Project handbook

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Project handbook

  1. 1. HANDBOOK FOR PROJECTS: DEVELOPMENT MANAGEMENT AND FUNDRAISING Prepared by Dr Anne Touwen Convener IFUW Special Committee on Project Development 2001 PagePLANNING PROJECTS .................................................................................................................1PROJECT PLANNING CYCLE......................................................................................................4PROJECT IMPLEMENTATION ..................................................................................................18EVALUATION ..............................................................................................................................23FUNDRAISING IS FRIENDRAISING ........................................................................................26VARIOUS SOURCES OF FUNDING .........................................................................................31PROJECT PROPOSAL WRITING ..............................................................................................38 International Federation of University Women 8, rue de l’Ancien-Port, 1201 Geneva, Switzerland Tel: (41 22) 731 23 80; Fax: (41 22) 738 04 40 E-mail: ifuw@ifuw.org; internet: http://www.ifuw.org
  2. 2. FROM THE IFUW PRESIDENT . . .Project development is an integral part of IFUW’s programme in carrying out its mission toimprove the status of women and girls, promote lifelong education and enable graduate womento use their expertise to effect change. Over the years IFUW has promoted and supportedproject development and training in numerous ways.It was, in 1919, a small group of IFUW members that established the Virginia GildesleeveInternational Fund for Women designed to support projects world-wide focusing on women’seducational activities, leadership training and community development. This Fund enabledIFUW to hold special training workshops in conjunction with IFUW Triennial Conferences as wellas providing grants for many development projects initiated by IFUW affiliates as well asresources materials such as this handbook.The Counterpart Aid Programme which started in 1978 and which has evolved into the presentBina Roy Partners in Development Programme, has assisted many IFUW affiliates in thedevelopment of sustainable community projects as well as enabling affiliates in developingcountries and countries in transition to be part of IFUW.In 1980-81 IFUW began its partnership with four other major women’s organizations with theestablishment of Project Five-0 dedicated to joint development of projects to provide training inincome generation and general welfare of communities.In 1980 IFUW established a Special Committee on Projects to “work with national federationsand associations on projects requiring funding from outside agencies” It is interesting to note thatthis first Committee developed criteria for a “good” project:• A project should arise from a genuine, identified need• A project should usually originate from the grass-roots, and/or be innovative in character• A project should aim to improve the educational, social and economic position of women, girls and children• A project should be within the capability of the affiliate, either alone or in cooperation with other organizations• A project should be managed, implemented, evaluated, and reported on by the affiliate’s members, or, in part, by persons designated to do so by the affiliate and• A project should increase the self-reliance of the recipients and beneficiaries.Since 1980 special workshops on project development have been held in conjunction with anumber of IFUW Triennial Conferences and Councils as well as at the regional and nationallevels. The residential training provided by the “Base Camp” programmes held in conjunctionwith the IFUW Triennial Conferences in Graz,1997, and in Ottawa, 2001, illustrate IFUW’scontinuing emphasis on the importance of training in project developmentIn 1995 a handbook on organizational development was produced "Planning for Change"; itincluded a section on Project Development.IFUW is grateful to Dr. Anne Touwen for developing and producing this Handbook for ProjectDevelopment and Management and Fundraising. It builds on previous experience and workwhile providing a comprehensive resource with concrete examples on project development andfundraising. It is our hope that this resource will assist IFUW members to develop projects thatmeet community and organizational needs and further the mission of IFUW world-wide.Linda Souter, IFUW President 1998-2001
  3. 3. IntroductionProject development always was and still is an important activity for many IFUW affiliates. Theseprojects may vary in content or scope but not in dedication and commitment shown byassociations, branches and individual members. To strengthen this activity IFUW organized in1998 (Graz) and 2001 (Ottawa) at its Triennial Conference a major training event under thename Base Camp. Participants from all affiliates were staying in the same residence andreceived training in project development and management, proposal writing and fundraising. Thetraining also included a practical work assignment.As Base Camp coordinator and trainer I have been delegated by the IFUW Board of Officers toprepare a handbook in order to consolidate the training and offer a reference book for futureproject development and management in IFUW’s affiliates. IFUW is grateful to the publishers ofthe Worldwide Fundraiser’s Handbook (The Directory for Social Change, London) and TheInternational Donor Directory (International Partnership for Human Development, London) for thepermission to use materials on fundraising and proposal writing, as indicated in the text.IFUW would also like to express its sincere thanks to UNESCO* for their grant enabling it topublish this handbook. Together with the grant from the Virginia Gildersleeve Fund Inc., andCIDA* the UNESCO money enabled us to partly cover travel costs of Base Camp participants aswell.The Handbook provides a comprehensive overview of the project planning procedure with manyconcrete examples. It also gives an overview of the most important skills for fundraising anddescribes in detail how proposals should be written. And last but not least, various sources offunding are discussed.I hope that you find it useful.Dr Anne Touwen* UNESCO: United Nations Educational, Scientific and Cultural Organization CIDA: Canadian International Development AgencyNB As some of the materials in this Handbook are reproduced from other textbooks, by kindpermission of the publishers as indicated in the text, this Handbook is for internal use only.
  4. 4. Project Development & Management Project Cycle Baseline Data and Assessing NeedsEvaluation Planning Implementation and Monitoring
  5. 5. 11 PLANNING PROJECTS1.1 IntroductionExperience shows that when projects are being planned, the task of establishing a sound basisfor goals and objectives, and defining them properly, is not given sufficient attention. Yet, theseare the most fundamental elements of planning. A good plan alone is no guarantee for a goodproject. However, a plan which builds on a weak foundation can lead to a good project ideadeveloping into a poor project.Project proposals and plans differ in style and in degree of detail on specific activities. Thedifferences depend on the type of project, but many are also matters of choice. Some prefer aloose framework plan with details to be filled in along the way. Others prefer a more detailedmaster plan. When one considers applying for donor funding then certainly a well written,detailed project proposal has to be made. Regardless of what is chosen, the essential elementsdescribed below will make up the basis for the project document.Important aspects which should be considered in all development-related project proposals aregender, the impact on the environment and sustainability. They ensure greater viability andimpact/effect of our efforts. Before describing the various steps in the planning process I first willdiscuss these issues in some more detail.1.2 Integrating Gender in Community Related Project PlanningThe community development approach, designed to create conditions of economic and socialprogress, emphasises the significance of peoples participation, needs orientation, self-reliance,consciousness-raising, bottom-up approach to development, and empowerment of communities,and thus of both women and men.Integration and sustainability are keywords in this approach which is based on the ideal situationthat women and men organise themselves in a democratic manner to: (a) define their needs,problems and issues; (b) develop plans and strategies to meet these needs, and (c) implementsuch plans with maximum community participation to reap the benefits."Participation" of women and men provides an effective means to mobilise resources, to tapknowledge and energy, and above all provides legitimacy to the project or activity, and promotescommitment and ownership, and thus sustainability."Empowerment" is a concept that goes beyond participation. It is a process which promotes thesharing of power. Therefore, empowerment helps people to liberate themselves from mental andphysical dependence. It is the ability to stand independently, think progressively, plan andimplement changes, and accept the outcomes. Empowerment of women is a crucial aspect ofany community development programme/project.Gendered community development, therefore, takes womens interests and needs as a startingpoint as much as those of men. And, consequently, integrates gender in all phases of the projectcycle, from planning to implementation to evaluation.
  6. 6. 2Gender-sensitive Project PlanningGender-sensitive planning requires that gender is integrated into all the planning steps, from thecollection of data for a situational analysis and needs assessment to the evaluation of the projectat the end.In gender-sensitive project planning we, therefore, have to: • Collect gender-sensitive data and do a gender-sensitive situational analysis, • Do a gender sensitive needs assessment, • Develop projects which take into account the different needs and interests of women and men, • Perform gender-sensitive monitoring and evaluation.To involve women in a local planning process a few basic rules apply: • Meet the women where they are, for instance, organise meetings at a time which is convenient to them (not when they are busy harvesting), • Start with issues concerning everyday life (their practical needs), • Underline the "all win" situation of the participation of women, • Recognise the importance of face-to-face contact, • Strengthen the womens confidence in themselves, ensure that their voices are heard and that their input is taken seriously, • Arrange small self-governing groups and provide the necessary skills training, • Stimulate associations or encourage them to join existing organisations that promote the interests of women and open up channels for funding, • Move from dreams to visions to plans to action: make all your planning action-oriented and use strategic alliances to strengthen your position.1.3 Environmental ConsiderationsBy environment is understood the totality of conditions, circumstances and influencessurrounding and affecting the development of any organisms. In the case of human individuals,and communities, our environment is made up of both natural and humanly created or builtenvironments. At the global scale, our environment is the planet, at the local level it is thesurrounding natural ecosystem. Households in societies in transition to an urban, industrialeconomy develop adaptive strategies making use of a combination of natural environmentresources and income from work to buy the necessities of life. It is women who very oftenmanage this economy, making use of whatever resources are available. Urbanisation places aburden on these already vulnerable households in that the environment in which people live isextremely unhealthy and the possibilities for food production are extremely limited.The fundamental human right to subsistence, therefore, includes the rights of women to use landin order to have a means of livelihood either from natural resources or from income generatingactivities. This was recognised by the UN when the Womens Action Agenda 21 was drawn upfor the UN Conference on Environment and Development in Rio de Janeiro, 1992.The sustainable use of natural resources is impossible without consideration of gender relations andissues. Too often better environmental management does not benefit women, on the contrary, it issometimes at the expense of women; they provide the labour, without gaining the benefit.Projects should always be screened on possible environmental impacts from a gender-sensitiveperspective.
  7. 7. 3 Community Project Development Model Baseline Study Needs Assessment Goals and Objectives Feasibility Study (Resources&Constraints) Planning Project ActivitiesActivity Time Responsibilities Facilities, Services and Budget Plan Frame Equipment Implementation Coordination Monitoring Contingency Management Evaluation
  8. 8. 42 PROJECT PLANNING CYCLEThe project cycle consists of five distinct phases:1. Collecting Baseline data: a situation analysis and resource charting2. Needs Assessment3. The Design phase: developing an action plan, a feasibility study4. Implementation, including monitoring progress5. EvaluationIn this chapter the first three phases are discussed.2.1 A Baseline Study and Situational AnalysisThe situation analysis aims at describing problems and needs within an area, and charting thelocal resources available to do something about them.A good initial situation analysis is necessary for good project implementation. Goals, activities,and resource inputs are all meaningless without understanding the context of the target group:the environment, values, and relationships. All planning must therefore be based uponknowledge of the real situation, and of the various factors which have formed it.The situation analysis is an activity which can firmly link planning to the realities in the field, andthereby to the implementation of the project. The findings should guide and -define the content ofthe project formulation. If this does not happen, a situation easily develops where what wasplanned is not implemented, and what is implemented was not planned.Often, an NGO (non-governmental organisation) comes to an area because overwhelmingproblems have come to the attention of the outside world. It is essential to find out what isperceived as the real problem locally, how problems interrelate, how they have evolved, andwhich of the problems are considered most urgent.It is important to identify the resources available locally. There is no region or group of peopletotally devoid of resources. Every group has a history, a way of coexisting with nature, a socialstructure, equipment, knowledge and skills, traditions, capital etc. An outsider often experiencesdifficulties in getting a complete picture of such locally available resources.The attitude that everything needs to be supplied from outside should be avoided. Finding waysto use, supplement and complement locally available resources should be a prime concern.Plans and decisions must be based on knowledge. However, not all types of data andinformation are equally useful. Too much irrelevant information is a common problem.Inaccurate, extraneous, out-dated or distorted information is of limited use.Collecting enough relevant information to shed perfect light on every aspect of a problem is avirtual impossibility. There will always be unclear aspects about which more data can beobtained, and issues that can be assessed differently, in light of new information. The projectpartners must therefore seek to find a balance between too much and too little information.Research in the traditional sense is not always relevant to planning. Reports often contain toomuch information or have significantly different objectives and perspectives. Research can betoo expensive or take too long to carry out. On the other hand, there are too many projectsbased solely on information gathered during a short visit by a donor organisation. Sometimes ashort conversation is all, and leads to a project plan and a budget.
  9. 9. 5Obtaining just enough balanced and well-founded information always requires carefulconsideration.When the project idea is formulated by local groups or organisations which themselves are notpart of the target group, preconceived "knowledge of local conditions" can be a problem: It canlead to quick and easy conclusions which do not take into account the target groups uniquecharacteristics and possibilities.Where, on the other hand, the target group itself has taken the initiative, it is often necessary tocontribute by extending the perspective of the planning process to include regional and nationalfactors.2.1.1 What Kind of Information?Every analysis is coloured by the conscious and unconscious assumptions and suppositionsheld by the person who reports, analyses and recommends. The principles, traditions, andattitudes of the initiators influence the choice and use of information from the field. A well-founded situation analysis can make possible a flow of influence in the other direction -from thefield to the agency. Factual information from the field can help the organisation correct itsperspective, and its attitudes.It is important to clarify what type of external constraints of a more structural character theproject must relate to at national, regional and local levels. This type of clarification allows for amore realistic view of what can be expected from a project. Project activities often run intoconflict with such constraints, unless the constraints are acknowledged and taken intoconsideration during planning.If the target group is a local community, it will most often be appropriate to begin the situationanalysis right there, and then extend the perspective gradually. If the target group is harder toidentify at this early stage in planning, it may be more appropriate to start with a definedadministrative or geographical area. The project partners principal fields of interest greatlyinfluence the choice of issues, relationships, and processes to focus upon (such as children, thehandicapped, co-operatives, labour unions, ecology etc.).General information on the local context and the local community as a whole, should always beincluded.In describing particular problems, links and causal relationships to other problems and issuesmust be made evident. Several problems may have overlapping causes. Doing something aboutsome causes at one or more levels may be within reach of the planned project. It is thereforeimportant to clarify what causes are within range of the project activities and which ones are not -at least at the outset.2.1.2 How to Gather InformationOne must seek to optimise the knowledge and experience gain from the information gathered(its relevance, accuracy and suitability), in relation to the investments made to gather it (the timeand money spent). Before beginning, it is therefore important to clarify the following:What information is not needed? Deciding that certain information is neither wanted nornecessary, demands courage. In some investigations, far too much information is gathered justin case it might become useful.The level of ambition (quantity and quality).Certain principles are fundamental:
  10. 10. 6Spending time on the first phase of planning is a good investment.Listen and learn. Allow the local people to express themselves. Consider them teachers andyourself a student. Assume that they possess important information.Combine several approaches. Try to approach each question in many different ways. This tendsto correct and enhance the picture. Dont believe that a particular approach is the only right one.Clarify your assumptions. Try to clarify on which assumptions statements are being made, andwhere possible pitfalls are hidden. How, for instance, is the situation analysis coloured by thesex of team members or of informants, by the route taken by the team, by the time of year theproject area was visited, etc.2.1.3 Methods of Gathering InformationThe following describes various methods of gathering data and information. The reasonablypriced and straight-forward ones should be preferred. In cases where the more complex andexpensive methods must be used, one should evaluate critically which one(s) will be mostappropriate. The approach taken by an external organisation which is just starting up work in anew partner country will naturally differ from that of a local organisation which is alreadyestablished and in operation.a) Use of available documentary evidenceIt is not necessary to re-invent the wheel. In many developing countries, large amounts ofresearch material and lots of reports exist, but are hardly made use of Identifying possiblesources of such information is an important task. Good places to look are universities, colleges,research centres, and larger development assistance organisations and multilateral bodies (suchas UN organisations, WHO, World Bank).The most relevant statistics can often be found in the appropriate government ministry orplanning office, or in an office of national statistics. The quality can vary, and needs to beassessed. Finding specific data relevant to small local areas is often difficult. However, moreinformation is usually available than one expects.b) ObservationObservation includes all forms of direct presence in the project area. "Field visits" are most oftenquick visits to the field by one or more representatives of the project partners (increasingly byconsultants as well) with the aim of gaining personal impressions on which to foundrecommendations.A select few master this form, and can in the course of a brief field visit grasp (and later onexpress) the essential details in a situation while retaining a clear overall view. For most others,field visits may seem to have been efficient, but the knowledge gained is at best superficial, andsometimes completely wrong.Observation is important and necessary, but not sufficient alone.Observation can be more or less efficient. Observing in an unstructured manner, like when theobserver aimlessly wanders round talking with people, or is perhaps just a spectator, is ingeneral far less effective than structured observation. Preparing a checklist of what is importantto look into, and then observing the same conditions in, several villages, is an example of a wayto structure observation to improve its value.c) Interviews and seminars
  11. 11. 7The use of interviews is a common way of collecting information. Like observation, interviewscan be more or less structured, depending on the type of information that is required, and the.planning process itself. Important questions should be properly formulated beforehand. This willincrease the level of accuracy and help make the use of the data more consistent. A generalchecklist of issues to be discussed should always be prepared in planning for interviews.Finding and getting in touch with local key figures can be of vital importance. They know thecountry, the people and the area, and can help answer many of the questions which areconnected to the planning phase. Useful resource people are representatives of otherorganisations, local and central authorities, social workers, teachers, etc.Particularly in the planning of local community projects, access to the experience possessed bythe local population is essential. They have a unique and superior knowledge of the plants,animals, soil conditions, farming methods, social and cultural traditions, etc. Finding and meetingwith people who are in the centre of the local network in one way or another, formally orinformally, is therefore very important.Interviews should also at tempt to identify conflicts (of interest and otherwise) and differing setsof values in the area. This will usually mean supplementing other information available byconsciously seeking out groups and individuals who do not ordinarily have the opportunity toexpress their wishes, their demands, and their interpretation of the situation.Group interviews are often advantageous. They allow for contact with more people.Another advantage is that when trying to obtain sensitive data, the group often has a correctingand controlling influence.Panels of experts, or panels with representatives of different groups can also meaning- fully beused, both to highlight important issues, and for more in-depth discussion on particular areas ofconcern.d) Field studies and investigationsThere are many ways of conducting field studies: Local ad hoc investigations can be undertakenin direct co-operation with the potential target group, perhaps involving other local co-operatingpartners, students, teachers or researchers. Investigations of this type can have an informal andqualitative nature, or a more formal questionnaire can be utilised. The "community diagnosis" (amuch used starting point in the planning of primary health services), is an example of how thistype of investigation can meaningfully be used.Better methods and more resources, often including special expertise, may be necessary to findrelevant, accurate, and up to date information on peoples understanding of themselves and theirliving conditions, or in order to analyse particular problem areas in depth.In the case of larger and more expensive investigations, care must be taken to define a preciseobjective, decide upon a clear approach to the problem, and limit the scope according to theparticular need. It is also important to bring the time plan for the investigations into agreementwith the time plan for the rest of the planning process. To be useful, the results frominvestigations must be ready in time to aid further planning.2.1.4 Summing UpA systematic understanding of the current situation in a given community sets the stage andprovides the basis for any community project. It helps to consider how changes can be made toachieve certain goals and ideas. A situational analysis is a database for the project and should
  12. 12. 8contain gender-disaggregated data. On the basis of these data a community profile can bedeveloped.Data collection for a community profileData:* political/administrative structure* demographic features and population characteristics* economic activities* social stratification and power relations* organisations and their functions and activities* leadership pattern and its influence* cultural facets or traditions* critical issues and problemsSources of information are:* documents or files in government offices/NGOs* reports of surveys* community members* informal leaders in the community* government officials or formal leaders* NGO personnel* politicians or local representatives of the areaMethods:* document review* questionnaires* discussions* interviews* observations and informal conversations* listening to people* brainstorming sessionsImportant points to remember:* There is no single technique that is appropriate to get information from all sources.* The best option is to use a variety of techniques.* The most common techniques are questionnaires, interviews and observations.* Group discussions are frequently used.
  13. 13. 92.2 Needs AssessmentNeeds assessment deals with the question: Who needs what as defined by whom.2.2.1 Needs IdentificationNeeds assessment is one of the critical stages in the project development process, Reliable,accurate and usable information is needed that reflects the ideas articulated by representativegroups of the target population and other stakeholders in the community. Women and menshould be consulted throughout the process so that both perspectives can be taken into account.Womens needs often are different from the mens needs and if not taken into account projectplanning has a false start. Moreover, consulting the people will stimulate the sense of ownershipwhen the project will be implemented.2.2.2 Prioritising NeedsNo one can address all identified needs in one project. Therefore, priorities have to be set. Thishas to be done with all stakeholders concerned, men and women. See sheet for prioritisingneeds2.2.3 Levelling of NeedsStakeholders may have different priorities. Then a negotiating process should bring consensuson which priorities should first be addressed. Needs Assessment Identification of Needs Prioritization of Needs Deciding on what needs to be addressed Levelling of Needs
  14. 14. 102.3 Project Design2.3.1 The Target Group(s)The project plan must define clearly the target group(s) for the project. This seems self evident,but is nevertheless often given little attention.Finding target groups already organized at the outset, and ready for discussions andnegotiations about objectives and the means for self development, happens rarely.In many real-life projects, the target group is somewhat diffuse and sometimes seems nearlyarbitrary. Example definitions are "those who come", and "those we have contact with". Healthprojects often fall into this category .The demand for services itself creates the target group.Choosing not to relate consciously to any particular target group means giving priority to thosewho for one reason or another are able to get into contact with the project. This leaves no timenor resources for those who do not come.Broad, general terms used to define the target group (i.e. "the poor of the village" or "the poorestof the poor), can be meaningful in policy papers, but have no place in concrete project planning.The situation analysis attempts to broadly outline what the problem is, for whom, and why.Defining the target group is to ask:Towards whom can we direct our efforts to do something about the problem?The target group can be defined according to age, sex, occupation, income group, geographicalarea, or membership of a particular social class or other group. Other possible criteria are forinstance peoples level of access to particular services, their nutritional status, etc.Being conscious of the target group helps focus and concentrate the project effort. Thechoice of target group defines limits, and can in some cases erect new social barriers andimprove the situation for some at the expense of others. Local society is seldom homogeneous.Conflicts, power blocs, and contradictory opinions and needs are part of almost every society.Care must therefore be taken in making the choice, and in assessing its consequences.In light of the problems and causal relationships revealed by the situation analysis, and takinginto account the type of assistance the organisation can offer, the following issues need to beaddressed: • Who should the target group be for real changes in the desired direction to take place? • What conflicts may arise? • What structures are already there, or can be mobilised, to enable broad communication with the target group, and to deal with potential conflicts?2.3.2 Goals and ObjectivesDefining goals is an important part of the planning process. The project ideology of the projectpartners, and the prevalent understanding of causal relationships and how they can beinfluenced, are usually the most important factors behind the choices made and the limitsdecided upon.The statement of goals for the project should answer the question:Where do we want to go with the project?
  15. 15. 11Development goals, project objectives and intermediate objectives must relate to the problemswhich have been identified in the situation analysis and to the causal relationships describedthere.The target group must play an important role all through the planning process for realparticipation to be possible. In fact, the target group should by this stage already have beeninvolved in the situation analysis, and in finding causal relationships between various problems.Defining goals and objectives means deciding what problems are to be given priority.The work of formulating goals must therefore be given the attention it deserves. Achievingmeaningful interaction through the exchange of views between the different parties involved, isparticularly important at this stage. Areas of agreement need to be clarified, and are as ofdisagreement must be found and properly related to.A rough draft of goals and objectives can often be obtained by simply re-formulating thedescription of a chain of problems. Example problem: Many children die before the age of 5 in the Bhagari Region. Goal: To reduce child mortality in the Bhagari Region. Including something on how much in what time frame makes the goal more specific. For example: To reduce child mortality by 30% in 3 years.To be able to do something about the problem, one must find the causal relationships behind it.By considering all the problems and needs together (as identified in the situation analysis), it ispossible to shed light on how they are linked up and interact, both as causes and consequencesof each other.Certain causes are immediately obvious to planners. Further research and analysis can revealothers. Some causes and the connections between them can only be understood by members ofthe local community. Therefore, the planners must share their knowledge and the plans theymake with the local community, and the local community must be encouraged to share itsknowledge with the planners.The goals should as far as possible be realistic, and should take into consideration inherentconstraints. This is often easier said than done. A possible approach is to first make a roughdraft of goals and objectives, then go back and review the causal relationships, the assumptionsmade, and the constraints and limitations found. The proposed strategies also need to be re-assessed in light of the findings. Finally, the goals and objectives are re-formulated, makingthem more concrete and more realistic (See also our example).
  16. 16. 12 Example: In the case of the "Bhagari Region", with its high rate of child mortality, a whole range of problems need to be identified. Some possible factors: • The long distance to water; polluted surface water. • Many mothers being responsible for their families alone; unemployment forces the men to leave the area. • Little opportunity to produce food for yourself; arabIe land is being contracted out for cultivation of cash crops. • Very few girls attend school long enough or regularly enough to learn to read and write. Widespread under nourishment among children and adults. • Long queues and high prices at the 3 health centres in the region. • Taboos regarding food and disease. In this case, the immediate causes of the high rate of infant mortality can be identified as: • Diarrhoea, respiratory infections, measles, under nourishment, tetanus during early infancy. • Infectious diseases and under nourishment amplify each other mutually as causes of death. The underlying causes seem to be: • Lack of available basic services ( water supply, health services, education). • Barriers (economic, attitudes, options) preventing the use of new knowledge full utilisation of established services. • Unemployment. • Unstable and vulnerable nutritional situation due to dependency on outside and • poor use of limited choices with regard to local production.To make a good choice of goals and strategy for this project, one would need to know which ofthe identified causal factors are given the highest priority by the target and which ones it wouldbe realistic to try to change.A rough draft of goals and objectives might look like this:
  17. 17. 13 Example Development Goal: To improve the living conditions and the quality of life for children and their families in the Bhagari Region. Project Objective: To reduce the infant mortality rate in the Bhagari Region by 30% within 3 year Intermediate Objectives: A. To establish basic health services for mothers and children making them available to 75% of the population. Activities under A: 1 Group work on health, disease and local understanding in 3 pilot villages. 2 Vaccination of children ages 0-3 years with 75% coverage within 3 years. 3 Contact with 75% of pregnant women at least twice during each pregnancy. Etc. B. To increase the production and availability of nourishing food. Activities under B: 1 Establishing opportunities to borrow money for small-scale production initiatives. 2 Establishment of 2 production cooperatives. 3 Nutrition education as part of all activities. Etc. C. To make better water available within 10 minutes walk to 75 % of the population. Activities under C 1 The construction of 10 new small-scale water supply systems. 2 Improving 15 existing wells. 3 Educational program on water hygiene for a total of 25 womens groups. Etc.Comment:Intermediate goal B is still not sufficiently well formulated. It is not specific enough to make themeasurement of progress possible. This reflects too poor knowledge about the causalrelationships in the field of food production in the area, and about opportunities to change them.The suggested activities are therefore only outlines, and the whole issue would need to belooked closer at during the starting up phase of the projectSumming up:Determining goals and objectives based on prioritised needs is essential for the successfulcompletion of a project. They set the direction of the project and are the terms of reference formonitoring progress and the final evaluation.A goal defines, very broadly, what is expected of a project and is made up of several objectivesall leading to the achievement of the goal.Objectives have to be: • Related to needs
  18. 18. 14 • Specific • Clear • Measurable or quantifiable • Appropriate • Achievable/feasible • Time-bound2.3.3 A Feasibility Study: Assumptions and ConstraintsThe situation analysis is meant to give all involved parties an overview of actual needs, practicalconstraints, and likely possibilities.The problems as they relate to the chosen target group were the main consideration informulating goals. However, it is important to reconsider them in the light of identifiedassumptions and constraints to make sure they are feasible in the given situation.As part of this reconsideration it is necessary to look at the causal relations which have beendemonstrated. One must find out what external conditions and developments beyond the controlof the project have been assumed at the various levels, and how they might come to influencethe success of the project. Identifying and assessing the assumptions made and the inherentconstraints, makes it possible to adapt goals and to choose the strategies with the best chanceof success.ExampleProblem:Qualified personnel are needed for a church-related hospitalProject Idea:Building a nurses training collegeProject Objective:Establishing a nurses training college with the capacity to graduate 15 nurses per yearAssumptions made:a) There must be an adequate supply of qualified students who would like to start nursestraining.b) That a sufficient number of the trainees will (1) complete their training, (2) continue working asnurses, and (3) want to work at the church hospital.All the assumptions create uncertainty as to whether the final goal will be reached, i.e.getting sufficient qualified personnel for the church hospital to ensure high quality nursing care.The nurses training college project has little control over these factors. Identifying them at theoutset, makes it possible to examine them closely. The risks can be properly assessed, andpossible measures to reduce the risks can be considered.There are likely to be other constraints in the situation as well. National approval of the nursestraining college may be required. This might for instance limit the range of choices with regard tothe qualifications required of applicants. Or there may be a national quota system for postingtrained nurses. This might mean that the mission hospitals needs might not in the end besatisfied.
  19. 19. 15Ideally, all assumptions should be identified which may influence whether or not the principalobjectives of the project will be attained. If this can be done, it is possible to assert with a highdegree of certainty that if the required resources are invested, and the assumptions hold, thenthe project objectives will be attained.This kind of analysis makes it possible to accurately analyse the feasibility of the project goals,and to find out which are the most critical risks, already during the planning phase. It alsoconstitutes a good basis for choosing what factors to monitor closely during the implementationof the project.The process is as follows:After determining goals and objectives on the basis of prioritised needs, it is essential to takestock of the needed and available resources (human, material, financial, institutional), as well asthe constraints that may be encountered in attempting to achieve the objectives.This involves a feasibility study to decide whether the necessary human, institutional andfinancial resources are available and what constraints could negatively influence the project.Cultural concepts about gender relations could, for instance, be a constraint for the successfulimplementation of the project. If so, this constraint should be dealt with first.2.3.4 Main StrategiesWhereas the goals and objectives spell out where we want to go, strategies and activitiestogether show how we plan to get there.There are usually several different choices of strategy available, all of which will lead to thedesired objective. A description of goals does not necessarily suggest a way of reaching them.Most strategies are based on accumulated experience from real project situations. Thepopularity of strategies changes with time and place:Examples from different sectors:In agriculture, there was a time when centres with demonstration plots were common. Morerecent projects have often chosen to emphasise decentralised farm advisory servicesIn health, the main strategy used to be to improve medical facilities. More recently, preventivemedicine has been emphasised. At present, combining preventive and curative medicine is thetrend.Possible choices in health include: Institutional and mainly curative medicine; integrated servicesmainly focused on primary health; concentrated efforts directed towards mother and childcare,etc.Social services were once considered important to improve the living conditions and the qualityof life of the poorest population groups. More recently, stimulating entrepreneurship to increaseeconomic activity has often been favoured.A strategy for community development which has become popular in the 1980s is characterisedby decentralisation of initiative, activities and responsibility. This type of strategy carries with it awhole range of inherent assumptions and consequences.The term "vertical project" has been used to describe sector inputs consisting of singlecomponents within a given sector. Examples are malaria control, family planning, adult literacytraining for school leavers, etc.
  20. 20. 16"Integrated projects" include a whole range of components (within a specific sector, or crosssectoral) which actively interact. The components are seen as a functional and administrativewhole (e.g. "integrated rural development").Most project strategies have both strengths and weaknesses. The choice between themshould be made according to the project goals and according to the general context of theproject.The description of goals and the analysis of assumptions and constraints both contain valuablebackground information for making these choices. For example, a nutrition program mightbenefit from an integrated strategy, whereas leprosy might best be dealt with through a verticalproject -of course co-ordinated with other health services.The choice of strategy is important, and should be considered carefully. It has importantimplications for the priority given to different means and project components, and shouldharmonise with what is generally emphasised by the different parties involved (including thefuture project management). All the project partners, including the target group, should thereforeparticipate in the process of choosing strategy.It is often fruitful to discuss alternative strategies in order to find the one which offers the bestchance of success.The choice of a main strategy should be described in the project document, and thereby helpensure continuity. Changes of main strategy along the way must be possible, but should only bemade consciously, and should be well founded in relation to the initial terms reference for theproject.The project strategies will help bridge the gap between the basic development philosophies andprinciples of the organisations, and the choice of goals, target groups and inputs for individualprojects.In describing the projects main strategy, the project document should specifically clarify: • strategies in relation to womens participation • strategies in relation to environment and sustainabilityThese two concerns, and the consequences of the strategies employed to deal with them,are considered so important to the sustainability of the development process that they alwaysneed to be addressed carefully.All strategies should be analysed with sustainability in mind, attempting to predict both the shortterm and the long-term effects of project inputs into the local society - ecologically, economically,socially and culturally.2.3.5 Action PlanPlanning project activities involves the following steps:1) Identifying activities. Identifying project activities is the most important step in the project planning phase and should involve all the stakeholders, men and women, in a participatory way. The activities should be based on the objectives, taking into consideration the resources and constraints.2) Sequencing activities.3) Determining human, financial and material resources.
  21. 21. 174) Developing a time frame for activities. The time frame should include a monitoring schedule.5) Monitoring and EvaluationTo help you develop an action plan use the following checklist: • What are the activities to accomplish the objectives? • Why is the activity taking place? • For Whom is the activity? • Who is doing the activity? Which human resources do we use? • Where is the activity taking place? • When is the activity taking place? • Who is responsible for coordination/implementation? • How is monitoring and evaluation assured? • What is the budget?After the design has been made it should be written down as a project plan and, when externalfunding is needed, a project proposal should be prepared, including a detailed budget.The budget should include an estimate of the services, equipment, facilities, and materials thatcan be contributed by the beneficiaries (both in-kind and financial contributions), so that: thecommunity knows the value of its own contribution, donor agencies can see how much thebeneficiaries are contributing, because they often require matching funds, ownership isreinforced.For guidelines on funding and proposal writing, see chapters 5-7.
  22. 22. 183 PROJECT IMPLEMENTATIONProject implementation involves a number of activities. Among the major activities are securingcommunity participation for launching the project, co-ordination of activities, monitoring, andtaking care of contingencies. These activities are usually the responsibility of a project manager/coordinator or a project management committee.Project management includes various management functions as summed up on page 19.Of all these management activities three will be singled out: co-ordination, team-building andmonitoring progress.3.1 Co-ordinationCo-ordination is the process whereby two or more people/organisations work together to dealcollectively with a shared task. The responsibility for co-ordination may be assigned to a singleindividual or a team/group of individuals, in consultation with all the parties concerned. Co-ordination would the major responsibility of a project coordinator, heading a project team.The rationale for co-ordination is: • To achieve the objectives of the project with a minimum amount of constraints. • To take immediate corrective action for problems encountered in the implementation of the project. • To promote better relationships among organisations, institutions, departments and individuals connected with the project and to harmonise resources and activities for the achievement of project objectives. • To establish cordial relationships between the target population of a project and all the other sections, including the political leadership.The following questions should be asked:1) Co-ordination among whom?2) What problems could come up in attempting to co-ordinate activities?3) What needs to be done or what mechanisms should be set up to prevent such problems and promote co-ordination?Co-ordinators should have leadership qualities because they need to encourage people to actpurposefully toward realisation of the projects goals and objectives.This requires certain leadership qualities: • to motivate people in such a way that they feel positive about their responsibilities; • to delegate and assign responsibilities to people • to manage conflict to make sure that differences are addressed and effective working relationships are developed; • to communicate information so that people have the information they need to perform their work effectively and efficiently.Project co-ordinators should be flexible and able to adapt to changes within and outside theorganisation and manage change to encourage creativity and flexibility in achieving programobjectives.
  23. 23. 19Project management1a) PlanningPlanning is making decisions about which courses of action to follow. It includes the followingactivities: • Establishing objectives to determine the end result; • Developing strategies to determine how to reach objectives, by when, and by whom; • Preparing budgets to determine the cost of using resources; • Establishing policies to have standing decisions on recurring situations; • Establishing standards to ensure continued quality of services and products.b) OrganisingOrganizing is developing relationships and allocating responsibilities within the organisation.It includes the following activities: • Developing organizational structure to establish accountability within the • organization through clear reporting and supervising relationships; • Establishing teams that work together to reach objectives; • Establishing job descriptions to ensure that roles and responsibilities are clear; • Determining staff activities to carryout work plans.c) StaffingStaffing is filling positions within the organizational structure. It includes the following activities: • Recruiting people with appropriate qualifications for positions in the organization; • Orienting new people to their positions to help them learn about their responsibilities, the relationships within the organization, the organization s goals and objectives, and the culture of the organization; • Providing training when necessary to upgrade peoples skills.d) ControllingControlling means managing activities to ensure progress toward the program objectives. Itincludes the following: • Measuring progress of project by comparing the current situation with established goals and objectives; • Submitting reports to account for project activities and finances; • Monitoring performance to document the way people carry out their responsibilities; • Providing feedback to people on a regular, informal basis, including positive feedback and constructive criticism; • If the project employs staff regular performance appraisals should be organized to formally assess the way people work and extent to which they produce results, and to give them feedback about their work; • Adjusting plans to respond to changes in the internal and external organizational environment.1 Source: CEDPA, Supervision, 1996: 5/6
  24. 24. 203.2 Team-buildingA team is an energetic group of people (two or more) who are committed to achieving commongoals, who work well together and enjoy doing so, and who produce high quality results. In ateam, the whole is more than the sum of its parts. The team is more than just the sum ofindividual efforts. The team combines the individual talents with a positive team spirit to achieveresults.The two most universal characteristics of teams are: • the production of outstanding results and success in spite of difficulties, and • members feel responsibility for the team and work to resolve problems and clear difficulties out of their way.These characteristics can be broken down into the successful ingredients of a team.1. Open, honest communication based on trust and caring. Team members are sensitive in how they communicate to their team mates, particularly in difficult or conflict situations.2. A complimentary blend of skills and talent that allows the team to work cooperatively together, building interdependence among the members.3. A high degree of tolerance, mutual respect, trust and support which allows individuals to take risks and challenge their abilities.4. An understanding of and commitment to a common purpose and goals. Individual goals and objectives align with team goals to ensure balance in meeting team and individual needs.5. The challenge and capacity to achieve results, make decisions and produce results efficiently.6. An efficient and flexible structure and leadership which allows the team to work toward achieving results without confusion of roles and responsibilities. The shifting roles between leaders and followers exemplify this characteristic.7. The enjoyment of working together based on team spirit, pride, rituals and symbols.8. The ability to take strength and energy from each other, and to celebrate successes and share failures together.Team leaders have to be skilful at balancing different functions. The leader is faced with theneed to balance the accomplishments of results, with the needs of individuals (team members)and thirdly, with the need for members of the team to work together as a group. She/he canenhance the team spirit by developing a shared purpose and positive work climate in the group.Important also is the way of dealing with conflict or non-achievers. Conflict is neither good norbad, but can get out of hand of we do not handle them constructively.Giving and Receiving FeedbackWe naturally give feedback to other people when we interact with them on any project or activity,sometimes making a positive comment and sometimes criticizing what they have done. Bothpositive and negative feedback are important to effective communication and group work, butthey are only effective if the feedback is given and received in a constructive manner.Constructive feedback is information that a person can use to solve problems, improveperformance, or work more effectively with others.
  25. 25. 21It is not easy to give and receive constructive feedback. The principles presented here will helpyou manage potential (or existing) conflict, be direct about what you think, and still maintainmutual respect.See annex 2 for tools for team assessment and giving and receiving feedback.3.3 MonitoringAn important part of the work of a project co-ordinator is monitoring progress.Monitoring is the process of routinely gathering information on all aspects of the project.Monitoring provides managers with information needed to: • Analyse the current situation • Identify problems and find solutions • Discover trends and patterns • Keep project activities on schedule • Measure progress towards objectives and formulate/revise future goals and objectives • Make decisions about human, financial, and material resources.Monitoring is continuous. A monitoring system should be in place before project start-up andshould be scheduled on the project work plan.First Level MonitoringThe first level of monitoring is done by project staff. The project managers are responsible formonitoring the staff and tasks under them, and the project co-ordinator is responsible formonitoring all aspects of the project.A monitoring report should: • Contain a list of the activities to be monitored (derived from the plan), • List the duration and deadlines for completion of different activities, • State the methods of monitoring the activities, • State the current progress on steps taken so far, • State the barriers confronted, if any, • Suggest solutions to overcome them.Monitoring can be carried out through field visits, review of service delivery and commoditiesrecords. Whatever form is chosen monitoring reports always record any problem the projectteam has and plans to correct these problems. One also has to point out any changes in theoriginal goals, objectives or activities and explain this change in direction.Second Level MonitoringThe second level of monitoring is done by the donor(s). Through field visits and routine reportsfrom the project manager, the donor monitors progress and measures performance. Thisincludes financial reporting.Summing up:The rationale for monitoring a project is: • To know whether the various activities are undertaken as specified in the project plan. • To know whether materials and other inputs are reaching the specific places in due time. • To know whether the unexpected issues/problems are occurring.
  26. 26. 22 • To know whether the outcomes match predetermined targets, and if not, why and to decide what corrective action has to be taken. • To know what should be done to change course from the original plan, if the unexpected happens. • To know alternative courses of action, given the new circumstances.3.4 Contingency ManagementThe contingency approach to managing projects is a relatively recent development in the field ofmanagement. It is a product of the 1970s which were characterized by turbulence anduncertainty due to economic, political and social upheavals. Contingency management emergedas an attempt to find solutions to the highly complex problems of the operating environment. Theapproach enables managers to encounter the uncertainties that affect planning processes byvisualizing probable uncertainties and planning how to respond, and mitigate them.The word contingency means different things to different people. In essence, it is somethingthat happens by chance without a warning, a possible future event, an unforeseen occurrence,accident, uncertainty, or emergency. Contingency management involves preparing a plan to takeeffect in case an emergency occurs, or preparing in advance a course of action to meet anemergency situation which cannot be totally foreseen.In implementing community projects, it is necessary to identify, assess, and diagnose theimportant contingency situations that could occur so that the best decisions can be made. Thatis, the project should be implemented within an if -then framework. If certain scenarios occur inan unexpected manner, then an appropriate managerial action should be taken in order torespond to that situation. The contingency approach to project implementation is to ensure thatthe community group is oriented and prepared to meet the unexpected demands of the situation.The contingency design is the total process of determining the degree of environmentaluncertainty and adapting the measures to meet the demands of the operating environment.
  27. 27. 234 EVALUATIONEvaluation generally implies measurement, appraisal, or making judgements on the output andimpact of the project in terms of the objectives. Evaluation will determine a projects relevance,effectiveness, and benefits to the target community.Evaluation is different from monitoring. Monitoring checks whether the project is on track;evaluation questions whether the project is on the right track. Therefore, evaluation looks moreat long-term effects of project objectives.We can discern two types of evaluation: process evaluation and impact evaluation.4.1 Process EvaluationIt may be helpful to think of process evaluations on two levels:In an internal project review the team conducts a periodic self - evaluation of the project,including a review of goals, strategies and work plans. Many organizations do yearly programevaluations, using a variety of methods, usually without the help of an external consultant. Oneof the main purposes of an internal project review is to document progress and problems as abasis for planning the next phase of work (usually the next year). Some of the most importantresults of internal review are team building, improved communication, and re-planning of yearlygoals.Program review takes a broader look at multiple aspects of a program or an organization. It canalso be used for reviewing a country program of an international development agency. This isusually a larger undertaking than project review, and is done less frequently, perhaps everythree or four years. Program review covers a variety of elements related to the program ororganization s goals and priorities. Possible areas of focus might include relationships betweenprogram staff, beneficiaries, and management. Sometimes it is important to look at decisionmaking and communication within the organization or project staff. Or there may be a need toevaluate the organizations goals and structure. Usually this is an internal process, but it may behelpful to have the services of an outside consultant. A consultant for this kind of evaluationshould be skilled at organization development and team building.Example of questions to be asked in this kind of evaluation: • What is the basic approach of the project organization to community development? How has the organization changed through this experience? Is there clarity of organizational goals and work methodology? • What is the quality of the relationships between the technical team and the community? Are the field staff accepted by the community? How do the community leaders and the project team work together? • How well has the project organization done in reporting and communicating? What problems need attention? • How are the community organizations working? How democratic are they? How well is the leadership functioning? What parts of the community are represented in the cooperative membership? How sustainable is it? • What are the criteria and/ or expectations of the funding organization? How well has the project fulfilled these? Are the criteria/expectations appropriate to priorities and goals of this project?
  28. 28. 244.2 Impact EvaluationImpact evaluation is the last step in the project cycle and assesses the outcome of the projectsometime after the completion of the project. It is often used as the basis for expansion of theproject, or in the case of a pilot project, for the scaling up of the project. Evaluations are usuallymore comprehensive than monitoring, and require information from outside the project.In an impact evaluation one measures whether or not a project achieved its goals and attemptsto look at what impact the project had on its participants. The emphasis is on measuring ifsustainable development has taken place as a result of the project. Usually a team, including anindependent consultant, will conduct impact evaluations. The scope of work should be agreedupon by the several parties who have the most at stake in the outcome. These "stakeholders"will normally include the donor agency, the international cooperating agency and their in-countryrepresentative, and the local project organization. Very importantly, representation andparticipation of beneficiary community should also be sought.Impact evaluations require collecting and analysing data, aiming to be more objective than inroutine reporting. Several methods can be used, including case studies, cost-benefit analysis,rapid rural appraisal, or surveys. The participatory approach advocated in this manual, thoughmore time consuming, helps the project organization gain more ownership of the results. Inaddition, an important by-product of participatory impact evaluation is that the staff learns theprocess of evaluation by participating in it. Many international development organizations haveincreasingly emphasized this type of evaluation in order to improve overall results of theirprograms and to better report to their constituents.4.3 The Evaluation DesignMost evaluations call for the writing of a scope of work. This is, essentially, a plan for carryingout the evaluation. The scope of work in traditional external evaluations is usually written andagreed upon by a limited number of persons interested in the project, especially from the fundingagency. In participatory evaluation, those who are involved in the implementation of the projectare given a chance to have input in the design of the evaluation. In fact, the evaluation is firstand foremost for the benefit of those closest to the project, including community participants, ifpossible.The evaluation design proposed in this handbook is flexible. There are six essential parts of thisdesign, steps that are not always as sequential as they appear here. The following synopsisshould be helpful to conceptualise the evaluation process. If all of these parts are adequatelythought out, a well-defined scope of work should be the result.Step 1. Define the PURPOSE of the evaluation.Who wants the evaluation? Why do they want it? How are they going to use the results? Whatassumptions do the various parties have about this evaluation? The answers to these questionswill help define the purpose of the evaluation. A clear statement of purpose should result, i.e.“The purpose of this evaluation is…..” Once the purpose is decided, it is a good time to decidewhether an outside facilitator (consultant) is needed, so that, if possible, this person can beinvolved in choosing the priority areas. If so, discuss and decide on the role of this person.Step 2. Define the PRIORITY AREAS to be evaluated.In this step you will decide on the most important areas to evaluate. Based on the purpose of theevaluation, what is the focus? In other words, what exactly will be evaluated? Possible areasinclude the projects progress toward reaching its goals and objectives, the projects impact onthe community and participants, technical aspects of the project, the training program, the
  29. 29. 25structure of the project organization, and communications. Looking at the projects keyvulnerabilities, strengths and opportunities can help to define specific focus areas.Step 3. The INFORMATION COLLECTION plan.Here it is important to use the focus areas and list a) What key factors (indicators) will beresearched on each area, and b) The source of information (i.e. the data collection tool andwhere that information is to be found).Step 4. The IMPLEMENTATION plan.Decide who will participate. Who will make up the evaluation team and which team members areresponsible for each task? Also, you will need to make a budget. In summary, the result of thethird step will be: a list of participants, a detailed calendar of tasks and responsibilities, includinga target date for report completion, and a budget for the evaluation. If instruments (interviews,surveys, etc.) are needed, these can be designed immediately after the planning session, andfield-tested according to the plan.Step 5. ANALYSE and ORGANISE the information.How is the information to be analysed and by whom? Who will develop the final conclusions andrecommendations? Make an outline of the final report. Decide how much data will be needed,and what limits of time and other resources affect the work of tabulation.Step 6. COMMUNICATING the FINDINGS and MAKING FOLLOW- UP PLANS.After the evaluation is implemented, it is important to schedule a meeting to discuss results anddecide on follow-up plans, including who needs to receive reports. A follow-up plan shouldinclude a) an agreement on specific tasks/actions that must be taken by the donor agency, theproject implementer, and the beneficiary organization to meet the evaluationsrecommendations, b) designation of persons to do each follow-up activity, c) an estimate ofdates for implementing each activity, and d) the date when the activity is to be completed. A well-justified decision to ignore a particular recommendation is also possible. By holding this meetingand designing a follow-up plan, the evaluation s results and recommendations are systematizedinto the projects normal procedures. The use of evaluation results for re-planning are betterassured if this step is followed.
  30. 30. 265 FUNDRAISING IS FRIENDRAISING 2This section covers some of the key aspects of fundraising. It will help identify the people, theattitudes and the approaches that you will need to get a successful fundraising programmeunder way.5.1 Some Key Principles of Fundraising"Fundraising is a science. But its rules are more like a rainbow than a formula. You need to paintwith the most delicate shades of colours and moods. You will surely become a success if youpaint with love and friendship.”Ekaterina Kim, Contacts-I, Moscow You have to askA piece of research commissioned by a major charity asked non-supporters what was their mainreason for not giving. The answer was simple -the main reason for not giving was that they hadnever been asked.Some fundraisers do not exploit the opportunities that exist to raise money. Others ask, but donot do so effectively. The whole purpose of fundraising is to raise money, and it is often forgottenthat the call to action, the punch-line asking people to give, is the essential piece of themessage.The good fundraiser must ask clearly for exactly what they want, having regard to the donorsability and willingness to give when deciding what to ask for. They may also need to repeat themessage to emphasise the point. And they must make it as easy as possible for the donor torespond. The personal approachThe general rule is that the more personal you can make your approach, the more effective youwill be. So: • Asking in person at a face-to-face meeting is better than... • Giving a presentation at a meeting to a group of people, which is better than... • Telephoning someone to ask for support, which is better than... • Writing a personal letter to someone, which is better than... Sending a circular letter to lots of people.Many fundraisers prefer to work by sending letters asking for support. This is not the mosteffective way of asking, and you may need to think carefully about how to make your approach.Two other factors are worth considering:A meeting at your project where the prospective donor can see your work and meet some of thebeneficiaries is often the most effective of all. If that cant be managed, you can try to illustrateyour work with a short video, or with photographs, or by taking along some of the people you areworking with to fundraising meetings.2 Reproduced from Worldwide Fundraiser’s Handbook by Michael Norton, by kind permission of the publishers, TheDirectory of Social Change, 24 Stephenson Way, London NW1 2DP, tel. 0171 209 5151, from where copies may bepurchased by post.
  31. 31. 27A request from someone who has given or from someone important (such as a business leaderor expert in the field) can often be more effective than a request from a fundraiser or from theproject director. Part of the skill in fundraising is knowing the best person to do the asking. Understanding the donors viewpointIn making a decision to give, a whole range of feelings and thoughts may be aroused in thedonor. It is important for the fundraiser to understand this process.The act of giving includes elements of faith, hope and charity. Faith that the fundraiser trulyrepresents the cause and will act as an efficient conduit for the donors money. Hope that thegift, however small, will make some difference, Charity as an act of altruism, a gift without theexpectation of any material return. It is also important for the fundraiser to understand that thedonor might have some personal reason for wanting to give, and to build on that interest. Peoplemay want to support a cancer charity, for example, through fear that they might get the disease,or because a close friend has recently died of it. They may feel strongly about an issue -such asthe environment -and want to do something about it. In supporting your cause, they are alsosupporting their cause, doing something that they feel needs doing and that they want to seedone. Fundraising is a people businessPeople do not give to organisations. They do not give to abstract concepts. They give to helppeople or to do something to create a better world. Your job as a fundraiser is to show how youare helping do this. One way of doing this is through case studies -illustrating your work withactual examples of the people you have been able to help, showing how you have been able tochange their lives, showing what you have done to create a better environment, etc. In this wayyou can show donors how their money can make a difference.Another is to focus your fundraising on particular aspects of your work: the income generationproject you are planning to introduce in the village, that you hope will transform peoples lives;the community publishing programme that is getting underway, where you are all full ofenthusiasm and excitement about its potential. By focusing on specific projects rather than theoverall work of the organisation, it is easier to excite and enthuse your donors. Fundraising is sellingFundraising is a two-stage process. The first stage is showing people that there is an importantneed which you can do something useful about. If they agree that the need is important, and thatsomething should be done; and if they agree that your organisation is doing somethingsignificant to make a difference; and if you can show them how some extra support could beused to do even better -then asking for money becomes easy.Fundraising is more about selling an idea that the donor can make a difference than aboutasking for money. Once people have been sold the idea, then they will want to give. Fundraisingis also more about selling than telling. It is about persuading people to give, and showingreasons why the work is important. Your success depends on your ability to get people to dosomething to help. Credibility and PRPeople prefer to give to organisations and causes that they have heard of. This means that theorganisations credibility and good public relations are extremely important. Press coverage ofyour work, trumpeting your successes in the newsletters you send to supporters, gettingendorsements about the quality of your work from experts and prominent figures can allencourage people to realise the importance of what you are doing and have the confidence that
  32. 32. 28you are doing a worthwhile and successful job -which makes it much easier for them to supportyou. Donors dont know how much to giveOne problem is that donors don’t know how much they are expected to give. They may not wantto give an enormous amount. On the other hand, they may not want to give too little, and soseem mean. Saying thank youSaying thank you is extremely important. It recognises and values the donor’s generosity. Thosewho say thank you on every appropriate pretext will see this investment repay itself handsomelyin donor loyalty and may well be surprised at the level of repeat giving that can be stimulated bythis process. It makes the donor feel that their money is actually having some impact. Long-term involvement and commitmentWhat you really want are people who will give to you regularly and substantially. All the effort tofind a donor and persuade them to give will really only bear fruit if they continue to give overmany years an maybe increase their level of giving. And if they are then prepared to ask theirfriends to help you or to put in long hours as a volunteer, then that’s an added bonus. To achievethis means getting them involved with the work of the organisation and committed to its success. Accountability and reporting backWhen you take money from somebody, you are responsible for seeing that: • The money is spent on the purposes for which it was raised. Failure to do this is a breach of trust. • The money is well spent and actually achieves something.You may be obliged to report back to the donor as a condition of the grant. But you will want todo this anyway to show them that you have used their money effectively. This is not only polite, itis good fundraising practice -as an enthusiastic donor who has seen the money make adifference may consider becoming a more committed supporter.5.2 The skills required in fundraisingThere are a number of important skills that you will need if you are to be successful. If youunderstand what skills are required, you can: • Assess your strengths, so that you concentrate on doing those things you are good at. • Learn what skills you need to acquire, and set about obtaining the necessary training or experience. • Find ways of compensating for your weaknesses by mobilising others to help you where appropriate. Commitment to the causeCommitment is one of the most important attributes that a fundraiser can bring to the job. If thecause does not seem important to you, then how can you convey to others the importance andurgency of doing something about it? You must really believe in the cause you are addressingand in the work that your organisation is doing. Your enthusiasm and commitment will encourageothers to become equally committed through their giving. The ability to askMany people feel uncomfortable with the notion of actually asking for money. Anyone who hasthis difficulty will not be a natural fundraiser -whether the task in hand is to write a four-page
  33. 33. 29appeal letter, make a speech at a meeting of the Rotary Club, telephone a business to ask for anin-kind donation, organise a committee to run a fundraising event, or pay a personal visit to seekthe support of a major donor. All this requires an ability to ask effectively for what you need. PersuasivenessPeople have choices as to what to do with their money. They have competing demands on whatto spend it on. Your job is to persuade them that supporting your organisation is a reallyworthwhile investment of their hard-earned money. You need to make a really good case and topresent it in a persuasive way. This requires good selling and communications skills. In particularyou need to be able to marshal compelling arguments, to be able to write letters which exciteinterest, talk fluently and interestingly about the cause in public or in private, create a sense ofexcitement through your enthusiasm, and share your hopes and visions for the future. Confidence and dealing with rejectionWhen you are asking for money, you need to radiate confidence. If you are apologetic orhesitant, people will not give to you.One of the biggest problems is maintaining your confidence in the face of rejection. Since morepeople are likely to say "no" than say "yes" -thats a fact of fundraising life -it is very easy to getdownhearted. Many approaches will be unsuccessful, simply because of the enormouscompetition for funds, or just through bad luck. After a couple of rejections, you really begin tobelieve that nobody wants to support you. You then start acting as if nobody wants to supportyou. You become apologetic and you talk as if you expect to be refused. And maybe you evenavoid asking- so as not to be rejected.A good fundraiser has to be able to cope with rejection, starting each fresh approach as if it werethe first, and to be prepared to learn from experience. PersistenceMost fundraisers give up too soon. People often take "no" to mean "no" - rather than as achallenge to try to convert the "no" into a "yes". If you give up immediately, then theres nochance at all. If you feel that they really should be interested in supporting you, then you will tryto find a way of getting them to change their mind, or find some other thing that they might like tosupport. You have approached them in the first place because you need support and you feelthat they might potentially be interested in giving it. Dont just give up at the first setback. You willfind that persistence really does pay. TruthfulnessThe fundraiser has to be truthful at all times. The need to persuade people creates a pressure totell only partial truths and to claim more for your work than is the case. The very complex socio-economic factors that create poverty today are a good example. If we are to raise funds bywriting a short letter to a potential supporter, how can you hope to describe what lies behind thepoverty? And can you give a proper explanation without straying into the politics of the situation,however unattractive or contentious that may be to the donor?There is also a tendency to present the beneficiary as a victim. It makes it easier to elicitsympathy and support. This is as true for people with physical disabilities as it is for refugeefamilies. The beneficiary may see the fundraising material and even be represented on theboards of organisations, and be offended at how the cause is being presented. The need topresent a sensitive but truthful case, whilst making it powerful enough to persuade donors togive, can cause conflicts within the organisation. To resolve this demands sensitivity andunderstanding from the fundraiser.
  34. 34. 30 Social skillsA good fundraiser needs confidence, patience and tact. Confidence, because a confident appealis harder to refuse. Patience, to deal with the particular concerns of donors (for example, whenthey ask to hear about the income ratios of the organisation for the third time). Tact and sincerity,to ask a supporter face to face for a legacy, or to suggest a variation in a will. A good fundraisershould also like meeting and dealing with people. Organisational skillsFundraising often involves keeping in touch with thousands of supporters, all of whom imaginethat they are special and that you have some personal relationship with them. Good organisationis essential. Fundraisers have to keep accurate records of correspondence and information ondonation history for each donor. All this must be organized so that no past event or piece ofgenerosity is forgotten. A good memory for faces helps too. Imagination and creativityFundraisers who come afresh to an organisation will find that imagination is an invaluableasset. The task may be to dream up new activities that will inspire existing supporters and tocreate events that the public is going to be enthused by. Or to present your work in anexciting and imaginative way. Circumstances are continually changing and new opportunitiesemerging, so fundraisers need to identify new approaches and not simply rely on what hasbeen done in the past. Contacts and the ability to make contactsThe fundraiser who already has a number of existing contacts in an area or sector will be at anenormous advantage. But this is not a prerequisite. Having contacts does not necessarily meanthat they will be the right people for the organisation. A good alternative is to have theconfidence to ask anybody for what is needed, the ability to make new contacts and the goodsense to ask others to do the asking for you. OpportunismYou need to grasp every opportunity that presents itself. For example, when a well-knownsupporter is awarded libel damages, should your letter asking for support not be in their in-traynext morning? Or if a leading company has just announced a major hike in profits or has beenawarded a major construction contract in your area, then a cleverly constructed appeal for fundsmight just succeed.The clearest examples of opportunistic fundraising are to be found in newspaper coverage. If, forexample, there is a feature in the paper focusing on your cause, then the results of anyadvertising placed in the paper on the same day may be substantial (provided of course that theeditorial coverage is supportive of what you are doing). So if you know you are going to getcoverage, then consider taking an advertisement to ask for support or better still, get thejournalist to add this request at the end of the article, with a reply address where donations canbe sent.The annual calendar provides opportunities at different times of the year. For example inChristian communities, Christmas and the New Year provide extremely good fundraisingopportunity, and other faiths have similar points in the year.
  35. 35. 316 VARIOUS SOURCES OF FUNDING 36.1 Generating Local ResourcesA burning question of many NGOs is: How to generate local resources. There should always bea concern about dependency on external aid, and it is unfortunate that boards and executivestaffs give this aspect so little attention compared to project fund-raising. Most so-called"Southern" NGOs and other private development groups are dependent on external aid andmany would collapse within a year or so if foreign aid was stopped. Dependency is not onlyfinancial, but often technical. As competition becomes stronger for scarce donor funds,strategies for generating local resources will need to be developed and tried. Self-funding goalscan be set incrementally, for example: in the first year- 10 percent; in the second year -20percent; and in the third year -40 percent. It may take years, even decades to be self-reliant, butsometimes when external donors see the efforts being made, they may step in to help. Ideally,an organization should be able to raise enough local funds to fund its administrative and fundraising costs for one to two years. Some 50 percent of the budget might be raised from local andcapital generating sources.Many development organizations and groups are very successful in raising project funds fromexternal donors, but they have little if any local success. Part of this may come from the ease ofraising external funds. We have often heard development organization leaders say that it is awaste of time, energy and money to try to generate local funds when project money is so easy tofind. Since many external donors are willing to accept the value of local volunteer inputs, localdonated materials and similar items as local matching inputs for projects, external donorsthemselves have discouraged local generation of funds. It might be wise in the future for them torequire at least 50 percent of the local input in funds.Often one hears the expression or version thereof that local fund-raising will not work since thepeople are too poor to contribute. It is a way of avoiding fund-raising, often seen as tedious andunproductive. Moreover, few development organization leaders have experience in this area, butthere are always local consultants to help, or experiences from other local NGOs. Sometimesthe idea is rejected on social or cultural terms. However, NGOs might have to leave thedevelopment business unless they begin to generate local funding. Fund raising efforts alsoeducate the person targeted, about your organization and its activities, and he or she maybecome a future supporter. That’s why we say fundraising is friendraising.Some of the ways to raise funds locally are: a) Membership contributions. b) Overhead or indirect cost rates on projects. Negotiating for in-kind support from government agencies (space, professionals, etc.) c) Sale of your materials and services. d) Projects that generate income for your organization. e) Setting up an endowment fund. f) Community events. g) Interest articles about your work. h) Mass media appeals.3 Partly reproduced from The International Donor Directory, by International Partnership for Human Development,by kind permission of the publishers.
  36. 36. 32Ad a)Membership fees increase the commitment of members to the organization and they can helpstimulate new funding from others in the community. For some organizations, such fees annuallybring in a sizeable amount. For others, the amount is minimal but important because it helps paysome of the administrative costs. There is a temptation at times to use these funds for projects.Try not to do so.Ad b)Sometimes donors will allow the applicant to include an indirect cost on the project budget.Government funding sources often permit this. Percentages vary, sometimes it is 10 percent, butrarely should one go as high as 25 percent of the project cost. These funds are used to defraycosts such as rent, electricity, telephone, secretarial services and basic administration.Ad c)Many local NGOs are finding it lucrative to sell their materials and services. Some havedeveloped "How To Do It" or self-study books and materials on a wide range of topics, fromfamily planning, to appropriate technology and to soil testing kits. Periodicals are sometimessold. Some publishing companies may even allow you to sell other peoples books for a smallprofit. However, we know one organization that published 5,000 copies of a scientific book andten years later still had over 3,000 copies -giving away many of the 2,000 copies because itfailed to spend money on marketing the book.Some NGOs have gone into selling products. One needs to do a market analysis of the productsintended for sale. Moreover, there needs to be a steady supply of quality produced items.Generally, we have found that handicrafts do poorly compared to mass-produced products. Mostof us have also encountered Third World, thrift and other shops where products from manycountries are sold. A good location, such as at an airport or next to a tourist hotel can lead to aprofitable undertakingIncreasingly, we find organisations selling their services as consultants to governments, otherNGOs, community groups, and even business. Local NGOs often have developed an expertisein certain areas (water development, sanitation, land reform and settlement, small enterprisedevelopment, and so on), which are in demand. Others hold training seminars, undertakeresearch and evaluations, or provide management skills. Contracts are signed with the grouprequesting these skills. They stipulate the kind of activity to be undertaken, terms of payment,and if any products are to be developed. Local NGOs should seek to cover the salaries of theirstaff for the time they are used as consultants, plus their travel, per diem and other costs, andassess an organization charge.Ad d)Projects can also generate income for the local NGO. There are many examples of projects thatare income generating. Some of these are: • Establishing revolving funds. Credit is provided at an interest rate above the projected inflation rate, but below commercial rates. These funds can be created for farmers, smaller community enterprises, home builders, and so forth. One needs to be careful that all management costs are covered from the return of capital and that there is still a surplus. • Using a truck to market farmer produce in an area and bringing products on the return trip for sale. After deducting operating costs, there may be a profit.

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