Prepared by Dr Anne Touwen
Convener IFUW Special Committee ...
Project development is an integral part of IFUW’s programme in carrying out its mission to
Project development always was and still is an important activity for many IFUW affiliates. These
projects ma...
Project Development & Management
Project Cycle

Baseline Data







Experience shows that when projects are being planned, the task of establishing...
Gender-sensitive Project Planning
Gender-sensitive planning requires that gender is integrated into all the planning ste...

Community Project Development Model
Baseline Study

Needs Assessment
Goals and Objectives

Feasibility Study (Resources...


The project cycle consists of five distinct phases:
1. Collecting Baseline data: a situation ...
Obtaining just enough balanced and well-founded information always requires careful
When the project idea...
Spending time on the first phase of planning is a good investment.
Listen and learn. Allow the local people to express t...
The use of interviews is a common way of collecting information. Like observation, interviews
can be more or less struct...
contain gender-disaggregated data. On the basis of these data a community profile can be

Data collection for...

Needs Assessment

Needs assessment deals with the question: Who needs what as defined by whom.
2.2.1 Needs Identifi...

Project Design

2.3.1 The Target Group(s)
The project plan must define clearly the target group(s) for the project...
Development goals, project objectives and intermediate objectives must relate to the problems
which have been identifie...

In the case of the "Bhagari Region", with its high rate of child mortality, a whole range of
problems need to...

Development Goal:
To improve the living conditions and the quality of life for children and their families in ...

Measurable or quantifiable

2.3.3 A Feasibility ...

Ideally, all assumptions should be identified which may influence whether or not the principal
objectives of the proje...
"Integrated projects" include a whole range of components (within a specific sector, or cross
sectoral) which actively ...
4) Developing a time frame for activities. The time frame should include a monitoring schedule.
5) Monitoring and Evalu...


Project implementation involves a number of activities. Among the major activities are secur...

Project management1


Planning is making decisions about which courses of action to follow. It includes th...
A team is an energetic group of people (two or more) who are committed to achieving common
goals, who...

It is not easy to give and receive constructive feedback. The principles presented here will help
you manage potential...

To know whether the outcomes match predetermined targets, and if not, why and to
decide what corrective action h...


Evaluation generally implies measurement, appraisal, or making judgements on the output and
impact of th...
Impact Evaluation
Impact evaluation is the last step in the project cycle and assesses the outcome of the project
structure of the project organization, and communications. Looking at the project's key
vulnerabilities, strengths and ...


This section covers some of the key aspects of fundraising. It will help identify th...
A request from someone who has given or from someone important (such as a business leader
or expert in the field) can o...
you are doing a worthwhile and successful job -which makes it much easier for them to support
Donors don't know ho...
appeal letter, make a speech at a meeting of the Rotary Club, telephone a business to ask for an
in-kind donation, orga...

Social skills
A good fundraiser needs confidence, patience and tact. Confidence, because a confident appeal
is harder ...



Generating Local Resources

A burning question of many NGOs is: How to generate l...
Ad a)
Membership fees increase the commitment of members to the organization and they can help
stimulate new funding fr...

An organization's volunteers, teachers, and other development workers can be selfsustaining and even have some...
mechanism in many countries for the delivery of a wide range of services, including social
welfare programmes, environm...
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Project development and planning
Upcoming SlideShare
Loading in …5

Project development and planning


Published on

Very very Important

Published in: Business, Technology
  • Be the first to comment

  • Be the first to like this

No Downloads
Total views
On SlideShare
From Embeds
Number of Embeds
Embeds 0
No embeds

No notes for slide

Project development and planning

  1. 1. HANDBOOK FOR PROJECTS: DEVELOPMENT MANAGEMENT AND FUNDRAISING Prepared by Dr Anne Touwen Convener IFUW Special Committee on Project Development 2001 Page PLANNING PROJECTS .................................................................................................................1 PROJECT PLANNING CYCLE......................................................................................................4 PROJECT IMPLEMENTATION ..................................................................................................18 EVALUATION ..............................................................................................................................23 FUNDRAISING IS FRIENDRAISING ........................................................................................26 VARIOUS SOURCES OF FUNDING .........................................................................................31 PROJECT PROPOSAL WRITING ..............................................................................................38 International Federation of University Women 8, rue de l’Ancien-Port, 1201 Geneva, Switzerland Tel: (41 22) 731 23 80; Fax: (41 22) 738 04 40 E-mail: ifuw@ifuw.org; internet: http://www.ifuw.org
  2. 2. FROM THE IFUW PRESIDENT . . . Project development is an integral part of IFUW’s programme in carrying out its mission to improve the status of women and girls, promote lifelong education and enable graduate women to use their expertise to effect change. Over the years IFUW has promoted and supported project development and training in numerous ways. It was, in 1919, a small group of IFUW members that established the Virginia Gildesleeve International Fund for Women designed to support projects world-wide focusing on women’s educational activities, leadership training and community development. This Fund enabled IFUW to hold special training workshops in conjunction with IFUW Triennial Conferences as well as providing grants for many development projects initiated by IFUW affiliates as well as resources materials such as this handbook. The Counterpart Aid Programme which started in 1978 and which has evolved into the present Bina Roy Partners in Development Programme, has assisted many IFUW affiliates in the development of sustainable community projects as well as enabling affiliates in developing countries and countries in transition to be part of IFUW. In 1980-81 IFUW began its partnership with four other major women’s organizations with the establishment of Project Five-0 dedicated to joint development of projects to provide training in income generation and general welfare of communities. In 1980 IFUW established a Special Committee on Projects to “work with national federations and associations on projects requiring funding from outside agencies” It is interesting to note that this first Committee developed criteria for a “good” project: • • • • • • A project should arise from a genuine, identified need A project should usually originate from the grass-roots, and/or be innovative in character A project should aim to improve the educational, social and economic position of women, girls and children A project should be within the capability of the affiliate, either alone or in cooperation with other organizations A project should be managed, implemented, evaluated, and reported on by the affiliate’s members, or, in part, by persons designated to do so by the affiliate and A project should increase the self-reliance of the recipients and beneficiaries. Since 1980 special workshops on project development have been held in conjunction with a number of IFUW Triennial Conferences and Councils as well as at the regional and national levels. The residential training provided by the “Base Camp” programmes held in conjunction with the IFUW Triennial Conferences in Graz,1997, and in Ottawa, 2001, illustrate IFUW’s continuing emphasis on the importance of training in project development In 1995 a handbook on organizational development was produced "Planning for Change"; it included a section on Project Development. IFUW is grateful to Dr. Anne Touwen for developing and producing this Handbook for Project Development and Management and Fundraising. It builds on previous experience and work while providing a comprehensive resource with concrete examples on project development and fundraising. It is our hope that this resource will assist IFUW members to develop projects that meet community and organizational needs and further the mission of IFUW world-wide. Linda Souter, IFUW President 1998-2001
  3. 3. Introduction Project development always was and still is an important activity for many IFUW affiliates. These projects may vary in content or scope but not in dedication and commitment shown by associations, branches and individual members. To strengthen this activity IFUW organized in 1998 (Graz) and 2001 (Ottawa) at its Triennial Conference a major training event under the name Base Camp. Participants from all affiliates were staying in the same residence and received training in project development and management, proposal writing and fundraising. The training also included a practical work assignment. As Base Camp coordinator and trainer I have been delegated by the IFUW Board of Officers to prepare a handbook in order to consolidate the training and offer a reference book for future project development and management in IFUW’s affiliates. IFUW is grateful to the publishers of the Worldwide Fundraiser’s Handbook (The Directory for Social Change, London) and The International Donor Directory (International Partnership for Human Development, London) for the permission to use materials on fundraising and proposal writing, as indicated in the text. IFUW would also like to express its sincere thanks to UNESCO* for their grant enabling it to publish this handbook. Together with the grant from the Virginia Gildersleeve Fund Inc., and CIDA* the UNESCO money enabled us to partly cover travel costs of Base Camp participants as well. The Handbook provides a comprehensive overview of the project planning procedure with many concrete examples. It also gives an overview of the most important skills for fundraising and describes in detail how proposals should be written. And last but not least, various sources of funding are discussed. I hope that you find it useful. Dr Anne Touwen * UNESCO: CIDA: United Nations Educational, Scientific and Cultural Organization Canadian International Development Agency NB As some of the materials in this Handbook are reproduced from other textbooks, by kind permission of the publishers as indicated in the text, this Handbook is for internal use only.
  4. 4. Project Development & Management Project Cycle Baseline Data and Assessing Needs Evaluation Planning Implementation and Monitoring
  5. 5. 1 1 PLANNING PROJECTS 1.1 Introduction Experience shows that when projects are being planned, the task of establishing a sound basis for goals and objectives, and defining them properly, is not given sufficient attention. Yet, these are the most fundamental elements of planning. A good plan alone is no guarantee for a good project. However, a plan which builds on a weak foundation can lead to a good project idea developing into a poor project. Project proposals and plans differ in style and in degree of detail on specific activities. The differences depend on the type of project, but many are also matters of choice. Some prefer a loose framework plan with details to be filled in along the way. Others prefer a more detailed master plan. When one considers applying for donor funding then certainly a well written, detailed project proposal has to be made. Regardless of what is chosen, the essential elements described below will make up the basis for the project document. Important aspects which should be considered in all development-related project proposals are gender, the impact on the environment and sustainability. They ensure greater viability and impact/effect of our efforts. Before describing the various steps in the planning process I first will discuss these issues in some more detail. 1.2 Integrating Gender in Community Related Project Planning The community development approach, designed to create conditions of economic and social progress, emphasises the significance of people's participation, needs orientation, self-reliance, consciousness-raising, bottom-up approach to development, and empowerment of communities, and thus of both women and men. Integration and sustainability are keywords in this approach which is based on the ideal situation that women and men organise themselves in a democratic manner to: (a) define their needs, problems and issues; (b) develop plans and strategies to meet these needs, and (c) implement such plans with maximum community participation to reap the benefits. "Participation" of women and men provides an effective means to mobilise resources, to tap knowledge and energy, and above all provides legitimacy to the project or activity, and promotes commitment and ownership, and thus sustainability. "Empowerment" is a concept that goes beyond participation. It is a process which promotes the sharing of power. Therefore, empowerment helps people to liberate themselves from mental and physical dependence. It is the ability to stand independently, think progressively, plan and implement changes, and accept the outcomes. Empowerment of women is a crucial aspect of any community development programme/project. Gendered community development, therefore, takes women's interests and needs as a starting point as much as those of men. And, consequently, integrates gender in all phases of the project cycle, from planning to implementation to evaluation.
  6. 6. 2 Gender-sensitive Project Planning Gender-sensitive planning requires that gender is integrated into all the planning steps, from the collection of data for a situational analysis and needs assessment to the evaluation of the project at the end. In gender-sensitive project planning we, therefore, have to: • Collect gender-sensitive data and do a gender-sensitive situational analysis, • Do a gender sensitive needs assessment, • Develop projects which take into account the different needs and interests of women and men, • Perform gender-sensitive monitoring and evaluation. To involve women in a local planning process a few basic rules apply: • Meet the women where they are, for instance, organise meetings at a time which is convenient to them (not when they are busy harvesting), • Start with issues concerning everyday life (their practical needs), • Underline the "all win" situation of the participation of women, • Recognise the importance of face-to-face contact, • Strengthen the women's confidence in themselves, ensure that their voices are heard and that their input is taken seriously, • Arrange small self-governing groups and provide the necessary skills training, • Stimulate associations or encourage them to join existing organisations that promote the interests of women and open up channels for funding, • Move from dreams to visions to plans to action: make all your planning action-oriented and use strategic alliances to strengthen your position. 1.3 Environmental Considerations By environment is understood the totality of conditions, circumstances and influences surrounding and affecting the development of any organisms. In the case of human individuals, and communities, our environment is made up of both natural and humanly created or built environments. At the global scale, our environment is the planet, at the local level it is the surrounding natural ecosystem. Households in societies in transition to an urban, industrial economy develop adaptive strategies making use of a combination of natural environment resources and income from work to buy the necessities of life. It is women who very often manage this economy, making use of whatever resources are available. Urbanisation places a burden on these already vulnerable households in that the environment in which people live is extremely unhealthy and the possibilities for food production are extremely limited. The fundamental human right to subsistence, therefore, includes the rights of women to use land in order to have a means of livelihood either from natural resources or from income generating activities. This was recognised by the UN when the Women's Action Agenda 21 was drawn up for the UN Conference on Environment and Development in Rio de Janeiro, 1992. The sustainable use of natural resources is impossible without consideration of gender relations and issues. Too often better environmental management does not benefit women, on the contrary, it is sometimes at the expense of women; they provide the labour, without gaining the benefit. Projects should always be screened on possible environmental impacts from a gender-sensitive perspective.
  7. 7. 3 Community Project Development Model Baseline Study Needs Assessment Goals and Objectives Feasibility Study (Resources&Constraints) Planning Project Activities Activity Plan Time Frame Responsibilities Facilities, Services and Equipment Implementation Coordination Monitoring Evaluation Contingency Management Budget
  8. 8. 4 2 PROJECT PLANNING CYCLE The project cycle consists of five distinct phases: 1. Collecting Baseline data: a situation analysis and resource charting 2. Needs Assessment 3. The Design phase: developing an action plan, a feasibility study 4. Implementation, including monitoring progress 5. Evaluation In this chapter the first three phases are discussed. 2.1 A Baseline Study and Situational Analysis The situation analysis aims at describing problems and needs within an area, and charting the local resources available to do something about them. A good initial situation analysis is necessary for good project implementation. Goals, activities, and resource inputs are all meaningless without understanding the context of the target group: the environment, values, and relationships. All planning must therefore be based upon knowledge of the real situation, and of the various factors which have formed it. The situation analysis is an activity which can firmly link planning to the realities in the field, and thereby to the implementation of the project. The findings should guide and -define the content of the project formulation. If this does not happen, a situation easily develops where what was planned is not implemented, and what is implemented was not planned. Often, an NGO (non-governmental organisation) comes to an area because overwhelming problems have come to the attention of the outside world. It is essential to find out what is perceived as the real problem locally, how problems interrelate, how they have evolved, and which of the problems are considered most urgent. It is important to identify the resources available locally. There is no region or group of people totally devoid of resources. Every group has a history, a way of coexisting with nature, a social structure, equipment, knowledge and skills, traditions, capital etc. An outsider often experiences difficulties in getting a complete picture of such locally available resources. The attitude that everything needs to be supplied from outside should be avoided. Finding ways to use, supplement and complement locally available resources should be a prime concern. Plans and decisions must be based on knowledge. However, not all types of data and information are equally useful. Too much irrelevant information is a common problem. Inaccurate, extraneous, out-dated or distorted information is of limited use. Collecting enough relevant information to shed perfect light on every aspect of a problem is a virtual impossibility. There will always be unclear aspects about which more data can be obtained, and issues that can be assessed differently, in light of new information. The project partners must therefore seek to find a balance between too much and too little information. Research in the traditional sense is not always relevant to planning. Reports often contain too much information or have significantly different objectives and perspectives. Research can be too expensive or take too long to carry out. On the other hand, there are too many projects based solely on information gathered during a short visit by a donor organisation. Sometimes a short conversation is all, and leads to a project plan and a budget.
  9. 9. 5 Obtaining just enough balanced and well-founded information always requires careful consideration. When the project idea is formulated by local groups or organisations which themselves are not part of the target group, preconceived "knowledge of local conditions" can be a problem: It can lead to quick and easy conclusions which do not take into account the target group's unique characteristics and possibilities. Where, on the other hand, the target group itself has taken the initiative, it is often necessary to contribute by extending the perspective of the planning process to include regional and national factors. 2.1.1 What Kind of Information? Every analysis is coloured by the conscious and unconscious assumptions and suppositions held by the person who reports, analyses and recommends. The principles, traditions, and attitudes of the initiators influence the choice and use of information from the field. A wellfounded situation analysis can make possible a flow of influence in the other direction -from the field to the agency. Factual information from the field can help the organisation correct its perspective, and its attitudes. It is important to clarify what type of external constraints of a more structural character the project must relate to at national, regional and local levels. This type of clarification allows for a more realistic view of what can be expected from a project. Project activities often run into conflict with such constraints, unless the constraints are acknowledged and taken into consideration during planning. If the target group is a local community, it will most often be appropriate to begin the situation analysis right there, and then extend the perspective gradually. If the target group is harder to identify at this early stage in planning, it may be more appropriate to start with a defined administrative or geographical area. The project partners' principal fields of interest greatly influence the choice of issues, relationships, and processes to focus upon (such as children, the handicapped, co-operatives, labour unions, ecology etc.). General information on the local context and the local community as a whole, should always be included. In describing particular problems, links and causal relationships to other problems and issues must be made evident. Several problems may have overlapping causes. Doing something about some causes at one or more levels may be within reach of the planned project. It is therefore important to clarify what causes are within range of the project activities and which ones are not at least at the outset. 2.1.2 How to Gather Information One must seek to optimise the knowledge and experience gain from the information gathered (its relevance, accuracy and suitability), in relation to the investments made to gather it (the time and money spent). Before beginning, it is therefore important to clarify the following: What information is not needed? Deciding that certain information is neither wanted nor necessary, demands courage. In some investigations, far too much information is gathered just in case it might become useful. The level of ambition (quantity and quality). Certain principles are fundamental:
  10. 10. 6 Spending time on the first phase of planning is a good investment. Listen and learn. Allow the local people to express themselves. Consider them teachers and yourself a student. Assume that they possess important information. Combine several approaches. Try to approach each question in many different ways. This tends to correct and enhance the picture. Don't believe that a particular approach is the only right one. Clarify your assumptions. Try to clarify on which assumptions statements are being made, and where possible pitfalls are hidden. How, for instance, is the situation analysis coloured by the sex of team members or of informants, by the route taken by the team, by the time of year the project area was visited, etc. 2.1.3 Methods of Gathering Information The following describes various methods of gathering data and information. The reasonably priced and straight-forward ones should be preferred. In cases where the more complex and expensive methods must be used, one should evaluate critically which one(s) will be most appropriate. The approach taken by an external organisation which is just starting up work in a new partner country will naturally differ from that of a local organisation which is already established and in operation. a) Use of available documentary evidence It is not necessary to re-invent the wheel. In many developing countries, large amounts of research material and lots of reports exist, but are hardly made use of Identifying possible sources of such information is an important task. Good places to look are universities, colleges, research centres, and larger development assistance organisations and multilateral bodies (such as UN organisations, WHO, World Bank). The most relevant statistics can often be found in the appropriate government ministry or planning office, or in an office of national statistics. The quality can vary, and needs to be assessed. Finding specific data relevant to small local areas is often difficult. However, more information is usually available than one expects. b) Observation Observation includes all forms of direct presence in the project area. "Field visits" are most often quick visits to the field by one or more representatives of the project partners (increasingly by consultants as well) with the aim of gaining personal impressions on which to found recommendations. A select few master this form, and can in the course of a brief field visit grasp (and later on express) the essential details in a situation while retaining a clear overall view. For most others, field visits may seem to have been efficient, but the knowledge gained is at best superficial, and sometimes completely wrong. Observation is important and necessary, but not sufficient alone. Observation can be more or less efficient. Observing in an unstructured manner, like when the observer aimlessly wanders round talking with people, or is perhaps just a spectator, is in general far less effective than structured observation. Preparing a checklist of what is important to look into, and then observing the same conditions in, several villages, is an example of a way to structure observation to improve its value. c) Interviews and seminars
  11. 11. 7 The use of interviews is a common way of collecting information. Like observation, interviews can be more or less structured, depending on the type of information that is required, and the .planning process itself. Important questions should be properly formulated beforehand. This will increase the level of accuracy and help make the use of the data more consistent. A general checklist of issues to be discussed should always be prepared in planning for interviews. Finding and getting in touch with local key figures can be of vital importance. They know the country, the people and the area, and can help answer many of the questions which are connected to the planning phase. Useful resource people are representatives of other organisations, local and central authorities, social workers, teachers, etc. Particularly in the planning of local community projects, access to the experience possessed by the local population is essential. They have a unique and superior knowledge of the plants, animals, soil conditions, farming methods, social and cultural traditions, etc. Finding and meeting with people who are in the centre of the local network in one way or another, formally or informally, is therefore very important. Interviews should also at tempt to identify conflicts (of interest and otherwise) and differing sets of values in the area. This will usually mean supplementing other information available by consciously seeking out groups and individuals who do not ordinarily have the opportunity to express their wishes, their demands, and their interpretation of the situation. Group interviews are often advantageous. They allow for contact with more people. Another advantage is that when trying to obtain sensitive data, the group often has a correcting and controlling influence. Panels of experts, or panels with representatives of different groups can also meaning- fully be used, both to highlight important issues, and for more in-depth discussion on particular areas of concern. d) Field studies and investigations There are many ways of conducting field studies: Local ad hoc investigations can be undertaken in direct co-operation with the potential target group, perhaps involving other local co-operating partners, students, teachers or researchers. Investigations of this type can have an informal and qualitative nature, or a more formal questionnaire can be utilised. The "community diagnosis" (a much used starting point in the planning of primary health services), is an example of how this type of investigation can meaningfully be used. Better methods and more resources, often including special expertise, may be necessary to find relevant, accurate, and up to date information on people's understanding of themselves and their living conditions, or in order to analyse particular problem areas in depth. In the case of larger and more expensive investigations, care must be taken to define a precise objective, decide upon a clear approach to the problem, and limit the scope according to the particular need. It is also important to bring the time plan for the investigations into agreement with the time plan for the rest of the planning process. To be useful, the results from investigations must be ready in time to aid further planning. 2.1.4 Summing Up A systematic understanding of the current situation in a given community sets the stage and provides the basis for any community project. It helps to consider how changes can be made to achieve certain goals and ideas. A situational analysis is a database for the project and should
  12. 12. 8 contain gender-disaggregated data. On the basis of these data a community profile can be developed. Data collection for a community profile Data: * political/administrative structure * demographic features and population characteristics * economic activities * social stratification and power relations * organisations and their functions and activities * leadership pattern and its influence * cultural facets or traditions * critical issues and problems Sources of information are: * documents or files in government offices/NGOs * reports of surveys * community members * informal leaders in the community * government officials or formal leaders * NGO personnel * politicians or local representatives of the area Methods: * document review * questionnaires * discussions * interviews * observations and informal conversations * listening to people * brainstorming sessions Important points to remember: * There is no single technique that is appropriate to get information from all sources. * The best option is to use a variety of techniques. * The most common techniques are questionnaires, interviews and observations. * Group discussions are frequently used.
  13. 13. 9 2.2 Needs Assessment Needs assessment deals with the question: Who needs what as defined by whom. 2.2.1 Needs Identification Needs assessment is one of the critical stages in the project development process, Reliable, accurate and usable information is needed that reflects the ideas articulated by representative groups of the target population and other stakeholders in the community. Women and men should be consulted throughout the process so that both perspectives can be taken into account. Women's needs often are different from the men's needs and if not taken into account project planning has a false start. Moreover, consulting the people will stimulate the sense of ownership when the project will be implemented. 2.2.2 Prioritising Needs No one can address all identified needs in one project. Therefore, priorities have to be set. This has to be done with all stakeholders concerned, men and women. See sheet for prioritising needs 2.2.3 Levelling of Needs Stakeholders may have different priorities. Then a negotiating process should bring consensus on which priorities should first be addressed. Needs Assessment Identification of Needs Prioritization of Needs Deciding on what needs to be addressed Levelling of Needs
  14. 14. 10 2.3 Project Design 2.3.1 The Target Group(s) The project plan must define clearly the target group(s) for the project. This seems self evident, but is nevertheless often given little attention. Finding target groups already organized at the outset, and ready for discussions and negotiations about objectives and the means for self development, happens rarely. In many real-life projects, the target group is somewhat diffuse and sometimes seems nearly arbitrary. Example definitions are "those who come", and "those we have contact with". Health projects often fall into this category .The demand for services itself creates the target group. Choosing not to relate consciously to any particular target group means giving priority to those who for one reason or another are able to get into contact with the project. This leaves no time nor resources for those who do not come. Broad, general terms used to define the target group (i.e. "the poor of the village" or "the poorest of the poor'), can be meaningful in policy papers, but have no place in concrete project planning. The situation analysis attempts to broadly outline what the problem is, for whom, and why. Defining the target group is to ask: Towards whom can we direct our efforts to do something about the problem? The target group can be defined according to age, sex, occupation, income group, geographical area, or membership of a particular social class or other group. Other possible criteria are for instance peoples level of access to particular services, their nutritional status, etc. Being conscious of the target group helps focus and concentrate the project effort. The choice of target group defines limits, and can in some cases erect new social barriers and improve the situation for some at the expense of others. Local society is seldom homogeneous. Conflicts, power blocs, and contradictory opinions and needs are part of almost every society. Care must therefore be taken in making the choice, and in assessing its consequences. In light of the problems and causal relationships revealed by the situation analysis, and taking into account the type of assistance the organisation can offer, the following issues need to be addressed: • Who should the target group be for real changes in the desired direction to take place? • What conflicts may arise? • What structures are already there, or can be mobilised, to enable broad communication with the target group, and to deal with potential conflicts? 2.3.2 Goals and Objectives Defining goals is an important part of the planning process. The project ideology of the project partners, and the prevalent understanding of causal relationships and how they can be influenced, are usually the most important factors behind the choices made and the limits decided upon. The statement of goals for the project should answer the question: Where do we want to go with the project?
  15. 15. 11 Development goals, project objectives and intermediate objectives must relate to the problems which have been identified in the situation analysis and to the causal relationships described there. The target group must play an important role all through the planning process for real participation to be possible. In fact, the target group should by this stage already have been involved in the situation analysis, and in finding causal relationships between various problems. Defining goals and objectives means deciding what problems are to be given priority. The work of formulating goals must therefore be given the attention it deserves. Achieving meaningful interaction through the exchange of views between the different parties involved, is particularly important at this stage. Areas of agreement need to be clarified, and are as of disagreement must be found and properly related to. A rough draft of goals and objectives can often be obtained by simply re-formulating the description of a chain of problems. Example problem: Many children die before the age of 5 in the Bhagari Region. Goal: To reduce child mortality in the Bhagari Region. Including something on how much in what time frame makes the goal more specific. For example: To reduce child mortality by 30% in 3 years. To be able to do something about the problem, one must find the causal relationships behind it. By considering all the problems and needs together (as identified in the situation analysis), it is possible to shed light on how they are linked up and interact, both as causes and consequences of each other. Certain causes are immediately obvious to planners. Further research and analysis can reveal others. Some causes and the connections between them can only be understood by members of the local community. Therefore, the planners must share their knowledge and the plans they make with the local community, and the local community must be encouraged to share its knowledge with the planners. The goals should as far as possible be realistic, and should take into consideration inherent constraints. This is often easier said than done. A possible approach is to first make a rough draft of goals and objectives, then go back and review the causal relationships, the assumptions made, and the constraints and limitations found. The proposed strategies also need to be reassessed in light of the findings. Finally, the goals and objectives are re-formulated, making them more concrete and more realistic (See also our example).
  16. 16. 12 Example: In the case of the "Bhagari Region", with its high rate of child mortality, a whole range of problems need to be identified. Some possible factors: • • • • • • The long distance to water; polluted surface water. Many mothers being responsible for their families alone; unemployment forces the men to leave the area. Little opportunity to produce food for yourself; arabIe land is being contracted out for cultivation of cash crops. Very few girls attend school long enough or regularly enough to learn to read and write. Widespread under nourishment among children and adults. Long queues and high prices at the 3 health centres in the region. Taboos regarding food and disease. In this case, the immediate causes of the high rate of infant mortality can be identified as: • • Diarrhoea, respiratory infections, measles, under nourishment, tetanus during early infancy. Infectious diseases and under nourishment amplify each other mutually as causes of death. The underlying causes seem to be: • • • • • Lack of available basic services ( water supply, health services, education). Barriers (economic, attitudes, options) preventing the use of new knowledge full utilisation of established services. Unemployment. Unstable and vulnerable nutritional situation due to dependency on outside and poor use of limited choices with regard to local production. To make a good choice of goals and strategy for this project, one would need to know which of the identified causal factors are given the highest priority by the target and which ones it would be realistic to try to change. A rough draft of goals and objectives might look like this:
  17. 17. 13 Example Development Goal: To improve the living conditions and the quality of life for children and their families in the Bhagari Region. Project Objective: To reduce the infant mortality rate in the Bhagari Region by 30% within 3 year Intermediate Objectives: A. To establish basic health services for mothers and children making them available to 75% of the population. Activities under A: 1 Group work on health, disease and local understanding in 3 pilot villages. 2 Vaccination of children ages 0-3 years with 75% coverage within 3 years. 3 Contact with 75% of pregnant women at least twice during each pregnancy. Etc. B. To increase the production and availability of nourishing food. Activities under B: 1 Establishing opportunities to borrow money for small-scale production initiatives. 2 Establishment of 2 production cooperatives. 3 Nutrition education as part of all activities. Etc. C. To make better water available within 10 minutes walk to 75 % of the population. Activities under C 1 The construction of 10 new small-scale water supply systems. 2 Improving 15 existing wells. 3 Educational program on water hygiene for a total of 25 women's groups. Etc. Comment: Intermediate goal B is still not sufficiently well formulated. It is not specific enough to make the measurement of progress possible. This reflects too poor knowledge about the causal relationships in the field of food production in the area, and about opportunities to change them. The suggested activities are therefore only outlines, and the whole issue would need to be looked closer at during the starting up phase of the project Summing up: Determining goals and objectives based on prioritised needs is essential for the successful completion of a project. They set the direction of the project and are the terms of reference for monitoring progress and the final evaluation. A goal defines, very broadly, what is expected of a project and is made up of several objectives all leading to the achievement of the goal. Objectives have to be: • Related to needs
  18. 18. 14 • • • • • • Specific Clear Measurable or quantifiable Appropriate Achievable/feasible Time-bound 2.3.3 A Feasibility Study: Assumptions and Constraints The situation analysis is meant to give all involved parties an overview of actual needs, practical constraints, and likely possibilities. The problems as they relate to the chosen target group were the main consideration in formulating goals. However, it is important to reconsider them in the light of identified assumptions and constraints to make sure they are feasible in the given situation. As part of this reconsideration it is necessary to look at the causal relations which have been demonstrated. One must find out what external conditions and developments beyond the control of the project have been assumed at the various levels, and how they might come to influence the success of the project. Identifying and assessing the assumptions made and the inherent constraints, makes it possible to adapt goals and to choose the strategies with the best chance of success. Example Problem: Qualified personnel are needed for a church-related hospital Project Idea: Building a nurses training college Project Objective: Establishing a nurses training college with the capacity to graduate 15 nurses per year Assumptions made: a) There must be an adequate supply of qualified students who would like to start nurses training. b) That a sufficient number of the trainees will (1) complete their training, (2) continue working as nurses, and (3) want to work at the church hospital. All the assumptions create uncertainty as to whether the final goal will be reached, i.e. getting sufficient qualified personnel for the church hospital to ensure high quality nursing care. The nurses training college project has little control over these factors. Identifying them at the outset, makes it possible to examine them closely. The risks can be properly assessed, and possible measures to reduce the risks can be considered. There are likely to be other constraints in the situation as well. National approval of the nurses training college may be required. This might for instance limit the range of choices with regard to the qualifications required of applicants. Or there may be a national quota system for posting trained nurses. This might mean that the mission hospital's needs might not in the end be satisfied.
  19. 19. 15 Ideally, all assumptions should be identified which may influence whether or not the principal objectives of the project will be attained. If this can be done, it is possible to assert with a high degree of certainty that if the required resources are invested, and the assumptions hold, then the project objectives will be attained. This kind of analysis makes it possible to accurately analyse the feasibility of the project goals, and to find out which are the most critical risks, already during the planning phase. It also constitutes a good basis for choosing what factors to monitor closely during the implementation of the project. The process is as follows: After determining goals and objectives on the basis of prioritised needs, it is essential to take stock of the needed and available resources (human, material, financial, institutional), as well as the constraints that may be encountered in attempting to achieve the objectives. This involves a feasibility study to decide whether the necessary human, institutional and financial resources are available and what constraints could negatively influence the project. Cultural concepts about gender relations could, for instance, be a constraint for the successful implementation of the project. If so, this constraint should be dealt with first. 2.3.4 Main Strategies Whereas the goals and objectives spell out where we want to go, strategies and activities together show how we plan to get there. There are usually several different choices of strategy available, all of which will lead to the desired objective. A description of goals does not necessarily suggest a way of reaching them. Most strategies are based on accumulated experience from real project situations. The popularity of strategies changes with time and place: Examples from different sectors: In agriculture, there was a time when centres with demonstration plots were common. More recent projects have often chosen to emphasise decentralised farm advisory services In health, the main strategy used to be to improve medical facilities. More recently, preventive medicine has been emphasised. At present, combining preventive and curative medicine is the trend. Possible choices in health include: Institutional and mainly curative medicine; integrated services mainly focused on primary health; concentrated efforts directed towards mother and childcare, etc. Social services were once considered important to improve the living conditions and the quality of life of the poorest population groups. More recently, stimulating entrepreneurship to increase economic activity has often been favoured. A strategy for community development which has become popular in the 1980's is characterised by decentralisation of initiative, activities and responsibility. This type of strategy carries with it a whole range of inherent assumptions and consequences. The term "vertical project" has been used to describe sector inputs consisting of single components within a given sector. Examples are malaria control, family planning, adult literacy training for school leavers, etc.
  20. 20. 16 "Integrated projects" include a whole range of components (within a specific sector, or cross sectoral) which actively interact. The components are seen as a functional and administrative whole (e.g. "integrated rural development"). Most project strategies have both strengths and weaknesses. The choice between them should be made according to the project goals and according to the general context of the project. The description of goals and the analysis of assumptions and constraints both contain valuable background information for making these choices. For example, a nutrition program might benefit from an integrated strategy, whereas leprosy might best be dealt with through a vertical project -of course co-ordinated with other health services. The choice of strategy is important, and should be considered carefully. It has important implications for the priority given to different means and project components, and should harmonise with what is generally emphasised by the different parties involved (including the future project management). All the project partners, including the target group, should therefore participate in the process of choosing strategy. It is often fruitful to discuss alternative strategies in order to find the one which offers the best chance of success. The choice of a main strategy should be described in the project document, and thereby help ensure continuity. Changes of main strategy along the way must be possible, but should only be made consciously, and should be well founded in relation to the initial terms' reference for the project. The project strategies will help bridge the gap between the basic development philosophies and principles of the organisations, and the choice of goals, target groups and inputs for individual projects. In describing the project's main strategy, the project document should specifically clarify: • strategies in relation to women's participation • strategies in relation to environment and sustainability These two concerns, and the consequences of the strategies employed to deal with them, are considered so important to the sustainability of the development process that they always need to be addressed carefully. All strategies should be analysed with sustainability in mind, attempting to predict both the short term and the long-term effects of project inputs into the local society - ecologically, economically, socially and culturally. 2.3.5 Action Plan Planning project activities involves the following steps: 1) Identifying activities. Identifying project activities is the most important step in the project planning phase and should involve all the stakeholders, men and women, in a participatory way. The activities should be based on the objectives, taking into consideration the resources and constraints. 2) Sequencing activities. 3) Determining human, financial and material resources.
  21. 21. 17 4) Developing a time frame for activities. The time frame should include a monitoring schedule. 5) Monitoring and Evaluation To help you develop an action plan use the following checklist: • What are the activities to accomplish the objectives? • Why is the activity taking place? • For Whom is the activity? • Who is doing the activity? Which human resources do we use? • Where is the activity taking place? • When is the activity taking place? • Who is responsible for coordination/implementation? • How is monitoring and evaluation assured? • What is the budget? After the design has been made it should be written down as a project plan and, when external funding is needed, a project proposal should be prepared, including a detailed budget. The budget should include an estimate of the services, equipment, facilities, and materials that can be contributed by the beneficiaries (both in-kind and financial contributions), so that: the community knows the value of its own contribution, donor agencies can see how much the beneficiaries are contributing, because they often require matching funds, ownership is reinforced. For guidelines on funding and proposal writing, see chapters 5-7.
  22. 22. 18 3 PROJECT IMPLEMENTATION Project implementation involves a number of activities. Among the major activities are securing community participation for launching the project, co-ordination of activities, monitoring, and taking care of contingencies. These activities are usually the responsibility of a project manager/ coordinator or a project management committee. Project management includes various management functions as summed up on page 19. Of all these management activities three will be singled out: co-ordination, team-building and monitoring progress. 3.1 Co-ordination Co-ordination is the process whereby two or more people/organisations work together to deal collectively with a shared task. The responsibility for co-ordination may be assigned to a single individual or a team/group of individuals, in consultation with all the parties concerned. Coordination would the major responsibility of a project coordinator, heading a project team. The rationale for co-ordination is: • To achieve the objectives of the project with a minimum amount of constraints. • To take immediate corrective action for problems encountered in the implementation of the project. • To promote better relationships among organisations, institutions, departments and individuals connected with the project and to harmonise resources and activities for the achievement of project objectives. • To establish cordial relationships between the target population of a project and all the other sections, including the political leadership. The following questions should be asked: 1) Co-ordination among whom? 2) What problems could come up in attempting to co-ordinate activities? 3) What needs to be done or what mechanisms should be set up to prevent such problems and promote co-ordination? Co-ordinators should have leadership qualities because they need to encourage people to act purposefully toward realisation of the project's goals and objectives. This requires certain leadership qualities: • to motivate people in such a way that they feel positive about their responsibilities; • to delegate and assign responsibilities to people • to manage conflict to make sure that differences are addressed and effective working relationships are developed; • to communicate information so that people have the information they need to perform their work effectively and efficiently. Project co-ordinators should be flexible and able to adapt to changes within and outside the organisation and manage change to encourage creativity and flexibility in achieving program objectives.
  23. 23. 19 Project management1 a) Planning Planning is making decisions about which courses of action to follow. It includes the following activities: • Establishing objectives to determine the end result; • Developing strategies to determine how to reach objectives, by when, and by whom; • Preparing budgets to determine the cost of using resources; • Establishing policies to have standing decisions on recurring situations; • Establishing standards to ensure continued quality of services and products. b) Organising Organizing is developing relationships and allocating responsibilities within the organisation. It includes the following activities: • Developing organizational structure to establish accountability within the • organization through clear reporting and supervising relationships; • Establishing teams that work together to reach objectives; • Establishing job descriptions to ensure that roles and responsibilities are clear; • Determining staff activities to carryout work plans. c) Staffing Staffing is filling positions within the organizational structure. It includes the following activities: • Recruiting people with appropriate qualifications for positions in the organization; • Orienting new people to their positions to help them learn about their responsibilities, the relationships within the organization, the organization 's goals and objectives, and the culture of the organization; • Providing training when necessary to upgrade people's skills. d) Controlling Controlling means managing activities to ensure progress toward the program objectives. It includes the following: • Measuring progress of project by comparing the current situation with established goals and objectives; • Submitting reports to account for project activities and finances; • Monitoring performance to document the way people carry out their responsibilities; • Providing feedback to people on a regular, informal basis, including positive feedback and constructive criticism; • If the project employs staff regular performance appraisals should be organized to formally assess the way people work and extent to which they produce results, and to give them feedback about their work; • Adjusting plans to respond to changes in the internal and external organizational environment. 1 Source: CEDPA, Supervision, 1996: 5/6
  24. 24. 20 3.2 Team-building A team is an energetic group of people (two or more) who are committed to achieving common goals, who work well together and enjoy doing so, and who produce high quality results. In a team, the whole is more than the sum of its parts. The team is more than just the sum of individual efforts. The team combines the individual talents with a positive team spirit to achieve results. The two most universal characteristics of teams are: • the production of outstanding results and success in spite of difficulties, and • members feel responsibility for the team and work to resolve problems and clear difficulties out of their way. These characteristics can be broken down into the successful ingredients of a team. 1. Open, honest communication based on trust and caring. Team members are sensitive in how they communicate to their team mates, particularly in difficult or conflict situations. 2. A complimentary blend of skills and talent that allows the team to work cooperatively together, building interdependence among the members. 3. A high degree of tolerance, mutual respect, trust and support which allows individuals to take risks and challenge their abilities. 4. An understanding of and commitment to a common purpose and goals. Individual goals and objectives align with team goals to ensure balance in meeting team and individual needs. 5. The challenge and capacity to achieve results, make decisions and produce results efficiently. 6. An efficient and flexible structure and leadership which allows the team to work toward achieving results without confusion of roles and responsibilities. The shifting roles between leaders and followers exemplify this characteristic. 7. The enjoyment of working together based on team spirit, pride, rituals and symbols. 8. The ability to take strength and energy from each other, and to celebrate successes and share failures together. Team leaders have to be skilful at balancing different functions. The leader is faced with the need to balance the accomplishments of results, with the needs of individuals (team members) and thirdly, with the need for members of the team to work together as a group. She/he can enhance the team spirit by developing a shared purpose and positive work climate in the group. Important also is the way of dealing with conflict or non-achievers. Conflict is neither good nor bad, but can get out of hand of we do not handle them constructively. Giving and Receiving Feedback We naturally give feedback to other people when we interact with them on any project or activity, sometimes making a positive comment and sometimes criticizing what they have done. Both positive and negative feedback are important to effective communication and group work, but they are only effective if the feedback is given and received in a constructive manner. Constructive feedback is information that a person can use to solve problems, improve performance, or work more effectively with others.
  25. 25. 21 It is not easy to give and receive constructive feedback. The principles presented here will help you manage potential (or existing) conflict, be direct about what you think, and still maintain mutual respect. See annex 2 for tools for team assessment and giving and receiving feedback. 3.3 Monitoring An important part of the work of a project co-ordinator is monitoring progress. Monitoring is the process of routinely gathering information on all aspects of the project. Monitoring provides managers with information needed to: • Analyse the current situation • Identify problems and find solutions • Discover trends and patterns • Keep project activities on schedule • Measure progress towards objectives and formulate/revise future goals and objectives • Make decisions about human, financial, and material resources. Monitoring is continuous. A monitoring system should be in place before project start-up and should be scheduled on the project work plan. First Level Monitoring The first level of monitoring is done by project staff. The project managers are responsible for monitoring the staff and tasks under them, and the project co-ordinator is responsible for monitoring all aspects of the project. A monitoring report should: • Contain a list of the activities to be monitored (derived from the plan), • List the duration and deadlines for completion of different activities, • State the methods of monitoring the activities, • State the current progress on steps taken so far, • State the barriers confronted, if any, • Suggest solutions to overcome them. Monitoring can be carried out through field visits, review of service delivery and commodities records. Whatever form is chosen monitoring reports always record any problem the project team has and plans to correct these problems. One also has to point out any changes in the original goals, objectives or activities and explain this change in direction. Second Level Monitoring The second level of monitoring is done by the donor(s). Through field visits and routine reports from the project manager, the donor monitors progress and measures performance. This includes financial reporting. Summing up: The rationale for monitoring a project is: • To know whether the various activities are undertaken as specified in the project plan. • To know whether materials and other inputs are reaching the specific places in due time. • To know whether the unexpected issues/problems are occurring.
  26. 26. 22 • • • To know whether the outcomes match predetermined targets, and if not, why and to decide what corrective action has to be taken. To know what should be done to change course from the original plan, if the unexpected happens. To know alternative courses of action, given the new circumstances. 3.4 Contingency Management The contingency approach to managing projects is a relatively recent development in the field of management. It is a product of the 1970s which were characterized by turbulence and uncertainty due to economic, political and social upheavals. Contingency management emerged as an attempt to find solutions to the highly complex problems of the operating environment. The approach enables managers to encounter the uncertainties that affect planning processes by visualizing probable uncertainties and planning how to respond, and mitigate them. The word 'contingency' means different things to different people. In essence, it is something that happens by chance without a warning, a possible future event, an unforeseen occurrence, accident, uncertainty, or emergency. Contingency management involves preparing a plan to take effect in case an emergency occurs, or preparing in advance a course of action to meet an emergency situation which cannot be totally foreseen. In implementing community projects, it is necessary to identify, assess, and diagnose the important contingency situations that could occur so that the best decisions can be made. That is, the project should be implemented within an if -then framework. If certain scenarios occur in an unexpected manner, then an appropriate managerial action should be taken in order to respond to that situation. The contingency approach to project implementation is to ensure that the community group is oriented and prepared to meet the unexpected demands of the situation. The contingency design is the total process of determining the degree of environmental uncertainty and adapting the measures to meet the demands of the operating environment.
  27. 27. 23 4 EVALUATION Evaluation generally implies measurement, appraisal, or making judgements on the output and impact of the project in terms of the objectives. Evaluation will determine a project's relevance, effectiveness, and benefits to the target community. Evaluation is different from monitoring. Monitoring checks whether the project is on track; evaluation questions whether the project is on the right track. Therefore, evaluation looks more at long-term effects of project objectives. We can discern two types of evaluation: process evaluation and impact evaluation. 4.1 Process Evaluation It may be helpful to think of process evaluations on two levels: In an internal project review the team conducts a periodic self - evaluation of the project, including a review of goals, strategies and work plans. Many organizations do yearly program evaluations, using a variety of methods, usually without the help of an external consultant. One of the main purposes of an internal project review is to document progress and problems as a basis for planning the next phase of work (usually the next year). Some of the most important results of internal review are team building, improved communication, and re-planning of yearly goals. Program review takes a broader look at multiple aspects of a program or an organization. It can also be used for reviewing a country program of an international development agency. This is usually a larger undertaking than project review, and is done less frequently, perhaps every three or four years. Program review covers a variety of elements related to the program or organization' s goals and priorities. Possible areas of focus might include relationships between program staff, beneficiaries, and management. Sometimes it is important to look at decision making and communication within the organization or project staff. Or there may be a need to evaluate the organization's goals and structure. Usually this is an internal process, but it may be helpful to have the services of an outside consultant. A consultant for this kind of evaluation should be skilled at organization development and team building. Example of questions to be asked in this kind of evaluation: • What is the basic approach of the project organization to community development? How has the organization changed through this experience? Is there clarity of organizational goals and work methodology? • What is the quality of the relationships between the technical team and the community? Are the field staff accepted by the community? How do the community leaders and the project team work together? • How well has the project organization done in reporting and communicating? What problems need attention? • How are the community organizations working? How democratic are they? How well is the leadership functioning? What parts of the community are represented in the cooperative membership? How sustainable is it? • What are the criteria and/ or expectations of the funding organization? How well has the project fulfilled these? Are the criteria/expectations appropriate to priorities and goals of this project?
  28. 28. 24 4.2 Impact Evaluation Impact evaluation is the last step in the project cycle and assesses the outcome of the project sometime after the completion of the project. It is often used as the basis for expansion of the project, or in the case of a pilot project, for the scaling up of the project. Evaluations are usually more comprehensive than monitoring, and require information from outside the project. In an impact evaluation one measures whether or not a project achieved its goals and attempts to look at what impact the project had on its participants. The emphasis is on measuring if sustainable development has taken place as a result of the project. Usually a team, including an independent consultant, will conduct impact evaluations. The scope of work should be agreed upon by the several parties who have the most at stake in the outcome. These "stakeholders" will normally include the donor agency, the international cooperating agency and their in-country representative, and the local project organization. Very importantly, representation and participation of beneficiary community should also be sought. Impact evaluations require collecting and analysing data, aiming to be more objective than in routine reporting. Several methods can be used, including case studies, cost-benefit analysis, rapid rural appraisal, or surveys. The participatory approach advocated in this manual, though more time consuming, helps the project organization gain more ownership of the results. In addition, an important by-product of participatory impact evaluation is that the staff learns the process of evaluation by participating in it. Many international development organizations have increasingly emphasized this type of evaluation in order to improve overall results of their programs and to better report to their constituents. 4.3 The Evaluation Design Most evaluations call for the writing of a scope of work. This is, essentially, a plan for carrying out the evaluation. The scope of work in traditional external evaluations is usually written and agreed upon by a limited number of persons interested in the project, especially from the funding agency. In participatory evaluation, those who are involved in the implementation of the project are given a chance to have input in the design of the evaluation. In fact, the evaluation is first and foremost for the benefit of those closest to the project, including community participants, if possible. The evaluation design proposed in this handbook is flexible. There are six essential parts of this design, steps that are not always as sequential as they appear here. The following synopsis should be helpful to conceptualise the evaluation process. If all of these parts are adequately thought out, a well-defined scope of work should be the result. Step 1. Define the PURPOSE of the evaluation. Who wants the evaluation? Why do they want it? How are they going to use the results? What assumptions do the various parties have about this evaluation? The answers to these questions will help define the purpose of the evaluation. A clear statement of purpose should result, i.e. “The purpose of this evaluation is…..” Once the purpose is decided, it is a good time to decide whether an outside facilitator (consultant) is needed, so that, if possible, this person can be involved in choosing the priority areas. If so, discuss and decide on the role of this person. Step 2. Define the PRIORITY AREAS to be evaluated. In this step you will decide on the most important areas to evaluate. Based on the purpose of the evaluation, what is the focus? In other words, what exactly will be evaluated? Possible areas include the project's progress toward reaching its goals and objectives, the project's impact on the community and participants, technical aspects of the project, the training program, the
  29. 29. 25 structure of the project organization, and communications. Looking at the project's key vulnerabilities, strengths and opportunities can help to define specific focus areas. Step 3. The INFORMATION COLLECTION plan. Here it is important to use the focus areas and list a) What key factors (indicators) will be researched on each area, and b) The source of information (i.e. the data collection tool and where that information is to be found). Step 4. The IMPLEMENTATION plan. Decide who will participate. Who will make up the evaluation team and which team members are responsible for each task? Also, you will need to make a budget. In summary, the result of the third step will be: a list of participants, a detailed calendar of tasks and responsibilities, including a target date for report completion, and a budget for the evaluation. If instruments (interviews, surveys, etc.) are needed, these can be designed immediately after the planning session, and field-tested according to the plan. Step 5. ANALYSE and ORGANISE the information. How is the information to be analysed and by whom? Who will develop the final conclusions and recommendations? Make an outline of the final report. Decide how much data will be needed, and what limits of time and other resources affect the work of tabulation. Step 6. COMMUNICATING the FINDINGS and MAKING FOLLOW- UP PLANS. After the evaluation is implemented, it is important to schedule a meeting to discuss results and decide on follow-up plans, including who needs to receive reports. A follow-up plan should include a) an agreement on specific tasks/actions that must be taken by the donor agency, the project implementer, and the beneficiary organization to meet the evaluation's recommendations, b) designation of persons to do each follow-up activity, c) an estimate of dates for implementing each activity, and d) the date when the activity is to be completed. A welljustified decision to ignore a particular recommendation is also possible. By holding this meeting and designing a follow-up plan, the evaluation' s results and recommendations are systematized into the project's normal procedures. The use of evaluation results for re-planning are better assured if this step is followed.
  30. 30. 26 5 FUNDRAISING IS FRIENDRAISING 2 This section covers some of the key aspects of fundraising. It will help identify the people, the attitudes and the approaches that you will need to get a successful fundraising programme under way. 5.1 Some Key Principles of Fundraising "Fundraising is a science. But its rules are more like a rainbow than a formula. You need to paint with the most delicate shades of colours and moods. You will surely become a success if you paint with love and friendship.” Ekaterina Kim, Contacts-I, Moscow You have to ask A piece of research commissioned by a major charity asked non-supporters what was their main reason for not giving. The answer was simple -the main reason for not giving was that they had never been asked. Some fundraisers do not exploit the opportunities that exist to raise money. Others ask, but do not do so effectively. The whole purpose of fundraising is to raise money, and it is often forgotten that the call to action, the punch-line asking people to give, is the essential piece of the message. The good fundraiser must ask clearly for exactly what they want, having regard to the donor's ability and willingness to give when deciding what to ask for. They may also need to repeat the message to emphasise the point. And they must make it as easy as possible for the donor to respond. The personal approach The general rule is that the more personal you can make your approach, the more effective you will be. So: • Asking in person at a face-to-face meeting is better than... • Giving a presentation at a meeting to a group of people, which is better than... • Telephoning someone to ask for support, which is better than... • Writing a personal letter to someone, which is better than... Sending a circular letter to lots of people. Many fundraisers prefer to work by sending letters asking for support. This is not the most effective way of asking, and you may need to think carefully about how to make your approach. Two other factors are worth considering: A meeting at your project where the prospective donor can see your work and meet some of the beneficiaries is often the most effective of all. If that can't be managed, you can try to illustrate your work with a short video, or with photographs, or by taking along some of the people you are working with to fundraising meetings. 2 Reproduced from Worldwide Fundraiser’s Handbook by Michael Norton, by kind permission of the publishers, The Directory of Social Change, 24 Stephenson Way, London NW1 2DP, tel. 0171 209 5151, from where copies may be purchased by post.
  31. 31. 27 A request from someone who has given or from someone important (such as a business leader or expert in the field) can often be more effective than a request from a fundraiser or from the project director. Part of the skill in fundraising is knowing the best person to do the asking. Understanding the donor's viewpoint In making a decision to give, a whole range of feelings and thoughts may be aroused in the donor. It is important for the fundraiser to understand this process. The act of giving includes elements of faith, hope and charity. Faith that the fundraiser truly represents the cause and will act as an efficient conduit for the donor's money. Hope that the gift, however small, will make some difference, Charity as an act of altruism, a gift without the expectation of any material return. It is also important for the fundraiser to understand that the donor might have some personal reason for wanting to give, and to build on that interest. People may want to support a cancer charity, for example, through fear that they might get the disease, or because a close friend has recently died of it. They may feel strongly about an issue -such as the environment -and want to do something about it. In supporting your cause, they are also supporting their cause, doing something that they feel needs doing and that they want to see done. Fundraising is a people business People do not give to organisations. They do not give to abstract concepts. They give to help people or to do something to create a better world. Your job as a fundraiser is to show how you are helping do this. One way of doing this is through case studies -illustrating your work with actual examples of the people you have been able to help, showing how you have been able to change their lives, showing what you have done to create a better environment, etc. In this way you can show donors how their money can make a difference. Another is to focus your fundraising on particular aspects of your work: the income generation project you are planning to introduce in the village, that you hope will transform people's lives; the community publishing programme that is getting underway, where you are all full of enthusiasm and excitement about its potential. By focusing on specific projects rather than the overall work of the organisation, it is easier to excite and enthuse your donors. Fundraising is selling Fundraising is a two-stage process. The first stage is showing people that there is an important need which you can do something useful about. If they agree that the need is important, and that something should be done; and if they agree that your organisation is doing something significant to make a difference; and if you can show them how some extra support could be used to do even better -then asking for money becomes easy. Fundraising is more about selling an idea that the donor can make a difference than about asking for money. Once people have been sold the idea, then they will want to give. Fundraising is also more about 'selling' than 'telling'. It is about persuading people to give, and showing reasons why the work is important. Your success depends on your ability to get people to do something to help. Credibility and PR People prefer to give to organisations and causes that they have heard of. This means that the organisation's credibility and good public relations are extremely important. Press coverage of your work, trumpeting your successes in the newsletters you send to supporters, getting endorsements about the quality of your work from experts and prominent figures can all encourage people to realise the importance of what you are doing and have the confidence that
  32. 32. 28 you are doing a worthwhile and successful job -which makes it much easier for them to support you. Donors don't know how much to give One problem is that donors don’t know how much they are expected to give. They may not want to give an enormous amount. On the other hand, they may not want to give too little, and so seem mean. Saying thank you Saying thank you is extremely important. It recognises and values the donor’s generosity. Those who say thank you on every appropriate pretext will see this investment repay itself handsomely in donor loyalty and may well be surprised at the level of repeat giving that can be stimulated by this process. It makes the donor feel that their money is actually having some impact. Long-term involvement and commitment What you really want are people who will give to you regularly and substantially. All the effort to find a donor and persuade them to give will really only bear fruit if they continue to give over many years an maybe increase their level of giving. And if they are then prepared to ask their friends to help you or to put in long hours as a volunteer, then that’s an added bonus. To achieve this means getting them involved with the work of the organisation and committed to its success. Accountability and reporting back When you take money from somebody, you are responsible for seeing that: • The money is spent on the purposes for which it was raised. Failure to do this is a breach of trust. • The money is well spent and actually achieves something. You may be obliged to report back to the donor as a condition of the grant. But you will want to do this anyway to show them that you have used their money effectively. This is not only polite, it is good fundraising practice -as an enthusiastic donor who has seen the money make a difference may consider becoming a more committed supporter. 5.2 The skills required in fundraising There are a number of important skills that you will need if you are to be successful. If you understand what skills are required, you can: • Assess your strengths, so that you concentrate on doing those things you are good at. • Learn what skills you need to acquire, and set about obtaining the necessary training or experience. • Find ways of compensating for your weaknesses by mobilising others to help you where appropriate. Commitment to the cause Commitment is one of the most important attributes that a fundraiser can bring to the job. If the cause does not seem important to you, then how can you convey to others the importance and urgency of doing something about it? You must really believe in the cause you are addressing and in the work that your organisation is doing. Your enthusiasm and commitment will encourage others to become equally committed through their giving. The ability to ask Many people feel uncomfortable with the notion of actually asking for money. Anyone who has this difficulty will not be a natural fundraiser -whether the task in hand is to write a four-page
  33. 33. 29 appeal letter, make a speech at a meeting of the Rotary Club, telephone a business to ask for an in-kind donation, organise a committee to run a fundraising event, or pay a personal visit to seek the support of a major donor. All this requires an ability to ask effectively for what you need. Persuasiveness People have choices as to what to do with their money. They have competing demands on what to spend it on. Your job is to persuade them that supporting your organisation is a really worthwhile 'investment' of their hard-earned money. You need to make a really good case and to present it in a persuasive way. This requires good selling and communications skills. In particular you need to be able to marshal compelling arguments, to be able to write letters which excite interest, talk fluently and interestingly about the cause in public or in private, create a sense of excitement through your enthusiasm, and share your hopes and visions for the future. Confidence and dealing with rejection When you are asking for money, you need to radiate confidence. If you are apologetic or hesitant, people will not give to you. One of the biggest problems is maintaining your confidence in the face of rejection. Since more people are likely to say "no" than say "yes" -that's a fact of fundraising life -it is very easy to get downhearted. Many approaches will be unsuccessful, simply because of the enormous competition for funds, or just through bad luck. After a couple of rejections, you really begin to believe that nobody wants to support you. You then start acting as if nobody wants to support you. You become apologetic and you talk as if you expect to be refused. And maybe you even avoid asking- so as not to be rejected. A good fundraiser has to be able to cope with rejection, starting each fresh approach as if it were the first, and to be prepared to learn from experience. Persistence Most fundraisers give up too soon. People often take "no" to mean "no" - rather than as a challenge to try to convert the "no" into a "yes". If you give up immediately, then there's no chance at all. If you feel that they really should be interested in supporting you, then you will try to find a way of getting them to change their mind, or find some other thing that they might like to support. You have approached them in the first place because you need support and you feel that they might potentially be interested in giving it. Don't just give up at the first setback. You will find that persistence really does pay. Truthfulness The fundraiser has to be truthful at all times. The need to persuade people creates a pressure to tell only partial truths and to claim more for your work than is the case. The very complex socioeconomic factors that create poverty today are a good example. If we are to raise funds by writing a short letter to a potential supporter, how can you hope to describe what lies behind the poverty? And can you give a proper explanation without straying into the politics of the situation, however unattractive or contentious that may be to the donor? There is also a tendency to present the beneficiary as a victim. It makes it easier to elicit sympathy and support. This is as true for people with physical disabilities as it is for refugee families. The beneficiary may see the fundraising material and even be represented on the boards of organisations, and be offended at how the cause is being presented. The need to present a sensitive but truthful case, whilst making it powerful enough to persuade donors to give, can cause conflicts within the organisation. To resolve this demands sensitivity and understanding from the fundraiser.
  34. 34. 30 Social skills A good fundraiser needs confidence, patience and tact. Confidence, because a confident appeal is harder to refuse. Patience, to deal with the particular concerns of donors (for example, when they ask to hear about the income ratios of the organisation for the third time). Tact and sincerity, to ask a supporter face to face for a legacy, or to suggest a variation in a will. A good fundraiser should also like meeting and dealing with people. Organisational skills Fundraising often involves keeping in touch with thousands of supporters, all of whom imagine that they are special and that you have some personal relationship with them. Good organisation is essential. Fundraisers have to keep accurate records of correspondence and information on donation history for each donor. All this must be organized so that no past event or piece of generosity is forgotten. A good memory for faces helps too. Imagination and creativity Fundraisers who come afresh to an organisation will find that imagination is an invaluable asset. The task may be to dream up new activities that will inspire existing supporters and to create events that the public is going to be enthused by. Or to present your work in an exciting and imaginative way. Circumstances are continually changing and new opportunities emerging, so fundraisers need to identify new approaches and not simply rely on what has been done in the past. Contacts and the ability to make contacts The fundraiser who already has a number of existing contacts in an area or sector will be at an enormous advantage. But this is not a prerequisite. Having contacts does not necessarily mean that they will be the right people for the organisation. A good alternative is to have the confidence to ask anybody for what is needed, the ability to make new contacts and the good sense to ask others to do the asking for you. Opportunism You need to grasp every opportunity that presents itself. For example, when a well-known supporter is awarded libel damages, should your letter asking for support not be in their in-tray next morning? Or if a leading company has just announced a major hike in profits or has been awarded a major construction contract in your area, then a cleverly constructed appeal for funds might just succeed. The clearest examples of opportunistic fundraising are to be found in newspaper coverage. If, for example, there is a feature in the paper focusing on your cause, then the results of any advertising placed in the paper on the same day may be substantial (provided of course that the editorial coverage is supportive of what you are doing). So if you know you are going to get coverage, then consider taking an advertisement to ask for support or better still, get the journalist to add this request at the end of the article, with a reply address where donations can be sent. The annual calendar provides opportunities at different times of the year. For example in Christian communities, Christmas and the New Year provide extremely good fundraising opportunity, and other faiths have similar points in the year.
  35. 35. 31 6 VARIOUS SOURCES OF FUNDING 3 6.1 Generating Local Resources A burning question of many NGOs is: How to generate local resources. There should always be a concern about dependency on external aid, and it is unfortunate that boards and executive staffs give this aspect so little attention compared to project fund-raising. Most so-called "Southern" NGOs and other private development groups are dependent on external aid and many would collapse within a year or so if foreign aid was stopped. Dependency is not only financial, but often technical. As competition becomes stronger for scarce donor funds, strategies for generating local resources will need to be developed and tried. Self-funding goals can be set incrementally, for example: in the first year- 10 percent; in the second year -20 percent; and in the third year -40 percent. It may take years, even decades to be self-reliant, but sometimes when external donors see the efforts being made, they may step in to help. Ideally, an organization should be able to raise enough local funds to fund its administrative and fund raising costs for one to two years. Some 50 percent of the budget might be raised from local and capital generating sources. Many development organizations and groups are very successful in raising project funds from external donors, but they have little if any local success. Part of this may come from the ease of raising external funds. We have often heard development organization leaders say that it is a waste of time, energy and money to try to generate local funds when project money is so easy to find. Since many external donors are willing to accept the value of local volunteer inputs, local donated materials and similar items as local matching inputs for projects, external donors themselves have discouraged local generation of funds. It might be wise in the future for them to require at least 50 percent of the local input in funds. Often one hears the expression or version thereof that local fund-raising will not work since the people are too poor to contribute. It is a way of avoiding fund-raising, often seen as tedious and unproductive. Moreover, few development organization leaders have experience in this area, but there are always local consultants to help, or experiences from other local NGOs. Sometimes the idea is rejected on social or cultural terms. However, NGOs might have to leave the development business unless they begin to generate local funding. Fund raising efforts also educate the person targeted, about your organization and its activities, and he or she may become a future supporter. That’s why we say fundraising is friendraising. Some of the ways to raise funds locally are: a) Membership contributions. b) Overhead or indirect cost rates on projects. Negotiating for in-kind support from government agencies (space, professionals, etc.) c) Sale of your materials and services. d) Projects that generate income for your organization. e) Setting up an endowment fund. f) Community events. g) Interest articles about your work. h) Mass media appeals. 3 Partly reproduced from The International Donor Directory, by International Partnership for Human Development, by kind permission of the publishers.
  36. 36. 32 Ad a) Membership fees increase the commitment of members to the organization and they can help stimulate new funding from others in the community. For some organizations, such fees annually bring in a sizeable amount. For others, the amount is minimal but important because it helps pay some of the administrative costs. There is a temptation at times to use these funds for projects. Try not to do so. Ad b) Sometimes donors will allow the applicant to include an indirect cost on the project budget. Government funding sources often permit this. Percentages vary, sometimes it is 10 percent, but rarely should one go as high as 25 percent of the project cost. These funds are used to defray costs such as rent, electricity, telephone, secretarial services and basic administration. Ad c) Many local NGOs are finding it lucrative to sell their materials and services. Some have developed "How To Do It" or self-study books and materials on a wide range of topics, from family planning, to appropriate technology and to soil testing kits. Periodicals are sometimes sold. Some publishing companies may even allow you to sell other people's books for a small profit. However, we know one organization that published 5,000 copies of a scientific book and ten years later still had over 3,000 copies -giving away many of the 2,000 copies because it failed to spend money on marketing the book. Some NGOs have gone into selling products. One needs to do a market analysis of the products intended for sale. Moreover, there needs to be a steady supply of quality produced items. Generally, we have found that handicrafts do poorly compared to mass-produced products. Most of us have also encountered Third World, thrift and other shops where products from many countries are sold. A good location, such as at an airport or next to a tourist hotel can lead to a profitable undertaking Increasingly, we find organisations selling their services as consultants to governments, other NGOs, community groups, and even business. Local NGOs often have developed an expertise in certain areas (water development, sanitation, land reform and settlement, small enterprise development, and so on), which are in demand. Others hold training seminars, undertake research and evaluations, or provide management skills. Contracts are signed with the group requesting these skills. They stipulate the kind of activity to be undertaken, terms of payment, and if any products are to be developed. Local NGOs should seek to cover the salaries of their staff for the time they are used as consultants, plus their travel, per diem and other costs, and assess an organization charge. Ad d) Projects can also generate income for the local NGO. There are many examples of projects that are income generating. Some of these are: • Establishing revolving funds. Credit is provided at an interest rate above the projected inflation rate, but below commercial rates. These funds can be created for farmers, smaller community enterprises, home builders, and so forth. One needs to be careful that all management costs are covered from the return of capital and that there is still a surplus. • Using a truck to market farmer produce in an area and bringing products on the return trip for sale. After deducting operating costs, there may be a profit.
  37. 37. 33 • • • • An organization's volunteers, teachers, and other development workers can be selfsustaining and even have some income by growing and selling vegetables, buying and selling used clothing, seeds, tools, and many other items. Purchasing grains or other products when the price is low, holding them, and then selling them when the price is high. Establishing community stores to make everyday items available to the community at a reasonable cost, but still with a profit to the organization. Establishing chicken raising, fish farms, block making, and similar projects. In some countries, local NGOs collect tin cans, newspapers, used clothing, metal and other items that can be sold for reprocessing. We have sometimes been surprised by the large amounts of money this might bring in, but there must be a structure for collection. Ad e) Local NGOs have also used garage sales, bake sales, house cleaning, car washes, lotteries (these can be more of a problem than one thinks), dinners, plays, special music events, festivals, and many other ways for raising money. All of these require some investment and organization; however, if well planned, they can be very profitable. Ad f) Creating an endowment fund is another route to financial self-support. Wealthy contributors might be asked to help set up the fund. Recently, donor NGOs and government have also shown an interest. There are many other ways of raising money. We wanted to touch on this topic in order to let you know that how important it is to avoid a dependency on external aid. Ad g) If you can get a human interest article in a newspaper or magazine, people might come forth to support your work. The article should carry your address and telephone number at the end of it. Ad h) Mass media appeals are much harder and more costly to develop. As a result, most Third World NGOs cannot afford to use mass media like television and radio. However, we know of small NGOs in the United States and Europe that have used simple low-cost movie cameras to film their work and after professionally putting the film together, have shown it over cable television and have received large contributions. 6.2 Government Grants One of the best ways of obtaining funds locally is to interest the government in your services. There are many examples of local NGOs being given grants for training, or to carry out development activities such as reforestation, nutrition education, water systems development, vaccination campaigns, literacy campaigns, and so forth. Funds might come from all levels of the government: national, state or province, district, municipal, community. For some organisations government funding is the mainstay of their work. For others it is marginal or just one of several sources. The scale of the funds available from government sources is potentially extremely large, and is likely to increase steadily as government moves away from providing services directly to the purchase of services from another body (often under some form of contract). This process of 'privatisation' of service provision, pioneered in Britain under Mrs Thatcher, is now an accepted
  38. 38. 34 mechanism in many countries for the delivery of a wide range of services, including social welfare programmes, environmental conservation and community development. Voluntary organisations as part of civil society The availability of funding from government for voluntary organisations depends in part on the relationship between the two sides: • Government may see voluntary organisations as a threat, since some exist to expose need and failings in society and to campaign for change. As such, their objectives may run counter to government. • Government may see voluntary organisations as a mechanism for delivering services efficiently and with the added benefit of drawing in outside money. As such, the voluntary sector may become a valued partner, with government seeking to create an environment where voluntary organisations are able to thrive. • Voluntary organisations may be seen as being part of a 'civil society', whether or not they criticise or show up the failings of government. In India the strengthening of local democracy through the 'panchayati raj' reforms which encourage organisation at the village and community level and the establishment of a government-voluntary sector forum at national level are both manifestations of the civil society dimension. Often the relationship between the two sides is complex, perhaps containing elements of all three approaches. 6.2.1 National Government National government will relate largely to national organisations in a number of different ways: It may want to offer funding to support national organisations dealing with issues of concern -for example population, environment, rural development, watershed management. In this way it will benefit from the energy and ideas that voluntary organisations will bring to discussions on policy. It may wish to bring voluntary organisations into policy formation - to draw on their expertise and their experience of mobilising people and creating change. It may seek to deliver national development programmes using the voluntary organisation to undertake the delivery - as a matter of expediency (because the structure is there) or of efficiency (they are more cost effective). 6.2.2 Local Government Local authorities will be responsible for the delivery of a wide range of local services, whether at state, regional or city level. The functions for which local and regional government is responsible will vary from country to country, but are likely to include health, education, social services, recreation and leisure services, transport and housing. It is in the areas of their own particular responsibilities that they are most likely to make grants for many of the same reasons that national government supports voluntary organisations. Giving support may also provide good publicity for government and a feeling 'that something is being done' about an issue of public concern. Support might be given in a number of ways, including: • A grant. The local authority may have an established programme of offering grants to voluntary organisations. • A fee for a service provided under a contract. Here the money is related to the work done, which is work that the local authority is responsible for, where it has decided that it is more cost-effective to pay a voluntary organisation to undertake the work programme.