3. Training Sourcebook
Capacity building for local groups and associations
By Judith van Eijnatten
Secretariat of the Pacific Community (SPC)
Noumea, New Caledonia
February 2010
5. Table of contents
Introduction to this sourcebook 7
Module 1: Civil society, capacity building and empowerment 9
Session 1.1: Make-up of society 10
Session 1.2: Social capital 13
Session 1.3: Capacity building and empowerment 17
Module 2: Good governance 23
Session 2.1: Principles of good governance 24
Session 2.2: Structure of an association 26
Session 2.3: Staff 30
Session 2.4: Values and policies 34
Session 2.5: Financial management 40
Session 2.6: Board meetings 47
Session 2.7: Teamwork 50
Session 2.8: Completing the evaluation wheel 56
Module 3: Identifying priorities through a problem tree analysis 58
Module 4: Strategic planning 63
Module 5: Preparing a logical framework 70
Module 6: Preparing a capacity building plan 77
Module 7: Conflict resolution 81
Module 8: Participation 85
Module 9: Self-help, dependency and volunteerism 90
Session 9.1: Self-help and dependency 91
Session 9.2: Volunteerism 97
Module 10: Gender awareness 99
Module 11: Communication and presentation 106
Session 11.1: Communication 107
Session 11.2: Presentation 118
Module 12: Preparing, holding and following up meetings 122
Module 13: Management and leadership 137
Session 13.1: Defining management 138
Session 13.2: Planning 140
Session 13.3: Organising 143
Session 13.4: Staffing 144
Session 13.5: Directing and leading 149
Session 13.6: Controlling 155
Session 13.7: Preparing a responsibility chart 160
Annex 1: Evaluating training 162
Annex 2: List of exercises 164
Annex 3: List of handouts 167
6.
7. 7
Introduction to this sourcebook
Since time immemorial, in the Pacific region like elsewhere in the world, people, groups and communities
have come together and organised to take care of themselves. By organising themselves into formal or
informal groups, people manage to pursue common goals. For example farmers get together to prepare
their land or they associate to undertake collective marketing, fishers get together to better manage their
marine resources, youth get organised to promote sports and women form networks to ensure that traditional
knowledge is kept alive.
In many instances local groups face the problem that the goals they have set themselves do not match the
available skills and experience of their members. Because of this, groups often find it difficult to achieve their
full potential and to effectively tackle development issues that confront them and for which they would like to
find satisfactory answers.
This training sourcebook is about acquiring the skills, knowledge, structures and resources needed by local
groups and associations to function more effectively. It is about strengthening and developing human
resource skills to build capacity and become empowered.
This sourcebook owes its existence to a series of participatory workshops held for producers’associations
from New Caledonia, French Polynesia and Wallis and Futuna during the period 2006–2009. It is based on
field-tested activities and the lessons learnt from that process. It also draws on the wealth of knowledge and
experiences available elsewhere in the world.
Objectives and target audiences of the sourcebook
This sourcebook is designed for people aiming to develop the human resource skills of local groups so as to
make them organisationally and institutionally stronger. The sourcebook is based upon and advocates the use
of participatory approaches. While it is assumed that the users of the sourcebook will have some exposure
to participatory approaches, it is still useful to those with no prior experience. The primary target audience is
representatives of local groups, non-governmental organisation (NGO) workers, extension agents, community
workers and other individuals committed to strengthening the civil society sector.
How to use this sourcebook
This sourcebook consists of a set of 13 independent modules. The subjects of the modules were identified
as a result of needs and interests expressed by formal and informal producers associations, and assessments
conducted with them. Each module has been practically implemented, evaluated and adapted to the present
format.
Throughout this sourcebook a participatory approach is used. It is required of the trainer to adopt a
participatory attitude, which means being a facilitator rather than a teacher and encouraging a process
whereby participants are actively involved, contribute and have ownership of the learning process. Neither
the individual modules nor the set of modules are claimed to be exhaustive. When using this resource book
trainers are encouraged to pick and choose modules according to the identified needs of their groups. They
are also encouraged to adapt the modules to fit the needs of their groups. The time required to complete the
modules varies; some are relatively short, others may take up to two days.
8. 8
The modules and session plans have a standard layout as follows:
• Background
• Key issues
• Training objective
• Learning objectives
• Training content
• Teaching aids and materials required
• Input
• Exercises
• Experiences
• Conclusions to the session
• Handouts
To clarify and liven up the content and exercises given in the session plans, the text has been enriched with
practical experiences drawn from many different training sessions and workshops during the period
2006–2009.
I would like to thank the participants and their associations for their whole-hearted participation in the
training and workshops. They are a continual source of inspiration and without them this sourcebook would
never have been possible. I hope it proves to be a source of encouragement for other producer associations
and a useful tool that contributes to the growth of the civil society sector in the Pacific.
Judith van Eijnatten
February 2010
9. 9
Module 1: Civil society, capacity building and empowerment
Background
Civil society is comprised of all associations, NGOs, movements, networks and other formal and informal
groups which operate independently from government and the private sector and which, in principle, are
not profit-making. They have a defined and important role to play within society: they aim to promote social,
cultural, economic and/or environmental interests. Many civil society organisations recognise the need for
strengthening or capacity building so that they can play more meaningful roles and defend the interests
of their members more effectively. Capacity building leads to empowerment and groups become able to
lead their own development and that of other groups. They thus grow to become worthy and indispensable
partners in the development arena.
Training objective
To enable participants to gain a clear understanding of the place of civil society in society at large and, in
relation to this, the importance of capacity building and empowerment.
Learning objectives
At the end of this module the participants will be able to:
• explain the place of civil society in society at large; and
• explain the concepts of capacity building and empowerment and discuss their relevance to their own
associations.
Training content
Session 1.1 – Make-up of society
Session 1.2 – Social capital
Session 1.3 – Capacity building and empowerment
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Session 1.1: Make-up of society
While members of associations can explain why they are members of their particular association, they often
have difficulty explaining the larger picture: why does civil society exist, what is its specific role and what is its
importance?
Key issues
• Comprehending the make-up of society
• What does civil society look like in our own context?
• What are our roles in relation to other sectors of society?
Teaching aids and materials required
Flip chart, board, markers and copies of handout.
Input1
Civil society is one of three sectors that make up society. Civil society is comprised of all associations, NGOs,
movements, networks and other formal and informal groups that operate independently from government
and the private sector and which, in principle, are not profit-making. They have a defined and important role
to play within society: they aim to promote social, cultural, economic and/or environmental interests.
Societies are comprised of three main sectors: the public sector (or government), whose primary role is to
draft and enforce laws and defend borders; the private sector (or business), whose primary role is to deliver
goods; and the civil society sector, whose primary role is to deliver services that business and government are
unwilling or unable to provide. The role of each sector is complementary, not competitive. The concept can be
depicted as follows:
1 An NGO Training Guide for Peace Corps Volunteers. Module 1: The role of NGOs in a civil society. http://www.peacecorps.gov/multi-
media/pdf/library/M0070_mod1.pdf
11. 11
Depending on the relative strength of each sector in a given society the circles may be larger or smaller. For
example, if in a particular society the government is strong and civil society weak, the brown circle would
be larger and the purple circle smaller than depicted in the diagram above. Whatever the case may be, for a
society to achieve its full potential all three sectors need to cooperate and be in balance, as shown by the dark
grey arrows.
Experience
In one workshop participants likened the
relationshipbetweengovernmentandcivilsociety
to an outrigger canoe where the government is
represented by the main canoe and civil society by
the outrigger. One does not function well without
the other; both are needed for the canoe to be
balanced and function well.
Civil society organisations can be found everywhere in the world. In some societies there might be many of
them, in others only a few. Some societies may have a large, powerful and influential civil society, while in
others civil society may be comprised of only a few small formal or informal groups. Civil society organisations
may be local, national or international. Almost all civil society organisations start small and learn as they go
along.
Exercise: What does our own society look like?
Provide the participants with Handout 1.1.1. Ask them to think about their own society and how they would
depict the relative sizes of the three sectors in their own context. Ask them to discuss this and then prepare a
diagram like the one in Handout 1.1.1. What are the roles of the sectors and how do they cooperate? Is there
an overlap in roles?
Concluding the session
• Society is made up of three main sectors: government, business and civil society.
• Civil society consists of all groups that are neither government nor business.
• Civil society organisations do not make a profit; they aim to promote member interests.
• The roles of the three sectors making up society are complementary; only if the sectors work together can
a society advance.
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Session 1.2: Social capital
The government and business sectors are driven by financial capital. The civil society sector is driven by social
capital. Some civil society organisations may have salaried personnel, but all civil society organisations depend
on volunteers and non-remunerated efforts. Without social capital civil society organisations cannot continue
to exist.
Key issues
• Comprehending the concept of social capital
• How strong is our social capital?
Teaching aids and materials required
Flip chart, board, markers and copies of handout.
Input
Social capital is the term used to describe bonds between people like trust, understanding, shared values and
norms. It is about behaviour that binds people together in groups, networks and communities and it is what
makes collaboration and cooperation possible. At both the micro and macro level social capital can be seen
as the glue that holds society together. Civil society organisations operate with voluntary inputs from their
members and they are therefore hugely dependent on social capital. Where social capital is weak, civil society
organisations function poorly.
Growing social capital
Face-to-face relationships between people encourage social capital to grow. In fact, the more social capital is
used, the more it grows. Hierarchical structures and corruption undermine social capital while participatory
structures, transparency and accountability reinforce social capital. Social capital is necessary to ensure
sustainable development and to build sustainable societies that are secure and at peace.
The diagram below summarises how social capital is created through face-to-face interaction and shows
that it grows to produce trust and shared norms and values, including those of inclusion, participation,
transparency and accountability. It shows that with increasing social capital there is increasing motivation
and willingness to invest time and energy without being remunerated. Increasing social capital goes hand in
hand with increasing cohesion both at the level of individual organisations and in society at large. Civil society
organisations have a very important role to play in promoting sustainable societies that are secure and at
peace.
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Exercise: Our social capital
Ask the participants to think about the following question: What is my motivation in working for my
association? Give them a few minutes and then ask each one in turn to share their response.
Experience
Some of the answers participants in one group came up with were the following:
• to make myself useful by serving my people
• to contribute
• for mutual assistance
• in order to assist people who find themselves in difficult situations
• to give an example to others
• to be with other women
• to exercise my passion for music and sports
• in order to promote local agricultural products
• in order to share
• in order to discover
• in order to build my personality
• in search of justice
• in order to give renewed value to my traditional culture
• in order to transmit indigenous and traditional knowledge to others
• to ensure that Pacific countries and territories engage with the rest of the world
• to ensure that our voices are heard
• in order to find solutions through dialogue
• in order to contribute to making sense of and channel the existing motivation and goodwill of my people
• because of the contacts and the opportunities to meet with people and the possibilities this offers for
sharing
• because I like, I enjoy, I love what I am doing, and that is my motivation
Social capital
Inclusion
Participation
Transparency
Accountability
Sustainable
Development
Sustainable
Societies
Shared set of values,
virtues, expectations
- Organisations
- Society
TrustFace-to-face
interaction
Increasing motivation to invest time and energy, for the greater good,
without financial remuneration
Increasing cohesion and unifying force
Civil society organisations are the glue that holds a society together; they are the key to sustainable development
and sustainable societies
15. 15
After they have shared their responses facilitate a discussion with the participants on the strength of the social
capital in their own association. Provide the participants with Handout 1.2.1 and ask them if they can construct
a diagram like the one above that reflects their own situation. What are weak and strong points? How could
social capital be increased?
Concluding the session
• Social capital is the ability of people to trust each other and work together toward agreed-on goals.
• Social capital evolves from trust to become a shared set of values, virtues, and expectations within an
association and within society as a whole.
• Social capital fosters greater inclusion, cohesion, participation, transparency and accountability, and hence
sustainable development.
16. 16
Handout 1.2.1: Social capital
Social capital
Inclusion
Participation
Transparency
Accountability
Sustainable
Development
Sustainable
Societies
Shared set of values,
virtues, expectations
- Organisations
- Society
TrustFace-to-face
interaction
Increasing motivation to invest time and energy, for the greater good,
without financial remuneration
Increasing cohesion and unifying force
Civil society organisations are the glue that holds a society together; they are the key to sustainable development
and sustainable societies
17. 17
Session 1.3: Capacity building and empowerment
With increasing capacity, civil society organisations become increasingly empowered and increasingly able
to take the lead in controlling their own destinies. Building capacity is about strengthening and developing
human resource skills, both at a managerial level and a technical level.
Key issues
• Comprehending the concept of capacity building
• Comprehending the concept of empowerment
• What is our own capacity?
Teaching aids and materials required
Flip chart, board, markers and copies of handouts.
Input2
In the sections below, capacity building and empowerment are discussed.
Capacity building
Capacity building is the process of developing the skills, knowledge, processes, structures and resources
needed by civil society organisations to help their members and communities survive, adapt, and thrive in
an ever changing world. However, capacity building is not just training, it is more than that. Capacity building
includes:
• Human resource development — the process of equipping individuals with the understanding, skills and
access to information, knowledge and training that enables them to perform effectively;
• Organisational development — the elaboration of management structures, processes and procedures,
within organisations as well as the management of relationships between different organisations and
sectors (public, private and community); and
• The creation of an enabling environment with appropriate policy and legal frameworks.3
For associations, capacity building may relate to almost any aspect of their work:
• governance
• planning
• mission and strategy
• programme development and implementation
• evaluation
• leadership
• partnerships and collaboration
• advocacy and policy change
• positioning
• administration (including human resources, financial management, and legal matters)
• fundraising and income generation
• diversity
• marketing, etc.
2 Adapted from: http://en.wikipedia.org/wiki/Capacity_building. Ann Philbin, Capacity Building in Social Justice Organizations Ford
Foundation, 1996.
3 http://www.gdrc.org/uem/capacity-define.html
18. 18
At an individual level, capacity building may relate to the development of skills like:
• leadership
• advocacy
• training
• presentation and public speaking
• organising
• specific technical skills 4
Capacity building is what gives flexibility and functionality to an organisation to adapt to the changing needs
of its membership — the population it serves.
Exercise: What capacity means for our own association
Ask the participants to consider their own association and to define what capacity building means to them.
Experience
One group defined the capacity of their association at two levels:
• The ability to execute programmes efficiently, using time and resources in the best way. It is about ‘What we
do’. Donors judge us on what we do.
• The ability to function sustainably as a strong and independent entity with its own values and ‘trademark’.
It is about ‘Who we are’. Our members, leaders and other associations judge us on who we are.
Empowerment
The World Bank defines empowerment as‘the process of increasing the capacity of individuals, groups or
communities to make choices and to transform those choices into desired actions and outcomes’. Central
to the concept of the idea of empowerment is being in control of one’s own life5
. By building capacity, civil
society groups become empowered and increasingly able to influence the actions they wish to undertake.
Exercise: What can an empowered community achieve?
Divide the group into small groups of 3 or 4 persons. Provide the small groups with Handouts 1.3.1 and 1.3.2.
Ask the groups to consider the two situations (before and after) depicted on the handouts and to identify
which skills the community must have had to overcome the seemingly disastrous situation they were in.
Handout 1.3.1: Situation before Handout 1.3.2: Situation after
4 Linnell, D. 2003. Evaluation of Capacity Building: Lessons from the Field, Washington, DC: Alliance for Nonprofit Management
5 http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTPOVERTY/EXTEMPOWERMENT/0,,contentMDK:20272299~pagePK:210058~p
iPK:210062~theSitePK:486411~isCURL:Y~isCURL:Y~isCURL:Y~isCURL:Y~isCURL:Y,00.html
19. 19
After having discussed this question in small groups ask the groups to present their results to the full group.
Summarise the discussion by saying that the community in the pictures is an empowered community: it has
been able to make choices and transform those choices into desired actions and outcomes. It has managed
to improve its conditions. The community has shown that it has the skills needed for empowerment, skills like
the following:
• leadership
• problem solving
• planning
• communication and networking
• community cooperation
All of these skills can be gained through capacity building and we shall be looking at them during the course
of the current training.
Exercise: Capacity, empowerment and our own association
Provide the participants with Handout 1.3.36
showing a list of skills relating to capacity building and
empowerment. Using this list as a basis, ask participants to consider their own association or group and
discuss their own capacity. Ask them to discuss the concept of empowerment. How empowered do they feel
their association is? Which are weak and strong areas? In which areas would they like to see their association
build capacity and become empowered?
Concluding the session
• Capacity building is the process of developing the skills, knowledge, processes, structures and resources
needed to survive, adapt, and thrive in an ever changing world.
• Empowerment is the process of increasing the ability of an individual, organisation, or community to make
choices and to transform those choices into desired actions and outcomes.
6 Secretariat of the Pacific Community and German agency for International cooperation (GTZ), 2003. The lost paradise.
22. 22
Handout 1.3.3: What capacity building and empowerment are all about
For associations, capacity building may relate to almost any aspect of their work:
• Governance
• Planning
• Mission and strategy
• Programme development and implementation
• Evaluation
• Leadership
• Partnerships and collaboration
• Advocacy and policy change
• Positioning
• Administration (including human resources, financial management, and legal matters)
• Fundraising and income generation
• Diversity
• Marketing, etc.
At an individual level, capacity building may relate to the development of skills like:
• Leadership
• Advocacy
• Training
• Presentation and public speaking
• Organising
• Specific technical skills
Empowerment means having skills like the following:
• Leadership
• Problem solving
• Planning
• Communication and networking
• Community cooperation
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Module 2: Good governance
Background
This module is about good governance. In a democratic society it is important that not only government but
also business and civil society organisations incorporate democratic processes and systems into their ways
of operation. Democratic processes and systems are also known as good governance. This module presents
good governance principles and helps participants identify how the principles can be applied to their own
associations.
Training objective
To enable participants to gain a clear understanding of good governance principles and how to apply them to
their own association.
Learning objectives
At the end of this module the participants will be able to:
• list and explain good governance principles;
• explain the specific roles and responsibilities of the board, board members and staff, and appreciate the
difference between the roles;
• demonstrate gaps in governance structures and functioning within their own association; and
• list ways and means to improve the governance and thereby the functioning of their own association.
Training outputs
• Training plan for the coming year
• Action plan for the board
Training content
Session 2.1 – Principles of good governance
Session 2.2– Structure of an association
Session 2.3 – Staff
Session 2.4 – Values and policies
Session 2.5 – Financial management
Session 2.6 – Board meetings
Session 2.7 – Teamwork
24. 24
Session 2.1: Principles of good governance
The international community has formulated good governance principles to guide the operation of all
institutions, organisations and associations that are part of a democratic society. These principles are
applicable to government, business and civil society institutions.
Key issues
• Comprehending what is meant by governance
• Comprehending what is meant by good governance
Materials required
Flip chart, board and markers.
Note for trainer
Prepare a flipchart with the table‘Five principles of good governance’and hang it on the wall so you can refer to it
throughout the sessions of this module.
Input7
Governance can be defined as the process whereby societies or organisations make their important decisions
and determine who has a voice, who participates and how account is rendered. Good governance concerns
not only the government, public administration, and governing models and structures but also ways to
continually engage all sectors of society. Governance is about democracy and the important role that citizens
need to play to make it work. In the case of civil society organisations, governance is about ensuring that the
membership takes an active role in the operation of the group.
The United Nations Development Programme (UNDP) put forward a set of principles that are based on such
international conventions as the Universal Declaration of Human Rights. These principles are often taken as a
reference.8
A simplified version of the good governance principles is given below.
Five principles of good
governance
UNDP principles and related UNDP text on which they are based
Legitimacy and voice Participation – all men and women have a voice in decision-making
Consensus orientation – mediation of differing interests to reach a broad consensus on
what is in the best interests of the group
Direction Strategic vision – there is a perspective on human development which is grounded in a
historical, cultural and social context
Performance Responsiveness – an effort is made to serve all stakeholders
Effectiveness and efficiency – producing results while making the best use of resources
Accountability Accountability – decision-makers are accountable to their membership, the public and to
institutional stakeholders
Transparency – sufficient information is accessible to those concerned in order for them
to understand and be able to monitor progress
Fairness Equity – all men and women have opportunities to improve or maintain their well-being
Rule of law – law is fair and enforced impartially
These principles focus on the results of power, and about how well power is exercised. It is important that
organisations should strive to meet all principles, not just a few, and to find a balance between principles
where there may inherently be contradictions.
7 Edgar, L., C. Marshall and M. Bassett, 2006. Partnerships: Putting good governance principles in practice. Institute on Governance,
Canada. http://www.iog.ca/publications/2006_partnerships.pdf
8 UNDP Governance and Sustainable Human Development, 1997.
25. 25
Good governance exists where:
• Those in power have acquired their power legitimately.
• Those whose interests are affected by decisions have a voice.
• Exercise of power is guided by a direction or guide to action.
• Governance is responsive to the interests of the people.
• Those in power are accountable to those whose interests they serve.
• Accountability is made possible by transparency and openness in the conduct of the work.
• Governance is fair and conforms to the rule of law and the principle of equity.
Exercise: Examples of good governance in our environment
Divide the participants into five small groups. Give one of the five principles of good governance to each
group. Ask each group to discuss the meaning of the principle and to find examples of the principle in their
association.
Experience
Principle 1 — Legitimacy and voice: In our tribe the council of elders makes decisions by consensus.
Principle 2 — Direction: We believe that our traditions and culture should guide our development activities.
Principle 3 — Performance: Our women’s association does not have a building so we hold our meetings in the
school canteen. In that way we make good use of available resources.
Principle 4 — Accountability: At the end of every month our association hangs up an information sheet on the
notice board to inform our members of the amount of fish caught and our income and expenditures.
Principle 5 — Fairness: The law of our country does not make a distinction between men and women.
Exercise: Good governance in our association
Ask the participants to go back into their small groups and tell them that they should now focus on their own
association. Ask the participants to discuss the concept of good governance and identify both strong and
weak areas in relation to their own association.
While the groups are talking prepare two sheets of flipchart paper. Mark one ’Board action plan’and the other
‘Training plan’. Hang them on the wall for the duration of this module.
Bring the group together and ask participants to present the results of their discussions. Identify relevant
points for the‘Board action plan’(things the participants would like to change in the association) and ’Training
plan’(areas in which board, staff or members need training).
Concluding the session
• Governance refers to the rules of how a group is organised, how decisions are made and how resources
are used to manage the groups’affairs.
• Good governance means governing in a truly democratic fashion where citizens (or members) are actively
engaged in the affairs of the group (or association).
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Session 2.2: Structure of an association
Like other organisations, civil society groups have an internal organisation or structure which forms the basis
for the group’s operation. Some civil society groups have a clear governing structure. In other cases, groups
may not have defined a structure or may have a structure that has not yet been formalised, or one with which
the members are not so familiar, or one that is unlike the structure defined in their constitution. It is important
for civil society organisations to have a clear structure and for their members to know what the structure
is. If there is a constitution, then the actual structure should correspond to the structure defined in the
constitution. Finally, it is important that the structure reflect good governance principles.
Key issues
• Identifying the governing structure of the association
• Understanding that it is important that members be familiar with the structure and that it correspond to
the constitution
• Determining whether the structure of the association is in accordance with good governance principles
Teaching aids and materials required
Flip chart, board, cards, thumb pins, masking tape, markers and copies of questionnaire.
Exercise: Structure questionnaire
On a sheet of flipchart paper prepare an evaluation wheel as shown below:
Then ask the participants to fill in the following questionnaire9
(Handout 2.2.1) and return the slips to the
trainer. Explain that this is one of a series of small questionnaires the participants will be asked to complete
during the course of the current module.
9 Wyatt, M. 2004. A handbook of NGO governance. European Center for Not-for-Profit Law, Hungary. http://www.icnl.org/knowledge/
pubs/Governance_Handbook.pdf
27. 27
Questionnaire : Structure
No. Question Yes No Don’t know
1 Our organisation has a formally established governing structure.
2 Our board makes decisions collectively.
3 Our board has a designated leader or chair.
4 Our chief executive has a written job description outlining performance expectations
and goals.
Analyse the results (or ask one of the participants to assist you) by determining the number of‘yes’answers
and then the proportion of‘yes’answers in relation to the total number of respondents. Present the results
on the‘structure’axis of the evaluation wheel by placing an X on the appropriate place on the axis, which is
determined as follows: the distance from the centre of the circle to the edge represents the total number of
participants and the distance from the centre of the circle to the X represents the number of‘yes’answers.
Leave the evaluation wheel on the wall; it will be completed step by step during the course of the remaining
sessions of this module.
Exercise: Defining the governing structure of our association
Ask the group to identify the board members sitting amongst them. Then ask the board members to stand up
in front of the group so it is clear to everyone who they are.
Ask each board member to write out a card with his or her name and the position he or she holds on
the board. Ask the board members to position the cards on the board so as to represent the structure of
their association (they will be preparing an organisation chart). Add the regular members and staff to the
organisation chart. Invite the group to respond and reach a consensus on the structure. Check whether the
structure is in accordance with the constitution.
Ask the group to discuss whether the structure of their association is in accordance with good governance
principles. If not, how could the structure be adapted? Try to get a consensus from the group on what the
structure of the association should look like.
Picture 1
Experience
During one workshop the participants produced a top-down structure
with the chairman making the decisions and handing these down
to other board members. Salaried staff had positions on the board as
Secretary and Vice-Secretary (see Picture 1 below). A consensus was
reachedthatthestructureshouldbechanged(seePicture2below)toone
showingthatthemembersmadethemajordecisionsduringtheGeneral
Assembly and the elected board, representative of the membership, was
responsible for daily decision-making. The structure further showed that
the board operated on the basis of consensus decision-making and that
responsibilities were delegated to the staff, who were responsible for
execution.
Picture 2
28. 28
Input
The board is the governing structure of an association. Some of the key roles of the board are:
• Governing — The board puts in place an internal set of rules by which the association operates. This set of
rules is called the governance system.
• Accountability — The governance system ensures accountability.
• Oversight — The board ensures that it has the‘big picture’.
Collective decision-making
The board makes decisions on topics such as policies and strategies, allocation of resources, the annual plan,
evaluating staff and membership. Good governance demands that decisions be made collectively for the
following reasons:
• to ensure all stakeholders are implicated
• to ensure no one has a special (personal) agenda
• to combine everyone’s skills, ideas and knowledge resulting in the best possible decision
Collective decision-making is not easy. This is why associations decide on rules governing decision-making, for
example regarding voting and quorums.
Exercise: Decision-making in our association
Ask the group how decisions are made in their association. Ask them to discuss whether the decision-making
system ensures that the needs of all stakeholders are considered. What rules exist regarding voting and
quorums? Can the decision-making procedures be improved in view of these points?
Board members are volunteers
Board members are volunteers. By working together they create social capital, which motivates them to
continue working for the association. If board members lose their motivation it puts the sustainability of the
association at risk. Board members need to nurture and increase social capital, thereby keeping motivation
levels up.
Exercise: What motivates me to be on the board?
Distribute cards and ask participants to give reasons why they are motivated (or why they think others are
motivated) to serve on the board. Sort the cards and put them up on the board. Discuss what these ideas
show about voluntary work. Bring out the point that board members are always volunteers and that this is a
positive quality because it:
• shows commitment;
• promotes shared values;
• facilitates positive change; and
• allows a person to give to the community he or she cares for.
Ask participants how they could encourage motivation levels to remain high within their own association.
What changes in operation would they have to make?
Before concluding the session, add any relevant points coming out of the discussions to the two sheets of
paper labeled‘Board action plan’and‘Training plan’.
Concluding the session
• In an association the board and the staff are separate entities.
• The board is the governing structure.
• The board makes decisions collectively.
• The board’s members are volunteers.
• The board makes decisions and delegates responsibility to staff who then execute the decisions.
• The staff are accountable to the board.
29. 29
Handout 2.2.1: Structure questionnaire
No. Question Yes No Don’t know
1 Our organisation has a formally established governing structure.
2 Our board makes decisions collectively.
3 Our board has a designated leader or chair.
4 Our chief executive has a written job description outlining performance expectations
and goals.
30. 30
Session 2.3: Staff
Sometimes associations recruit staff to take care of the daily management and implementation of activities. Such
staff are remunerated. The highest ranking staff member is known as the manager. The manager is responsible
for running the daily operations and is the person responsible to the board for the organisation’s successes.
Staff and the board have distinct roles and duties. It is important that there is no confusion here and that good
governance principles are upheld. Furthermore it is also important to understand the relationship between
staff and the board.
Key issues
• Comprehending the need to separate the functions of governance and management
• Understanding that the board delegates responsibility to the manager
• Defining the relationship between the manager and the board
• Listing the main tasks of a manager
Teaching aids and materials required
Flip chart, board, markers and copies of questionnaire.
Exercise: Staff questionnaire
Ask each of the participants to fill up the questionnaire below (Handout 2.3.1) and return the forms to you.
No. Question Yes No Don’t know
5 Our staff have written job descriptions outlining performance expectations and goals.
6 The board evaluates the manager annually.
7 Staff are not voting members of the board.
8 The manager is not the board chair.
Analyse the result and record it on the‘staff’axis of the evaluation wheel.
Exercise: Why do I need a board?
Tell the participants that you frequently hear managers asking themselves‘Why do I need a board?’Ask the
participants why they think managers would say this. Ask them if they think their own manager would say it.
Why or why not? Discuss reasons.
Input
Unlike staff, many board members have no previous experience. Not many board members receive training
to guide them in the exercise of their roles and functions as board members. It is therefore not uncommon
in young associations, and even occasionally in more mature associations, for boards to be in need of
strengthening. Where attention is not given to strengthening board members managers may end up saying
‘Why do I need a board?’An association with a board that does not function is an association that does not
operate according to good governance principles.
Separation of governance and management
In order to ensure good governance, notably to prevent conflicts of interest, it is important that the roles
of governance and management be separated. The board is responsible for governance while staff, and in
particular the manager, are responsible for the daily management of the association.
Suppose that in a particular association the manager habitually chairs the board meetings. On one occasion
the manager has an item on the agenda regarding his or her own contract and level of remuneration. In this
instance there is a conflict of interest. It is the board which should make decisions about contracts and levels
of remuneration. This should be done in the absence of the concerned person. In summary:
31. 31
• If the board and staff are not considered separate entities, there can be a conflict of interest.
• Staff cannot vote on the board.
• Staff cannot chair board meetings.
• However, staff CAN be non-voting board members.
The relationship between the board and the staff
The board delegates responsibilities to the manager. Usually this is done through the chair after adequate
deliberation with all board members. The manager is responsible for the execution of board decisions but he
or she does not make decisions about tasks and activities unilaterally. In summary:
• The board delegates to the staff (usually the manager).
• The manager executes the decisions of the board; he or she is accountable to the board.
The most important relationship in an association is that between the chair (as main representative of the
board) and the manager. Together they form a bridge between the board and the staff (between governance
and management; between decision-making and execution). The relationship between the chair and the
manager ensures two-way communication regarding decisions made, progress, performance, budget etc. The
chair communicates information from the board and gives clear guidance to the manager. The manager gives
information to the chair and asks for guidance. These roles are summarised below:
Roles of the manager Roles of the board
Gives information to the board Gives clear information, instruction, guidance and feedback to the manager
Asks for guidance from the board Monitors and evaluates the manager (on the basis of a job description); evaluation
results are the basis for remuneration, contract extension and dismissal
Mentors the manager
Probes, inquires, criticises and praises the manager so he or she is clear about
expectations and is motivated to do his or her work
Job description of a manager
Below is an example of the main points in a job description of a manager:
• hire and fire staff
• manage and evaluate programmes
• identify and manage resources
• prepare the annual budget
• propose policies and strategies
• communicate with stakeholders
• promote the association
• support the board
Exercise: Our manager needs the board
In small groups and on the basis of the content of this session ask the participants to consider their own
association and to identify changes that would avoid a situation in which their manager would say‘Why do I
need a board?’How could weak areas be improved?
If useful, points from the list below can be used to stimulate the discussion (put the list up on a flipchart).
Complaints of a manager toward the board
• Board members don’t support me.
• Board members don’t attend meetings regularly.
• Some of them have been on the board for too long.
• Family or friendship links compromise objectivity of board members (conflict of interest).
• Board members do not read the reports.
• They don’t respond to me.
• They don’t help me mobilise financial resources.
• They are not really interested in the work of the association.
• They want to be in control of the finances of the association.
32. 32
Before concluding the session, add any relevant points coming out of the discussions during this session to
the two sheets of paper marked‘Board action plan’and‘Training plan’.
Concluding the session
• In an association the functions of governance and management need to be separated.
• Governance is the role of the board, management that of the staff.
• Conflict of interest needs to be avoided at all costs.
• The board delegates responsibilities to the manager.
• The manager executes decisions made by the board.
• The chair and manager form a bridge between the board and staff.
• The board gives clear instruction and guidance to the manager.
• The manager provides information to the board.
33. 33
Handout 2.3.1: Staff questionnaire
No. Question Yes No Don’t know
5 Our staff have written job descriptions outlining performance expectations and goals.
6 The board evaluates the manager annually.
7 Staff are not voting members of the board.
8 The manager is not the board chair.
34. 34
Session 2.4: Values and policies
When people work together, as they do in an association, they develop a set of common values, ethical
standards, norms and principles defining the way they operate together and orienting what it is they want
to achieve. In the beginning, these values are implicit — they are‘understood’. However as an association
grows and develops it becomes important to make these values‘explicit’by drafting policies and deciding
on positions. For civil society organisations, values, policies and positions are a way to incorporate good
governance principles and establish a reputation of integrity and quality service.
Key issues
• Comprehending the importance of values and ethical standards
• Enshrining values in policies to ensure integrity and quality service
• Integrating values with the roles and activities of the board
Teaching aids and materials required
Flip chart, board, markers and copies of questionnaire.
Exercise: Values and policies questionnaire
Ask each of the participants to fill up the questionnaire below (Handout 2.4.1) and return it to you.
No. Question Yes No Don’t know
9 Our board sets a high professional and ethical standard.
10 Our board has prepared rules of operation according to which it functions.
11 Our board has established and enforces a conflict of interest policy.
12 Our organisation has a mission statement which is known throughout the
organisation.
13 Our board focuses on strategic leadership and the‘big picture’.
14 Our board makes sure that regular evaluations of programmes and operations are
performed and acted upon.
Analyse the result and record it on the evaluation wheel’s‘policies, strategies and values’axis.
Input
Values, norms, codes of conduct and policies are discussed in the sections below.
Values
The motor of a civil society organisation is its volunteers and the social capital generated by them. While
working together, civil society workers develop values to guide their work. In young associations these
values are often implicit or understood. Sometimes members may even find it difficult to put a name to their
common values. In order to reinforce values it is wise to make them explicit.
Exercise: The values of our association
Ask the participants to call out the values of their association. Note them on a large sheet of paper and in
order to reinforce the values keep the list up on the wall during the whole of this module. Add to the list if
new values are identified.
35. 35
Experience
The following values were identified by one group:
• Punctuality
• Good communication
• Collective decision-making
• Loyalty
• Honesty
• Seriousness
• Effectiveness
• Availability
• Pursuit of credibility
As an association grows and develops, its values are translated into norms and principles and they become
the basis for the way it functions. Values, norms and principles, incorporated into policies, find a place in such
documents as the constitution or rules of operation. It is very important that civil society organisations actively
uphold what they stand for. This will help them maintain a good reputation.
Board members are elected representatives of the members of an association. The members put their trust
in their representatives to defend their interests. Board members should therefore be‘models’who exhibit
values through exemplary behaviour: adhering to the association’s values, showing commitment and being
willing to invest time without personal gain. Furthermore, it is the role of the board to set and reinforce values,
to decide on norms and principles and to draft policies. All of these help orient and guide the activities of
the association. For example an association, even if it is really in need of funds, may decide not to accept
funds from a certain source because the source upholds values that are not in accordance with those of the
organisation.
Code of conduct
In many countries, as well as internationally, civil society organisations have come together to enshrine values
in a joint‘Code of conduct’, of which there are many examples to be found.10
Such a code of conduct aims to
enhance the performance and reputation of the organisations subscribing to it.
Establishing policies
Policies are a way to formalise values. The constitution defines values, policies and governance systems.
Especially if there is no constitution it is important that the board draft policies. An example of a policy is
one on reimbursement of expenses. While all board members work voluntarily, i.e. without remuneration,
this does not mean that they cannot get reimbursement of expenditures they make in the exercise of their
function. It is useful for an association to establish a policy on reimbursement of expenses so as to avoid any
misunderstandings and uphold the reputation of the persons concerned and that of the association.
Another area that requires a policy is that of conflict of interest. A conflict of interest policy defines rules such
as the following:
• The manager can never be a regular voting board member.
• The manager should preferably have have no family connections with a board member. Where there is a
family linkage between a manager and board member, both persons should be excluded from discussions
concerning the other.
10 The International Federation of Red Cross and Red Crescent Societies Code of Conduct: http://www.ifrc.org/publicat/conduct/code.
asp
Code of Conduct for NGOs engaged in Humanitarian Action, Reconstruction, and Development in Afghanistan: http://www.reliefweb.int/
rw/rwb.nsf/db900sid/EVIU-6D5EBR?OpenDocument
The Palestinian NGOs Code of Conduct, 2008. Code of conduct coalition: http://www.pngo.net/data/files/codeofconducteng/code_of_
conduct_eng.pdf
36.
37. 37
Experience
The picture shows the head quarters of an association called ‘Farmers for a bright future’. The building appears
to be in good condition, and they have a vehicle. In one room we can see that a board meeting is taking place
but there are only men and they are drinking. It does not look like an effective meeting. In the next room we see
a man at the association’s safe. It looks like he is helping himself to the contents. The shop is in chaos, with only a
few items for sale. The association’s vehicle is being driven off loaded with someone’s family, a picnic lunch and
a boat. Women farmers are sitting outside with their documents; they may be waiting for assistance. It looks like
this association does not have the following:
• Values: honesty, integrity, discipline, being service-oriented, being available for members, commitment,
exhibiting model behaviour, upholding the reputation of the association.
• Policies: a policy for vehicle use, a policy for handling cash, a gender policy for ensuring female board
members, a code of conduct.
What about the participant’s own association? Are there weak areas when it comes to values, principles and
policies? How can their association be improved? Are there points to be added to the‘Board action plan’and
‘Training plan’?
Concluding the session
• Values are created by a group of people working together, for example in an association.
• In the beginning values are implicit; they need to be made explicit by formulating principles and policies.
• Thus values define how an association operates; they orient the activities of an association and are the
basis for policies.
• The board is responsible for drafting and enforcing policies and upholding the reputation of an association.
38. 38
Handout 2.4.1: Values and policies questionnaire
No. Question Yes No Don’t know
9 Our board sets a high professional and ethical standard.
10 Our board has prepared rules of operation according to which it functions.
11 Our board has established and enforces a conflict of interest policy.
12 Our organisation has a mission statement which is known throughout the
organisation.
13 Our board focuses on strategic leadership and the‘big picture’.
14 Our board makes sure that regular evaluations of programmes and operations are
performed and acted upon.
39.
40. 40
Session 2.5: Financial management
Strong financial management is key to an effective organisation and a way to incorporate good governance
principles. Sometimes civil society workers find financial management a difficult area to deal with and it is not
given due priority. Sometimes financial responsibility lies with just one person, which can be risky. Capacity
building in this area can provide a way to improve the situation.
Key issues
• Comprehending the importance of financial management
• Comprehending what financial management is
• Understanding who plays which role in financial management
Teaching aids and materials required
Flip chart, board, markers, copies of questionnaire and handouts.
Exercise: Financial management questionnaire
Ask each of the participants to fill up the questionnaire below (Handout 2.5.1) and return it to you.
No. Question Yes No Don’t know
15 Our board takes part in financial resource development.
16 Our board understands the organisation’s finances and monitors its financial
condition regularly.
17 Our board ensures that the organisation’s accounts are regularly audited.
18 Our board ensures that internal financial controls are in place and working.
19 Our board ensures that an annual report is produced and distributed.
Analyse the result and record it on the evaluation wheel’s‘financial management’axis.
Input11
Civil society organisations are commonly in need of capacity building in financial management.
Why financial management is important
Accountability, transparency and credibility are principles of good governance that are directly linked to
financial management. These qualities are considered high priority by donors when funding programmes.
They are a key way of achieving a more effective organisation. A strong financial management capacity allows
an organisation to better control its own affairs. Without it, the future is often uncertain: it may be impossible
to predict when money will be short and crucially, it may become impossible to find funding for activities.
What is financial management?
Financial management is making sure that an organisation manages its resources soundly. To have strong
financial management, the following tasks need to be performed well:
• planning and budgeting: fitting a budget to the annual objectives and monitoring progress during the
year;
• keeping accurate and up-to-date accounts;
• financial reporting: annual accounting statements and reports; and
• ensuring that financial controls are in place and functioning in order to minimise error and theft.
These four tasks are evaluated annually through an external audit. The audit should be performed by an
independent and reputed financial expert.
11 Cammack, J. 2007. Building Capacity through Financial Management, a practical guide. Oxfam.
41. 41
A number of organisational conditions help assure strong financial management. These conditions are:
• Board members with appropriate skills. Financial issues should be on the agenda of each meeting and
board members need to be competent to understand and ask appropriate questions about financial
information presented to them.
• Finance staff with appropriate financial skills.
• Financial information that is accurate and up-to-date and is provided in a format that suits the need of the
audience, e.g. board members do not need all details to be able to make the right decisions.
• The right organisational culture — priority should be given to financial issues.
• Open and transparent communication about financial matters with stakeholders, including members,
donors and the government.
The above information is summarised in the following diagram (see also Handout 2.5.2).
Who is responsible for financial management?
The board is responsible for overseeing the finances of an association. This includes raising funds, budgeting
in line with the objectives for the year, carrying out ongoing monitoring of the financial situation, ensuring
financial controls are established and in operation, arranging for an audit and producing an annual financial
report (with information on the source and amount of income, expenditures made on activities and
administration, and an audit statement).
The manager, or specialised finance staff, has the tasks of:
• keeping the accounts;
• producing accounting statements and reports for the board, donors and members; and
• putting in place financial controls.
In order for civil society workers to understand and perform their financial tasks effectively they need to be
equipped with the necessary skills. It is not uncommon for board members and managers to undergo training
in specific financial management areas.
ORGANISATIONAL CULTURE
EXTERNA
LRELATIONSHIPS
EXTERNAL AUDIT
FINANCIALINFORMATION
FINANCE STAFF
MANAGEM
E
NTCOMMITTEE
The leadership team
promote and prioritise
the financial side of the
organisation
Financially aware
programme and
non-finance staff
Strong
relationships
eg. with donors,
beneficiaries
Awareness of what
could go wrong
Suitably
experienced
finance person
Members are able to
understand basic
financial information
Trained and
competent
finance staff
Finance staff able to
communicate with
non-finance staff
Pla
nningandbudgeting Financial reporting
Up-to-date
financial
management
information
User-friendly
financial systems
A
ccounts record-keeping Financial controls
Strong financial
management
capacity
Specific tasks
Organisational
aspects
42. 42
Exercise: Assessing our association’s financial management capacity
Ask the participants to use Handout 2.5.3 and the information given during this session to try to assess their
organisation’s financial management capacity and the need for training. What are the weak areas? Are there
points to be added to the‘Board action plan’and‘Training plan’?
Concluding the session
• Many civil society organisations need capacity building in financial management.
• Strong financial management goes hand in hand with good governance.
• Strong financial management helps an organisation increase effectiveness and gain a good reputation
among internal and external stakeholders alike.
• Financial management not only comprises financial skills but also includes organisational conditions.
43. 43
Handout 2.5.1: Financial management questionnaire
No. Question Yes No Don’t know
15 Our board takes part in financial resource development.
16 Our board understands the organisation’s finances and monitors its financial condition
regularly.
17 Our board ensures that the organisation’s accounts are regularly audited.
18 Our board ensures that internal financial controls are in place and working.
19 Our board ensures that an annual report is produced and distributed.
44. 44
Handout 2.5.2: Ingredients of strong financial management capacity12
12 Cammack, J. 2007. Building Capacity through Financial Management, a practical guide. Oxfam.
ORGANISATIONAL CULTURE
EXTERNA
LRELATIONSHIPS
EXTERNAL AUDIT
FINANCIALINFORMATION
FINANCE STAFF
MANAGEM
E
NTCOMMITTEE
The leadership team
promote and prioritise
the financial side of the
organisation
Financially aware
programme and
non-finance staff
Strong
relationships
eg. with donors,
beneficiaries
Awareness of what
could go wrong
Suitably
experienced
finance person
Members are able to
understand basic
financial information
Trained and
competent
finance staff
Finance staff able to
communicate with
non-finance staff
Pla
nningandbudgeting Financial reporting
Up-to-date
financial
management
information
User-friendly
financial systems
A
ccounts record-keeping Financial controls
Strong financial
management
capacity
Specific tasks
Organisational
aspects
45. 45
Handout 2.5.3: Assessing financial management capacity13
Assess your association’s financial management capacity by discussing and answering with a‘yes’or a‘no’the
sets of questions in each of the 10 areas below.
Planning and budgeting
• Are organisational objectives the starting point for the planning and budgeting process?
• Do the manager and board regularly compare budgeted income and expenditures with actual income
and expenditures and take action where necessary, especially when donor funding is affected?
• Is there always enough money to pay for salaries, goods and services?
Accounts record keeping
• Is the record of money coming in and going out (sometimes called the‘cash/bank book’) up to date and
accurate?
• Is there a separate register to record loans or other money given to staff?
• Are there documents (for example invoices and receipts) for every transaction?
Financial reporting
• Is it possible to identify funds that have been given for a particular purpose?
• Are financial reports submitted on time to donors?
• Are annual accounting statements produced?
Financial controls
• Are at least two people involved in transactions, for example authorising payments and signing the
cheques?
• Are the association’s bank figures matched with the bank statements at least monthly (bank
reconciliation)?
• Does someone, other than the person responsible for the cash, count it regularly?
External audit
• Is there an audit/independent examination of the finances each year?
• Does the auditor make written recommendations?
• Are the auditor’s recommendations prioritised and implemented?
The board
• Is there a member who is responsible for financial issues?
• Can other members understand the financial information and ask appropriate questions about it?
• Does the management committee approve the annual budget?
Staff with financial responsibilities
• Are all finance staff competent in their work?
• Are there enough finance staff?
• Can finance people (at least one person) communicate technical issues in a straightforward way to non-
finance people?
Financial information
• Do the board and the manager receive up-to-date information?
• Does the information provided contain the appropriate level of detail?
• Is the information easy to understand?
13 Cammack, J. 2007. Building Capacity through Financial Management, a practical guide. Oxfam.
46. 46
Organisational culture
• Do the board and manager give positive messages about finance?
• Does the manager set an example in his or her personal accounting?
• Do the other staff have a working knowledge of finance?
Communication with stakeholders
• Is your relationship with stakeholders (members, donors) open and transparent?
• Are your members given financial information in appropriate detail and format?
• Does the planning process consider what could go wrong (e.g. what to do if a donor withdraws funding)?
Having looked at your association critically by answering the questions in this assessment, you are now ready
for the next step. When you answered‘no’it may be a sign that your association needs capacity building in that
particular financial management area. Try to prioritise the areas and prepare a capacity building plan.
47. 47
Session 2.6: Board meetings
Regularity of board meetings is an indicator of the dynamism of an association. Board meetings are a way
to apply good governance principles. This session deals with the reasons why it is important to hold good
board meetings. Module 12 of this manual deals with the practical steps in preparing, holding and evaluating
meetings.
Key issues
• Recognising the importance of holding regular board meetings
• Recognising that board meetings are events where good governance principles are discussed, developed
and applied
• Understanding the conditions for holding effective meetings
Teaching aids and materials required
Flip chart, board, markers and copies of questionnaire.
Exercise: Board meetings questionnaire
Ask each of the participants to fill up the questionnaire below (Handout 2.6.1) and return it to you.
No. Question Yes No Don’t know
20 Our board meets regularly, with dates set in advance.
21 All board members arrive at meetings punctually and prepared to take part in
proceedings.
22 Board meetings focus on policy, oversight, and strategic direction.
23 Board meetings involve active discussion and decision-making rather than rubber-
stamping and listening to staff reports.
24 Our chair knows how to lead discussions, maintain discipline, and include all board
members in accomplishing the necessary work.
25 Board meetings keep to the preset agenda.
26 Our board keeps minutes of all of its meetings.
Analyse the result and record it on the evaluation wheel’s‘board meetings’axis.
Input
Well-functioning associations hold regular board meetings to discuss activities, progress, financial affairs and
other important matters. It is during meetings that board members have the opportunity to share knowledge,
experience and insights and it is here that collective decision-making can occur. Meetings are also the
occasion to develop strategic vision, apply transparency principles and set policies for accountability and
fairness. Board meetings are key to applying good governance principles. They are also an important place for
building social capital, including values and trust. More practical reasons for holding meetings are:
• to give information;
• to get information;
• to develop options; and
• to make decisions.
It is important that boards have the discipline to hold regular meetings.
Experience
One association having trouble getting board members together and therefore unable to function effectively
decided to fix a meeting schedule by meeting every first Sunday of the month just after Sunday mass. This helped
as all board members could plan ahead and make themselves available.
48. 48
Holding effective meetings
Because board members are volunteers it is important not to waste time. Meetings should be effective.
Following are some tips for holding effective meetings:
• Purpose — make sure there is a reason for the meeting, i.e. there are decisions to be made or issues to be
discussed regarding policy, oversight, and strategic direction.
• Prepare the meeting — this is the task of the chair. Send the board members information prior to the
meeting and expect them to come prepared.
• Set an agenda — this indicates the objectives of the meeting.
• Time management — emphasise punctuality, start and end on time and use the agenda to move ahead.
Do not wait for late arrivals.
• Define meeting norms — define how the group works together (e.g. not interrupting, not taking the floor
for longer than a certain period) and ensure discipline in keeping to the agenda.
• Discuss and decide — encourage participation and be sure to make decisions.
• Action – follow up on tasks assigned during the meeting.
Meetings and policies
In addition to meeting norms certain policies may affect the conduct of meetings, for example:
• rules relating to decision-making and quorum;
• rules relating to renewal of the board; and
• rules relating to non-attendance.
Exercise: How good are our board meetings?
Ask the participants to discuss the regularity and way of holding meetings in their own association. Is there
room for improvement?
Experience
One association was struggling to get its board members together at meetings and get them to participate
actively as leaders of their community. Time and again meetings had to be deferred because the quorum was
not attained and decisions could not be made. It was decided during a general assembly that if a board member
missed more than 3 meetings in a row, he or she would be automatically expulsed. This measure helped sweep
out the board and renew it with active, motivated members able and willing to invest time. Board meetings
became regular as a result.
Are there points to be added to the‘Board action plan’and‘Training plan’?
Concluding the session
• Regular board meetings with good attendance are an indication of the dynamism of an association and
the motivation of its leaders.
• Board meetings are events where good governance principles are discussed, developed and applied.
• There are ways to ensure that meetings are effective.
49. 49
Handout 2.6.1: Board meetings questionnaire
No. Question Yes No Don’t know
20 Our board meets regularly, with dates set in advance.
21 All board members arrive at meetings punctually and prepared to take part in
proceedings.
22 Board meetings focus on policy, oversight, and strategic direction.
23 Board meetings involve active discussion and decision-making rather than rubber-
stamping and listening to staff reports.
24 Our chair knows how to lead discussions, maintain discipline, and include all board
members in accomplishing the necessary work.
25 Board meetings keep to the preset agenda.
26 Our board keeps minutes of all of its meetings.
50. 50
Session 2.7: Teamwork
In order to be effective a board needs to work as a team rather than leaving most of the work to the chair or
the manager. It helps to orient board members and to develop position descriptions so they know what is
expected from them. A well-functioning board shares the responsibilities and the workload.
Key issues
• Comprehending that a team is not just a group of people
• Comprehending that teamwork means working through interaction
• Tasks, duties and roles of board members
Teaching aids and materials required
Flip chart, board, markers, copies of questionnaire and handouts.
Exercise: Teamwork questionnaire
Ask each of the participants to fill up the questionnaire below (Handout 2.7.1) and return it to you.
No. Question Yes No Don’t know
26 Our board works well as a team.
27 All board members have written guidelines outlining expectations of their board
service.
28 Our board sets annual goals for itself.
29 Our board assesses its own performance regularly.
30 Individual board members serve set terms within a system of regular rotation.
31 Our board recruits new members strategically.
32 New board members are thoroughly oriented into the organisation and board service.
33 Our board members serve enthusiastically as ambassadors for the organisation.
Analyse the result and record it on the evaluation wheel’s‘teamwork’axis.
Input14
This section deals with the various aspects of teams and teamwork.
What is a team?
A team is a group of people who are united to achieve a common goal that cannot be achieved by an
individual. What makes a group a team is the common task. Without a task a group is not a team.
What is teamwork?
Teamwork is action. It is something people do and it requires a common focus, mission or goal.
Exercise: Identifying actions that constitute teamwork
Ask the participants to come up with actions that can be labeled as teamwork. Here are some ideas:
• working together to accomplish a task
• assisting others
• trusting each other
• sharing ideas
• sharing expertise
• listening to others’ideas in a non-judgmental fashion
• offering constructive feedback with the goal of improving outcomes
• listening to feedback and acting upon it when it can improve things
14 Boller, S. 2005. Teamwork training. ASTD Trainer’s Workshop Series. http://books.google.com/books?id=80mj8ENdimkC&pg=PA47
&lpg=PA47&dq=teamwork+training+boller&source=bl&ots=lGpm65d4uR&sig=cbTsb99pPJEWJoRs2L7cb5bjX1E&hl=en&ei=H2kL
Sr3_MIrGtAPt3N2IAw&sa=X&oi=book_result&ct=result&resnum=1
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Teamwork means working together in an interdependent way. In most cases teams have defined different
roles for each member. For example, on a football team the players have different roles. If all players play
quarterback, the team will perform very poorly. If team members play on their own, without consideration of
the other team members, the team will perform equally poorly. In order to perform well, the members of a
football team have different roles to play.
The board is a team
An effective board is one that is a team: the members have a common goal (the mission of their association)
and they demonstrate teamwork. When a board works as a team it generates social capital. If a board does not
work as a team, there may be three reasons:
• there is no common goal;
• the members do not want to work together as a team; or
• the members are not competent in teamwork — they need to learn to work as a team.
Exercise: Is our board a team?
Ask the participants to discuss their own board. Is it a team? Does it demonstrate teamwork?
Experience
One group compared their association to a traditional Melanesian hut. They said the central pillar represents the
board’s chair; the pillars around the circumference of the hut represent the other board members. The roof totem
represents the vision, mission, objectives and results of the association. The totems at the entrance represent the
manager and other staff, and the structure of the roof represents the members. The group considered everyone’s
role to be dependent on everyone else’s role. If one structure failed to support another the hut would collapse.
They also considered their hut to still be open to the elements. Training and experience would ensure adequate
‘roofing material’ to make the hut a safe and happy place to be.
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Teamwork is powerful
When a group starts to be a team and demonstrate teamwork many positive changes can result. Improved
teamwork can lead to any of the following outcomes:
• better communication;
• better outcomes;
• more creativity and innovations;
• fewer complaints; and
• happier board members and happier members.
Renewing the board
Upon renewal of the board it is important to orient new members, making it clear to them what teamwork
is and what their tasks and roles are. Strategic recruitment aims at acquiring specific skills, acquiring prestige
(people with a certain status) or enhancing diversity and representativity. Associations often have a policy
governing the recruitment process, the length of terms and the number of terms a board member can serve.
Exercise: Tasks, duties and roles of board members
Divide the participants into groups and ask them to come up with a goal for their board that reflects being a
team. Then ask each group to develop a list of tasks, duties and/or a position description for board members.
Are the tasks and duties of different board members interdependent? Once the groups have developed lists
ask them to compare their lists with Handout 2.7.2. Do they want to adopt the lists and formalise them?
Exercise: Questions a board member should be able to answer
Pass around copies of Handout 2.7.3. Ask participants to get into groups of two and test themselves by finding
responses to the questions in the handout. How did the participants assess themselves? Did they find the
questions easy or difficult? Which were the most difficult questions? This may indicate areas needing more
attention.
Before concluding the session, are there any points to be added to the‘Board action plan’and‘Training plan’?
Concluding the session
• A team requires a common goal.
• A board is a team working toward the goal of a well-run and effective association.
• In a team, members have interdependent roles.
• Teamwork means working together on a basis of trust, sharing, and giving and accepting feedback.
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Handout 2.7.1: Teamwork questionnaire
No. Question Yes No Don’t know
26 Our board works well as a team.
27 All board members have written guidelines outlining expectations of their board
service.
28 Our board sets annual goals for itself.
29 Our board assesses its own performance regularly.
30 Individual board members serve set terms within a system of regular rotation.
31 Our board recruits new members strategically.
32 New board members are thoroughly oriented into the organisation and board service.
33 Our board members serve enthusiastically as ambassadors for the organisation.
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Handout 2.7.2: Tasks, duties and position description of board members
Tasks of board members
• Safeguard the mission
• Set values and standards
• Make policy
• Provide oversight
• Provide strategic guidance
• Ensure resources (e.g. recruiting staff, monitoring finances)
• Promote the association in the community
Duties of individual board members
• Meet regularly
• Contribute to discussions
• Participate in collective decision-making
• Place association’s interest above personal interest
Example of a position description for board members
• Know and support the mission of the association
• Attend board meetings regularly
• Prepare for meetings in advance
• Maintain confidentiality
• Offer informed and impartial guidance
• Avoid conflict of interest
• Participate in sub-committees and special events
• Support the staff
• Take part in fund raising
• Promote the organisation in the community
• Other specific responsibilities according to expertise/experience
Specific tasks of the chair
• Coordinate the work of the board
• Liaise with the staff
• Convene and lead meetings:
• Schedule meetings
• Set the agenda
• Lead discussions
• Has no special decision-making powers
• Lead the hiring and assessment of staff
• Ensure that the board functions properly
• Represent the association in public
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Handout 2.7.3: Questions a board member should be able to answer15
1. What is a board?
2. Why should I be a board member?
3. Is the manager a board member?
4. Are the staff board members?
5. How can I stay motivated to give my best?
6. What is the relationship between the board’s chair and the manager?
7. Does a good manager need to have a board?
8. What are the responsibilities of the manager toward the board?
9. What are the responsibilities of the board toward the manager?
10. Does the manager only communicate with the board during meetings?
11. What are the responsibilities of the board?
12. Where can I find the rules of operation of the board?
13. How does the board evaluate the manager?
14. How can board members avoid conflict of interest?
15. What can I expect during a board meeting?
16. How does the board recruit new members?
15 Dyblaylo, V., Ivkovic D., Malych, B., Panov, L., Stalis, E., Wyatt M. and Zajazi, K. Questions every board member should ask.
http://ngoboards.org/sites/ngoboards.org/files/questionsrev3.pdf
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Session 2.8: Completing the evaluation wheel
In the different sessions of this module participants have been assessing the commitment of their association
to good governance principles. They have done this by responding to short questionnaires covering the areas
of structure, staff, values and policies, financial management, board meetings and teamwork. This session
will first summarise the content of the sessions on good governance and then create a visual image of the
results of the questionnaires to show the participants in what measure their association is committed to good
governance principles.
Key issues
• Understanding how to apply good governance principles to one’s association
• Evaluating the current performance of the association
Teaching aids and materials required
Flip chart, board, markers and evaluation wheel used in previous sessions.
Exercise: Summarising the sessions on good governance
Draw two circles, one inside the other. The two circles together represent the association. The outer circle
represents the function of governance, the inner one the function of management. There are inputs feeding
into the associations, and outputs which are the results of the work of the association. Ask the participants to
help you identify the various activities or tasks making up each of these elements.
Experience
One group prepared the following summary of their association.
Key points of the diagram:
• Associations have inputs (donor budget, membership fees, unprocessed raw materials, training, knowledge,
skills and experiences of volunteers and staff) and outputs (audit report, events and finished products).
• Governance and management are separate functions.
• The board governs, the staff manages.
• The board’s role is to put in place a system of measures to ensure that good governance principles are
upheld (e.g. collective interest, collective decision-making, participation, representation, transparency,
accountability).
• The manager is in charge of day-to-day management (staff, budget, communication, etc).
• Values and reputation are of utmost importance for a well-functioning association.
• Members and the community judge the association by the way it governs and manages.
• The local and national government judge the association by whether it has a clean audit.
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Exercise: Completing the evaluation wheel
The evaluation wheel should now have crosses (X’s) on each of the six axes, reflecting the number of‘yes’
answers in relation to the total number of answers. Now connect the X’s on adjacent axes to form what looks
like a spider web. Colour the area within the boundaries of the spider web. The coloured area represents the
groups’assessment of the commitment of their association to good governance principles. The area that is
not coloured represents the work that still needs to be done for the association to function fully according to
good governance principles.
Discuss the results with the group. Do participants feel the image is an accurate reflection of the actual
situation? Can they look at the image and identify those areas that are stronger and weaker (the further from
the center an X is placed along an axis, the stronger the commitment of the association to good governance
principles in that particular area).
Now ask the group to compare the evaluation wheel with the points on the‘Board action plan’and‘Training
plan’. Do the results reinforce each other i.e. have training sessions and other actions been identified to
strengthen weak areas indicated in the evaluation wheel?
Experience
The photo on the right shows the result of
an assessment conducted by one particular
group. The assessment clearly shows that the
association is stronger in the area of structure
than it is in the area of board meetings. On
the whole, the association needs to work on
integrating good governance principles.
The questionnaires can be administered at regular intervals, for example once a year, and new evaluation
wheels prepared. Over time this can show trends in the development of the association. If good governance
principles are gradually adopted the coloured area should gradually increase in size.
Concluding the session
• An evaluation wheel is based on the views of members of an association, gathered through a
questionnaire and subsequently analysed and recorded.
• An evaluation wheel is a visual representation of the current state of functioning of an association,
including strong and weak areas.
• If the exercise is repeated at intervals the results show trends over time. A trend shows whether or not the
functioning of an association is improving in line with good governance principles.
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Module 3: Identifying priorities through a problem tree analysis
The problem tree analysis is a participatory exercise often used to determine the focus of the work of
associations. It can also be used to ascertain whether an ongoing programme of activities is in line with the
priorities and expectations of the association’s members.
Key issues
• Identifying member priorities through a participatory exercise
• Translating member priorities into work objectives and strategies
Training objective
To work with participants to establish the focus of the work of their association based on perceived problems
and needs.
Learning objectives
At the end of this module the participants will be able to:
• explain the relationship between problems, causes and root causes in their own environment; and
• explain how they arrived at their list of work objectives and strategies.
Teaching aids and materials required
Flip chart, board, cards, thumb pins, masking tape, markers and copies of handout.
Input16
The objective of this module is to work with members to identify the priority areas that members wish their
association to address. It is a participatory exercise and requires inputs from all member subgroups.
Problems, causes and root causes
In this session the focus is on mapping problems faced by members, along with their underlying causes.
Consider the problem‘farmers cannot access markets’. This problem may have several different underlying
causes: the distance to the market may be too large; the farmers may have products that the market does
not demand; or all the farmers may be producing the same products, resulting in the market being saturated.
These underlying causes may in their turn be caused by other causes. For example the problem‘the distance
to the market is too large’may have the following causes: farmers do not have vehicles to transport their
produce, the cost of transport is too high, farmers are unable to organise themselves for collective transport
or there simply is no road or ship to transport the produce. By asking the question‘why?’it is possible to
identify causes of problems at several underlying levels. It is always very important to identify the root causes
and find solutions to them in order to improve an unsatisfactory situation. It is like treating a sick person – the
most effective treatment is the one that takes away the cause rather than the one that relieves the symptoms.
Problems and causes and their interrelationships can be presented in a‘Problem tree’. An example of a
problem tree is given in Handout 3.1.
Exercise: Brainstorming problems
Ask the group to brainstorm issues and problems they face in a particular context relevant to their association.
The context may be agriculture if the association is a farmers’association, or fisheries if the association focuses
on fisheries. Hand out metacards and markers. Ask the participants to write their responses on cards, with one
idea per card. Collect the cards as they are produced and hang them on the wall or on a board.
Identifying core problems
Once the group is satisfied that their problems have been identified exhaustively, ask them to identify‘core
problems’— ones to which many of the other statements seem to be linked. Now remove all the other cards,
leaving the core problems on the board.
16 AusGuide - A Guide to Program Management, AusGuideline 3.3: The Logical Framework Approach, Annex A: Steps in conducting
problem tree analysis. http://www.ausaid.gov.au/ausguide/pdf/ausguideline3.3.pdf
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Identifying causes and effects
Start to identify cause and effect by taking each of the removed cards one by one and asking the group
whether the card is a cause or an effect of the core problem. If it is an effect then place the card above the
core problem. If it is a cause, place it below the core problem. Carry on the exercise until all cards have been
sorted either above or below the core problem to which they relate. Make sure that statements that are
unclear are rewritten with the consensus of the group. Statements that are very general and apply to any
development situation can be identified as‘overall constraints’and moved to the side of the problem tree.
Examples of overall constraints are: lack of government policy, great distance, climatic problems, etc.
The guiding question now becomes‘What leads to this (a particular card)?’Choose any card within the
‘cause’area and ask the participants‘What leads to this?’Choose from the other cards (or add cards if not yet
identified) and place the card below your chosen card. If there are two or more causes for a problem, place
the cards side by side. After placing the cards for each relationship ask the group to review and see if there are
more causes leading to the problem. If so, add more cards. Similarly, ask if there are more effects resulting from
the problem. Multiple effects are placed side by side.
Double-check the problem tree to ascertain that the logic is correct i.e. that one card is the cause of the card
next in the hierarchy. Finally, join the cards by putting in vertical lines to indicate cause–effect relationships
and horizontal lines to indicate joint causes and combined effects.
Turning the problem tree into an objective tree
While maintaining the structure of the problem tree, on the back side of each card write a statement that turns
the negative problem statement into a positive objective statement. For example:‘impoverished soil’becomes
‘soil enriched’. While the problem tree shows the cause–effect relationship, the objective tree shows the
means–end relationship. Double check to make sure that the links between cards are logical and reasonable:
does one objective statement reasonably and logically lead to the one above? It might be necessary to add
cards.
Experience
In one setting a group of farmers produced the following problem tree in response to the question ‘What
problems do we face as farmers?’
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Identifying strategies
Look at the objective tree and identify distinct areas that would need to be handled through different
strategies. Depending on the objective tree, examples of strategies could be a soil improvement strategy, a
marketing strategy etc.
Experience
In the previous example the group identified the following strategies:
• awareness raising, training and extension
• market development and new products
• post-harvest technologies
• youth and agriculture strategy
Identifying actors
Ask the participants to consider their objective tree and identify appropriate actors to help achieve the
objectives. The actors may be: the association itself, other local organisations, government departments, the
private sector, projects, regional service providers etc.
Next steps
The results of this exercise, i.e. the list of strategies and list of actors, can now be used to develop a new
strategic plan for an association, or assess the appropriateness of an existing one.
Concluding the session
• The problem tree analysis is a participatory exercise requiring representatives from all member subgroups.
• It is often used to identify priority needs of association members.
• The results of a problem tree analysis feed well into a strategic planning exercise (Module 4).
• The results can also be used to check that an association’s current objectives and activities are aligned with
the priority needs of its members.
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Module 4: Strategic planning
Associations are often asked whether they have a strategic plan. However, it is often not clear to them what a
strategic plan is, why it should be necessary to have one and especially how to prepare one.
Key issues
• Comprehending what a strategic plan is
• Comprehending why a strategic plan is important
• Understanding that a participatory planning process ensures ownership of and commitment to the
strategic plan
• Preparing a vision statement; a mission statement; sets of values, objectives, strategies, and activities; an
action plan and monitoring indicators
Training objective
To work with participants to prepare a strategic plan.
Learning objectives
At the end of this module the participants will be able to:
• explain the vision, mission, values, objectives and strategies of their association;
• list the association’s activities and the indicators for measuring progress of the work; and
• explain how all these are related to each other.
Teaching aids and materials required
Metacards,17
tape, markers, board, large sheets of flipchart paper and copies of handout.
Input
Consider the following quotation from Lewis Carroll’s The Adventures of Alice in Wonderland:
If you don’t know where you are going, any road will get you there.
In the context of an association, this means that if your association has no vision, goal or objectives to guide
it, any result will be OK. Without these things the association is not clear about what it wants to achieve and
even less about how to achieve it. Strategic planning is about imagining your association in 5, 10 or 15 years
and mapping out a path to get there.
Strategic planning is a systematic planning process involving well-defined steps. These steps include such
elements as defining a vision, a mission, and objectives; deciding on values; prioritising activities; and
preparing action plans and plans for monitoring and evaluating the work of the association. In this module we
shall be looking at needs, visions, missions, values, objectives, strategies, activities, action plans and indicators.
Role of members in deciding the content of a strategic plan
An association belongs to its members; it is therefore the members who decide on the contents of the
strategic plan. Sometimes members may leave the strategic planning process to their elected representatives,
the board members, with final approval for the strategic plan being given by the members for example during
a general assembly. It is important for members to participate in deciding what they want the association to
achieve and the way they want to achieve it. This ensures ownership and commitment, which in turn results
in greater willingness by members to invest time and effort. In order for an association to flourish everyone
needs to contribute: the ordinary members, the board and the staff. Everyone needs to work collectively as a
team (see Module 2, Session 7 on teamwork) to achieve the best possible result.
17 Metacards are cards cut from stiff paper and measuring about 20 x 10 cm. They are useful during brainstorming exercises, applying the
rule‘one idea, one card’.
