ptf strategicplan

8/8/2019 PTF StrategicPlan

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Supporting citizens against corruption

Strategic Plan 2010-14


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Table of Contents

PagePurpose . 3

Background and Context 3 PTFs Role PTFs Track Record PTFs International Experience PTF Vision and Mission Categories of Projects that PTF Supports PTF Delivery Systems for Grants and Technical Assistance Evaluation of PTFs Impact

The Strategic Planning Process 7

Strengths, Weaknesses and Risks, Opportunities and Challenges ... 8

Critical Strategic Issues 9A. What is PTFs unique niche?B. Which project type, grant size and delivery model should be preferred?C. Should PTF expand and if so what are the constraints?D. How can PTF increase and diversify its sources of funding?

E. How can PTFs governance structure be strengthened?F. How can PTF become more effective in monitoring projects and surfacing andsharing lessons learned from projects?

Strategic Goals (strategies, actions, responsibilities, dates, resources)..151. Growth and Focus : Five Year Financials2. Support of PTFs Volunteer Advisers, Members and Staff3. Financial Resources and Development4. Governance and Evaluation5. Systems and Knowledge Sharing6. Communications

Appendix Organization Chart


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Purpose

This purpose of this paper is to provide the PTF Board of Directors with a comprehensive presentation of the organization's prospective strategies and to secure the Board'sapproval so that the new Strategic Plan can become operational. To this end, the paperidentifies and analyses the options available to PTF, considers its strengths andweaknesses, defines a set of goals and actions for each key strategic area with deadlinesand proposes Board and management responsibilities for their achievement.

Background and ContextPTFs Role

Partnership for Transparency Fund(PTF)1 was started in 2000 to explore, support andpromote new modalities to meet civil societys demand for good governance. Improvedgovernance - greater accountability, responsiveness to citizens and transparency andhonesty in the use of public resources - is seen as critical to achieving improved

development outcomes.

PTF is a not-for profit corporation registered in New York State consisting of 25-30Members who elect a Board of Directors and appoint a Board Chair. The Board in turnappoints new Members as needed, a President, Secretary and Treasurer and variouscommittees to help manage its business. All positions are subject to fixed terms.

PTF provides grants and technical assistance to Civil Society Organizations (CSOs) thatwork to improve transparency and accountability of public agencies. PTF seeks CSOgrantees that are in the front line in generating an internal demand for better governance.PTF supports projects that give voice to civil society, demonstrate the value of

constructive partnerships between government and civil society, and result in capacitybuilding through action learning. PTF recognizes that for civil society to play a key rolein holding governments accountable to their public, CSOs must be, and be seen to be,financially independent both from government and from other powerful vested interests,including the major donors and international financial institutions (IFIs).2 PTF grants helpmake this possible because it is independent, represents no vested interests whatsoever,and is a minor player posing no threat to public authorities.

PTFs Track Record

Since it was set up in 2000, PTF has established a strong track record, making more than

150 grants for a total commitment of around $3 million of which 90 per cent has beendisbursed (see Table 1 for data on grants and Annex 1(Pierre are we going to include thelist of projects?) for the list of projects that PTF has supported). The number of grantapprovals has rapidly expanded in recent years with 36 grants awarded in 2009 and atarget of some 40 grants in 2010. The average grant size has remained relatively constant

1. PTF is registered in New York State as a not-for-profit company with charitable status 2This need not exclude some government funding provided it is a minor part of the CSOs funding and does notcompromise the independence of the CSO.


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in nominal terms and declined in real terms. Average grant size in 2009 was US$23,646,roughly the same as in 2001. About two-thirds of PTF financing has been for projects thatfocus on reducing corruption in public sector service delivery, with the remainder forprojects supporting media campaigns, corruption surveys, and legislative work.

PTFsInternational Experience

PTF draws on exceptional international experience. Its Chair is Anabel Cruz fromUruguay, the President/CEO is from the UK and the Secretary and Treasurer are from theUSA. PTFs Board Directors come from countries across the world -- currentlyBangladesh, Germany, Holland, India, Kenya, Russia, and USA, the UK, and Uruguay all with exceptional experience in both running civil society organizations and inmanaging development aid. As required by law, PTF appoints Members, who elect theBoard Directors; the Members and Advisers are even more diverse than the Directors.

PTFs Vision and Mission

PTF has recently conducted an extensive exercise to think through its vision and mission.PTFs vision is:

Citizens succeed in making their government free of corruption

PTFs mission is:

Partnership for Transparency Fund mobilizes expertise and resources to provide

advice and small grants to civil society organizations to engage citizens in actions to

remove corruption in the public sector. PTF strives to support innovative approaches,

learn from its work, and share the knowledge gained.

Categories of Projects that PTF Support

PTF has two complementary activities: (1) making small grants to CSOs to fund anti-corruption projects; and (2) providing experienced specialist advice sharing goodpractice. PTF operates as a challenge fund inviting qualified CSOs to submit projectproposals that must: (i) be a specific set of time-bound activities designed to have a directimpact on corruption; (ii) involve direct interaction with public agencies and/or be part ofa media campaign against corruption; and (iii) as far as possible have a measurable andsustainable outcome. PTF selects less than one in four of the grant concept notes itreceives, and then works extensively with the applicants to strengthen project design inthe preparation of their grant proposals. In selecting projects to support, PTF looks forprojects that innovate, are tightly focused, have a credible chance of having some real,identifiable and sustainable impact on corruption and that have the potential forreplicability

PTF views the provision of expert advice to underpin its grant funding as the mostvaluable component of its activities. PTF operates through a network of development


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launch a new initiative called FONTRA in the southern cone countries of South America, based on the PTF model. ICD manages a Regional Fund for the Promotion ofTransparency, FONTRA, to which PTF contributes and also provides the technicalexpertise and oversight. FONTRA has received funding from IADBs MultilateralInvestment Fund and from private companies. This arrangement terminates at the end of

2010.

PTF has been experimenting with other delivery mechanisms, building on its experiencewith FONTRA, and to seek opportunities to create a critical mass of CSO interventions inselected countries. As a result PTF currently employs four delivery models:

Model 1. PTF makes direct grants to credible CSOs who submit project proposals thatmeet our criteria relating to objectives and design without involving any localmanagement partners the original approach.

Model 2. FONTRA/ICD.

Model 3. PTF works through a local partner to jointly mount a program supporting CSOsin a particular region. In this case PTF secures the funding, is responsible for itsadministration and evaluates the grant proposals. The local partner helps identify andassess the competence, suitability and bona fide of the applicants, and helps appraise,monitor and evaluate projects, based on its comparative advantage of geographicproximity and local knowledge of the CSO sector. PTF provides technical advice to thelocal partner and management oversight. In South Asia, PTF is partnering verysuccessfully with the Public Affairs Centre3 (PAC) in Bangalore.

Model 4. PTF works through a local partner to jointly mount a program supporting CSOsin a particular country. The aim would be to support complementary and potentiallyreinforcing CSO projects in a single country with a view to achieving a critical mass tomake a significant impact on corruption. PTFs role would be similar to Model 3. PTFhas successfully piloted this arrangement in the Philippines and Uganda.

Evaluation of PTFs Impact

PTF has been the subject of two independent evaluations, the first by Alexander Shakowin early 20054 on behalf of UNDP and the second by Catherine Gwin and Silvia Saborioin 20085 on behalf of the World Bank. Both evaluations were highly favorable. Shakowconcluded that PTF had evolved a sound business model to support small but oftenimportant anti-corruption projects. Gwin and Saborio found that 85 percent of PTFsupported projects had been successfully carried out and that the planned activities and amajority had achieved the outcomes sought. Overall the impact was assessed assignificant; in some cases both measured and very substantial. In addition, an informal

3See www.pacindia.org4 An Evaluation of the Partnership for Transparency Fund (2000-2004) by Alexander Shakow, March 2005.5Fighting Corruption and Promoting Transparency in the Public Sector: An Independent Evaluation of thePartnership for Transparency Fund By Catherine Gwin and Sylvia Saborio, May 2008.


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internal assessment of 47 projects in 2006 concluded that over 60% achieved a moderateto significant impact6. However, the absence so far of any systematic measurement ofimpact has led recently to PTF establishing a more concerted effort to derive more robustmeasures of impact7 through better monitoring and evaluation. This will be carriedforward during the period of the Plan.

Although project completion reports contain anecdotal incidents of successful outcomeswe can only truly know whether PTF is succeeding in its mission to reduce corruption ifwe have in place a robust monitoring and evaluation arrangements. In practice we havefound that the impact of the projects PTF supports is often hard to measure. Some havehad outstanding success with measurable savings of public funds as was the case of theKarachi Water and sewerage Project (some US$3 million saved on a contract originallyestimated at US$8 million), or US$1 2 million saved on the distribution of school text books in the Philippines or action to stop toxic pollution in some mining areas inMongolia. But the majority of projects deliver less obvious benefits in terms of reducedcorruption for example, projects that have raised awareness (e.g. YSD or CUTS in

India) or introduced a code of ethics (e.g. Mongolia judiciary). It has been PTFsintention that PTFs project M&E should start with well defined goals, activities, andoutputs that can lead to measurable, or at least identifiable, impact. To achieve thisobjective, PTF has required each grantee to put in place a logframe or results frameworkthat clearly identifies each of these elements. The grantees are then required to producequarterly progress reports and a final completion report which assesses both outputs andimpact by reference to the logframe/results framework. In a large sample of completedprojects, PTF then arranges for an independent Project Completion Assessment.

The independent evaluations made clear, and PTF has accepted, the need to: (i) put inplace a core administration less dependent on volunteers; (ii) develop local partnershipsto enable PTF to benefit from enhanced local knowledge of the CSO sector, and (iii)make greater efforts to share the lessons of experience among grantees and advisers. Toimplement these recommendations and reinforce PTFs core management, in January2009 PTF appointed a Chief Operations Officer who receives a monthly honorarium.Financial management and key administrative services are contracted out on an hourlybasis.

PTF staff and advisors have increasingly shared project successes and this has helpedthem to guide CSOs to strengthen project proposals. Due to administrative constraints,this process has been somewhat ad hoc.

The Strategic Planning Process

PTFs activities have been guided by a five year Business Plan that was approved by theBoard in 2007. Since then there has been a considerable expansion in PTFs activitiesbeyond that envisaged in the business plan made possible by a five year 2 million GTF

6Partnership for Transparency Fund, Secretarys Report to 15th Board Meeting, December 20067 PTF has established a M&E working group led by William Eckert


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grant from UK DFID in 2008 and World Bank DGF Window 1 support in the form of anannual grant of US$400,000. Also, the World Bank DGF provided a US$150,000 grant toundertake a study of the Banks support for the demand for good governance. In addition,very recently the Japanese Social Development Fund has approved a US$3 million grantto fund third party monitoring of selected World Bank projects in South Asia.

These growth opportunities pose an exceptional challenge to PTFs business modelwhich depends mainly on volunteers. The purpose of this document is to lay out theoptions now facing PTF, assess its strengths and weaknesses and the opportunities,challenges and risks, and recommend a new Strategic Plan for the five year period 2010to 2014.

As a first step, PTF management team submitted a Strategic Plan Issues Paper to itsBoard in April 2010 identifying the key questions that the Strategic Plan needed toaddress. The Board established a Strategic Plan Working Group8 with the responsibilityof conducting wide consultations with stakeholders. An extensive first round ofconsultations was held via PTFs basecamp internet site9. Subsequently, a first draft

Strategic Plan was prepared. The Working Group then held a one-day consultationmeeting in Washington DC on June 26 at which the draft Plan was discussed. Thisrevised version takes account of the inputs from the June 26 meeting.

Strengths, Weaknesses and Risks, Opportunities and Challenges

Taking into account PTFs independent evaluations, PTFs main strengths are seen to be:

Independent enabling it to constantly hold true to its vision and mission; Transparent in its governance with a Board and Membership drawn from women

and men of outstanding development experience from across the world; Exceptionally experienced and diverse professional management group; Small, fast, flexible and free from bureaucracy; Able to mobilize a unique cadre of highly experienced and dedicated volunteers Ability to combine flexible funding with high quality technical advice via its

unique access to expertise available from its cadre of experienced volunteers atalmost no cost;

Capable of financing small-scale and innovative activities; Able to fund local CSOs without the political baggage of the large official

funders that may be seen to compromise the independence of the CSO; Willingness to work with small and relatively inexperienced CSOs; Willingness to take risks; Very low overheads (under10% to date) by reliance on expert volunteers; A remarkable track record in terms of project implementation success rate.

The following have been PTFs main weaknesses and areas of risk:

8 The Working Group included: Pierre Landell-Mills (leader), Vinay Bhargava, Daniel Ritchie, CatherineStevulak, Gerry van der Linden, and Frank Vogl. The WG subsequently co-opted Jeff Kass.9 https://ptf.basecamphq.com/login


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Unsure medium and longer term funding; Inadequate local knowledge and insufficient site visits with one-on-one contact

with grantees; Insufficient liaison with other donors at country level; Insufficient flexible core funds for development, administration, communications;

Too great a country spread; but at the same time PTF has had too few projects inAfrica Reliance on volunteers for core implementation functions; this is mostly an area

of strength, but also a managerial challenge as volunteers sometimes fail todeliver and there are strict limits to the demands that can be placed on volunteers;

Too little sharing of experience among grantees and advisers and insufficientdissemination of lessons learnt;

PTF is insufficiently well known ( notably in the development/anti-corruptionfield and among potential sources of funding) - PTFs communications anddissemination performance has been poor; and

Insufficient independent project completion assessments.A major challenge faced by PTF is to adapt to the evolving international developmentcontext. In particular, recent efforts to spread the message about the importance ofsupporting the demand for good governance have been so successful that official donorsare now flooding the market with funding without having a coherent harmonizedstrategy for this new type of activity. This is having two negative consequences. First, ina number of countries the demand for good governance coming from CSOs is nowbeing donor driven and CSOs are being established to tap into donor largesse byopportunistic local social entrepreneurs who view this aid as a source of income andemployment, but have no strong commitment to take risks to fight corruption. Second,aid in this area is becoming bureaucratized in the same way as other official developmentassistance, encouraging recipient country public officials to develop strategies toundermine the goals of the demand for good governance approach. This developmentpresents PTF with both a new opportunity. In responding PTF needs to be very clearabout its niche and to focus its efforts in ways that exploit its comparative advantagederived from its strengths listed above. In this context, PTF needs to keep abreast of in-country donor dialogue on supporting CSOs in demanding good governance.

Critical Strategic Issues

Critical issues were surfaced during the strategic planning process. The planning processevaluated options for each issue in order to determine the best direction for PTF.

A. What is PTFs unique niche?B. Which project type, grant size and delivery model should be preferred?C. Should PTF expand and if so can it ensure that its progress is not undermined by

management and administration constraints and what should its geographic focusbe?

D. How can PTF increase and diversify its sources of funding?


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E. How can PTFs governance structure be strengthened to enable the Board andMembership to play fuller roles?

F. How can PTF become more effective in monitoring projects and surfacing andsharing lessons learned from projects?

A. What is PTFs unique niche?PTFs grant making experience comprises a range ofprojects, geography and a variety of CSOs. It is important to define the areas in whichPTF can contribute uniquely (or more effectively than other players) in supporting civil

society in fighting corruption. And, it is important to develop criteria that will help PTFdetermine when it is appropriate to support other types of activities that will help PTF

achieve its vision.

1. Going forward, PTF will maintain a tight focus on its core mission assistingCSOs to fight corruption. PTF will not try to tackle broader governanceissues, but rather keep corruption firmly in its sights. PTF will not limit itssupport to poor countries, nor will it adopt poverty alleviation as one of its

goals, even though it is clear that reducing corruption is central both toachieving better governance and to reducing poverty.

2. In addition, PTF in appropriate circumstances will use its competencies tosupport other activities that contribute to achieving its vision. For example,the decision in 2009 to undertake a study to assist the World Bank to helpdefine the Banks role in supporting the demand for good governance allowsPTF to contribute its experience in this area. PTF will thus be prepared toundertake special projects so long as they fit well within its vision andmission. In taking on these assignments PTF may hire consultants using donorfunding ear-marked for this purpose.

More broadly, PTF has generated considerable institutional knowledge andexperience of how CSOs may be assisted and encouraged to fight corruptionand this knowledge provides a basis for it to take on research assignments oreven propose research studies to funders. So doing will help enhance PTFsinstitutional capacity, raise its profile and further enrich its knowledge base.(In each case where PTF is invited to take on a new such assignment, it willneed to examine carefully the risks and burdens this may impose withnegative impact on its central mission relative to the perceived benefits.)

Note: PTF will seek to maintain a bias in favor of its core business to ensure thatspecial projects do not overwhelm its capacity to the detriment of its core business.PTF will also ensure that it only takes on special programs that are both fully funded interms of their management and contribute positively to PTFs core overheads.

B. Which project type, grant size and delivery model should be preferred?

Demand side proposals for PTF grants have been increasing in number in recent years

and opportunities for supply side projects are growing as PTF becomes more visible. Inthis environment it is essential for PTF to select the project types most deserving of


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support, to determine the appropriate grant size and to choose the most effective deliverymodel to employ in order to maximize reduction in corruption.

1. Project Type and Grant Size. PTF will sharply concentrate on proposalsthat clearly identify the corrupt acts to be targeted and that propose actions to stop

those acts. PTFs experience points to a preferred project design where the focusis on a specific instance or type of corruption and proceeds from analysis todiagnosis to identifying specific measures likely to reduce the corruption inquestion. PTF believes that working constructively with pro-reform officials islikely to have a more significant and lasting impact on corruption thanconfrontation after corruption has occurred. In future, PTF will be guided by theseconsiderations in working with CSO grant applicants to develop credibleproposals; this would not rule out focused media campaigns judged likely to havea significant impact.

2. PTF is uniquely specialized in managing small grants with large outcomes

and impact. PTF will now progressively raise the average size of the grants froman average of $25,000 over the past three years to $50,000 in 2014 and continueto provide a high level of technical assistance. This will mean supporting moresubstantial projects which may extend over two years compared to the currentgoal of one year and actual experience of 18 months and thereby further reducethe costs of grant administration. Where feasible PTF will support follow-upgrants to successful projects designed to carry forward the achievements of thefirst grant and consolidate the results with reinforcing actions.

3. Delivery Models. PTF, while continuing to employ the various deliverymodels discussed above, will emphasize Model 4, the single country model withlocal partner, where feasible. That combines the administrative simplicity ofModel 1 (where PTF makes direct grants to CSOs without local assistance) withthe advantages of drawing on the knowledge of the local partner. Although thearrangement with PAC has been categorized as Model 3 (regional partner), inpractice it is much closer to Model 4 as the vast bulk of the projects are in India.A weakness of the PAC arrangement, compared to Model 1, has been that PTFsexpert advisers have not engaged directly with the grantees; in filtering our advicethrough the local intermediary, the impact of the PTF Advisers has been diluted.This outcome is not satisfactory to either the grantee who could gain considerablyfrom direct contact with the PTF Adviser or the Adviser who misses the hands onexperience. This problem will be addressed by changing the procedures relating tothe Advisers input. The great advantage of Model 4 is that the local partner isgenuinely local with the specialist local knowledge that that implies. It is alsomore cost effective; travel outside a single country generally adds considerably tothe cost. Consequently, this is the preferred model for the future, implying greatergeographical concentration and hence greater selectivity in the countries wherePTF will work.


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C. Should PTF expand and if so what are the constraints? PTF has a number of scaleoptions ranging from consolidation at the current level of activity to significant growth.

PTF faces some significant constraints that could limit growth. And, growth hasimplications for the management of PTF. PTFs operations span a broad group of

countries today; going forward it is important to have criteria to guide PTFs

geographical balance and selection of countries.

1. Growth. As PTF has grown, its management and delivery system hasbeen challenged; it must be adapted to deal effectively with a range of risksrelated to due diligence that could put into question the quality of our grants andthe effective oversight of their implementation.

10Accordingly, it is suggested that

PTF aim in the period of the strategic plan for a doubling of grant givingactivities. Thisassumes an average grant size of US$34,000 permitting us tomake around 50 grants a year. This would fund 10 country programs and require30 Advisers. There would be US$300,000 available to meet the costs ofmanagement and the administrative overheads and other program activities,

supplemented as before by the special programs. This would fund a full timeCEO, an administrative assistant, and a part time Finance Manager. Whenadequate funds become available, PTF will begin to expand beyond the currentlyproposed doubling to a level consistent with its capacity to ensure quality results.

2. In expanding our activities, PTF will simultaneously seek funding to allowthe hiring of more core management capacity and dedicated program staff. Intaking on new programs outside of its core mission, PTF will ensure that they donot detract from the efficient delivery of ongoing commitments.

3. PTF will continue to operate primarily as a virtual organization.Communications are by email or Voice-Over-Internet at low cost to theorganization. Board meetings and the annual members meeting all take place byteleconference. PTFs documents, facilities and activities are disseminatedthrough the internet (www.PTFund.org, basecamp and googlepages) and by linksto other websites concerned with corruption. We plan to keep it that way. Nonetheless, face-to-face meetings of Advisers and staff are important to buildcommitment to a shared culture and we will continue to make use of meetingspace provided for this purpose through our partnership with Results forDevelopment Institute.

4. Geographic balance. As PTF moves forward, an extra effort will be madeto develop country programs in selected African countries Cameroon, Ghana,

10 For the purposes of analysis three scenarios were considered: 1) consolidation at thepresent level of activities; 2) modest growth (a doubling of grant giving activities); and 3)a leap to a larger organization with a five-fold increase in grant giving activities (i.e. $5million per year). Historically 10% of the budget has been available for allocation tomanagement and overheads, but even with the strong emphasis on volunteer support thatpercentage will need to grow in order for PTF to continue to be effective.


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Uganda, Zambia, and possibly Kenya seem promising candidates selectedmostly on the basis of our experience to date and the prospects of greater successin these countries than elsewhere.11

5. Criteria for the selection of country programs. So far PTF has country

programs in Uganda, the Philippines, India and Nepal and Mongolia. These haveemerged as the countries of concentration in response to demand and goodperformance. Thus, the countries of concentration are partly self-selected andpartly because the circumstances in the countries have been supportive. In future,the selection of countries of concentration will be based on the following factors:1) favorable conditions for local CSOs to work with public agencies instrengthening procedures that make corruption less likely; 2) the identification ofa strong local partner (individual or CSO) who can provide reliable local support;3) the availability of sufficient competent and reliable potential grantees; and 4)geographical spread.

D.How can PTF increase and diversify its sources of funding?Funding is one of thecritical limiting factors to PTFs growth. Currently, PTFs funding is highlyconcentrated with a small group of important funders and that funding will wind downover the plan period. It is important for PTF to reduce its dependence on the World Bank

and UK DFID. PTF needs to replace current funding and in addition secure funding tosupport growth and internal capacity building.

1. The challenge for PTF is to engage volunteers in fund-raising. Our goal isto secure additional sources of funds and we will explore new ways to achievethis goal. Our target for the next five years is to find at least three new significantsources of funds; our Fund-raising Working Group is tasked with achieving thistarget.

2. To strengthen the resource base it will be necessary to encourage BoardDirectors and PTF Members to participate fully in building the networks andoutreach to a range of funders (a) development agencies; (b) foundations; (c)corporations; (d) high net worth individuals.

3. PTF will also explore opportunities, consistent with its vision and missionand its independence, to partner with others in joint ventures.

11PTF has supported projects across the world, but with a focus on less developed and

transitional economies in response to the preferences of our main funders. Recently alarge proportion of PTF projects have been located in South Asia, Eastern Europe and theFSU countries, and in East Asia. Taking into account FONTRA, then Latin America hasbeen well served, too, though the activities have been concentrated in the southern conecountries at the request of IADB. The main gap has been Africa and the Middle East. Inboth these areas CSOs are less well developed and the public agencies often give themless space to play a role. There is almost no scope at present for PTF activities in Russia,China or Vietnam for the same reason.


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E. How can PTFs governance structure be strengthened?

PTFs effectiveness depends on the engagement of its Members and volunteers. PTFoperates with limited staff in order to run a lean organization. PTF needs to continue to

increase the engagement and effectiveness of its volunteers from Advisors to Members to

Directors.

1. PTF has committed to continually increase the effectiveness of its BoardDirectors, its Members and volunteers by providing them with moreongoing information on developments, encouraging their participation instrategic discussions via the website/basecamp, considering more meetingsthat might focus on particular issues in addition to the twice yearly Boardmeetings. Board Directors and other Members will be better utilized toevaluate and resolve substantive policy issues, address issues ofsustainability and the risks of the business model and assist in fundraising.

2. A new Nominations Committee has been established to strengthen theidentification of new Members and Board Directors, working towards anideal geographic and gender balance. Consideration will be given to theintroduction of term limits for Board Directors.

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3. A new Development Committee will be established to dedicate itselfprincipally to identifying new funding sources and to mobilize Directors,Members and Volunteers to undertake energetic fund raising.

4. The Board will assign individual Directors and/or Members with specificresponsibilities for leading goal areas and for completing specific taskswithin the goal areas (e.g. Frank Vogl has been asked to take the lead forPTFs Communications Strategy)

5. The Audit and Governance Committee will pursue assessments on anannual basis of the effectiveness of the Board and procedures.

F.How can PTF become more effective in monitoring projects and surfacing andsharing lessons learned from projects?PTF needs to institutionalize projectmonitoring, both internal by staff and advisors and that which utilizes external

evaluators. It is important for PTF to strengthen its processes to identify andcommunicate lessons learned, which assists grantees and enhances PTFs impact.

12PTF has some 40 active volunteers of these 27 are retired World Bank staff. While this has advantagesof a close bond of trust, accepted working methods, and a common professional culture, it has obvious

disadvantages of narrowness and image. PTF therefore plans to diversify this core cadre on which PTF so

heavily depends but without endangering its effectiveness. PTF will steadily expand the number of non-Bank volunteers aiming especially to recruit those with a strong CSO background and to improve the

gender balance.


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1. An important goal of the plan is to ensure that robust processes are developed andimplemented for capturing project data and successes and making them readilyaccessible. Virtual and in-person meetings of Advisers are also important on aregular basis to continue to share experience and evaluate good practice and

obstacles. At the same time, PTF needs to focus on communicating successes tothe stakeholders.

2. PTF has recently strengthened its operational guidelines. So far these have beenonly partially followed. In the period ahead special efforts will be undertaken tostrengthen its implementation.

Strategic Goals

Goal # 1: Growth and Focus

Based on the analysis of different growth scenarios set out above, PTF will seek fundingto make grants totaling $2 million by 2013 which would allow PTF to support 50 grants ayear and program $650,000 for other programs (partnerships, workshops, disseminationand program support not provided for with the project budgets etc.) and $100,000 formanagement and administration overheads. This assumes that most staff and related costswill be covered under program support. For the longer-term PTF will explore the optionfor order of magnitude growth i.e. 5 times the current $1,000,000 in grants awarded toCSOs and program supportA separate document to elaborate this possible growthscenario will be developed by the working committee of the strategic plan in coordinationwith the fund raising team.(see Goal # 3) The document is targeted for completion03/31/11. It will explore the following key areas relative to the longer term order of

magnitude growth scenario:(i) opportunities to partner with organizations developing alternative forms of

funding to include trust funds(ii) opportunities to secure new World Bank support,(iii) opportunities to secure support from new donors foundations, corporations,

bilateral and multi-lateral donors and individuals of high net worth(iv) the management model needed to support the organizations substantially

larger grant dollars to be awardeda. role of volunteersb. role of paid staffc. role of outsource vendors

(v) a road map to transition to the funding and management model that supportsthe order of magnitude growth

Goal # 1: Growth

and Focus

2010 2011 2012 2013 2014

South Asia (grants) 12 12 12 12 10


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Overall lead responsibility: President/CEO - Responsibility for achieving regionalgoals: Regional coordinators

Goal # 2: Support of PTF Volunteer Advisers, Members and Staff

1. Composition of PTFs Human Capital

The lions share of PTFs human capital consists of volunteers. The Board, President &CEO, Secretary and Treasurer, the Project Advisors who are in direct contact with theCSOs that implement PTF-supported projects, the Regional Coordinators and SpecialistAdvisors are all volunteers. PTF has been operating without full time paid staff and witha minimum of outsourced services such as financial management, program management,website management, and project completion assessment specialists provided byindependent contractors. As PTF continues to grow, careful consideration needs to begiven to whether or not the prevailing approach of relying almost exclusively onvolunteers will be sustainable in the longer-term. And if so, what would be a minimum ofpaid staff or contractual service providers to optimize the PTF Volunteer resources?

2. Tasks and activities required to make PTF function

There are seven broad categories of tasks that need to be accomplished to make PTFfunction effectively, namely:1) PTF project portfolio management; 2) Targeted Volunteer Advisers Management; 3)Financial management; 4) Updating and maintaining website, communications, data basemanagement & archives; 5) Reporting, Monitoring & Evaluation; 6) Support to Boardand Annual Members meetings; 7) Fund raising, Partnership Development, Networkingand Outreach.

The strategies and action plans outlined below are intended to link PTFs human

capital with the activities that need to be accomplished to make PTF function

successfully as an organization with a distinct product.

Metrics: actions completed as scheduled

Goal # 2: Support of

Volunteer Advisers, Members

and Staff

Completion

Date

Responsible

Strategy 1 Optimize Volunteer Advisers

a Build inventory of VolunteerAdvisors; develop plan to addadvisors to fill skill gaps

Mar, 2011 Pietronella vanden Oever/Sarah Drew

Strategy 2 Improve PTF systems and tools

to support Advisers


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a Develop terms of reference forVolunteer Advisers, RegionalCoordinators

March, 2011 ManagementTeam

b Conduct a needs assessmentamongst Advisers about tools

and support

March, 2011 Pietronella/Sarah

RegionalCoordinators,

c Prepare Induction Kit for newAdvisers, PTF affiliates

Mar, 2011 PTF special taskforce

d Develop PTF Advisorinformation system (see Goal #5) link advisors as appropriate

Dec, 2011 PTF Central Unit

e Upgrade internalcommunications system forAdvisors and Management (seeGoal # 6)

Dec, 2011 PTF Central Unit,

Strategy 3 Develop tools and strategies to

support Advisers work

a Update Operational Manual anddistribute

June, 2011,ongoing

PTF special taskforce

Strategy 4 Streamline portfolio

management

a Update standards and deadlinesfor proposal responses, projectcriteria, due diligence

Jan, 2011 PTF Central Unit,with regionalCoordinators

Strategy 5 Establish a PTF staffing plan

a Determine which tasks can bedone by Volunteers, paid staff orservice providers.

Dec, 2010 ManagementTeam

b Develop organization structurefor paid staff: positions,responsibilities

Jan, 2011,ongoing

ManagementTeam

c Develop task requirements forservice providers

Jan, 2011 ManagementTeam

Overal lead responsibility: Pietronella van den Oever

Goal # 3: Financial Resources and Development

PTF needs to develop a dual-pronged fund raising strategy. Long term, PTF will exploreincreasing its grant giving and funding substantially in order to support order ofmagnitude growth i.e. five times the annual $1,000,000 grant dollars awarded to CSOs


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for 2010. Short term, PTF needs to raise additional annual grant commitments to replaceWorld Bank DGF and UK DFID funding. Those additional grants will be needed toprovide a bridge until long term funding is committed.In the short term, to meet the 2013 goal of doubling annual grant commitments to $2million by 2013, the PTF will have to (i) diversify its sources of funding from its current

reliance on the World Bank and the United Kingdom, (ii) generate additional revenue of$1.5 million in FY 12 from new sources, (iii) replace the WB and UK funding thereafterwith an additional $1.5 million annually, and (iv) ensure adequate funding for the coreoperating budget of at least $250,000 by 2011.To meet the longer term goal of $5,000,000 of annual grants awarded to CSOs, PTF willhave to (i) explore opportunities to partner with organizations developing alternativeforms of funding to include trust funds (ii) secure new World Bank support, (iii) securesupport from new donors foundations, corporations, bilateral and multi-lateral donorsand individuals of high net worth.There are four immediate priorities: (i) developing a strategy for fund raising thatconsiders the full range of options, (ii) identifying potential sources of funding for core

management activities, (iii) identifying a volunteer advisor and team to formulate a fund-raising strategy, and (iv) initiating a program of person-to person contacts with potentialfunders. In the intermediate term, the PTF should develop its capability to preparefunding proposals geared to the interests of specific donors and maintain a regular watchon resources becoming available for anti-corruption programs.

Metrics: Core funding of at least $250,000 available from 2011: at least $1.5 million inadditional revenue for grant-making obtained by 2012 and $2.0 million annuallythereafter; in-house capacity for fund-raising, grant proposal writing and monitoring ofopportunities developed by 2012.

Goal # 3: FinancialResources and

Development

Strategic Goal Action Plan Completion

Date

Responsible Resources

#1: Provideleadership onfundraising

Identify lead fund-raising team

Dec, 2010 Frank Vogl andRichard Stern

# 2: Developshort term andlong term fund

raising strategyand action plan

Draft a fund-raisingstrategy and action planfor 2011-2013 and

beyond

Jan, 2011 DevelopmentCommittee

Possible parttimeresearch

assistant

#3: Obtain$250,000annual coremanagementfunds

Identify and solicitpotential sources offunding for corefunding and capacitydevelopment

Feb, 2011 Anabel Cruz, DanRitchie, Frank,Richard


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Goal # 3: Financial

Resources and

Development


Date


#4: Fullyengage theBoard in fund-raising

Identify solicitationobjectives forindividual Boardmembers with bilateralaid agencies, high networth individuals,foundations and theprivate sector

Feb, 2011 Anabel, Frank, Dan

# 5: Initiatecontacts with

potentialfunders

Visit to Nordics,Netherlands, US-based

Foundations, privatesector , and ADB.

Start Jan, 2011 Anabel (SwedishSIDA, Norwegians

NORAD),Knud Nielsen(Danida),Pietronella/Gerryvan der Linden(Dutch),Richard (Google,Omidyar,Rockefeller, OSI),Steve Ettinger(IDB)

Karti Sadilva&Khalid Siraj (ADB)

$20,000 intravel costs

# 6: Evaluateopportunitiesfor joint fund-raising effortswith partneragencies

Develop a ConceptNote for possible jointfund-raising initiativeswith Global Integrityand Results forDevelopment Institute

Jan, 2011 Dan, Sarah,Nathaniel Heller ofGI

# 7: Developin-house fund-

raising capacity

Recruit part-time staffto draft proposals and

monitor opportunitiesfor funding

Apr, 2011 Anabel, Dan $30,000salary for

half-timestaff

Overall lead responsibility: Frank Vogl/Richard Stern


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Goal # 4: Governance and Evaluation

The goal forgovernance istohold PTF to the highest accountability standards. PTFis accountable externally to the CSOs it funds, the funders that provide its financing, andits ultimate beneficiaries, the public in the countries in which it operates. Internalaccountability refers to the responsible stewardship of the resources put at PTFsdisposal, using them so as to achieve the maximum impact in terms of PTFs mission.

The goal forevaluation isto improve the quality and increase the coverage of bothinternal PTF and external project evaluations in order to enhance organizational

effectiveness. Providing impartial information about the success rate of PTF projectsserves two important functions. The first is as a source of learning. As one of thepioneers in supporting demand-side anti-corruption work PTF can play an important roleto help form a body of knowledge about what works in this area and what doesnt.Second, evaluation is crucial for PTFs external accountability.

Metrics: Board action plan, stakeholder accountability mechanisms, evaluationscompleted as scheduled

Goal # 4: Governance and

EvaluationStrategic Goal Action Plan Completion

Date

Responsible


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Evaluation


Date

Responsible

1.Continue to build

an active,participative, diverseBoard and Boardcommittee structurewith a clear decisionmaking process

1. Define committee structure

and roles; set timetable foradding committees2.Review and approvegovernance procedures: i.e. termlimits, position descriptions andexpectations for officers,directors, members, staffcomposition3. Seek written commitmentsfrom each Board Directorrelating to the work on

committees, outreach, fundraising4.Review board balance, gender,geography, experience andstrengthen board5.Improve effectiveness of Boardmeetings: review length andvirtual meeting formats

6. Publish quarterly internalnewsletter seeking feedback

Dec, 2010

Dec, 2010

Jan, 2011

Jan, 2011

2011/2012

Start Mar, 2011

A&GC/ Board

A&GC/Board

BoardChair

NominatingCommittee

Board Chair

2.Strengthen thecadre of PTFMembers

1 Propose new members2. Update members section ofbylaws

Mar, 2011 ManagementStaff

3.Reinforceaccountabilitymechanisms todifferentstakeholders

1.Sign (confirm) INGOAccountability Charter and2.Design and implementcomplaints procedure3.Develop and implement

records retention policy

December 20112012

July 2011

Board

A&GC

Management


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Evaluation


Date

Responsible

4.Conduct periodic

external impactevaluation of PTFperformance and of aminimum sample of33% of projectssupported

1. GTF MTR2.Develop plan for preparingPCAs3.Implement PCA plan4. Review results of PCAsannually

June 2011Jan 15annuallyAnnuallyDecember

1. PierreLandell-Mills2. CEOManagement

Board

Overall lead responsibility for governance: Barry MetzgerOverall lead responsibility for M&E: CEO

Goal # 5: Systems and Knowledge Sharing

The PTF will put in place improved management systems that ensure efficient andeffective operations while preserving the volunteer spirit and informality that has definedthe unique strength and character of the organization. In particular, the PTF will establishoperating systems for: (i) program managementup-to-date information on projectactivities, deadlines and deliverables, (ii) financial managementtracking and reportingon revenues, commitments, disbursements and generating the necessary information forthe balance sheet, profit and loss statements, audits and financial reporting, (iii) recordsmanagementmaintaining up-to-date records of all important documents and

correspondence, (iv) fund-raisingdeveloping and maintaining information on potentialdonor strategic priorities, support for anti-corruption work and contacts, and (v) lessonsof experiencedeveloping and maintaining an information system that captures thelessons of experience from PTF-funded work, distills these lessons and enables others tosearch for information.

Metric: Each system identified, tested, adopted and used by PTF managers and projectadvisors. Overhead costs maintained below 15% of the total operating budget.

Goal # 5: Systems andKnowledge Sharing


Date



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Goal # 5: Systems and

Knowledge Sharing


Date


# 1: Program

ManagementSystem

Establish a program

tracking system fordeadlines anddeliverables for projectsand donor obligations

Dec, 2010 Sarah Drew,

Pietronella vanden Oever,Dan Ritchie

Support as needed

from GlobalIntegrity andResults forDevelopmentInstitute

#2: RecordsManagementSystem

Ensure the seamlesstransition of recordsmanagement to a reliableand easily accessiblecorporate systemmaintained by PTFmanagement

Dec, 2010 Sarah,ExecutiveAssistant

Pierre,Pietronella, JeffKatz,Possible purchaseof software orannual fee formaintaining arecordsmanagementsystem, or fee forthird partymaintenance

# 4: FundRaisingInformationSystem

Establish donor trackingsystem (see Goal # 3)

March, 2011 Brad Herbert,Richard Sternand othervolunteers

#5: KnowledgeManagementSystem

Create and manage aninformation-management system tocapture and disseminatelessons of experience

Dec, 2011 Sarah, VinayBhargava,ProjectAdvisors

Cost of designingand managing aweb-basedinformationsystem withsearch capability

#6.Country/regionalWorkshops

Establish an annualprogram ofcountry/regionalworkshops for grantees

Jan. each year PTFManagement/Regionalcoordinators

GTF/DGF

#7. PTF IACCWorkshop

Manage a PTF workshopat the 15th and 16thIACC

2012 and2014

PTFManagement

GTF plus newfunding

Overall lead responsibility: Jeff Kass


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Goal # 6: Communications

A. Summary:

For the period 2011-2015 PTF has two closely related yet distinct communicationsgoals external and internal designed to further the overarching objective ofstrengthening the PTF organization itself in many of its facets, while building awareness

of, respect and support for PTF from an increasing array of audiences. As a result, by2015 PTFs communications tools will both be highly effective instruments in supportingthe core PTF culture and contributing to PTFs organizational efficiency and cohesion,while also securing a key place for PTF among anti-corruption CSOs, public and privatesector donors, anti-corruption researchers and practitioners.

B. Goal & Actions:

Goal # 1: External - securing a key place for PTF among anti-corruption CSOs, publicand private sector donors, anti-corruption researchers and practitioners.

Goal # 2: Internal - ensure that PTF communications provides substantial support to

reinforcing PTFs core culture and enhancing PTFs organizational efficiency andcohesion.

Metric: Each action (below) can be monitored in quantitative as well as qualitativeterms. A review of progress made by June 30, 2011 is proposed, which should includesuggestions for actions for the following 18 months to build on the initial actionshighlighted below.

Strategies and Action Plans

Goal # 6:

Communications

CompletionDate


Strategy 1

Re Goal#1


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Goal # 6:

Communications

Completion

Date


a Create a full-scale

facelift for the PTFwebsite, uploadnews/lessons learned,views on a timely andincreasingly frequentbasis, and promoteawareness of the websiteto a wide range ofexternal audiences;develop tools to ensurehigher profile for PTF on

Google and other searchengines; secure linksfrom PTF website tosimilar others by CSOs.

Jun, 2011

(consistentlyupgrade to2015)

Sarah/Frank Contracted web

technical support(one time chargefor websiteupgrade/overhaulmodest servicesfees thereafter)

b Build an annual PTFseminarprogram/speakersprogram, website blog, tobuild meaningfulaudiences to promotePTFs lessons learned -

including Landell-MillsPTF book.

Dec,2011(consistently upgrade to2015)

Regionalcoordinators

Frank Vogl(volunteer) andother volunteers.Seek seminarfunding fromdonors.Consider self-

publishing book.

c Create special section ofthe website to develop achat room for actualand potential PTF CSOgrantees to exchangeexperiences, discusschallenges, lessonslearned and build aneffective anti-corruption

community.

Dec,2011(consistently upgrade to2015)

Sarah/Frank Combination ofvolunteers andyoung internscould facilitatechat room,develop storiesand briefs fromlessons learned.Budget costs

minimal.


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Goal # 6:

Communications

Completion

Date


d Build on existing, and

create new tools todevelopoutreach/awareness ofPTFs work and that ofgrantee CSOs to a broadpublic, using the press asa key channel, and socialnetworking media.

Dec, 2012

(consistentlyupgrade to2015)

Sarah/Frank Frank Vogl

(volunteer) &/orother volunteers.Contracted webtechnical support(one time chargefor upgradingaspects ofwebsite, addingnew tech features,ensuring iPadoperable, etc.

modest servicesfees thereafter)

Strategy 2

Re Goal #2

a Create Basic PTFidentity tools introducenew logo - from PTF e-mail addresses foradvisers, to letterhead, to

new information booklet,2009 annual report, andbrochure for potentialdonors.

Mar, 2011,2011(consistently upgrade to2015)

Sarah/Frank Design consultant(modest one-timetemplate costs)&/or othervolunteers.

b Develop a web-basedIntranet that can be thekey tool used by allwithin PTF (Advisers,Partners, Members,Directors, etc.) to share

information, exchangeideas and experiences,discuss challenges,interact and so reinforcethe core voluntary cultureof PTF.

Jun, 2011(consistentlyupgrade to2015)

Sarah/Frank Assistant to PTFExecutiveAssistant, plusvolunteers.

Costs should be

part of overallupgrading ofwebsite, thereaftertechnicalsupport).


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Overall lead responsibility: Frank Vogl


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ptf strategicplan

Documents