, water supplypoints, electricity, transport andimprovedroadnetwork.Approach public interest civilsociety organisations for advice sothat legal action/litigation can betaken in situations wherecommunityrightsareviolatedUse conflict resolution mechan-isms to resolve disputes that caneasily be resolved throughnegotiationswithoutgoingtocourtApproach public interest groups for continuous legal education and rightstrainingworkshopsandseminars.During community meetings with decision makers and in situations wherethere is not enough time for all people to speak, identify communitychampions or individuals who can effectively speak on behalf of the wholecommunitytopresenttheproblemsfacingthecommunityWrite petitions or letters to Parliament or responsible government agenciesaboutyourenvironmental,social,economicandculturalproblems.Adopt an advocacy strategy that shapes how the CBO engages decisionmakers(seesectiononpolicyadvocacy).SNAPSHOT OFSTRATEGIES TO CLAIMRIGHTS·Petitions·Court action·Conflict resolution·Letters to newspapers·Formation of communitytrusts·Seek legal advice frompublic interest lawgroups9
  • 11. POLICYANDPRACTICEADVOCACYTOOLKITThis section is a summary of a set of tools or activities that were developed by TheAccess Initiative (TAI) coalition to help partners to achieve reform and policypractice around the world through advocacy on access to environmentalinformation, public participation in decision making processes and access tojustice. The activities and strategies are contained in what is called the Advocacyand Policy Change Workbook. However, in this section we have decided to extractand summarise some of the key strategies and tools that Community BasedOrganisations may find useful in trying to achieve change and reforms of policiesand practice at the local level. What this entails is that since most CBOs are agentsofchangeatthegrassrootslevelandareexpectedtoassertcommunityrights,theyshould also adoptstrategies to engageand influencedecisions bylocalauthorities,government departments, local politicians, traditional leaders and the local elites.More importantly, it is vital that the CBOs demand embark on advocacy activitieson various livelihoods issues such as agricultural and farming policies, naturalresources management, clean water supply, food provision, transport and roadnetwork,schoolsandhospitalsrehabilitationamongotherservices.Before embarking on locally based advocacy campaigns, CBOs should be ableto plan their activities and strategies. A critical step in this process will be tohold a workshop in which the members of the CBOs come together with like-minded organizations and individuals to develop a shared advocacy strategyfor achieving their goals or how they can influence change. This will be anadvocacy planning workshop at which the CBO members and partners candiscuss the problems they would want to be addressed by the authorities, theproposed solution, the available resources and identify stakeholders or allieswho can assist. The following issues are critical in shaping the advocacy plan;ProblemIdentificationThe CBOs should be able to identify the problems they would want the authoritiesto address before taking any definitive action. The problems can be rankeddepending on which ones are more urgent and a priority. Problems can beidentified from the concerns raised by community members. Some of theproblems that may be identified that are related to environmental, economic,social and cultural rights of the community may include; lack of access to cleanwater as boreholes may have broken down, shortage of school books, shortage ofdrugs at the local clinic, food insecurity due to drought or floods, water pollutionfrom mining activities, poor waste collection services in urban areas or electricityshortages, poor road network and limited economic benefits accruing to the1Adapted from The Access Initiative (TAI), Advocacy and Policy Change Workbook101
  • 12. community from natural resources extraction (e.g. in forestry, wildlife or miningareas). The above problems may also have been identified through researchundertaken by the CBO or by other Civil Society Organisations (CSOs) working withthe CBO at the local level. The CBO members and partners can then come to aconsensus on reforms that can be pursued to have the problems addressed by thegovernment,localauthority,politiciansortraditionalleadership.ElaboratingaPolicyorPracticalSolutionThe CBOs should also develop a set of policy or practical solutions they think canaddress the problem identified. This means the CBO can come up with suggestionsof how existing policies or even laws that affect their livelihoods can be changed orimproved. Examples of a policy or legal solution can be to lobby the local authorityto pass by-laws that gives the community a certain percentage of earnings fromnatural resources levies collected from mining companies or from safari hunters. Apractical solution the CBO may lobby for is a community request for the ZimbabweNational Water Authority (ZINWA) to drill more boreholes in the area. In advocatingfor legal and policy reforms it is important for the CBOs to work closely with publicinterest groups. In adopting a solution it is also important to ensure that allcommunity members actively participate in reaching the decision. In coming upwith a policy or administrative solution there is need to ask a number of questionsthat can help. The following questions are key; what is the problem, what is causingthe problem, have the solutions proposed been used elsewhere and how theyfared. Using these previous policies and the lessons learned from other cases as astarting point, rank how each would fare if implemented in the society. Then, tailorthechosenpolicyandadministrativealternativetothesituationathand.AnalyzingtheOpportunitiestoInfluenceChangeIt is importantfor CBOs to identify where and when they have a chance to influencepolicy, legal processes or administrative changes. This will change depending onwhether the problem is high on the political agenda, whether there are alreadyproposals for solving the problem. If there are ongoing processes to make policyand legal changes the CBOs should take advantage of them and advocate forchange. An example is a situation where the country is in the process ofConstitutional Reforms that includes community consultations, outreachprogrammes and public hearings by Parliamentarians. The CBOs should activelyparticipate in these processes. The same applies to a situation where legal reformson mining are taking place for example. In these processes CBOs should advocatefor the recognition of the right of communities to derive economic and socialbenefits from mineral resources or generally natural resources. Other opportunitiesor spaces that can be used to advocate for change may include administrative11
  • 13. 21processes such as Environmental Impact Assessments (EIA) undertaken byproponentsof projects thathave impacts on communitylivelihoods such as miningprojects. If environmental impact assessments are being carried out, CBOs shouldenergise the people to participate in the process so that their views and interestsareconsideredintheplanningprocesses.StakeholderandRelationshipAnalysisThe goal of relationship analysis is to identify the people or organizations orinstitutions the CBO knows or that it should know to in order for it to achievechange in the community. In order to carry out relationship analysis, there are anumber of steps that can be followed. For example there is need to identify thetargets group of stakeholders possibly as sectors or individuals that should betargeted. The relationship analysis also includes a stakeholder analysis and there isneed to identify lobbying strategies thatsuit each stakeholder or thatcan make theCBO reach a specific stakeholder. Sometimes it may be important to target specificindividuals rather than “an NGO” or “the government,” because organizations mayhave different people doing different things and it may take more resources totarget an entire organization. In cases where some people within the organizationthe CBO is targeting, agree with the CBO’s position while others are opposed, it isvital to spend more time and energy to persuade those who are opposed so thattheysupporttheCBOsposition.It is also vital to identify those who are in a position of authority and target them.There is need to know their contact details and other relevant information that willenable the CBO to contact them. Some of the stakeholders that are important totarget include the councilors, traditional leaders, local politicians such as the localMember of Parliament, local government officials, and civil society organisationsworking in the area, the media and generally all community members. In sumstakeholderanalysisshouldbedrivenbyanumberofquestionsthatarecriticalandthese are; Who are the relevant stakeholders? What interest does eachstakeholder have in the policy or administrative reform being sought? Whatresources are available to each stakeholder? Can the stakeholder mobilize thoseresources? And does the stakeholder support or oppose the policy andadministrativereform?Self-analysisBesides analysing the stakeholders, CBOs should also do an analysis of themselvesas an entity. The objective of this self-analysis is to take stock of the resourcesavailable to the CBO such as human resources or financial resources. Human
  • 14. 31resources may include the relevant staff members, experts or more importantlycommunity champions to carry out the advocacy work. A list of available resourcescan be drafted. The CBO should also look at the funds available to support theadvocacy activities such as workshops, presentation of petitions, litigation andeven protects where necessary. The CBO can also think about how these resourcesiftheyarenotreadilyavailablecanbemobilized.Itwillalsobevitaltopooltogetherresourceswithalliesorotherorganisationsthatmayhaveresourcesavailable.TacticsorStrategiesthatCanbeUsedtoInfluenceChangeThere are many tactics or activities that canbe used by a CBO to influence change Thissection will help CBOs to narrow theirpossible tactics. There is need to assess howeffective and feasible each strategy is. Thismeans there is need to assess if eachstrategy or activity can easily achievedesired results and whether resources areenough to embark on that activity. Some ofthe activities that can be implemented byCBOs to influence change at the grassrootslevel may include; grassroots basedresearch on the problem, analyzing thebudgets allocated to environmental issuesby the local authority in the area,organizing outreach meetings forparliamentarians, networking with othercivil society organisations, petition writing to decision makers, protests andmarches, press releases in the media, boycotts, direct correspondence (e.g. phonecalls,letters,etc.)and classactionlawsuits/litigation(alsoseesectiononstrategiesto claim community rights). It is important for the CBO to identify which of thetactics above can best be used to achieve change in practice and policy for thebenefitofthecommunity.WorkPlanIn order to effectively carry out the advocacy work, CBOs should also come up withwork plans. The work plan helps identify who will carry out which tasks and when.For example it would make sense to divide the work and give each other duties anddeadlines.SNAPSHOT OF ADVOCACYSTEPS·Problem identification·Framing a policy orpractical solution·Identifying opportunitiesto influence change·Stakeholder analysis·Self-Analysis·Tactics and strategies toinfluence change·Workplan
  • 15. 41PROJECTPLANNINGANDIMPLEMENTATIONWhatisaproject?A project is an intervention which seeks to solve a specific problem(s) being facedby a defined target group in a specific area(s). A project has a timeframe withinwhich the interventions or activities to support the people should beaccomplished.Projectsaremostlyimplementedtoimprovethelivingconditionsofthe people. A project has a few characteristics i.e. timeframe (has a beginning andan end), a budget, definition of roles and responsibilities for everyoneinvolved andset of results or a goal to be achieved. Examples of projects include; water supplyproject for a community, food relief project, health education project andenvironmental rights training. CBOs can come up with projects to implement thatwill be aimed at uplifting the livelihoods of people in that particular community.However, it is important for the CBOs to know that most projects have a life cyclewhichshouldbefollowedindevelopingandimplementingthem.ProjectLifeCycleThe project management cycle consists of four major elements namely; projectinitiation, project design and planning, project implementation and ending theproject.Project ClosureProject ImplementationProject DesignProject Initiation
  • 16. 51ProjectInitiationSince we have said each project has a beginning, the first phase in the Project LifeCycle is called the Project Initiation phase. This is when one develops some ideasabout whatneedstobeaddressed,whatwouldyouliketochangeandpossiblyhowyou are going to do it. This stage includes defining the purpose of the project andthe areas that will be covered, the reasons why it will be implemented and theactivities to be undertaken to achieve the goal of the project. You may share thoseoriginal ideas with a potential donor to see who will be interested in providingsupport.DesignandPlanningAfter receivingan initialanswer from the donor, you may embark on developing theproposal to the donor that explain your idea in more details. At that time you needto establish the parameters of the project – rationale, purpose, objectives,strategies that help you achieve objectives, management structure and processes.This involves putting together documents that can help guide the team throughouttheprojectimplementationphase.Theprojectplanninginvolvesthecreationofthefollowing: Project Plan (outlining the activities, tasks, beneficiaries andtimeframes), Resource Plan (listing the labour, equipment and materials required)and Financial Plan (identifying the labour, equipment and materials costs). At thistimeyouwouldreceivetheapprovaloftheprojectbythedonor(securefunding).ProjectImplementationAfter receiving a final approval and the funds, the project may commence itsimplementation. This is the phase of implementing the project. It includesaccomplishing some activities and tasks aimed at achieving the intended impact onthe community. While implementation is ongoing other processes should beactivated to monitor and control the deliverables. These processes includemanagingtime,cost,impact,effectiveness,change,risksandcommunication.Onceall the deliverables have been produced and the beneficiaries have accepted theintervention,theprojectisreadyforclosureortermination.EndingaprojectProjectClosureinvolvesreleasingthefinaldeliverablestothetargetgroup,handingover project documentation, terminating contracts releasing project resources andcommunicatingtheclosureoftheprojecttoallstakeholders.
  • 17. 61ProjectImplementationThe implementation stage of the project cycle is in many ways the most critical;as it is during this stage that planned benefits are delivered. All other stages inthe cycle are therefore supportive of this stage. During the implementation ofthe project, project managers are responsible for undertaking three main setsof tasks:(a) Monitoring and regular review: Project management must keep track ofhow the project is progressing in terms of expenditure, resource use, andimplementation of activities, delivery of results and the management ofrisks. Monitoring can be done internally by the CBO or by an externalperson. This provides an opportunity to reflect on progress, agree on thecontentofprogress.(b) Planning and re-planning: Plans are estimates of what will happen in thefuture, but must be modified on an ongoing basis to take account of whatactuallyhappensduringimplementation.Theactivitiesandbudgetsmusttherefore be periodically reviewed, refined, and updated based onexperience.(c) Reporting: CBOs must produce reports on physical and financial progressto stakeholders. The aim of these reports should be to: informstakeholderslikedonorsofprojectprogress,constraintsencounteredandany significant remedial action required like trainings; provide a record ofwhat has been achieved during the reporting period, and thus facilitatefuture reviews or evaluations; document any changes in plans, includingbudgetary requirements; and therefore promote transparency andaccountability.ProjectEvaluationThe purpose of project evaluation is to make an assessment of an ongoing orcompletedprojecttodeterminetherelevanceandfulfillmentofobjectives,impactandsustainabilityandprovideinformationthatiscredibleanduseful.PrinciplesofEvaluationThere are principles that underpin evaluation and these are; impartiality andindependence of the evaluator from the programming and implementationfunctions, use of appropriately skilled and independent experts, transparency ofthe evaluation process, participation of stakeholders in the evaluation processandtimelypresentationof informationtodecisionmakers.
  • 18. DecisionoptionsafterevaluationDepending on the outcome, timing and objectives of the evaluation, there aresomemaindecisionoptionsthataretobemade:continueprojectimplementationasplanned,re-orient/restructuretheproject,intheworstcase,tostoptheproject(mid-termevaluation);modify the design of future projects or programmes in light of lessonslearned(ex-postevaluation);ormodify policies, co-operation strategies, and subsequent programmingor identification exercises in the case of sector, thematic or cross-sectorevaluationsToolsforProjectImplementationandManagementTheLogicalFrameworkApproachTheLogicalFrameworkApproachisanextremelyusefultooltosupportthedesignand establishment of effective monitoring, review and reporting systems. Itprovides a framework of objectives, indicators (and targets) and sources ofinformation which should be used to further develop and implement themonitoring,reviewandreportingsystem.Itprovidesalistofkeyassumptionswhichmustbemonitoredaspartoftheprojectsriskmanagementarrangements.AdministrativeandmanagementrecordsWithin the CBOs there will be a requirement to keep some basic administrativerecords of what is being done on a day to day, weekly or monthly basis. Theserecords will then often be summarised periodically in a management report.Information that may be recorded as part of such administrative records mightinclude:Financialinformation–incomeandexpenditure.Staffing – numbers, location, designation, training received andperformanceProcurementandassetrecordsService delivery/provision records (e.g. number of households receivinggame meat or other inputs, no. of miners receiving training, number ofchildren vaccinated, no. of children attending school, number ofhouseholdsconnectedtotheelectricitygrid,etc).DecisionoptionsafterevaluationDepending on the outcome, timing and objectives of the evaluation, there aresomemaindecisionoptionsthataretobemade:continueprojectimplementationasplanned,re-orient/restructuretheproject,intheworstcase,tostoptheproject(mid-termevaluation);modify the design of future projects or programmes in light of lessonslearned(ex-postevaluation);ormodify policies, co-operation strategies, and subsequent programmingor identification exercises in the case of sector, thematic or cross-sectorevaluationsToolsforProjectImplementationandManagementTheLogicalFrameworkApproachTheLogicalFrameworkApproachisanextremelyusefultooltosupportthedesignand establishment of effective monitoring, review and reporting systems. Itprovides a framework of objectives, indicators (and targets) and sources ofinformation which should be used to further develop and implement themonitoring,reviewandreportingsystem.Itprovidesalistofkeyassumptionswhichmustbemonitoredaspartoftheprojectsriskmanagementarrangements.AdministrativeandmanagementrecordsWithin the CBOs there will be a requirement to keep some basic administrativerecords of what is being done on a day to day, weekly or monthly basis. Theserecords will then often be summarised periodically in a management report.Information that may be recorded as part of such administrative records mightinclude:Financialinformation–incomeandexpenditure.Staffing – numbers, location, designation, training received andperformanceProcurementandassetrecordsService delivery/provision records (e.g. number of households receivinggame meat or other inputs, no. of miners receiving training, number ofchildren vaccinated, no. of children attending school, number ofhouseholdsconnectedtotheelectricitygrid,etc).DecisionoptionsafterevaluationDepending on the outcome, timing and objectives of the evaluation, there aresomemaindecisionoptionsthataretobemade:continueprojectimplementationasplanned,re-orient/restructuretheproject,intheworstcase,tostoptheproject(mid-termevaluation);modify the design of future projects or programmes in light of lessonslearned(ex-postevaluation);ormodify policies, co-operation strategies, and subsequent programmingor identification exercises in the case of sector, thematic or cross-sectorevaluationsToolsforProjectImplementationandManagementTheLogicalFrameworkApproachTheLogicalFrameworkApproachisanextremelyusefultooltosupportthedesignand establishment of effective monitoring, review and reporting systems. Itprovides a framework of objectives, indicators (and targets) and sources ofinformation which should be used to further develop and implement themonitoring,reviewandreportingsystem.Itprovidesalistofkeyassumptionswhichmustbemonitoredaspartoftheprojectsriskmanagementarrangements.AdministrativeandmanagementrecordsWithin the CBOs there will be a requirement to keep some basic administrativerecords of what is being done on a day to day, weekly or monthly basis. Theserecords will then often be summarised periodically in a management report.Information that may be recorded as part of such administrative records mightinclude:Financialinformation–incomeandexpenditure.Staffing – numbers, location, designation, training received andperformanceProcurementandassetrecordsService delivery/provision records (e.g. number of households receivinggame meat or other inputs, no. of miners receiving training, number ofchildren vaccinated, no. of children attending school, number ofhouseholdsconnectedtotheelectricitygrid,etc).DecisionoptionsafterevaluationDepending on the outcome, timing and objectives of the evaluation, there aresomemaindecisionoptionsthataretobemade:continueprojectimplementationasplanned,re-orient/restructuretheproject,intheworstcase,tostoptheproject(mid-termevaluation);modify the design of future projects or programmes in light of lessonslearned(ex-postevaluation);ormodify policies, co-operation strategies, and subsequent programmingor identification exercises in the case of sector, thematic or cross-sectorevaluationsToolsforProjectImplementationandManagementTheLogicalFrameworkApproachTheLogicalFrameworkApproachisanextremelyusefultooltosupportthedesignand establishment of effective monitoring, review and reporting systems. Itprovides a framework of objectives, indicators (and targets) and sources ofinformation which should be used to further develop and implement themonitoring,reviewandreportingsystem.Itprovidesalistofkeyassumptionswhichmustbemonitoredaspartoftheprojectsriskmanagementarrangements.AdministrativeandmanagementrecordsWithin the CBOs there will be a requirement to keep some basic administrativerecords of what is being done on a day to day, weekly or monthly basis. Theserecords will then often be summarised periodically in a management report.Information that may be recorded as part of such administrative records mightinclude:Financialinformation–incomeandexpenditure.Staffing – numbers, location, designation, training received andperformanceProcurementandassetrecordsService delivery/provision records (e.g. number of households receivinggame meat or other inputs, no. of miners receiving training, number ofchildren vaccinated, no. of children attending school, number ofhouseholdsconnectedtotheelectricitygrid,etc).DecisionoptionsafterevaluationDepending on the outcome, timing and objectives of the evaluation, there aresomemaindecisionoptionsthataretobemade:continueprojectimplementationasplanned,re-orient/restructuretheproject,intheworstcase,tostoptheproject(mid-termevaluation);modify the design of future projects or programmes in light of lessonslearned(ex-postevaluation);ormodify policies, co-operation strategies, and subsequent programmingor identification exercises in the case of sector, thematic or cross-sectorevaluationsToolsforProjectImplementationandManagementTheLogicalFrameworkApproachTheLogicalFrameworkApproachisanextremelyusefultooltosupportthedesignand establishment of effective monitoring, review and reporting systems. Itprovides a framework of objectives, indicators (and targets) and sources ofinformation which should be used to further develop and implement themonitoring,reviewandreportingsystem.Itprovidesalistofkeyassumptionswhichmustbemonitoredaspartoftheprojectsriskmanagementarrangements.AdministrativeandmanagementrecordsWithin the CBOs there will be a requirement to keep some basic administrativerecords of what is being done on a day to day, weekly or monthly basis. Theserecords will then often be summarised periodically in a management report.Information that may be recorded as part of such administrative records mightinclude:Financialinformation–incomeandexpenditure.Staffing – numbers, location, designation, training received andperformanceProcurementandassetrecordsService delivery/provision records (e.g. number of households receivinggame meat or other inputs, no. of miners receiving training, number ofchildren vaccinated, no. of children attending school, number ofhouseholdsconnectedtotheelectricitygrid,etc).DecisionoptionsafterevaluationDepending on the outcome, timing and objectives of the evaluation, there aresomemaindecisionoptionsthataretobemade:continueprojectimplementationasplanned,re-orient/restructuretheproject,intheworstcase,tostoptheproject(mid-termevaluation);modify the design of future projects or programmes in light of lessonslearned(ex-postevaluation);ormodify policies, co-operation strategies, and subsequent programmingor identification exercises in the case of sector, thematic or cross-sectorevaluationsToolsforProjectImplementationandManagementTheLogicalFrameworkApproachTheLogicalFrameworkApproachisanextremelyusefultooltosupportthedesignand establishment of effective monitoring, review and reporting systems. Itprovides a framework of objectives, indicators (and targets) and sources ofinformation which should be used to further develop and implement themonitoring,reviewandreportingsystem.Itprovidesalistofkeyassumptionswhichmustbemonitoredaspartoftheprojectsriskmanagementarrangements.AdministrativeandmanagementrecordsWithin the CBOs there will be a requirement to keep some basic administrativerecords of what is being done on a day to day, weekly or monthly basis. Theserecords will then often be summarised periodically in a management report.Information that may be recorded as part of such administrative records mightinclude:Financialinformation–incomeandexpenditure.Staffing – numbers, location, designation, training received andperformanceProcurementandassetrecordsService delivery/provision records (e.g. number of households receivinggame meat or other inputs, no. of miners receiving training, number ofchildren vaccinated, no. of children attending school, number ofhouseholdsconnectedtotheelectricitygrid,etc).DecisionoptionsafterevaluationDepending on the outcome, timing and objectives of the evaluation, there aresomemaindecisionoptionsthataretobemade:continueprojectimplementationasplanned,re-orient/restructuretheproject,intheworstcase,tostoptheproject(mid-termevaluation);modify the design of future projects or programmes in light of lessonslearned(ex-postevaluation);ormodify policies, co-operation strategies, and subsequent programmingor identification exercises in the case of sector, thematic or cross-sectorevaluationsToolsforProjectImplementationandManagementTheLogicalFrameworkApproachTheLogicalFrameworkApproachisanextremelyusefultooltosupportthedesignand establishment of effective monitoring, review and reporting systems. Itprovides a framework of objectives, indicators (and targets) and sources ofinformation which should be used to further develop and implement themonitoring,reviewandreportingsystem.Itprovidesalistofkeyassumptionswhichmustbemonitoredaspartoftheprojectsriskmanagementarrangements.AdministrativeandmanagementrecordsWithin the CBOs there will be a requirement to keep some basic administrativerecords of what is being done on a day to day, weekly or monthly basis. Theserecords will then often be summarised periodically in a management report.Information that may be recorded as part of such administrative records mightinclude:Financialinformation–incomeandexpenditure.Staffing – numbers, location, designation, training received andperformanceProcurementandassetrecordsService delivery/provision records (e.g. number of households receivinggame meat or other inputs, no. of miners receiving training, number ofchildren vaccinated, no. of children attending school, number ofhouseholdsconnectedtotheelectricitygrid,etc).DecisionoptionsafterevaluationDepending on the outcome, timing and objectives of the evaluation, there aresomemaindecisionoptionsthataretobemade:continueprojectimplementationasplanned,re-orient/restructuretheproject,intheworstcase,tostoptheproject(mid-termevaluation);modify the design of future projects or programmes in light of lessonslearned(ex-postevaluation);ormodify policies, co-operation strategies, and subsequent programmingor identification exercises in the case of sector, thematic or cross-sectorevaluationsToolsforProjectImplementationandManagementTheLogicalFrameworkApproachTheLogicalFrameworkApproachisanextremelyusefultooltosupportthedesignand establishment of effective monitoring, review and reporting systems. Itprovides a framework of objectives, indicators (and targets) and sources ofinformation which should be used to further develop and implement themonitoring,reviewandreportingsystem.Itprovidesalistofkeyassumptionswhichmustbemonitoredaspartoftheprojectsriskmanagementarrangements.AdministrativeandmanagementrecordsWithin the CBOs there will be a requirement to keep some basic administrativerecords of what is being done on a day to day, weekly or monthly basis. Theserecords will then often be summarised periodically in a management report.Information that may be recorded as part of such administrative records mightinclude:Financialinformation–incomeandexpenditure.Staffing – numbers, location, designation, training received andperformanceProcurementandassetrecordsService delivery/provision records (e.g. number of households receivinggame meat or other inputs, no. of miners receiving training, number ofchildren vaccinated, no. of children attending school, number ofhouseholdsconnectedtotheelectricitygrid,etc).DecisionoptionsafterevaluationDepending on the outcome, timing and objectives of the evaluation, there aresomemaindecisionoptionsthataretobemade:continueprojectimplementationasplanned,re-orient/restructuretheproject,intheworstcase,tostoptheproject(mid-termevaluation);modify the design of future projects or programmes in light of lessonslearned(ex-postevaluation);ormodify policies, co-operation strategies, and subsequent programmingor identification exercises in the case of sector, thematic or cross-sectorevaluationsToolsforProjectImplementationandManagementTheLogicalFrameworkApproachTheLogicalFrameworkApproachisanextremelyusefultooltosupportthedesignand establishment of effective monitoring, review and reporting systems. Itprovides a framework of objectives, indicators (and targets) and sources ofinformation which should be used to further develop and implement themonitoring,reviewandreportingsystem.Itprovidesalistofkeyassumptionswhichmustbemonitoredaspartoftheprojectsriskmanagementarrangements.AdministrativeandmanagementrecordsWithin the CBOs there will be a requirement to keep some basic administrativerecords of what is being done on a day to day, weekly or monthly basis. Theserecords will then often be summarised periodically in a management report.Information that may be recorded as part of such administrative records mightinclude:Financialinformation–incomeandexpenditure.Staffing – numbers, location, designation, training received andperformanceProcurementandassetrecordsService delivery/provision records (e.g. number of households receivinggame meat or other inputs, no. of miners receiving training, number ofchildren vaccinated, no. of children attending school, number ofhouseholdsconnectedtotheelectricitygrid,etc).DecisionoptionsafterevaluationDepending on the outcome, timing and objectives of the evaluation, there aresomemaindecisionoptionsthataretobemade:continueprojectimplementationasplanned,re-orient/restructuretheproject,intheworstcase,tostoptheproject(mid-termevaluation);modify the design of future projects or programmes in light of lessonslearned(ex-postevaluation);ormodify policies, co-operation strategies, and subsequent programmingor identification exercises in the case of sector, thematic or cross-sectorevaluationsToolsforProjectImplementationandManagementTheLogicalFrameworkApproachTheLogicalFrameworkApproachisanextremelyusefultooltosupportthedesignand establishment of effective monitoring, review and reporting systems. Itprovides a framework of objectives, indicators (and targets) and sources ofinformation which should be used to further develop and implement themonitoring,reviewandreportingsystem.Itprovidesalistofkeyassumptionswhichmustbemonitoredaspartoftheprojectsriskmanagementarrangements.AdministrativeandmanagementrecordsWithin the CBOs there will be a requirement to keep some basic administrativerecords of what is being done on a day to day, weekly or monthly basis. Theserecords will then often be summarised periodically in a management report.Information that may be recorded as part of such administrative records mightinclude:Financialinformation–incomeandexpenditure.Staffing – numbers, location, designation, training received andperformanceProcurementandassetrecordsService delivery/provision records (e.g. number of households receivinggame meat or other inputs, no. of miners receiving training, number ofchildren vaccinated, no. of children attending school, number ofhouseholdsconnectedtotheelectricitygrid,etc).71
  • 19. 81RegularReviewMeetingMinutesRegular reviews may be undertaken more or less regularly, and be more or lessformal,dependingprimarilyontheirpurposeandwhoisexpectedtoparticipate.ProgressreportsandupdatedplansPlans must be regularly reviewed and updated if they are to remain relevant. Thepreparationofanannualplanprovidesthisopportunityformulti-yearprojects.Thespecific sub-headings and the quantity of information provided should be adaptedto suit the scope and scale of the project, and to existing monitoring and reportingsystems.Annualplansarerequiredforeverymulti-yearproject.PromotingParticipationandOwnershipbytheCommunityLocal ownership of development programmes and projects is a key theme ofcommunity development. Participation and ownership are fundamental toensuring relevance, effectiveness and sustainability. Empowerment is often a keyobjective of participation i.e. bringing about a more equitable sharing of power,increasing the political awareness of disadvantaged groups, and supporting themin taking actions that will allow them to take more control of their own futures.Further, people learn best by doing things for themselves. If people are assisted toplan and manage their own affairs the outcomes are more likely to meet their realneeds. Building capacity within local communities and groups is thus an importantobjective of participatory approaches. Capacity building is also important becauseitisapreconditionforthesustainabilityofdevelopmentinitiatives.Keyprinciplesofparticipationare:-InvolvingpeopleassubjectsnotobjectsRespectforlocalknowledgeandskillsEnsuringinfluenceoverdevelopmentdecisions,notsimplyinvolvementAlearningprocessasmuchasanoutcomeAnapproachandattituderatherthanaspecificsetoftechnicalskills
  • 20. 91HIV/AIDSandGenderMainstreaminginProjectsDue to the HIV/ AIDS pandemic, CBOs should recognizes the need to mainstreamHIV and AIDS in all its interventions so as to create a healthy and safe workingenvironment at the workplace and in the communities they work in. All CBOsshould consider mainstreaming Gender, HIV and AIDS in their programmes andactivities in order to minimize the negative impacts of the pandemic in the longterm. Gender mainstreaming is a process of ensuring that in all our work and theway we do it should contribute to gender equality by transforming the balance ofpowerbetweenmenandwomen.
  • 21. 02PROJECTPROPOSALWRITINGSTRUCTUREThe following are some of the key elements of a proposal. This section is aimed athelpingCBOstowriteproposalsforprojectfunding.ContextandBackgroundIn this part of a proposal, the CBO should be able to describe the social, economic,political and cultural background from which the project is being initiated. TheCBOcancollectdatafromotherresearchmaterial.ProblemstatementIn the problem statement section theCBO should provide a description of thespecific problem(s) the project is tryingto solve, in order to “make a case”for theproject. Furthermore, the projectproposal should point out why a certainissue is a problem for the community orsociety as a whole, i.e. what negativeimplications affect the target group.There should also be an explanation ofthe needs of the target group thatappear as a direct consequence of thedescribed problem. Examples ofproblems may include limited access toclean water as a result of broken downboreholes or limited access to marketsbecauseofpoorroadnetwork.ActivitiesIn this part of the proposal there is need to outline the activities that will beundertaken to achieve the project goal and objectives. The activities should beused as strategies for solving the problem. There is also need to state how thesestrategieswillleadtoimprovement.Projectgoal(oroverallobjective)The project goal is the ultimate state of affairs that the CBO would desire to see inthe community. This will be the long term benefit to the target group or to thecommunity. Some examples of a project goal might be: raising environmentalawarenessorimprovingthequalityoflifeinthecommunity.STRUCTURE OF PROJECTPROPOSAL·Context/Background·Problem Statement·Objectives·Activities·Results·Target Group·Workplan·Implementingorganisation·Budget·Monitoringand Evaluation
  • 22. 12ProjectobjectivesThe objectives should address the core problem in terms of the benefits to bereceivedbytheprojectbeneficiariesortargetgroupasadirectresultoftheproject.The objectives may be defined as: improving the water supply in the village andreducingmalnutrition.Aprojectwilllikelyhavemultipleobjectives.ProjectresultsResults describe the services or products to be delivered to the intendedbeneficiaries. The results should address the main causes of the problem that thetarget group faces. Examples of results are as follows: increased number ofhouseholds connectedtothewatersupplysystem;increasednumberofwatertapsinthevillage.Theresultsoftheprojectcanbetiedbacktotheprojectsobjectives.TargetgroupThere is need to define the target group and show how it will benefit from theproject. The project should provide a detailed description of the size andcharacteristics of the target groups. The criteria for target group analysis may beethniccomposition,gender,age,etc.WorkplanThe workplan should include specific information and explanations of each of theplanned project activities.The duration of the project should be clearlystated,withconsiderabledetailonthebeginningandtheendoftheproject.TheimplementingorganisationThis section should describe the capabilities of the CBO by referring to its capacityandpreviousprojectrecord.DescribewhyexactlyyourCBOisthemostappropriateto run the project, its connection to the local community, the constituency behindthe organisation and what kind of expertise the CBO can provide. If other partnersareinvolvedinimplementationprovidesomeinformationontheircapacityaswell.BudgetA budget is an itemised summary of a CBOs expected income and expenses over aspecifiedperiodoftime.MonitoringandevaluationThe project proposal should also indicate: how and when the project managementteam will conduct activities to monitor the projects progress; which methods willbeusedtomonitorandevaluate;andwhowilldotheevaluation.
  • 23. 22WhatisGovernance?In this handbook governance refers to the legal and administrative arrangementsused to manage a CBO. Governance relates to the management, administrationand leadership structures within a CBO. Besides structure, governance alsoestablishes the process of managing or exercising authority within a CBO. In termsof process, governance relates to the manner in which a Board of Trustees forexampledirectsaCBO.WhyisGovernanceImportant?GoodgovernanceensuresthattheCBOsuccessfullymeetsitsobjectivesandgoals.It is good governance that appraises the performance of the management arm ofthe CBO and ensures that policies that enhance growth are put in place. Withoutgood governance, a CBO is likely to collapse due to internal fighting, lack of acredible vision, absence of robust policies and lack of transparency andaccountability. The importance of governance can be better appreciated byconsidering its responsibilities. Governance is expected to establish over-ridingprinciples and objectives, develop policy and regulatory frameworks, maintain thecapacity to learn and change, manage stakeholder interaction, enforce decisionsanddefineconditionsfortheallocationofauthorityandresources.CBO GOVERNANCE ISSUESObjectivesTheobjectivesofthissectionareasfollows;Ensure that Community Based Organisations (CBOs) comply with theirconstitutionsorDeedsofTrustImprovetransparencyandaccountabilityEnhanceimageoftheorganisationImprovecommunitybuy-inintoCBOsprojectsEnsureresolutionandorpreventionofpotentialinternalconflictsEnsurecontinuedcommitmenttothemissionandvisionoftheCBOs
  • 24. 32Common Institutional and Administrative ArrangementsMost CBOs are composed on different organizational levels. The majority haveadvisors or patrons, Board of Trustees and a secretariat. Others have some keydocumentsthatguidethemanagementoftheCBO.Belowisadetailedexplanationofthesestructures,theirfunctionsandhowtheyshoulddischargetheirduties.BoardofTrusteesMost CBOs that are registered as common law trusts, commonly referred to inZimbabweascommunitytrusts.TheyhaveaBoardofTrusteesestablishedintermsof Deed of Trust. The Board of Trustees is made up of Trustees. The Board is incharge and directly accountable for the overall direction and policies of theorganisation. It is the Board that has the authority to develop, implement andensure adherence to policies. Ideally, the Board should be representative of thecommunityalthoughitisimportanttotakeintoaccountothercriticalskillsin-orderto ensure continued growth of the organisation. In addition to being in charge ofoverall policy and direction, the Board also has the duty of managing stakeholderrelationships.ThismeansthatitisthedutyoftheBoardtomanagetherelationshipof the Community Based Organisation (CBO) with development partners, fundingagencies, government, local authorities and the community. The Board, whilebeingthemaingovernancearmoftheorganisation,isultimatelyresponsibletothecommunity which the CBO serves. The community is the beneficiary of the CBOprojects.PowersoftheBoardMost Deeds of Trust give the Board of Trustees the following powers; to purchase,lease or sell any property, to borrow and raise money for the Trust, to open andoperate banking and savings accounts, to accept any donation to the trust, toemploy and remunerate such officers as the Board may deem necessary to fulfillthe objects of the Trust, to appointthe head of the secretariat of the trust who maybe called the Executive Director, to revoke, amend or modify any of the rules foradministration of the Trust, to enter into all such contracts as shall serve to furtherthe purposes and objects of the Trust, to cause a proper set of books and accountsto be kept relevant to the affairs of the Trust which books and accounts will beauditedannuallybyanAuditortobeappointedbytheBoardofTrustees.
  • 25. 42InsummarytheresponsibilitiesoftheBoardofTrusteesinmostcasesinclude:DeterminingtheorganisationsmissionandpurposeSelectingtheExecutiveDirectorProvidingproperfinancialoversightEnsuring adequate resources (this includes taking an active role infundraising)Ensuring legal and ethical integrity (ensuring transparency andaccountability)EnsuringeffectiveandresultsdrivenorganisationalplanningEnhancingtheorganisationspublicstandingDetermining, monitoring and strengthening the organisations programsandservicesSupporting the Executive Director and assessing the Executive Directorsperformance.Another key point to note is that trustees of smaller organisations may, bynecessity, find themselves more involved in the day to day operations of theorganisation as the organisation will be growing and facing capacity constraints torecruitotherpeopletoserveasthesecretariat.BoardMeetingsThe above responsibilities are largely carried out through the holding of meetingsof the Board as required by the Deed. It is during these meetings that discussionsand adoption of resolutions take place. The Board of Trustees acts as a body andindividual Board members generally have no authority to bind the organisation ortake action on its behalf unless authority has been given by the Board. It ishowever, important to note that some of the work of the Board may beaccomplished outside of Board meetings as Board members are expected to serveas advocates for the organisation in various fora. In-order to be effective, Boardmembers may need to meet with donors, the community and employees outsidethenormalBoardmeetings.General Meetings: The Board of Trustees shall meet to consider and administerthe affairs of the Trust at such times as they may determine from time to time.Some Deeds prescribe that the Board must meet not less than four times in eachyear. In most cases the notice of every meeting is given in writing or sent by e-mail
  • 26. 52or ordinary post to each Trustee not less than seven (7) days before the date of themeeting to give trustees time to prepare. The notice will state the date, place andhour of the meeting and the nature of the business to be transacted. The Board isrequired to cause proper minutes of the proceedings and resolutions adoptedduring meetings to be kept and entered in a book provided for the purpose. InmostcasestheminutesaretakenbytheSecretaryoftheBoard.Special Meetings: These could be meeting that may be convened by the Board todealwithurgentissuesaffectingtheoperationsoftheCBOorcommunitytrust.Annual General Meeting: The Trustees may call for an Annual General Meeting ofthe members of the Trust once in every year. An annual general meeting may becalled 30 daysor such other time the trustees feel is adequate before the meeting.The notice will specify the business of the meeting. The meeting may be attendedbycommunitymemberswhoarethebeneficiariesoftheTrust.Voting and Decisions of Board of Trustees: In most casesthe quorum atan AnnualGeneral Meeting or General Meeting or special meeting to proceed may be not beless than two thirds of the members. However, in many cases trustees reachdecisions byconsensus.In some casesit canbe the majority of the total number oftrustees available. If there is no consensus on an issue they may resort to a vote. IfthedecisionislefttoavoteeachTrusteeshallhaveonlyonevoteeitherbyshowofhands or even secret ballot. Further, in the eventof tie of votes on any issues sometrusts may give the Chairperson a casting vote which shall decide the issue and willbefinal.SampleAgendaThe agenda for the Board meeting must be circulated in advance and can take theformatbelow1. Opening of meeting and introductions (Chair)2. Approval of minutes of previous meeting (secretary)3. Reports and discussions ( the chair calls for reports from the treasurer,executive director , committees etc)4. Old business to be brought up (chair)A. Unfinished business from previous meetingsB. Motions that were tabled from previous meetings5. New business-motions to be made for voting by the Board (Chair)6. Adjournment
  • 27. 62Building and Maintaining an Effective BoardAn effective Board of Trustees understands the mission of the organisation, helpsmove the organisations mission forward and understands and operates inaccordance with legal responsibilities. Dysfunctional or ineffective boards aretypicallycharacterisedbyoneormoreofthefollowing:TheBoarddoesnothaveordoesnotabidebyaregularmeetingscheduleNothing much happens at Board meetings and many Board members donotattendTrustees do not understand the mission of the organisation and are notpassionateaboutitThe Trustees do not understand the financial underpinning of theorganisationTrusteesattempttomicro-managestaffThere is a lack of trust and confidence between the Board and theManagementTrusteesspeakdisrespectfullyofeachotherandofmanagementAfewTrusteesdominateBoardmeetingsTheorganisationisflounderingordyingBelow are some key questions thatmay assist the Board Members in ensuring goodgovernanceoftheCBO.ChecklistfortheBoardofTrustees;1. Are you committed to helping advance the organisations mission and areyouawareofthetimeandresourcecommitmentsinvolved?2. Do you have a copy of the organisations Deed of Trust and the missionstatement and have you read these? Does the Board periodically reviewthesedocumentstomakesuretheyarecomplyingwiththem?3. IsthereaCodeofConductandhaveyougonethroughthedocument?4. Are the financial performance and budget documents accessible,understandableandregularlymonitoredbytheBoard?5. Is the Board functioning effectively, with regular well attended and wellrunmeetingsaddressingimportantissues?6. DoestheBoardreviewitsowneffectiveness?
  • 28. 727. IsthereaBoardorientationprogramormanual?8. Are key staff members formally evaluated by the Chief Executive andthoseevaluationssharedwiththeBoard?SecretariatExecutiveDirectorThe Board of Trustees appoints the Executive Director who is ultimatelyresponsible for carrying out the wishes of the Board and overseeing theimplementation of projects. The Executive Director is accountable for the work ofstaffandsupportstheworkoftheBoard.StaffThe staff is responsible for implementing projects and programmes that meet theneeds of the community. The staff does the work to ensure the realisation of theorganisationsobjectivesandgoalsandisaccountabletotheExecutiveDirector.SAMPLEORGANOGRAMAdvisor/PatronsProject OfficersBoard of TrusteesExecutive DirectorProject AssistantAccountantMessenger/SecurityGuard/General hand worker
  • 29. 82KeyGovernanceDocumentsDeedofTrustThe Deed of Trust is the main governance document within CBOs that areregistered as common law trusts or community trusts. The deed establishes theofficialstatusoftheCBOasanon-profitorganisation.Itisthedeedthatsetsouttheconstitution of the organisation. The Deed outlines the basic operating rules forthe organisation and spells out how the CBO is structured and governed. As anexample, the Deed sets out the minimum and maximum number of personsmaking up the Board of Trustees, the number of times the Board has to meet, thesetting up of Board Committees and the decision making processes within theBoard (e.g. voting). It is important for all the members of the Board of Trustees tohave full knowledge of the Deed and to strictly adhere to what is set out within theDeedintermsofelectionofBoardmembersandholdingofBoardmeetingsamongotherrequirements.CodeofConductorInternalRegulationsA CBO may develop a code of conduct or some internal regulations to further defineinternal procedures to be followed in managing the affairs of the CBO. The Code ofConduct helps to define what the organisation expects of Board Members and theBoard as a whole and what the Board expects of the management. The Code ofConductmayhelptheBoardofTrusteestodealwithrealandperceivedconflictsandconflicts of interest within the organisation. It may also help provide guidelines fordealing with sensitive information with other constituencies, organisations and thepress.Itmayalsoestablishdisciplinaryprocedures.
  • 30. 92FINANCIALMANAGEMENTDraftingaProjectBudgetA project budget is normally drafted during the project development phase as anestimate of the potential costs of implementing project activities.Whatthis meansis that all project activities should be budgeted in order to achieve projectobjectives. Financial resources are a key input for all projects. In most cases thefollowing costs are budgeted for e.g. money for holding a consultation workshopmoney to pay for the venue and food for participants, salaries which will be usedforpayingstaffmembersimplementingtheprojectandadministrationcostswhichinclude funds for paying other expenses to be incurred by the organization such asrentals.ProjectContractMost donors draft a contract or agreement that will set out the terms andconditions under which the funds awarded to an organization should be used. Inmostcasesthesetermsandconditionsrestatetheexpectationsofthedonorbasedon what the recipient organization would have stated it would accomplish with thefunds. The contract normally state when and howthe grantrecipient should reportto the donor. Reports that are normally required are financial reports and thedonor will outline the reporting format and the dates or frequency of reporting.Donor conditions and requirements vary and are not uniform so it is important forthe recipient or grantee to closely and thoroughly read the contract to enhancecompliancewiththerequirements.BankAccountsCommunity Based Organisations should open bank accounts. If the CBO has morethan one donor or projects, it is advisable to open separate bank accounts for eachproject or donor. The purpose of setting up separate bank accounts is to facilitatetracking and monitoring of expenditures incurred in connection with grants. Thebank accounts shall not be overdrawn. An account shall be deemed overdrawnThis section is intended to la the basis for sound financial management forcommunity based organisations so that the funds are maintained prudentl andconservatively It is aimed at simplifying the financial and record keeping practices.The section sets out some of the basic financial al controls andmonitoring procedures designed to protect funds from misuse and loss and forsafeguardingtheassetsoftheorganization.yyprocedures, financi.
  • 31. 03when the cashbook shows a credit balance. If the CBO is to have a bank account,there should be a panel of more than 3 signatories, of which at least 3 can sign.SignatoriesshouldbeatleasttheChairperson,TreasurerandSecretary.GOLDENRULESOFFINANCIALMANAGEMENT1. Alwaysreceiptallmoniesreceived2. Alwaysobtainreceiptsforpaymentsmadeout3. Allfinancialdealingsshouldbesupportedbyawrittenrecord4. Avoid situation where you are seen to be the beneficiary of alldecisionsortransactionsfacilitatedbyyourself5. Avoidleavingorganizationfundsininsecurelocations.6. Avoidmixingorganizationfundswithpersonalfunds7. Neverborroworganizationfundsforpersonalusewithoutauthority8. Avoidkeepingorganizationalfundsathome9. Ensure that every transaction or decision you facilitate is transparentanddoesnotraisequestionsaboutyourintegrity10. KeepincomingandoutgoingmoneyseparatelyKEYBOOKSOFACCOUNTSTOBEKEPTReceiptBookThis is a book in which all income received is receipted before use. All amounts notspent, (Change) should be receipted for accountability. The information thatshould appear on the receipt include: the name of the person or organisation fromwhichthemoneywillbecomingfrom,amount,dateandpurpose.CashbookA cashbook should be maintained. This is to account for all the receipts receivedand all the expenditure incurred. Payments in the cash book should be subdividede.g. travel expenses, project expenses, stationery etc. In the cash book there aretwo sections, that is, the receipts side and the payments side. The information tobe contained on the payment side include the date on which the payment wasmade, the name of the organisation to which the payment was made, descriptionof the goods or service being paid for and the amount. The receipt side should
  • 32. show the date the money was received, the name of the organisation from whichthemoneycamefrom,purposeforthemoneyreceivedandtheamountreceived.PettyCashMoney should be set aside for Petty Cash, i.e. if the organization has a bankaccount. This is to cater for expenses of small amounts. The imprest system shouldbe used whereby the total amount of actual cash available in the cashbox and thetotal of petty cash vouchers and receipts amount to the petty cash float set by theorganization. The custodian of the petty cash box is the treasurer and it should belocked in a safe. Limits of expenses that qualify to be of petty cash should be set bythe organization. Surprise petty cash counts should be done by the Chairperson asoftenaspossibleandheshouldsignforittoshowisolationofresponsibility.Apettycash register should be maintained where all the payments made using the pettycash and all the reimbursements made will be recorded. This will also be used toreconcilethepettycashwherereimbursementsaretobemade.Asset RegisterThe Asset Register is a record of all the property, plant and equipment owned bythe organization. The assets must be separately identified in the assets register asthose acquired under each of the projects. The Asset register shall contain thefollowing details: date when asset was purchased or donated, full details of assetincluding descriptionand serial/registration number, cost of assetand place whereassetiskept.InvoicebookThe invoice book is used to charge a customer who would have bought goods orreceived services from the organisation. The invoice will include the date, type,quantityandamountofthegoodsorservicespurchased.RequisitionBookThisisusedinternallybystaffmemberstomaketheirrequestsforgoodsorservicesto be made available for a project. The requisition form will be completed statingthe description and quantity of goods or services needed. This should also beapprovedbeforequotationsaresourced.OrderBookThis is a book in which a request to the supplier is written for the supply of goods orservices. An order is written and approved after the quotations have beenapproved. On the order form, the quantity , description and price of the goods orservice are written. This will then be given to the supplier so that he can supply thegoodsorservices.show the date the money was received, the name of the organisation from whichthemoneycamefrom,purposeforthemoneyreceivedandtheamountreceived.PettyCashMoney should be set aside for Petty Cash, i.e. if the organization has a bankaccount. This is to cater for expenses of small amounts. The imprest system shouldbe used whereby the total amount of actual cash available in the cashbox and thetotal of petty cash vouchers and receipts amount to the petty cash float set by theorganization. The custodian of the petty cash box is the treasurer and it should belocked in a safe. Limits of expenses that qualify to be of petty cash should be set bythe organization. Surprise petty cash counts should be done by the Chairperson asoftenaspossibleandheshouldsignforittoshowisolationofresponsibility.Apettycash register should be maintained where all the payments made using the pettycash and all the reimbursements made will be recorded. This will also be used toreconcilethepettycashwherereimbursementsaretobemade.Asset RegisterThe Asset Register is a record of all the property, plant and equipment owned bythe organization. The assets must be separately identified in the assets register asthose acquired under each of the projects. The Asset register shall contain thefollowing details: date when asset was purchased or donated, full details of assetincluding descriptionand serial/registration number, cost of assetand place whereassetiskept.InvoicebookThe invoice book is used to charge a customer who would have bought goods orreceived services from the organisation. The invoice will include the date, type,quantityandamountofthegoodsorservicespurchased.RequisitionBookThisisusedinternallybystaffmemberstomaketheirrequestsforgoodsorservicesto be made available for a project. The requisition form will be completed statingthe description and quantity of goods or services needed. This should also beapprovedbeforequotationsaresourced.OrderBookThis is a book in which a request to the supplier is written for the supply of goods orservices. An order is written and approved after the quotations have beenapproved. On the order form, the quantity , description and price of the goods orservice are written. This will then be given to the supplier so that he can supply thegoodsorservices.show the date the money was received, the name of the organisation from whichthemoneycamefrom,purposeforthemoneyreceivedandtheamountreceived.PettyCashMoney should be set aside for Petty Cash, i.e. if the organization has a bankaccount. This is to cater for expenses of small amounts. The imprest system shouldbe used whereby the total amount of actual cash available in the cashbox and thetotal of petty cash vouchers and receipts amount to the petty cash float set by theorganization. The custodian of the petty cash box is the treasurer and it should belocked in a safe. Limits of expenses that qualify to be of petty cash should be set bythe organization. Surprise petty cash counts should be done by the Chairperson asoftenaspossibleandheshouldsignforittoshowisolationofresponsibility.Apettycash register should be maintained where all the payments made using the pettycash and all the reimbursements made will be recorded. This will also be used toreconcilethepettycashwherereimbursementsaretobemade.Asset RegisterThe Asset Register is a record of all the property, plant and equipment owned bythe organization. The assets must be separately identified in the assets register asthose acquired under each of the projects. The Asset register shall contain thefollowing details: date when asset was purchased or donated, full details of assetincluding descriptionand serial/registration number, cost of assetand place whereassetiskept.InvoicebookThe invoice book is used to charge a customer who would have bought goods orreceived services from the organisation. The invoice will include the date, type,quantityandamountofthegoodsorservicespurchased.RequisitionBookThisisusedinternallybystaffmemberstomaketheirrequestsforgoodsorservicesto be made available for a project. The requisition form will be completed statingthe description and quantity of goods or services needed. This should also beapprovedbeforequotationsaresourced.OrderBookThis is a book in which a request to the supplier is written for the supply of goods orservices. An order is written and approved after the quotations have beenapproved. On the order form, the quantity , description and price of the goods orservice are written. This will then be given to the supplier so that he can supply thegoodsorservices.show the date the money was received, the name of the organisation from whichthemoneycamefrom,purposeforthemoneyreceivedandtheamountreceived.PettyCashMoney should be set aside for Petty Cash, i.e. if the organization has a bankaccount. This is to cater for expenses of small amounts. The imprest system shouldbe used whereby the total amount of actual cash available in the cashbox and thetotal of petty cash vouchers and receipts amount to the petty cash float set by theorganization. The custodian of the petty cash box is the treasurer and it should belocked in a safe. Limits of expenses that qualify to be of petty cash should be set bythe organization. Surprise petty cash counts should be done by the Chairperson asoftenaspossibleandheshouldsignforittoshowisolationofresponsibility.Apettycash register should be maintained where all the payments made using the pettycash and all the reimbursements made will be recorded. This will also be used toreconcilethepettycashwherereimbursementsaretobemade.Asset RegisterThe Asset Register is a record of all the property, plant and equipment owned bythe organization. The assets must be separately identified in the assets register asthose acquired under each of the projects. The Asset register shall contain thefollowing details: date when asset was purchased or donated, full details of assetincluding descriptionand serial/registration number, cost of assetand place whereassetiskept.InvoicebookThe invoice book is used to charge a customer who would have bought goods orreceived services from the organisation. The invoice will include the date, type,quantityandamountofthegoodsorservicespurchased.RequisitionBookThisisusedinternallybystaffmemberstomaketheirrequestsforgoodsorservicesto be made available for a project. The requisition form will be completed statingthe description and quantity of goods or services needed. This should also beapprovedbeforequotationsaresourced.OrderBookThis is a book in which a request to the supplier is written for the supply of goods orservices. An order is written and approved after the quotations have beenapproved. On the order form, the quantity , description and price of the goods orservice are written. This will then be given to the supplier so that he can supply thegoodsorservices.show the date the money was received, the name of the organisation from whichthemoneycamefrom,purposeforthemoneyreceivedandtheamountreceived.PettyCashMoney should be set aside for Petty Cash, i.e. if the organization has a bankaccount. This is to cater for expenses of small amounts. The imprest system shouldbe used whereby the total amount of actual cash available in the cashbox and thetotal of petty cash vouchers and receipts amount to the petty cash float set by theorganization. The custodian of the petty cash box is the treasurer and it should belocked in a safe. Limits of expenses that qualify to be of petty cash should be set bythe organization. Surprise petty cash counts should be done by the Chairperson asoftenaspossibleandheshouldsignforittoshowisolationofresponsibility.Apettycash register should be maintained where all the payments made using the pettycash and all the reimbursements made will be recorded. This will also be used toreconcilethepettycashwherereimbursementsaretobemade.Asset RegisterThe Asset Register is a record of all the property, plant and equipment owned bythe organization. The assets must be separately identified in the assets register asthose acquired under each of the projects. The Asset register shall contain thefollowing details: date when asset was purchased or donated, full details of assetincluding descriptionand serial/registration number, cost of assetand place whereassetiskept.InvoicebookThe invoice book is used to charge a customer who would have bought goods orreceived services from the organisation. The invoice will include the date, type,quantityandamountofthegoodsorservicespurchased.RequisitionBookThisisusedinternallybystaffmemberstomaketheirrequestsforgoodsorservicesto be made available for a project. The requisition form will be completed statingthe description and quantity of goods or services needed. This should also beapprovedbeforequotationsaresourced.OrderBookThis is a book in which a request to the supplier is written for the supply of goods orservices. An order is written and approved after the quotations have beenapproved. On the order form, the quantity , description and price of the goods orservice are written. This will then be given to the supplier so that he can supply thegoodsorservices.show the date the money was received, the name of the organisation from whichthemoneycamefrom,purposeforthemoneyreceivedandtheamountreceived.PettyCashMoney should be set aside for Petty Cash, i.e. if the organization has a bankaccount. This is to cater for expenses of small amounts. The imprest system shouldbe used whereby the total amount of actual cash available in the cashbox and thetotal of petty cash vouchers and receipts amount to the petty cash float set by theorganization. The custodian of the petty cash box is the treasurer and it should belocked in a safe. Limits of expenses that qualify to be of petty cash should be set bythe organization. Surprise petty cash counts should be done by the Chairperson asoftenaspossibleandheshouldsignforittoshowisolationofresponsibility.Apettycash register should be maintained where all the payments made using the pettycash and all the reimbursements made will be recorded. This will also be used toreconcilethepettycashwherereimbursementsaretobemade.Asset RegisterThe Asset Register is a record of all the property, plant and equipment owned bythe organization. The assets must be separately identified in the assets register asthose acquired under each of the projects. The Asset register shall contain thefollowing details: date when asset was purchased or donated, full details of assetincluding descriptionand serial/registration number, cost of assetand place whereassetiskept.InvoicebookThe invoice book is used to charge a customer who would have bought goods orreceived services from the organisation. The invoice will include the date, type,quantityandamountofthegoodsorservicespurchased.RequisitionBookThisisusedinternallybystaffmemberstomaketheirrequestsforgoodsorservicesto be made available for a project. The requisition form will be completed statingthe description and quantity of goods or services needed. This should also beapprovedbeforequotationsaresourced.OrderBookThis is a book in which a request to the supplier is written for the supply of goods orservices. An order is written and approved after the quotations have beenapproved. On the order form, the quantity , description and price of the goods orservice are written. This will then be given to the supplier so that he can supply thegoodsorservices.show the date the money was received, the name of the organisation from whichthemoneycamefrom,purposeforthemoneyreceivedandtheamountreceived.PettyCashMoney should be set aside for Petty Cash, i.e. if the organization has a bankaccount. This is to cater for expenses of small amounts. The imprest system shouldbe used whereby the total amount of actual cash available in the cashbox and thetotal of petty cash vouchers and receipts amount to the petty cash float set by theorganization. The custodian of the petty cash box is the treasurer and it should belocked in a safe. Limits of expenses that qualify to be of petty cash should be set bythe organization. Surprise petty cash counts should be done by the Chairperson asoftenaspossibleandheshouldsignforittoshowisolationofresponsibility.Apettycash register should be maintained where all the payments made using the pettycash and all the reimbursements made will be recorded. This will also be used toreconcilethepettycashwherereimbursementsaretobemade.Asset RegisterThe Asset Register is a record of all the property, plant and equipment owned bythe organization. The assets must be separately identified in the assets register asthose acquired under each of the projects. The Asset register shall contain thefollowing details: date when asset was purchased or donated, full details of assetincluding descriptionand serial/registration number, cost of assetand place whereassetiskept.InvoicebookThe invoice book is used to charge a customer who would have bought goods orreceived services from the organisation. The invoice will include the date, type,quantityandamountofthegoodsorservicespurchased.RequisitionBookThisisusedinternallybystaffmemberstomaketheirrequestsforgoodsorservicesto be made available for a project. The requisition form will be completed statingthe description and quantity of goods or services needed. This should also beapprovedbeforequotationsaresourced.OrderBookThis is a book in which a request to the supplier is written for the supply of goods orservices. An order is written and approved after the quotations have beenapproved. On the order form, the quantity , description and price of the goods orservice are written. This will then be given to the supplier so that he can supply thegoodsorservices.show the date the money was received, the name of the organisation from whichthemoneycamefrom,purposeforthemoneyreceivedandtheamountreceived.PettyCashMoney should be set aside for Petty Cash, i.e. if the organization has a bankaccount. This is to cater for expenses of small amounts. The imprest system shouldbe used whereby the total amount of actual cash available in the cashbox and thetotal of petty cash vouchers and receipts amount to the petty cash float set by theorganization. The custodian of the petty cash box is the treasurer and it should belocked in a safe. Limits of expenses that qualify to be of petty cash should be set bythe organization. Surprise petty cash counts should be done by the Chairperson asoftenaspossibleandheshouldsignforittoshowisolationofresponsibility.Apettycash register should be maintained where all the payments made using the pettycash and all the reimbursements made will be recorded. This will also be used toreconcilethepettycashwherereimbursementsaretobemade.Asset RegisterThe Asset Register is a record of all the property, plant and equipment owned bythe organization. The assets must be separately identified in the assets register asthose acquired under each of the projects. The Asset register shall contain thefollowing details: date when asset was purchased or donated, full details of assetincluding descriptionand serial/registration number, cost of assetand place whereassetiskept.InvoicebookThe invoice book is used to charge a customer who would have bought goods orreceived services from the organisation. The invoice will include the date, type,quantityandamountofthegoodsorservicespurchased.RequisitionBookThisisusedinternallybystaffmemberstomaketheirrequestsforgoodsorservicesto be made available for a project. The requisition form will be completed statingthe description and quantity of goods or services needed. This should also beapprovedbeforequotationsaresourced.OrderBookThis is a book in which a request to the supplier is written for the supply of goods orservices. An order is written and approved after the quotations have beenapproved. On the order form, the quantity , description and price of the goods orservice are written. This will then be given to the supplier so that he can supply thegoodsorservices.show the date the money was received, the name of the organisation from whichthemoneycamefrom,purposeforthemoneyreceivedandtheamountreceived.PettyCashMoney should be set aside for Petty Cash, i.e. if the organization has a bankaccount. This is to cater for expenses of small amounts. The imprest system shouldbe used whereby the total amount of actual cash available in the cashbox and thetotal of petty cash vouchers and receipts amount to the petty cash float set by theorganization. The custodian of the petty cash box is the treasurer and it should belocked in a safe. Limits of expenses that qualify to be of petty cash should be set bythe organization. Surprise petty cash counts should be done by the Chairperson asoftenaspossibleandheshouldsignforittoshowisolationofresponsibility.Apettycash register should be maintained where all the payments made using the pettycash and all the reimbursements made will be recorded. This will also be used toreconcilethepettycashwherereimbursementsaretobemade.Asset RegisterThe Asset Register is a record of all the property, plant and equipment owned bythe organization. The assets must be separately identified in the assets register asthose acquired under each of the projects. The Asset register shall contain thefollowing details: date when asset was purchased or donated, full details of assetincluding descriptionand serial/registration number, cost of assetand place whereassetiskept.InvoicebookThe invoice book is used to charge a customer who would have bought goods orreceived services from the organisation. The invoice will include the date, type,quantityandamountofthegoodsorservicespurchased.RequisitionBookThisisusedinternallybystaffmemberstomaketheirrequestsforgoodsorservicesto be made available for a project. The requisition form will be completed statingthe description and quantity of goods or services needed. This should also beapprovedbeforequotationsaresourced.OrderBookThis is a book in which a request to the supplier is written for the supply of goods orservices. An order is written and approved after the quotations have beenapproved. On the order form, the quantity , description and price of the goods orservice are written. This will then be given to the supplier so that he can supply thegoodsorservices.show the date the money was received, the name of the organisation from whichthemoneycamefrom,purposeforthemoneyreceivedandtheamountreceived.PettyCashMoney should be set aside for Petty Cash, i.e. if the organization has a bankaccount. This is to cater for expenses of small amounts. The imprest system shouldbe used whereby the total amount of actual cash available in the cashbox and thetotal of petty cash vouchers and receipts amount to the petty cash float set by theorganization. The custodian of the petty cash box is the treasurer and it should belocked in a safe. Limits of expenses that qualify to be of petty cash should be set bythe organization. Surprise petty cash counts should be done by the Chairperson asoftenaspossibleandheshouldsignforittoshowisolationofresponsibility.Apettycash register should be maintained where all the payments made using the pettycash and all the reimbursements made will be recorded. This will also be used toreconcilethepettycashwherereimbursementsaretobemade.Asset RegisterThe Asset Register is a record of all the property, plant and equipment owned bythe organization. The assets must be separately identified in the assets register asthose acquired under each of the projects. The Asset register shall contain thefollowing details: date when asset was purchased or donated, full details of assetincluding descriptionand serial/registration number, cost of assetand place whereassetiskept.InvoicebookThe invoice book is used to charge a customer who would have bought goods orreceived services from the organisation. The invoice will include the date, type,quantityandamountofthegoodsorservicespurchased.RequisitionBookThisisusedinternallybystaffmemberstomaketheirrequestsforgoodsorservicesto be made available for a project. The requisition form will be completed statingthe description and quantity of goods or services needed. This should also beapprovedbeforequotationsaresourced.OrderBookThis is a book in which a request to the supplier is written for the supply of goods orservices. An order is written and approved after the quotations have beenapproved. On the order form, the quantity , description and price of the goods orservice are written. This will then be given to the supplier so that he can supply thegoodsorservices.13
  • 33. 23EXPENDITURECYCLE· In cases where there is no involvement of invoices or receipts, anacknowledgement of receipt should be prepared and it should be attachedto the requisition. It should be signed by the person receiving the money, andhe/she should include his identity number and the date of receiving themoney.· For major purchases there should be 3 quotations for which the mostfavorable quotation is selected. For a purchase to be considered major therehas to be a limit for the organisation to distinguish petty cash purchasesfrom major purchases, eg if the set limit for petty cash purchases is US$100.00, then all purchases of above US $100.0 will need to have 3quotations.· Petty cash voucher should be used for amounts that are classified by theorganizationaspettycash.· Changereceivedfromindividualsshouldbereceiptedfirstbeforeuse.· Salaries: A schedule of salaries should be prepared by the Treasurer andsigned for authorization by the Chairperson before processing. Salariesschedule should be in line with statutory requirements such as payment ofincome tax, national social security scheme payments, AIDS Levy orvoluntary medical aid schemes. Tax deductions should be deducted if thegross salaries are within the tax bracket. There is also need to note that allallowancesaretaxable.
  • 34. 33REPORTINGFinancial reporting is important in order to ensure that the community basedorganization fulfills donor requirements and account to its beneficiaries. Financialreports furnish the funding partner or donor with the progress being made by thegrantee in line with the project proposal and indicate the use of funds andcompliancewithgrantagreement.· Financial Reports: The financial report shows the amount of funds that werereceived for certain project activities, amounts spent and the balances left forthose budgeted activities. Financial reports can be prepared monthly,quarterly or annual. E.g. may be required by donors and should be drafted inaccordancewithdonorrequirements.Theformatisusuallyshowninthegrantagreement. However, in the majority of cases financial reports should showthefollowingdetails.Activity BudgetedAmountExpenses for thisperiodCumulativeExpensesBalanceConsultationmeeting$3,000.00 $1,500.00 $2,100.00 $900.00FinancialAuditThe Community Based Organisations shall annually contract an independentauditingfirm,toaudittheannualfinancialrecords.Thepurposeofanauditistogeta reasonable assurance that the financial statements are free of materialmisstatements. An audit is also done to assess the accounting principles used andthe significant estimates made by management as well as evaluating the overallfinancialstatementpresentation.Attheendofeachfinancialyeartheorganizationis expected to engage an external auditor to carry out an independent financialaudit.
  • 35. 43BOOKKEEPINGANDRECORD-KEEPINGCashbooksandledgersshouldbeproperlymaintainedRequisitionsshouldbefiledinasequentialorderGrantagreementsandquarterlyreportsshouldbefiledintheirownfileMinutesshouldalsobefiledintheirownfileaccordingtodatesSecurityandCustody:Securityitemsincludesafekeys,vehicleregistrationbooks, spare keys, order books, cashbooks, letterheads, asset registers,rubber stamps, receipt books, cheque books. It is the responsibility of theFinance Officer or Treasurer to ensure that these security items aresecuredandkeptsafely.Employee Files: This is a file which contains the information relating to theemployee and the information contained in this file is very confidentialtherefore it should be kept in a very secure place. The following should becontained in each employee file, employment contract, Curriculum Vitae,Educationalcertificatesandnationalidentitycard.
  • 36. 53GLOSSARYAdvocacy: Advocacy can include many activities that an individual ororganization undertakes to influencechangeof policyor practiceas well as allocation of resources within political, economic, andsocial systems and institutions. It may include media campaigns,public speaking, and publishing research or litigation aimed at2influencingchange.Budget: A budget is a forecast of expenses drawn up by an organisationbased on a project proposal. It outlines the project costs andadministration costs that the organization expects to spend.Most organizational budgets include costs such as hiring thevenue for meetings, transport hire, communication, rentals andsalaries.CulturalRights: Cultural rights are normally claimed by groups of people.Cultural rights focus on groups such as religious and ethnicminorities and indigenous societies. Cultural rights include agroups ability to preserve its way of life, such as child rearing,continuation of language, and security of its economic base inthe nation, in which it is located. The cultural rights movementhas been popularized because much traditional culturalknowledge has commercial value, like ethno-medicine,cosmetics, cultivated plants, foods, folklore, arts, crafts, songs,3dances,costumes,andrituals.The content of environmental rights includes many elementsthat the state and other actors may be required to fulfill orrespect. The rights include the right to a clean environment thatis not harmful to health or well-being. This means governmentmust take necessary protective steps and measures that preventpollution and damage to the environment, promoteEnvironmentalRights:2Wikipedia;3Ibid
  • 37. 63conservation, and balance economic, social and environmentaldevelopment. In particular, it is important that people accessclean water, breathe fresh air, access and derive benefit fromnatural resources. Environmental rights also include access toinformation on environmental decision making processes, publicparticipation in environmental decision making processes andaccesstojusticewhentheirenvironmentalrightsareviolated.These rights in their nature require the state to provide servicesto the people. They are also human rights. Examples include, thethe right to work, the right to the enjoyment of just andfavourable conditions of work, the right to join and form tradeunions and to strike, the right to social security, the right toprotection of the family, the right to an adequate standard ofliving, including adequate food, clothing, and housing and thecontinuous improvement of living conditions, the right to theenjoyment of the highest attainable standard of mental andphysical health, the right to education and the right to havecultureprotectedamongothers.Financialmanagementisplanning,directing,monitoring,organizingandcontrollingthemonetaryresourcesofanorganizationIt is an agreement or contract entered into by a donor and anorganisation that will be implementing a project. The agreementset out the terms and conditions within which the project will beimplemented. In most casesthe agreement states the duration ofthe project, the amount of funds provided, the financial andnarrative reporting requirements and the expected results asindicated in the proposal submitted by the implementingorganisation.Economic,Social andCultural Rights:FinancialManagement:GrantAgreement:
  • 38. 73Indicators: Indicators are the benchmarks, pointers, measures, numbers,facts, opinion and perceptions used as a yardstick to measureprogress towards achieving the project objectives. Indicators areused to determine the degree to which results are beingachieved in a project. They provide evidence that a result hasbeen achieved or a signal that progress is being made towardsachieving the result. They are also used to monitor or check thesuccessoftheproject.PettyCash: This is a sum of money that is kept at the office to cater forexpenses of small amounts that may arise. An organisationshould set aside a specific amount of money as petty cash tocaterforeventualities.ProjectCycle: Entails the various stages of a project which encompass theprojectdesign,implementation,monitoringandclosure.ProjectGoal: A project goal is the vision of society that the project willcontributetothroughimplementation.It means to continuously check progress of project activities andfinancesoveraperiodoftime. Thiswillhelpprojectstafftoknowhow things are going, as well as giving early warning of possibleproblemsanddifficultiesinprojectimplementation.ProjectMonitoring:
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