Series 2ORGANIZATIONAL

MANAGEMENT

Modu le

FinancialManagement ••STRUCTURE • HumanResources •SUSTAINABLEDEVELOPMENT •Impact • Assessment• Career Development •Strategic Planning •SYSTEMS • Supervision •Objectives • Monitoringand Evaluation •SUSTAINABILITY •

Program Designand Management

Series 2

11M

OD

ULE

2 /

ii

Program Design and Management

Introduction 1Before you design a program project 2Starting the program design process 3What’s the solution 4Establishing program objectives 5The project life cycle 6Preparing a detailed work plan 7Justification of budget items 8Illustrative Year One Program work plan 9Programatic assessment 10Evaluation 12Reporting on your program 13Participatory planning processes 15Some practical considerations in using participatory processes 17Institutional relationships 20Summary 21Proposal development 22-23Tips and Tools … A proposal preparation checklist 24Monitoring and Evaluation 25Program management 26

Figures, Tables and Exercises

Table: Providing some methods for data collection 11Figure 4: Advantages and Disadvantages 16Some exercises 18Community Mapping 19Table: Keys to good program management 26-30Some recommended time frames 31

Annexes

Annex A: Steps and considerations in designing a program 32-35Annex B: Checklist for reviewing a program plan 36Annex C: Guidelines for planning programs 37Annex D: Results framework 38-42Annex E: Log frames 43-46Annex F: Critical review of program performance 47-50

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I n t roduc t i on

Programs are an organization’s “life blood.” Without well-designed and well-managed programs,most organizations cannot achieve their goals, fulfill their missions, or see their visions becomea reality. Good program design and management are even more important today as manyorganizations experience scarce and uncertain resources. Good programs – as an index oforganizational effectiveness, professionalism, and commitment – may be the best way ofconvincing donors, communities, governments, and the private sector to “invest” in all aspectsof an organization’s growth and development. Moreover, good, clear, comprehensive planningcan result in improved performance. A sound program plan provides a guide for effectivelyusing human, material, and financial resources, enables organizations to track and documentprogress, clarifies desired outcomes, and reinforces common understandings and shared visionamong key staff.

Although the words program and project tend to be used interchangeably, there aredifferences. A program is the more comprehensive of the two, involving a series of inter-locking activities or projects for the achievement of key organizational goals or strategicobjectives. Programs tend to be longer term, such as an organization’s commitment toproviding services for adolescents, or its interest in quality health care service delivery, orits advocacy for more broad-based participation in political or governmental affairs. Aproject is a more discrete undertaking, usually focused on some aspect of the overallprogram (e.g., implementing or expanding community-based reproductive health (RH)services or developing an initiative to train teachers to provide accurate RH information).Nonetheless, a program is only as good as its constituent parts, and a project is only suc-cessful if it contributes to dynamic growth and progress. In this module, we will use bothterms because the characteristics of well-designed, well-managed, and effective programsand projects are generally the same.

Approaches for designing and implementing programs or projects have evolved. First, theseprocesses require commitment and involvement of staff at all levels – especially at theoperational or implementation level. A program is vastly improved when all staff membershave a stake in its success and feel that they have contributed to, or been heard in, the designprocess. Program design efforts may also contribute to team building and improvecommunications at all levels. Second, high level support, through the organization’s leadership(see Series 1, Module 3), is also critical. But increasingly, for appropriateness and sustainability,community participation has been identified as an important aspect of the program designand implementation process. This module will enable a manager should be able to:

☛ Understand the various components of, and tools for, program design, implementation,and management.

☛ Recognize key elements in proposal preparation.☛ Use participatory processes (both with staff and communities) more effectively.☛ Understand the linkages between programs or projects and organizational goals or

strategic objectives.☛ Use various formats for planning, monitoring, or resource allocation (e.g., operational

plans, Gantt charts, log frames) with greater ease.☛ Recognize how well-designed program plans can be used to market the organization.

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Before you design a program project…

Have You:

Ensured that an adequate needs or otherassessments will occur before the project plan isdeveloped?Reviewed the financial, technical, and staffingimplications of the project? Does this project fit:Current organizational priorities? Theorganization’s strategic directions? Current staffconfiguration?Shared your concept with staff and stakeholders atall levels – including financial or administrative staff– to ensure common commitment? Have youconsidered how each person or unit can or shouldbe involved? Is a planning or proposal preparationteam needed?Reviewed existing organizational systems to seewhat revisions, if any, will be needed? For example,can your MIS incorporate and track new indicators?(See Series 2, Module 4). Can your supervisory orlogistics structures absorb new responsibilities?Determined what donors might be interested orwhat resource mobilization approaches must be inplace before initiating the project?Proposed means of guaranteeing community orstakeholder involvement at every critical stage ofdevelopment and implementation?Incorporated sustainability measures or activitiesinto the design from its inception?Determined how to document project results oroutcomes, and how to use them as a marketing toolfor the organization?Assessed the environment? Are their many potentialallies or competitors? Is the policy environment orframework conducive for implementing theproposed project or the organization’s goals? Wouldthe project benefit from high-level or highly visiblesupport from outside?

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Starting the Program Design Process

Each program or project must be developed in response to documented needs or problems inthe community, region, or for the group to be served. Therefore, program justification dependson demonstrating a clear understanding of the problem and preparing a coherent, appropriate,relatively detailed set of proposed solutions.(See Annexes A, B, and C for step-by-step program design or development process guidelinesand checklists).

Exercise: What’s the Problem?

A. Identify all major problems uncovered in your assessments, community diagnoses,surveys, or other data gathering activities.

B. Rank each problem (Replace A, B, C in the chart below with the actual problemidentified during assessments, e.g., A=poverty, B=lack of access, C=myths andmisconceptions) against each criterion, using a numerical scale (1-3 or 1-5, with thehigher numbers indicating a high degree of-or strong-linkages to criteria). Add therankings for each problem; those with the highest scores are those you may wish toconsider giving priority in the project. But be sure to use the exact terms from theassessments charts. (Do not limit yourself or your team to three choices only).

Criterion Problem A Problem B Problem C

Severity

Extent

Within our control

Feasibility

Possibility of simple solution

Relationship to organizational

policy/mission

Relationship to government advocacy

Long-range impact

Organizational image/influence

C. Note that this is not a foolproof system; several problems may have similar totalsdespite very different ratings for the same criteria. And the problem with the highestscore may simply not feel like the highest priority. It may be necessary to rank thecriteria in order of priority, to decide which are the most important and give extraweight to them. Remember, different individuals and groups are highly likelyto rank the same criteria differently. There is no perfect, objective system.But this exercise can be used to air and elaborate different views, reachconsensus, or build your team.

Adapted from CAFS: Family Planning Programme Management. Module VI, p.36

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Specific problem(s) to be addressed by the program should be clearly articulated and supported,whenever possible, by some baseline data. You should be able to:

☛ Describe the extent, scope, or severity of the problem, in order to put proposed results inperspective.

☛ Describe the geographic area and demographic characteristics of the population.☛ Make an analysis of the causes of the problem.☛ Describe results of previous efforts to solve the problems, by your or other organization(s).☛ Identify intended beneficiaries, stakeholders, and principal actors (especially an

organization’s staff), or interested agencies.

What’s the Solution?

Based on your description of the problem(s), your design should be so clearly linked to problems’solutions that it is easy to justify the design of your program, planned activities, resourcesrequested, etc. Problems may be effectively addressed in a variety of ways. Those aspects ofyour approach which you think best address the problem should be emphasized. Yourrecommended solutions should be detailed enough to provide answers for the followingquestions.

☛ What approach(es) will you use and why have you chosen this approach or approachesover other possibilities?

☛ What other local organizations and donors are addressing this problem and how doesthe proposed approach complement their activities? If applicable, how will youcoordinate with these other organizations?

☛ How will target groups or communities specifically benefit, i.e., how will they be “betteroff” because of the program or project?

☛ What innovations can be expected? What tangible deliverables?☛ How can it be replicated in other areas?☛ What changes do you expect will result from this project?☛ What sources of support are likely to be available to you for continuation of the

program for the longer term?

5Establishing Program Objectives

All programs need goals and strategic objectives. In different ways, each type of objectivedescribes the results to be achieved by the project and the degree to which the problemsdescribed will be resolved. The activities outlined in the work plan will describe or set forththe processes or steps through which the results will be achieved.

Goals

Goals should describe in a broad, non-quantified manner, the long-term changes that willresult from your work on identified problems. Normally a small number of goals (one or two)is sufficient to describe desired overall program outcomes.

Strategic Objectives

For each goal that you prepare, there will be a number of strategic objectives. These objectivescan be annual or for the 2 – 3 year life of the program or project. These objectives relate to theproblems and describe specific anticipated results, representing changes in knowledge, attitudesand behavior of the program participants or beneficiaries (e.g., to provide information andRH services to 6,200 adolescents by the end of the first year). These objectives will be directlylinked to indicators and evaluation criteria to ensure the effectiveness of future evaluations.

Adapted from CAFS: Family Planning Programme Management. Module V, p.31

Figure 1: Relationships Among Various Planning Levels

Strategic PlansGoals/Strategic Objectives

Program PlansProgrammatic Objectives/Tactics

Project PlansProject Objectives

Broad Activity PlansTargets

Detailed Activity PlansTasks

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Remember…

All strategic objectives should be smart:

SpecificMeasurableAppropriateRealisticTime bound

Projects and programs have a life cycle. There are many ways to describe the linkages betweenand flow of, project design and implementation activities. One of the best, illustrated belowin Figure 2, has come from the Centre for Development and Population Activities (CEDPA).

Figure 2: The Project Life Cycle

Assess Needs

Monitor and Evaluate

Undertake Activities

Start-up Activities

Define Project Goaland Overall Strategy

Select Project Objectives

Develop Monitoringand Evaluation Plan

EstablishRecordkeeping System

Determine Budget

Develop a Staffingand Training Plan

Identify and DefineProblems

Determine Activitiesand Prepare Workplan

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Preparing a Detailed Work Plan

This section outlines the step-by-step schedule of work, or work plan, needed to accomplishprogram objectives. The work plan provides the project staff and stakeholders with a clearpicture of their responsibilities and the activities scheduled during the program period. Thework plan may change during the project period, but it remains a vital aid to proper programmanagement.

In developing a work plan, one should always think ahead to a proposal able to describe, andsolicit resources for the program. The work plan should be complete enough to allow you to:

a. Describe clear actions to be undertaken [a narrative];b. Indicate [step-by-step] what will occur and in what sequence or priority order;

who will be responsible, involved, beneficiaries; what will be measured or monitoredand how it will be monitored; which resources are needed; what outcomes areexpected [detailed work plan, log frame, Gantt chart, chronogram]; and

c. Outline innovations, model approaches, new initiatives [e.g., income generationstrategies, uniquely tailored approaches based on target group or community needs,developing/testing new materials, etc.]

Tips and Tools...A Format for Project Planning

Outlining Project

Activities

Describe and place or listeach project activity in thesequential order it willoccur. Sequence is veryimportant since it will showthat you have thoughtthrough the implementationissues, determined which arefundamental, and logically

organized what should happen next for maximum effectiveness. This also allows you todetermine whether the budget is appropriate for the project and to see how the specificobjectives will be achieved. It helps to think about the following:

Staffing

❑ Summaries of job descriptions for key program staff, including their relationship to theexisting organizational structure.

❑ A program staff organizational chart.

Implementation

❑ Description of major activities to be carried out, answering the questions “what,where, by whom and when”?

❑ Description of the management systems supporting these activities (e.g., supervision,integrated service delivery, quality assurance, training, management information system,financial management etc.).

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Justification of Budget Items

❑ Justifications of items contained in the budget which are critical to the achievement ofstated objectives (for example, hiring a trainer to train new fieldworkers). The workplan should be specific enough to make the need for each budget item evident.

Inputs by Others

❑ Activities which must be completed by staff, consultants or other outside sources inorder for the project to proceed on schedule. (For example, assistance from communitygroups in selecting community-based RH Workers (CBRHWs) or a graphic artist toprepare additional IEC materials).

❑ Areas which require technical assistance.

2. Logframe, Gantt Chart, Detailed Workplan,

Chronogram

A written, detailed work plan chart (using one of these formats see, for example, Figure 3 mustbe prepared. To prepare a work plan, Program Managers must outline the major activities,define responsibilities, clarify the budget, and understand the sequence of events necessaryfor project monitoring and implementation.

A complete work plan is a condensed description of project activities. At a single glance, thework plan enables program planners to perceive the work load of each staff member and toensure that staff with multiple responsibilities are available when needed.

3. Income Generating and Other Innovations

Increasingly, programs are required to demonstrate how they will sustain themselves afterprogram funding ends. Sustainability may be achieved in several ways including:

a. Income generation by some means (e.g., fees for services, sales of materials, charges fortraining, etc.).

b. On-going community support (e.g., a community agreement to contribute funds or in-kind donations, such as labor or materials) to sustain an activity.

c. Turning over to the government or some other larger agency to maintain or replicateprogram activities.

Resources generated may be used to:

❑ Support program activities as defined in work plan;❑ Support future program activities;❑ Support complementary activities at any time during the life of the program.

Creating and promoting innovations within the program is another, more indirect, way ofsustaining program activities. To the extent that an organization is known as a “cutting edge”innovator or pioneer, other donors may become interested in investing resources to sustain its

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activities. The “donor diversification” approach cannot be overlooked by organizations thatoften focus on marginalized, disadvantaged, underserved groups which cannot afford servicefees or to make donations to sustain even needed programs. In designing programs, staff andmanagers should be alert to opportunities to attract local corporations or in-kind donations.For example, local corporations seeking to appear as good corporate citizens may donatefunds, or items that can defray costs and help stretch an organization’s resources (e.g. artsupplies for a poster contest; booths for a health fair; printing of IEC materials; T-shirts orother give-aways; technical resource persons; pharmaceuticals or other supplies; etc.)

The ability of a project to generate income or other support, and to increase the amount ofincome or support raised in succeeding years, will help greatly in determining that project’sability to continue without external assistance.

Programmatic Assessment

Plans for monitoring and evaluating a program must be developed. Monitoring and evaluationare usually the joint responsibility of staff at all levels and of a specific donor.

Monitoring

Monitoring is a regular review of program activities conducted by program or project personnel.From time to time, a donor may also conduct monitoring visits. Monitoring the programensures that there is adequate progress being made on the work plan and helps to determinethe following: whether the work is on schedule; if the general and specific objectives will beachieved; and, if the program is deviating from the original goals and objectives. Monitoringalso enables managers to see whether the budget is being followed, document the reason whyit is not being followed and determine whether revisions are needed. While some monitoringwill occur daily as part of the general program administration, a monitoring plan should bedeveloped and include at least the following information:

☛ How and when the program or other staff (e.g., financial staff) will monitor programactivities, including a specific written, widely circulated schedule or a plan withtentative dates.

☛ A list of the personnel who will be involved in monitoring the program and theirspecific monitoring responsibilities.

☛ Proposed time for site visits by senior staff (e.g., Program Coordinator or ExecutiveDirector) or donors, and purposes of visits.

Annex F contains a simple monitoring format called a Critical Review of ProgramPerformance that may also assist managers and staff in problem-solving and determiningwhich program components are underperforming or in need of urgent or more sustainedattention.

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Method/Instrument Advantages Disadvantages

Questionnaire Questions can be structured to If self-administered, respondent is

yield exact data sought, without unable to clarify, expand on

extraneous data issues

Can be self-administered (saves Cannot be self-administered by

time and money) semi-or illiterate respondents

Supervisory Checklist Provides information on daily Existing checklists may not include

activities, problems, needs, desired data elements and may not

permits specific feedback. Also be properly used

facilitates gathering of data on

performance (e.g.,service

statistics

Observation Visit Provides observer with Observer’s presence may influence

information on actual events activities and bias data

Can be combined with checklist

for increased accuracy

Interview (Community Leaders, Interviewer can dialogue with Respondent may provide answers

Local Facility Team Members or respondent for greater depth of he/she thinks interviewer wants to

Workers, Clients or Customers) understanding hear

Review of Records Much information is readily Records might be outdated,

and Reports available for extracting desired incomplete, or inaccurate creating

data gaps in data

Focus Group Discussions Can yield qualitative data which Method requires that interviewer

requires probing have considerable skill in handling

groups

Allows respondents to express Individual group members might

opinions and feelings better talk too much or too little, biasing

than structured interviews or responses or results

questionnaires

Group members can augment Team building may be necessary

each other’s information

Reports of Inventories and Easy to obtain information from Ministry records may be incomplete

Activities in Government or records in the Ministry or visits or inaccurate

Other Facilities to facilities (public, NGO,

or private sector) Facility visits can be costly

Analysis of Grades and Number grades are easily found Analysing attitudes requires

Attitudes of Staff Members in annual reports and staff research skills and considerable

returns time

Table 1 provides some methods for data collection. Can you and your team think ofothers?

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Managers and staff planning programs may also review other data and information in preparingtheir programs. These include:

❑ Organizational strategic plans or annual reports❑ Government surveys, e.g., Demographic and Health Surveys (DHS)❑ Census Data❑ National sector-specific or multisectoral plans (e.g., Poverty Alleviation Plans)❑ Evaluation reports of on going projects❑ Annual program reports from governmental and private sector programs and projects❑ Global/country inventories and reports (UNFPA, USAID, WHO, UNICEF, UNIFEM,

UNAIDS, World Bank)❑ Survey data (including rapid needs and baseline assessments, knowledge, attitudes, and

practices [KMAP] studies, exit interview surveys or feedback from clients and customers)❑ Outputs from community participatory processes❑ Maps, such as those used in malaria control programs or HIV/AIDS sentinel

surveillance

Question:

Evaluation

A plan for assessing program achievements during and after implementation is vital tomeasuring the overall program success. The program evaluation will analyze theimplementation process (completion of planned activities), as well as the impact (long-term changes) that the program has had on the target population.

Staff should know in advance the information and the plan that will be used to measure anddocument the program’s achievements. The accomplishment of stated objectives will bereviewed by the program personnel and donors at the time that the program is slated to end,or at other designated points within the program period.

Evaluation Criteria

To facilitate program evaluation, criteria on which the evaluation will be based should bedetermined. The criteria should be

☛ Directly related to previously established objectives.

?• How many more sources and methods of

data collection can you and your team thinkof?

• What additional methods to generate usefuldata will be included in the program plan?

• How will you use the data you generate?

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☛ The basis for evaluation instruments, protocols, and formats.☛ Measurable, observable or otherwise capable of being documented.☛ Designed to facilitate dissemination of results, lessons learned, and replicable models.

Evaluation criteria can be presented in chart form, leaving spaces to indicate the percentageof achievement of stated objectives and the percentage increase or decrease against establishedbaseline data.

Evaluation Plan

A specific plan for carrying out the evaluations during and after implementation should describeor identify:

☛ Who will perform the evaluation (if an outside consultant will be hired or additionalstaff time allocated, include line items in budget showing expense).

☛ General qualifications of the evaluator.☛ When or at what intervals during the program the evaluation(s) will occur.☛ What specific indicators have been routinely monitored, and what data are generated

against these indicators.☛ How and when data on indicators and other collateral data will be collected and

submitted, and what formats or tools will be used.☛ How and when data will be analyzed and reported.☛ How evaluation findings will be reported, used or disseminated during and after

program implementation.

Reporting on Your Program

Program staff are generally required to report at regular intervals on program progress andfinances, providing detailed information on program implementation. Narrative reports shouldrefer directly to the stated objectives, work plan and evaluation criteria and include a descriptionand analysis of program progress. Achievements, challenges, levels of service, and constraintsshould be highlighted. Information that will be gathered and reported should be specified,along with timing of reports. Program narratives must usually be accompanied by a detailedfinancial or income expenditure report. Often, donors will have specific formats for financialreports. Program reports are usually required on a quarterly basis (every 3 months), but thismay be adjusted according to the program’s work plan.

Quarterly reports should summarize program activities, such as: service delivery data; training;IEC activities (where applicable); community outreach or joint activities; consultation withother stakeholders or allies; and innovative initiatives or events (e.g., income generating,advocacy, community sponsored events such as health fairs or public policy forums).

Reporting formats and other routine data collection instruments or protocolsshould be established as part of an organization’s MIS. Once appropriateprocedures and formats are in place, they should govern aspects of an organization’sregular program/project report mechanisms. Reporting requirements should beharmonized so that they are consistent across programs/projects and throughout

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the organization’s network (i.e., if an organization has multiple projects in multiplesites, it should try as much as possible to harmonize procedures and formats.Organizations should be proactive to negotiate interlocking approaches to datacollection and reporting that satisfy multiple donor requirements or needswhenever possible). This often requires substantial donor coordination.

Process Points…Remember the Steps…

Study the reality

Assessment

Analysis of Problems

StrategyTactics

Identify priorityproblems

Opportunities for NGO/its allies

Developprograms

ReviewTactics

ImplementProgram

Program organization, managementand administration

Systems for monitoringimplementation

Evaluation system

Program reviewed and new projects identified

ImplementMonitoringSystems

Evaluate/Disseminate

Reprogram

� � Goal� � Purpose� Problems/Solutions� � Outputs (Objectives)� � Resources� � Activities� � Budget/Resources Needed

PROGRAM PLAN

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Participatory Planning Processes

Increasingly, communities are expecting or demanding more inclusive program planning,implementation, and monitoring approaches. Moreover, program design based on principlesand strategies of equity, participation, empowerment, ownership, and solidarity often yieldmore sustainable programs over time. In adhering to these principles, community-based ordevelopment organizations may also emerge with strengthened management or advocacycapacity. To the extent that NGOs integrate community stakeholders into ongoing programprocesses, activities are usually more locally appropriate, widely supported, and likely to achievedesired results or outcomes.

Some of these principles have been systematized, validated, and included in variousworkbooks, handbooks, or monographs. Two of the most well-known are ParticipatoryLearning and Action (PLA) and Participatory Rural Appraisal and Planning (PRAP).These methodologies are generally adapted by NGOs in planning with volunteers orcommunity residents – whether or not they are organized into a formal structure. Usually,participatory processes are geared to ensure rapid – but systematic, accurate and revealing –analyses and problem solving. This is so, in part, because many community participants haveother jobs and responsibilities, with only limited time to spare for such exercises. They alsoemphasize speed because skeptical participants often need to be convinced that they cantruly help shape beneficial processes and programs. Protracted processes often makeparticipants wary or cynical about longer-term prospects.

A good manager will use participatory processes to strengthen program implementation andsustainability. This section of the module describes participatory processes generically andsuggests some exercises that might be used, or adapted, with community residents. Some ofthese same approaches can be used with target group members to solicit their inputs, priorities,and preferences. The keys here are: creativity, dialogue, receptivity, andresponsiveness. In other words, be open to the processes and adapt them as needed inlocal contexts where you, or the organization, are working. The dividends will be many!

Remember…

Participatory processes include methodologies that helpto identify community problems and plan solutions withthe active participation of community members. Theyallow for rapid and systematic:☛ Description and analysis of the community and its

context.☛ Identification of problems and potential solutions.☛ Project design and programming of activities for project

implementation.☛ Enlistment of community residents in supporting the

project.☛ Analyses of feasibility and prospects for sustainability.

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Participatory processes are not a panacea. In fact, they may raise several logistical, design,and implementation issues. They are often difficult to start because of issues of trust, lack offamiliarity with program implementers, intra-community rivalries, engrained gender biases,and the multiplicity of problems, especially in disadvantaged communities. NGO programofficers may also have their own biases and preferences. To facilitate participatory processes,one must be entirely open to the possibility that what emerges is not expected! Table 1 belowoutlines some of the advantages – and the disadvantages – of participatory processes.1

Figure 4:

ADVANTAGES DISADVANTAGES

❑ Extremely useful for community

mobilization, since it is carried out in

communities by community members.

It also can help raise awareness of

problems and trends.

❑ Uses visual techniques for gathering,

analyzing, and presenting data that

makes these data more accessible.

❑ Promotes active and sustained

participation of community members in

identifying problems and promoting

solutions.

❑ Promotes grassroots, sustainable

development by allowing community

members to search for solutions in

accordance with local criteria and priorities

in areas such as technical and social

feasibility, sustainability, cost, and role of

participants.

❑ Strengthens collaboration between the

community and external organizations.

❑ Promotes realistic solutions or proposals.

❑ Promotes reductions in gender and age

biases by integrating diverse groups into

the processes.

❑ Is relatively low in cost and rapid.

❑ Assists NGO program or development

workers to grasp realities that they and

the communities confront.

❑ Cedes some measure of control over

program design to the intended

beneficiaries.

❑ Is based on first-hand, rather than

derivative, information, including local

knowledge, values, and needs.

❑ Encourages systematic processes for the

long term.

❑ Can raise false expectations of total control

within the community, especially over financial or

other program resources.

❑ Can lead to expectations of “quick” fixes or

immediate attention to identified problems.

❑ Can generate false or misleading information

based on communities’ desire to “convince”

NGO officials.

❑ Can affect the level and quality of trust because

the exercises are rapid and not designed,

initially, to foster relationships.

❑ Can falter because of overbearing, in-

experienced facilitation by NGO workers. The

workers must facilitate only instead of

conducting the exercises FOR the community.

This is often difficult to do.

❑ Can fail because of difficulties in communication

(including language) or vastly different levels of

sophistication.

❑ Sometimes difficult for community residents to

grasp and use effectively.

❑ Can fail because communities are just not

interested or cynical.

❑ Levels and quality of community participation

may fluctuate widely from visit to visit or in

differing locales.

❑ Some community leaders may seek to “hijack”

the process for their own purposes.

❑ Sometimes it is difficult to see the “larger picture”

and help participants relate their issues to

district, regional, or even national trends

because processes are localized.

❑ Desired diversity within groups of participants

may not always be possible.

Participatory processes may not only help NGO workers develop more effective programs.They may, in fact, lead to specific proposals (or amendments) to the program being proposed.Local institutions may increase their capacity, and a body of suggestive data – describing thecommunity and its structures, problems or needs – may be created. More important, many

1Based on Selener, D. Endara, N. Carvajal, J. Participatory Rural Appraisal and Planning Workbook.International Institute of Rural Reconstruction. Quito. Equador. 1999

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communities may feel more empowered to act or advocate on their own behalf, therebyresulting in implementation of more sustainable alternatives.

Some practical considerations in using participatory

processes…

1. Incorporate discussion aboutparticipatory processes as part of yourentry strategy for a community or evenan alliance of CBOs and NGOs. Discussthe concept and ascertain whether it isfeasible or desirable from the point ofview of potential partners.

2. Use participatory processes to supplement data gathering from the earlieststages. For example, assemble groups of community members to help youmap or diagnose target areas. Include them in focus group discussions(FGDs) or interviews with other residents.

3. Ensure open and full participation to the extent possible. Let your partnersknow that you want to hear diverse views so that the program has thewidest possible appeal or impact. At the same time, be sensitive to localtraditions and customs that may shape how participating groups areorganized or facilitated.

4. Think about numbers. Is it feasible or possible to facilitate a large group?Are smaller groups preferable? Do local organizations have the capacity toassist? Is this a good time to strive for public-private partnerships?

5. Choose your facilitator(s) carefully and be open to the prospect of co-facilitation with community leaders or residents. The facilitator shouldmaintain a respectful attitude at all times, an attitude sometimes describedas equal to equal. The facilitator should not interject his or her opinionsor hoped for outcomes into discussions or exercises. The facilitator shouldhave some experience and be able to “set the stage” and explain why anexercise is useful, what is to be done, and how the outputs will be used.Most critically, the facilitator should be open to the possibility that his orher expectations are contrary to participants’ wishes or priorities.

6. Structure the participatory processes by using a wide variety of exercisesand techniques. Try to make the sessions lively and engaging, and helpthose who may be uncertain or shy recognize that they are equally valuedparticipants in the processes. Make sure that process outcomes are broughtback to the NGO and to the community so participants know what hasbeen done with their inputs.

7. Find ways to conduct the planning processes or exercises in the community.This is essential!

8. Be prepared to allocate enough time before, during, and after the initialprocesses are conducted. For example, it may take time to determinewhere, when, and how to conduct such processes, and whom. Theanswers may be different depending on what is to be done (e.g., planning

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versus monitoring or evaluation). The average planning meeting lastsbetween two and three days; most exercises take between two and fourhours. A lot will depend on the skills of the facilitator and the receptivityof participants.

9. Be sensitive to gender concerns. Often, processes involving decisions aboutprograms or development initiatives are left to men, or in the case ofreproductive health, viewed as the province of women. Care should betaken to integrate both sexes into participatory processes as potentialchange agents. In many instances, including younger people is also advised.The diverse perspectives and world views will enrich program design andimplementation and potentially increase impact.

10. Think about the possibility of having a community interlocutor – that is,someone or a representative from an organization that is respectedthroughout the community. This interlocutor can explain exactly what isintended by participatory processes, and help the facilitators or NGOworkers interpret what is being shared by participants. The rightinterlocutor can also help legitimize the process and refine or apply its results.

Some Exercises…

I. Community Mapping

One of the most common exercises is community mapping. This exercise can be veryrevealing in that it may help program implementers know how and where to target theiractivities. It may also give some clues about the kinds of problems the community is facing.Community mapping may be done by individuals or small teams. A sample map is found onthe next page. The technique is simple:

a. Ask participants whether they would like to work as individuals or in teams. If thegroup is very large, teams are preferable.

b. Provide newsprint, blank paper, or even transparencies and pens to participants.c. If there is time, or the venue is fairly localized, the participants may wish to conduct a walk-

about around the community before making their map(s).d. Ask participants to draw and label the major features of their communities and add or

highlight its demographics.e. Review the resulting maps in a plenary or roundtable discussion.f. Ask participants to list and agree on the major issues, institutions, and needs affecting

their communities. Ask them also to rank these in priority order.g. Review the maps again in light of this prioritization and ask participants to select the

most accurate map(s). At this stage, the group may wish to re-draw the map to reflecttheir discussions.

h. Describe how the NGO may use the maps to direct its program.

19

Fran’s Map here

20

II. Institutional Relationships

This is an exercise in which participants show how external public and private sectororganizations (including your own) intersect their lives and prospects. The exercise also showswhat institutions are active in the community and how they are perceived. It also may suggestgood alliances or resource sharing opportunities.

a. Conduct a brainstorming exercise to identify influential institutions and individuals.These should then be prioritized.

b. On a piece of large paper, place the identified institutions at their proper locationsinside a circle representing the community. Major institutions should always be labelled.

c. Each institution can be drawn ( e.g., drawing a church with a stuple to represent a majorreligious institution in the community) or represented by a square . The size andposition of the square may reflect how important (or unimportant) participants thinkthe institution or individual is. For example, if an institution is very important (e.g., thechurch, a health care facility, a school), it should be closer to the center and larger. If itis more peripheral, it should be at the edge of the larger circle representing thecommunity.

d. Participants should be encouraged to draw the linkages among the institutions orindividuals using lines or arrows. For example, if one of the institutions sponsorsmicro-credit projects, it may be linked to the large market that occurs three times aweek. Participants may want to note on the line linking the market with the micro-credit that “ they provide funds for market women.” Another possible linkage isbetween the health care facility and community-based health workers.

III. Preference Matrix

Participants may be encouraged to prepare a preference matrix in which they 1) identify keyproblems and 2) prioritize solutions. This is almost akin to a series of “voting” exercises asparticipants discuss, debate, and reach consensus about preferred approaches.

a. Participants prepare a matrix using a large piece of newsprint. They brainstorm a list ofthe priority problems and write them on the left side. (Note: this can be the same list ofproblems emerging from the discussion on mapping.) Refer to the sample matrix below.

b. Across the top of the matrix, participants list a number of more generic solutions (e.g.,implement income generating activities, build advocacy skills, strengthenlocal organizations, etc.).

c. Participants then “vote” on the best solution(s) to the identified problems.d. Participants can also go further and outline simple plans of action to make sure that

solutions are implemented.e. Sample matrix:

21

Issues/Problems Proposed SolutionsIdentified Income Gen. Better Health Strengthening Advocacy/ Improved

(IGA) Care CBOs Sensitization Education

a. Poverty #Participants“voting” forthis solutionas a priority

b. Declining health statusc. High unemployment, high risk behavior for youthd. Limited public sector inputs, supporte. Poor environmental sanitationf. Traditional practices that are no longer useful, safe

IV. Problem Tree

This exercise may be especially useful in a rural community. It is basically a drawing of a treewhich shows 1) a significant problem; 2) its main effects; and 3) its “root” causes.

a. The group draws a diagram of a tree – with branches and roots – and puts the mainproblem on the trunk.

b. The group then fills in the branches with the effects of this problem and shows theoverall effect – or most significant consequence – in the tree top.

c. The group then brainstorms about the root causes. They should write these causes intothe roots of the tree.

d. The group should then list the most important, feasible, or effective proposedsolutions. These should be listed in priority order. The matrix above can also be usedto stimulate a discussion and selection of the best solutions. If the group has time, itcan draw more than one tree, or it can outline specific action steps to be taken toimplement solutions.

Summary

Participatory processes should not be limited to entry or early stages of implementation.They can be used at every critical juncture of the program design, implementation, monitoring,and evaluation stages. What is important is that you and the organization agree on and have:

☛ Clear goals and objectives for community participation at each stage.☛ Clear roles, responsibilities, functions, and procedures.☛ Clear activities related to overall program objectives, including those set by the

community in earlier consultative or participatory processes.

As a manager, you should use participatory processes as advocacy and sustainability tools,relying on strong community support to ensure desired outcomes. Participatory processes

22

should not be static. Rather, they should respond to community perceptions and reinforcecommunication and information flow within the community and between the communityand your organization. Where possible, community participation should be guided by, andbuild upon, existing community structures and organizations. There may be times, however,when participation can be maximized by facilitating or creating a new coalition or structuredesigned to assist in program implementation and sustainable development. Let thecommunity be your guide…

Proposal Development

A proposal is a vehicle for an organization’ssearch for resources to improve services toits constituency. In many instances, publicand private sector donor agencies areexplicit about the guidelines that apply toapplications for financial or other support.In those instances, it is advisable to complywith the guidelines as stated. But what ifthere are no guidelines? And what if theorganization has limited experience inpreparing proposals? What if you as amanager are unsure whether theexpenditure of time and effort to prepare aproposal is truly worth it?

There are some tips to preparing soundproposals and budgets. One of the first isthe five “c”s: be creative, clear,complete, comprehensive, and

concrete. A sixth “c” might be careful consideration of the consequences of your proposal.In other words, what’s the potential impact? Aside from improved services for communitiesor target groups, a good proposal may have benefits for the organization beyond the fundsawarded including2 :

❑ Enhanced credibility❑ Identification of deficiencies in your organization’s planning❑ Better use of internal resources❑ Strengthening staff skills and building and effective team planning❑ Improved record-keeping or other systems❑ Clarity of goals and strategic objectives❑ Increased knowledge of the technical areas and the locations or groups to be served❑ Better program evaluations❑ Improved financial management

Before undertaking preparation of a proposal, an organizational commitment should be clear.That is, the proposal should be consistent with the mission, strategic plan, and organizational

2Adapted from Kiritz, Norton J. Program Planning and Proposal Writing. The Grantsmanship Center.Washington, DC. 1980.

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?What are the components of a good proposal?

A. Strong, concise (and even eloquent) summary of the request.

B. Good solid introduction that describes your organization’s structure, track record,

achievements, credibility, and outreach.

C. Thorough assessment of the problems the program will address.

D. Description of the solutions being proposed.

E. Set of goals and specific strategic objectives that outlines benefits from funding in

tangible, measurable terms.

F. Brief narrative expanding on the work plan and the activities that will be employed to

achieve desired results. Sustainability or income generation initiatives should also

be described here.

G. Work Plan (or Gantt or chronogram) chart that shows activities, time frames,

persons responsible, resources required, expected results.

H. Monitoring and evaluation plans that outline indicators for measuring progress, the

degree to which objectives are met, plans for documentation and dissemination, and

roles or responsibilities for all major participants.

I. Clear, complete budget showing relative contributions of all donors and the

organization and linked to Work Plan or other organizational plans such as those

outlining strategic or sustainability directions.

niche. The proposal preparation process should engage staff at all levels, since feworganizations have full-time Development or Fund-Raising Directors:

❐ Those preparing the proposal should have access to organizational decision-makers sothat they can be confident that what is being proposed has support throughout theorganization.

❐ Finance and program staff should be integrated throughout the proposalpreparation exercise. Too often, these very important staff perspectives and skillsfunction in isolation from one another, with the result that neither group is aware ofthe views and concerns of the other.

❐ Outcomes of community participatory processes should also be used to enrich theproposal.

This does not mean that proposal writers should not use creativity. In fact, innovativeapproaches or models that address major problems are often deemed more worthy of fundingthan “business as usual.” What matters is that the plan is coherent, solid, and comprehensibleto those who are reviewing it.

Tactically, it is sometimes useful to meet with potential donors before you have a plan ofaction or proposal in mind. In this way, you can have a more comprehensive and free discussionthat may yield valuable information about donor preferences and strategic directions. Youmight also ask for copies of the donors’ guidelines or examples of programs that have beenfunded. Visits to, or conversations with, donor-funded organizations may be very helpful.Involving your Board of Directors or volunteers in these meetings can also be useful. Often,they are influential persons who are recognized by the donor; their association with yourcause can only help. Also, they may have personal donor contacts or relationships that cansmooth the way for proposal consideration.

Finally, you might write a letter to a donor outlining your concept and ascertaining theirinterest by their response. This is to be distinguished from the letter that accompanies, or

24

serves as, a full proposal. Such a letter must be extremely clear and concise. It should tell whoyou are, describe the problem you are seeking to address, and outline your plan of action.Innovations should be highlighted. The letter also must indicate what level/amount of fundingyou are seeking. The CEO, Chair of the Board, President, or Executive Director or yourorganization should sign such a letter.

Tips and Tools…A Proposal Preparation Checklist

The following checklist may assist you in remembering the kinds of steps or information thatshould be included in the proposal preparation process.

Proposal Summary

❑ Clearly identifies the grant applicantand its qualifications/credibility.

❑ Includes at least one sentence on theproblem.

❑ Includes at least one sentence onobjectives.

❑ Includes at least one sentence onproposed activities.

❑ Includes a chart clearly showing inputs or funds needed and expected results.❑ Is brief, interesting, and clear.

Proposal Introduction

❑ Clearly establishes who is applying for the funds (e.g., clearly describes theorganization’s structure, purpose, goals, programs, clients, and credibility).

❑ Offers specific evidence of, and/or statistics on, achievements.❑ Specifically demonstrates credibility in areas for which funds are sought.❑ Leads logically into the problem and solution statements.❑ Is brief, interesting, free of jargon, and relevant.

Problem Statement

❑ Relates to the organization’s mission and goals.❑ Is reasonable, feasible, and within the organization’s capabilities.❑ Is supported by statistical evidence particularly related to target communities

or groups. This is a good opportunity to use participatory processes todevelop a rich and evocative problem statement.

❑ Should not make unsupported assumptions.❑ Is free of cliches, jargon, and meaningless phrases.

Program Objectives

❑ Are SMART.❑ Quantify specific program-related outcomes (describe in numerical terms).❑ Clarify the group(s) to be served, trained, informed, assisted, facilitated,

included, and supported.❑ Make clear the number of items to be produced, introduced, or created in a set

period of time.❑ Demonstrate the progression or progress over time using charts as needed.

25

Activities Section (or Work Plan Narrative)

❑ Flows naturally from problem, solution, and objective descriptions.❑ Describes major activities clearly and in sequence.❑ Identifies clients, target groups, or target locations/communities.❑ Outlines participatory processes.❑ Demonstrates sustainability measures or plans, including IGA.❑ Describes staffing, systems or procedures, and program innovations.❑ Links with the Work Plan chart (or chronogram) and budget. That is, no

activity should appear in the narrative that does not appear in the chart orthe budget. If an activity has a specific number of participants (e.g., atraining exercise for 20 persons), the cadre or number to be trained, theduration of the training, and the persons to do the training should beidentified. This will help make budgeting and monitoring more specific andaccurate. It is not necessary to provide an exhaustive description of eachtraining curriculum.

Monitoring and Evaluation

❑ Covers outcomes or results and processes.❑ Clearly describes who will be monitoring and at what intervals, who will be

evaluating and what criteria will be used to select evaluators.❑ Identifies clients, target groups, or target locations/communities.❑ Lists key indicators and evaluation criteria. The proposal does not have to

list each and every indicator but should show how indicators will be used(e.g., incorporated into the MIS, turned into checklists, subjects of stafftraining in data for decision-making).

❑ Describes reporting requirements, intervals, and production (e.g., monthly,quarterly, semi-annually, annually), by whom and to whom. Feedbackmechanisms should also be described.

❑ Shows how report, monitoring, review, and evaluation findings will be usedto improve program design or performance, to validate approaches orrequests for new funding, to document lessons learned, better practices,and replicable models, and for advocacy.

❑ Outlines ways in which these functions will result in communityparticipation and review.

Preparation of budgets is covered in Series 2, Module 3. ProgramManagement

26

Program Management

Throughout these modules, there are tips and techniques that can help you improve yourprogram management. They will not be re-stated here. However, there are some importantmanagement activities related specifically to programs or projects that should become secondnature to effective managers and staff teams. Here are some of them.

Keys to Good Program Management

Program Element Management Tips Who is Involved What Outcomes

Assessments,

baselines, surveys,

community

diagnoses,

participatory

process outputs

❑ Schedule and conduct

studies before the

program is designed.

❑ Incorporate community

into the processes.

❑ Institutionalize use of

resulting data for

planning, services to

target groups, decision-

making, budgets.

❑ Identify all agencies

working in com-munity.

❑ Ensure data are part of

your MIS.

❑ For a program lasting

over three years,

consider a mid-term

review.

❑ Staff who will manage

the program

❑ Community members

❑ Consultants (if you

are not sure you have

adequate skills levels

among staff)

❑ Partners

❑ A data base that can

be used to gauge

progress and

performance

❑ Basis for more

sensitive and

appropriate designs,

procedures

❑ Program priorities

based on solid data

❑ New information

about trends,

attitudes, knowledge,

practices, players

❑ Identification of target

groups (e.g.,

adolescents and

men) and

opportunities for

multi-sector

programs

Staffing ❑ Re-examine

organization chart.

❑ Review job

descriptions.

❑ Determine whether

your staff has the

requisite skills for the

program.

❑ Prepare a staff

deployment plan for the

program and determine

if the number of staff is

adequate. If not, check

budget to see if

recruitment is feasible.

❑ Institute staff

development and

training if needed.

❑ Board of Directors

❑ Human Resources

Manager

❑ Senior Staff

❑ Trainers (if on

board)

❑ More efficient

operations

❑ Better coverage

❑ More technically

proficient staff

❑ More clear roles and

responsibilities

❑ More accurate job

descriptions

❑ Improved staff

morale

27

Program Element Management Tips Who is Involved What Outcomes

Orientation/

Sensitization

❑ Include sensiti-zation

of community

leaders, influentials,

and policy makers as

part of program

design.

❑ Provide compre-

hensive staff

orientation on

program elements,

requirements,

objectives, results.

❑ Consider

consultative

meetings or brief

orientations for

potential partners,

community

structures.

❑ Consider capacity

building linkages and

interventions for

Advisory Com-

mittees, CBOs or

partners with

potential.

❑ Senior Staff

❑ Community, NGO,

CBO leaders

❑ Trainers,

consultants,

facilitators

❑ Local authorities

❑ Policy makers

❑ Increased awareness

and program support

❑ Consensus about

problems, solutions

❑ More informed staff

❑ Linkages and

coordination

mechanisms

Work Plan ❑ Use to support

monitoring and

supervision

❑ Transform into a

checklist.

❑ Incorporate

sustainability

strategies into Work

Plan from program

inception.

❑ Conduct monthly

update meetings on

progress, problems

at all levels and

annual review

meetings. These

can include partners/

primary

beneficiaries.

❑ Ensure that Work

Plan activities are

fully budgeted

❑ Don’t just sit at your

desk. Go out and

see for yourself!

❑ Implement oral and

written feedback

mechanisms.

❑ Senior Staff

❑ Line managers

❑ Community workers

❑ Partners

❑ Community

Structures

❑ Donors

❑ Explicit plans of

action

❑ Improved monitoring,

supervision, report-

ing, resource

allocation, mobiliza-

tion

❑ Better staff team

work

❑ More clear community

perceptions about

program directions,

deliverables, out-

comes

❑ Better staff deploy-

ment and coverage

❑ More sustainable

programs

28

Supervision and

Monitoring

Program Element Management Tips Who is Involved What Outcomes

❑ Make sure program

indicators are

integrated into MIS.

❑ Make sure the Plan

is clear about

✔ planned activities

✔ person/units

responsible

✔ resources needed

✔ expected results

✔ inputs from others

❑ Develop and enforce

schedules at all

levels.

❑ Incorporate and

systematically feed-

back mechanisms.

❑ Consider team

supervision.

❑ Incorporate supervi-

sory observations

into staff appraisals.

❑ Use supervision to

identify/address staff

deficiencies, provide

skills transfer,

training and TA

❑ Modify or simplify

supervisory or

monitoring tools for

use by community

members.

❑ Institute joint moni-

toring and supervi-

sion with program

staff, partners, com-

munity members

when planning.

❑ Use a variety of

supervisory tools,

techniques to assist

staff and workers.

❑ Review outputs from

other systems (e.g.,

MIS) and previous

visits before con-

ducting new visits.

❑ Document supervi-

sory findings in

written reports to

files or senior staff.

❑ Use findings from

supervisory or

monitoring visits to

suggest budget/

staffing changes.

❑ Staff at all levels

❑ Community members

❑ Directors

❑ Donors

❑ Partners and collabo-

rators

❑ Technical resource

persons

❑ Improved perform-

ance

❑ Better supervisor-

staff interactions.

❑ Improved problem-

solving

❑ More effective skills

transfer, training, and

technical assistance

❑ More specific data

about program

progress and

problems

❑ Increased commu-

nity participation and

support

Work Plan (continued)

29

Reporting

Program Element Management Tips Who is Involved What Outcomes

❑ Make sure your

reports are accurate,

clear, comprehen-

sive, timely

❑ Follow guidelines for

reporting.

❑ Try and harmonize

various reporting

requirements when

funded by multiple

donors.

❑ Give and respond to

feedback on reports.

❑ Compare reports on

programmatic

activities with the

work plan and those

on finances with the

budget.

❑ Help staff at all levels

to analyze and use

data and reports for

decisionmaking.

❑ Remember that

stock, supplies,

equipment invento-

ries, fixed assets

should also be

reported on system-

atically.

❑ Prepare annual

reports highlighting

accomplishments,

innovations, and

challenges.

❑ Consider using multi-

media technologies

when reporting on

your program (e.g.,

videos, photos, audio

cassettes, Power

Point presentations,

etc.)

❑ Managers, supervi-

sors, staff at all levels

❑ Board of Directors

❑ Regulatory bodies

❑ Donors

❑ Community struc-

tures

❑ Technicians

❑ Storekeeper(s) or

supply clerks

❑ Clear records on

program income,

expenditures,

activities, achieve-

ments, and con-

straints.

❑ Useful data for

marketing, advocacy,

modeling.

❑ More efficient and

targeted resource

procurement and

allocation.

❑ Timely data that can

be used to pin-point,

solve problems.

❑ Improved donor

coordination.

❑ Better information

flow within the

organization.

Budget ❑ Review the budget

side by side with the

work plan, reports.

Ensure budgets are

adequate.

❑ Provide training so

program staff can

understand rudimen-

tary financial man-

agement.

❑ Chief Executive

Officer

❑ Financial Director

❑ Board of Directors

❑ Managers

❑ Donors

❑ Community struc-

tures

❑ Technical resource

persons

❑ Increased ability to

project program

resource needs.

❑ Clear, more com-

plete information

about feasibility

because program

and financial plan-

ning/management

integrated.

30

Budget (continued)

Program Element Management Tips Who is Involved What Outcomes

❑ Integrate financial

personnel into all

aspects of program

design, planning,

implementation,

monitoring, reporting,

review, and re-design.

❑ Keep financial

records rigorously up

to date. Insist on

capabilities for

generating income

and expenditure

statements or

balance sheets at

any interval.

❑ Make sure adequate

financial controls are

in place, including

adherence to budgets.

❑ Make separate

budgets for special

initiatives contained

within the plan (e.g.,

events, training

courses)

❑ Link budgeting and

financial manage-

ment to your MIS.

❑ Segregate income

generated from grant

funds.

❑ Increased ability to

anticipate, fill fund

gaps.

❑ Improved managerial

efficiency and

effectiveness.

❑ Increased account-

ability and transpar-

ency.

Resource

Mobilization

❑ Make resource

mobilization (grants,

in-kind, community)

a shared team

responsibility.

❑ Use guidance in this

module to improve

proposal develop-

ment.

❑ Seek, implement,

scale up, or replicate

innovative program

models.

❑ Invite donors, policy

makers and others to

review your pro-

grams regularly.

❑ Make proposals

responsive to local

needs, concerns.

❑ Chief Executive

Officer

❑ Board of Directors

❑ Managers

❑ Technical resource

persons

❑ Community mem-

bers

❑ Public-private

partnerships or

coalitions

❑ Director of Develop-

ment or Fund-raising

if in work force.

❑ More resources

available to meet

organizational,

community goals

and objectives.

❑ Scaling up or

replication of

innovations, effec-

tive models.

❑ A better organizational

image or more

influence.

❑ Improved advocacy.

❑ Increased

sustainability

through community

support or diversifi-

cation of an organi-

zation’s resource base.

❑ Better, more acces-

sible services for the

hard-to-reach or at

risk.

31

Some Recommended Time Frames

Activity Interval

Monitoring and Supervisory Visits ❍ Senior Staff – at least quarterly

❍ Line Managers – at least monthly

❍ Board of Directors/Donors – at least

annually

❍ Community members – at least

quarterly

❍ Financial Director – at least quarterly

Reporting ❍ As set out in donor guidelines

❍ Financial – at least monthly

❍ Field workers – at least monthly

❍ CEO to Board – at least quarterly

❍ Organization-wide Annual Report –

annually

Inventories ❍ Stock, supplies – at least monthly

❍ Equipment, fixed assets – at least

annually

Operational Assessments At least annually

(e.g. systems effectiveness:

MIS, quality assurance,

supervision/ monitoring, financial

management, personnel,

facilities, staff deployment)

Program design review At least semi-annually (every six months)

with full-scale review and planning exercise

annually

Budget Review Monthly, based on income and expenditure

reports

Staff Appraisals ❍ Oral – every six months

❍ Written – annually

[Use work plans, job descriptions,

supervisory reports]

Advisory Committee/ Board ❍ Usually quarterly

Meetings

Community Participatory ❍ At critical junctures in the program

Processes process (e.g., assessments, planning,

resource mobilization, monitoring,

evaluation).

❍ As part of annual program review

32

Annex A: Steps and Considerations in Designing a

Program

Step # 1

Identifying Critical Programmatic Issues and Trends

Entry strategy and approach

☞ Broad consultation, tailored to the context but including community (religious, civic,women’s, youth, union, men’s, or sports groups, etc.) leaders, potential stakeholders,local government officials, other service providers in your area of specialization.

Rely on

❑ Local staff❑ Previous project experience❑ Potential or previous stakeholders❑ Strategic plan targets❑ Demographic data❑ Existing services

Step # 2

Identifying stakeholders/ partners/target groups

Approach

☞ Conduct joint problem identification activities.

Rely On

❑ Approaches with joint problem identification, problem solving activities e.g.,Participatory Learning and Action (PLA) or Participatory Rural Appraisal (PRA)

❑ Focus Group Discussions (FGDs)❑ Particular needs assessment (i.e., training, facilities/infrastructure, institutional capacity

building, IEC/behavior change communication (BCC), service delivery, quality)❑ Observations

33

❑ Simple, targeted questionnaires❑ Community forums

☞ Discuss/create ongoing consultative mechanisms for existing or new programs.☞ Identify resource needs and existing organizational/community capacity (tie to

technical assistance or other responses to build capacity as required).☞ Examine policy/strategic implications.☞ Identify groups most affected by problems or most in need of services (e.g., poor,

disadvantaged, high transmitters, hard-to-reach).

Step # 3

Create a range of options

Approach

☞ Prepare and discuss detailed alternative solutions to identified problems.☞ Set priorities among proposed solutions.☞ Test feasibility/appropriateness of tactics or options.☞ Identify potential partners and target groups (including segmentation within groups

e.g., differences in approach between adolescent boys and girls).☞ Relate options and tactics to Strategic Objectives (SOs) especially if a strategic plan is

in place.

Rely On

❑ Program reports, proposals, and evaluations❑ Your organization’s Strategic Plan❑ Mix of organizations working on issue (potential allies, competitors)❑ Results of needs assessments, consultations with communities (especially on what is

locally appropriate, most feasible, tried before)❑ Preliminary cost or budget estimates (as an additional indication of feasibility)

Step # 4

Program Design

Approach

Detail the following elements and include information on the expected inputs and outputs:

☞ Program objectives☞ Step-by-step building blocks or implementation approach☞ Specific activities

34

Rely On

Inputs

❑ Staff required to supervise, monitor, implement❑ Resources on hand and needed❑ Equipment needed❑ Material needed❑ Space needed❑ Training/TA to be provided❑ IEC/BCC/awareness or demand generation activities to be conducted❑ Systems/structure in place or needed to support implementation

Outputs

❑ Specific achievements❑ Quantitative (measurable) outputs❑ Qualitative outputs❑ Improvements resulting from the project❑ Interest in project expansion, changes in knowledge, attitudes , and practices, (KAP),

behavior change or modification, motivation, increased acceptance, perceivedownership of project/outputs

❑ Resources generated❑ Skills developed

Step # 5

Monitoring/Evaluation

Approach

☞ Increased number and use of organizational tools (e.g., improved MIS, report formats,checklists, system guidelines for program design, supervision, monitoring, to ensureconsistency and enhanced coverage or performance review)

☞ Monitoring/evaluation/supervision activities, and appropriate feedback mechanisms,must be built in from start of program design process, and include elements describedbelow.

☞ Specific inbuilt, large-scale documentation and dissemination activities designed toshare and build upon lessons learned, better practices, and replicable models.

Rely On

Supervision

❑ Monitoring❑ Problem identification & problem-solving❑ Motivating, encouraging line staff and community participants❑ Engaging in team building❑ Close review of progress against selected indicators (quantitative/qualitative)

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Indicators

❑ Complete understanding of your organization’s core indicators❑ Systems to measure performance, progress, impact, change, size of the unmet need/

continuous problem

Data analysis and use in decision making

❑ Re-design/replication❑ Design of new projects❑ Planning❑ Resource allocation❑ Marketing❑ Documentation for internal/external consumption❑ Evaluation (measuring changes between baseline and current period, program

performance, and potential for replication)

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Annex B: Checklist for Reviewing a Program Plan

✓ Is the plan clearly outlined andarticulated, and is it realistic? Can theplan’s main component activities, objectives,and expected outcomes be specificallyidentified?

✓ Is it consistent with identified communityor target group needs? Have mechanisms togauge these needs been put in place and relied

upon in designing the program?✓ Is it reasonably flexible? Does it allow for variations or exceptions?✓ Is it clearly feasible? Can it be accomplished?✓ Is it in line with the time allotted? Does it take into account the time factor throughout the

program?✓ Does it include adequate human, material, and financial resources? Does it consider

existing resources as well as the additional ones needed?✓ Does it ensure coordination and cooperation among the various implementing units? Is

it clear and comprehensible to those involved?✓ Is it timely? Was it prepared with due anticipation and consideration of trends, strategic focuses,

receptivity of community or target groups?✓ Can it be easily monitored? Were specific indicators selected and responsibilities and techniques

for supervising, monitoring, reporting, evaluating, documenting, and disseminating developed?✓ Will it be funded? Is it an attractive, innovative, or unique program that is in line with major

donors’ priorities or targets?

37

Annex C: Guidelines for Planning Programs

Clearly state the objectives. What do we want? Whatproblems are we trying to address?Determine the degree and priority of each specificobjective. How much do we want, and in what order?Determine the obstacles that appear in the course ofattaining the objectives. What constraints/implementationissues lie ahead?Think about ways to eliminate obstacles. Think about allthe possible means or solutions, and select the best ones.Create a list of specific, properly sequenced, andeffective activities or actions to move the programforward, step-by-step. What innovative, useful, and effectiveideas should be implemented, and in what order, and by or withwhom?Determine what will be needed in terms of staff. Howmany people do we need and what are their scopes of work?Determine what will be needed in the way of facilitiesand resources including technical assistance, training, andmoney.Assign responsibilities. Who has to do what, and how?Establish a time line. When will the work get done?Establish how to measure progress and results. Whattype of monitoring and evaluation systems, and feedbackmechanisms, do you need?Determine what administrative action(s) will be neededto ensure that the program is approved and set inmotion. Who approves and what process is used for decision-making?

38

As a consequence of USAID’s and other donors’‘re-engineering’, the lexicon of programplanning has changed. For example, mostdonors are now developing STRATEGICOBJECTIVES. Strategic Objectives, in someways, are a synthesis of goals, purposes, andobjectives and are designed to convey thehighest level OUTCOMES or RESULTSthat the organization hopes for. Although many donors have adopted the“strategic objective” approach, others stilluse LOGICAL FRAMEWORKS. Bothformats have a great deal in common andcan be used almost interchangeably.

Annex D: Results Framework

Food for Thought

39

The Results Framework

Defining our terms...

RESULT Highest level result in results package(RP), e.g., “Government decentralized inselected district’

INDICATOR Should define, as required, key aspects ofthe Result: example, “Number ofdistricts in Nampula and ZambeziaProvinces to which authorities have beendelegated and in which municipalelections are held.

CRITICALHYPOTHESES The theoretical foundation(s) upon which the hoped for

developmental change is predicated, e.g., the direct election oflocal leaders will improve government accountability to theelectorate.

CRITICALASSUMPTION(S) Critical assumptions are defined as the general conditions under

which a development hypothesis will hold true, or conditionsoutside of the control or influence of the NGO, either of whichare likely to affect the achievement of results in the ResultsFramework, e.g., elected local governments will have the humanand financial resources to effectively respond to citizens concerns.Finally, the Framework should also include any key results that are,or will be produced by development partners.

INTERMEDIATERESULTS: Program outcomes necessary before a higher level result can be

achieved. Some sub-program outcomes may just be “sub-results,”i.e., lower level results related to main results, but not required fortheir achievement, e.g., local authority mandated to generaterevenue, and develop and execute budgets.

Terminology used above also applies to all sub- or intermediate results

TARGET: Performance targets establish the amount or degree of change[improvement] to be achieved in a given timeframe, e.g., first twodistricts decentralized by 2000, and the final two by 2002.

RESPONSIBILITY: Responsibility for achievement, including on the part of theNGO’s development partners, e.g., National Assembly andMinistry of State Administration.

Note: Since final results depend upon the achievement ofintermediate results, a Results Framework should convey someidea of the (intermediate) results timing. In other words, if thehighest level results are expected in the fifth and final year of a

40

strategic plan, and two levels of intermediate results are identifiedfor a particular result, then the lowest level results may beexpected (required) in Year 2, while the intermediate level resultsmust be achieved by Year 3 or 4.

The Results Frame work is therefore a key management tool thatcan and should be used to gauge progress towards achievement ofhigher level results. Indeed, in the development of intermediateresults, an explicit attempt should be made to identify measureswhich serve as progress indicators, e.g., different, sequentiallylinked intermediate results leading, over the life of a strategic plan,to the highest level result (such intermediate results are oftenreferred to as “benchmarks”).

Results Package for Sub-Objective 3.1

Result of SO 3.1

An example of a Results

Framework

Increased Supply of QualityMCH/FP and STD/HIV

Services

The Results Package Linkage

to the Strategic Objective

The increased use of health services isdependent upon the supply and availability ofquality health services.

Critical Hypothesis

The increased access to and availability of quality MCH/FPand STD/HIV services will lead to increased use of theseservices, which in turn will lead to improved health for womenand children.

Critical Assumptions

❐ The government (GRM) will continue to work closelywith international PVO and indigenous NGO partners,and will coordinate the provision of services.

❐ The GRM will continue to support the devolution ofdecision-making for health care delivery to theprovincial and district levels.

❐ The GRM will continue its interest in examining healthfinancing issues and develop policies favorable toappropriate roles for both the public and private sectors.

❐ The GRM will increase the number of rehabilitatedhealth facilities that, in turn, will support community-based outreach.

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Indicator

Proportion of the population with access to quality health services.

Target

Access to quality health services will increase from possibly 33% (baseline to beprovided by the DHS and health facility survey of the population—possibly 50%). Theactual percentages will depend upon baseline data.

Result of Sub-Objective 3.1.1: Increased outreach to communities

Critical Hypothesis

The delivery of health services through the MOH, PVOs/NGOs, along with favorablepolicies and regulations supporting the non-government development of healthservices, will result in increased use of basic quality-health services.

Critical Assumption

The GRM will support favorable policies and incentives for the delivery of healthservices by outreach workers.

Indicators

❐ Proportion of communities with regular visits from outreach workers.❐ Number of communities with health committees.❐ Communities with access to trained TBAs.

Target

❐ The proportion of communities with access to outreach services will increase to X%(to be determined).

❐ The number of communities with health committees will increase to # (to bedetermined).

❐ The number of communities with access to trained TBAs will increase to # (to bedetermined).

Illustrative Programmatic Activities

❐ Health site to community outreach (community based distribution – CBD)❐ Training and support for village health committees and TBAs.

Result of Sub-Objective 3.1.2: More health sites equipped to provide essentialMCH/FP and STD/HIV Services

Critical Hypothesis

The regular supply and availability of essential drugs, supplies, and family planning commoditieswill enable health sites to provide dependable-quality services and will increase the use ofthese sites.

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Critical Assumptions

❐ The GRM will assume increased responsibility for financing a portion of the vaccines,essential drugs, and family planing commodities.

❐ Other donors will continue to support the provision of essential drugs and familyplanning commodities.

Indicator

Health sites equipped to provide essential MCH/FP and STD/HIV services.

Target

The proportion of health sites with no stock-outs of essential drugs, supplies, and familyplanning commodities will reach X% (to be determined)

Illustrative Programmatic Activities

❐ Provide MCH/FP and STD/HIV supplies and commodities.❐ Provide MCH/FP and STD/HIV equipment.❐ Strengthen the delivery of family planing at MOH facilities and through PVO and

NGO projects.

Result of Sub-Objective 3.1.3: Improved human resources and skilldevelopment among health providers at provincial and district facilities and amongoutreach workers

Critical HypothesisThe availability of health providers with appropriate skills will improve the quality ofservices provided, and in turn, increase the use of these services.

Critical AssumptionThe GRM will aggressively pursue pre-service and in-service training programs for allhealth facility personnel and expand recruitment for new personnel.

IndicatorHealth providers with appropriate skill development.

TargetThe proportion of health providers with appropriate skills, at district level, will reach X% (tobe determined).

Illustrative Programmatic Activities

❐ Provide technical assistance to help the MOH develop standards of practice in MCH/FP and STD/HIV for all health cadres.

❐ Provide MCH/FP and STD/HIV skill development for:

☛ Traditional birth attendants☛ Mothers’ home-based education☛ Traditional healers☛ Health cadres based at fixed sites – clinics, health posts, etc.☛ Outreach workers

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Annex E: Log Frames

Defining our terms:Logical framework

In the 1970s, several foreign assistance programs,including the UN system and the World Bank, beganusing LOGICAL FRAMEWORKS to help designprograms that show clear, measurable RESULTS. Alogical framework “assumes that a development projectis an instrument of change” and that planners select themost potentially cost-effective approach to achievingdesired, beneficial results. A log“ frame” approachaccepts and attempts to manage uncertainty using asystems analysis approach.

The following is the 3-level program managementhierarchy that is most used with the logical framework.

Program Management. To simplify programswe first recognize that there are three basic levels ofprogram responsibility:

• Inputs: the resources consumed and activitiesundertaken. Lowest levels of log frame; equal toactivities, resources required, personsresponsible, and timeframes that will beundertaken.

• Outputs: the things good managers arecommitted to produce, stated as results. If onefails to produce those results, then the burdenof proof is on the manager to “show cause” as towhy he or she failed. Second level of the logframe; results that are directly accomplished bymanagement of the inputs.

• Purpose: the reason for producing theoutputs, i.e., the higher-level objective thatcauses an organization to invest in producingoutputs. A higher level objective describingwhat is expected to result from achieving theoutputs.

To this, a fourth, superior level is added: THE GOAL.A goal is the higher-level objective above a programor project purpose. The highest order objective forwhich the project or program is necessary but notnecessarily the only means, for achieving the desiredresult. Usually a broad-based statement of principal oraspiration.

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When designing a project using the log frame, planners make a series of predictions basedon definite causal relationships. These predictions are called hypotheses, such as

• If the inputs are managed properly, then the outputs will be produced.• If outputs are produced, then the purpose will be achieved.• If the purpose if achieved, then this will contribute to achieving the goal.

Hierachy of Objectives

Taken from ENTREPRENEURIAL ECONOMY REVIEW • JULY/AUGUST 1989

Other Important Parts of a Log Frame

Assumptions: Factors affecting the project/program that are necessary for achieving successbut most often outside the planners’ control.

Targets and Indicators are the means for establishing what conditions will signal successfulachievement of the project objectives. Thus we can use indicators to clarify exactly what ismeant by narrative statements of objectives at each of the project levels.

GOAL

GlobalObjectives

PURPOSE

Rationale

OUTPUTS

DirectResults

INPUTS

Resources/Activities

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Indicators demonstrate results. They are not the conditions necessary to achieve those results.Indicators:❐ Measure what is important❐ Must be plausible❐ Must be targeted❐ Are independent

Data Sources answer the questions “How will we be able to track or monitor our indicators?”Examples include:

❐ Internal Sources of Data

☛ MIS outputs☛ Evaluation☛ Studies☛ Baselines☛ Periodic reports☛ Monitoring/supervisory visits

❐ External Sources of Data

☛ Census☛ Demographic and health or other surveys☛ Reports☛ Government policies☛ Parliamentary hearing or other records

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Purp

ose

Inputs

/Activitie

sE

xpecte

d O

utp

uts

Assum

ptionss

Obje

ctively

Verifiable

Means o

f V

erification

(Results)

Indic

ato

rs (

OV

I)(D

ata

Sourc

es)

Illu

str

ati

ve L

og

Fra

me

47

An

nex F

: C

riti

cal R

evie

w o

f P

rog

ram

Perf

orm

an

ce

Acti

vit

y A

reas C

overe

d o

n T

his

Sh

eet:

❑ A

dvocacy

❑ L

ife S

kill

s❑

Researc

h

❑

Pro

gra

m p

lannin

g/d

esig

n❑

Tra

inin

g❑

Com

munity m

obili

zation/o

utr

each

❑ P

eer

education

❑

Incom

e g

enera

ting

❑

Superv

isio

n a

nd M

onitoring

❑

IEC

❑ R

esourc

e m

obili

zation

❑ S

erv

ice D

eliv

ery

❑

Oth

er:

Rankin

gs:

5 =

Fully

on t

arg

ete

d/c

om

ple

ted;

4 =

On t

arg

et; 3

= I

mple

menta

tion I

ssues;

2 =

Majo

r P

roble

ms;

1 =

Off t

arg

et/not

initia

ted

Pla

nn

ed

Acti

vit

yA

cti

vit

y S

tatu

sR

an

kA

cti

vit

y Q

uality

Su

ccess F

acto

rs/C

on

str

ain

ts

48

Annex F: Suggested Proposal Cover Sheet and

Outline

COVER SHEET

A. Project Identification Number (if applicable)

B. Project Title

C. Implementing AgencyAddress (P.O. Box, Street)Telephone/Fax/E-mailProject Manager (with Title)

D. Start Date End Date

E. Project BudgetTotal Budget:Grant Amount:Implementing Agency Contribution:Contributions by Others (Description and/or amounts)Income to be Generated: ______Yes ______No

F. Project Partner Agencies (Please list with address, contact person)

G. Project SummaryBrief highlights of the project (inputs, outputs, expected results) and principalimplementing agencies or target groups. Innovations or unique approaches should alsobe briefly described. A chart like the one below is also useful.

Inputs OutputsYear One Donor Grantee # Served #Informed # Trained # Events #Docs Dist

Year Two

Year Three

Total

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Proposal Outline

Implementing Agency Qualifications

A. Organizational Experience (comparable programs, comparable grants, leadership in thefield, major achievements)

B. Key Project Staff (for the proposed project). An organizational chart is sometimesuseful.

Project Justification

A. A brief Problem Statement, or description of the issues/problems/needs the projectis designed to address. Statistical information relevant to the project’s scope andobjectives is needed but not a long, generic description of the country, location, sector,or target group.

B. A brief statement of the Proposed Solutions that is linked and responsive to theproblems identified in the Problem Statement. It is also useful to refer back to theAgency’s qualification, experiences, or lessons learned to highlight why what is beingproposed is the best, or most feasible, solution.

Project Objectives

A. General Objective (usually the long-term project goal)B. Specific Objectives (usually the specific, measurable outputs or results the project

hopes to achieve. It is sometimes useful to construct charts for training and IECobjectives such as the following:

# Trained Cadre Course Title Person Hours Training (PHT)

[Note: This chart can also be used for IEC events by changing the titles.]

Document or Materials Title Target Audience # Produced # Distributed IEC Events # Participating # Conducted Location

Work Plan

A. NarrativeB. Services and Special ActivitiesC. TrainingD. Project Management and SystemsE. Income Generation Activities (if relevant)F. Work Plan or Gantt Chart (See Figure 3, page 8)

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Programmatic Assessment

A. Monitoring

1. By the Implementing Agency2. By the Donor AgencyNote: It is useful to describe some of the key project indicators or benchmarkshere.

B. EvaluationC. Reporting (by interval, i.e., monthly, quarterly, annually)

Detailed Budget

The budget should follow donor guidelines and be clearly linked to activities in thework plan and specific objectives. If an activity is listed in the work plan, funds mustbe allocated for it in the budget.