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Training SourcebookCapacity building for local groups and associations

By Judith van Eijnatten

Secretariat of the Pacific Community (SPC)Noumea, New Caledonia

February 2010

©Copyright Secretariat of the Pacific Community (SPC) 2010

All rights for commercial / for profit reproduction or translation, in any form, reserved. SPC authorizes the partial reproduction or translation of this material for scientific, educational or research purposes, provided that SPC and the source document are properly acknowledged. Permission to reproduce the document and/or translate in whole, in any form, whether for commercial / for profit or non-profit purposes, must be requested in writing. Original SPC artwork may not be altered or separately published without permission.

Original text: English

Secretariat of the Pacific Community Cataloguing-in-publication data

Van Eijnatten, Judith

Training Sourcebook: capacity building for local groups and associations / By Judith van Eijnatten

1. Social groups – Management – Training of I. Title II. Secretariat of the Pacific Community

658.048 AACR2

ISBN: 978-982-00-0358-3

Table of contents

Introduction to this sourcebook 7

Module 1: Civil society, capacity building and empowerment 9

Session 1.1: Make-up of society 10

Session 1.2: Social capital 13

Session 1.3: Capacity building and empowerment 17

Module 2: Good governance 23

Session 2.1: Principles of good governance 24

Session 2.2: Structure of an association 26

Session 2.3: Staff 30

Session 2.4: Values and policies 34

Session 2.5: Financial management 40

Session 2.6: Board meetings 47

Session 2.7: Teamwork 50

Session 2.8: Completing the evaluation wheel 56

Module 3: Identifying priorities through a problem tree analysis 58

Module 4: Strategic planning 63

Module 5: Preparing a logical framework 70

Module 6: Preparing a capacity building plan 77

Module 7: Conflict resolution 81

Module 8: Participation 85

Module 9: Self-help, dependency and volunteerism 90

Session 9.1: Self-help and dependency 91

Session 9.2: Volunteerism 97

Module 10: Gender awareness 99

Module 11: Communication and presentation 106

Session 11.1: Communication 107

Session 11.2: Presentation 118

Module 12: Preparing, holding and following up meetings 122

Module 13: Management and leadership 137

Session 13.1: Defining management 138

Session 13.2: Planning 140

Session 13.3: Organising 143

Session 13.4: Staffing 144

Session 13.5: Directing and leading 149

Session 13.6: Controlling 155

Session 13.7: Preparing a responsibility chart 160

Annex 1: Evaluating training 162

Annex 2: List of exercises 164

Annex 3: List of handouts 167

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Introduction to this sourcebookSince time immemorial, in the Pacific region like elsewhere in the world, people, groups and communities have come together and organised to take care of themselves. By organising themselves into formal or informal groups, people manage to pursue common goals. For example farmers get together to prepare their land or they associate to undertake collective marketing, fishers get together to better manage their marine resources, youth get organised to promote sports and women form networks to ensure that traditional knowledge is kept alive.

In many instances local groups face the problem that the goals they have set themselves do not match the available skills and experience of their members. Because of this, groups often find it difficult to achieve their full potential and to effectively tackle development issues that confront them and for which they would like to find satisfactory answers.

This training sourcebook is about acquiring the skills, knowledge, structures and resources needed by local groups and associations to function more effectively. It is about strengthening and developing human resource skills to build capacity and become empowered.

This sourcebook owes its existence to a series of participatory workshops held for producers’ associations from New Caledonia, French Polynesia and Wallis and Futuna during the period 2006–2009. It is based on field-tested activities and the lessons learnt from that process. It also draws on the wealth of knowledge and experiences available elsewhere in the world.

Objectives and target audiences of the sourcebookThis sourcebook is designed for people aiming to develop the human resource skills of local groups so as to make them organisationally and institutionally stronger. The sourcebook is based upon and advocates the use of participatory approaches. While it is assumed that the users of the sourcebook will have some exposure to participatory approaches, it is still useful to those with no prior experience. The primary target audience is representatives of local groups, non-governmental organisation (NGO) workers, extension agents, community workers and other individuals committed to strengthening the civil society sector.

How to use this sourcebookThis sourcebook consists of a set of 13 independent modules. The subjects of the modules were identified as a result of needs and interests expressed by formal and informal producers associations, and assessments conducted with them. Each module has been practically implemented, evaluated and adapted to the present format.

Throughout this sourcebook a participatory approach is used. It is required of the trainer to adopt a participatory attitude, which means being a facilitator rather than a teacher and encouraging a process whereby participants are actively involved, contribute and have ownership of the learning process. Neither the individual modules nor the set of modules are claimed to be exhaustive. When using this resource book trainers are encouraged to pick and choose modules according to the identified needs of their groups. They are also encouraged to adapt the modules to fit the needs of their groups. The time required to complete the modules varies; some are relatively short, others may take up to two days.

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The modules and session plans have a standard layout as follows:• Background• Key issues• Training objective• Learning objectives• Training content• Teaching aids and materials required• Input• Exercises• Experiences• Conclusions to the session• Handouts

To clarify and liven up the content and exercises given in the session plans, the text has been enriched with practical experiences drawn from many different training sessions and workshops during the period 2006–2009.

I would like to thank the participants and their associations for their whole-hearted participation in the training and workshops. They are a continual source of inspiration and without them this sourcebook would never have been possible. I hope it proves to be a source of encouragement for other producer associations and a useful tool that contributes to the growth of the civil society sector in the Pacific.

Judith van EijnattenFebruary 2010

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Module 1: Civil society, capacity building and empowermentBackgroundCivil society is comprised of all associations, NGOs, movements, networks and other formal and informal groups which operate independently from government and the private sector and which, in principle, are not profit-making. They have a defined and important role to play within society: they aim to promote social, cultural, economic and/or environmental interests. Many civil society organisations recognise the need for strengthening or capacity building so that they can play more meaningful roles and defend the interests of their members more effectively. Capacity building leads to empowerment and groups become able to lead their own development and that of other groups. They thus grow to become worthy and indispensable partners in the development arena.

Training objectiveTo enable participants to gain a clear understanding of the place of civil society in society at large and, in relation to this, the importance of capacity building and empowerment.

Learning objectivesAt the end of this module the participants will be able to:• explain the place of civil society in society at large; and• explain the concepts of capacity building and empowerment and discuss their relevance to their own

associations.

Training contentSession 1.1 – Make-up of societySession 1.2 – Social capitalSession 1.3 – Capacity building and empowerment

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Session 1.1: Make-up of society

While members of associations can explain why they are members of their particular association, they often have difficulty explaining the larger picture: why does civil society exist, what is its specific role and what is its importance?

Key issues• Comprehending the make-up of society• What does civil society look like in our own context?• What are our roles in relation to other sectors of society?

Teaching aids and materials requiredFlip chart, board, markers and copies of handout.

Input1

Civil society is one of three sectors that make up society. Civil society is comprised of all associations, NGOs, movements, networks and other formal and informal groups that operate independently from government and the private sector and which, in principle, are not profit-making. They have a defined and important role to play within society: they aim to promote social, cultural, economic and/or environmental interests.

Societies are comprised of three main sectors: the public sector (or government), whose primary role is to draft and enforce laws and defend borders; the private sector (or business), whose primary role is to deliver goods; and the civil society sector, whose primary role is to deliver services that business and government are unwilling or unable to provide. The role of each sector is complementary, not competitive. The concept can be depicted as follows:

1 An NGO Training Guide for Peace Corps Volunteers. Module 1: The role of NGOs in a civil society. http://www.peacecorps.gov/multi-media/pdf/library/M0070_mod1.pdf

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Depending on the relative strength of each sector in a given society the circles may be larger or smaller. For example, if in a particular society the government is strong and civil society weak, the brown circle would be larger and the purple circle smaller than depicted in the diagram above. Whatever the case may be, for a society to achieve its full potential all three sectors need to cooperate and be in balance, as shown by the dark grey arrows.

ExperienceIn one workshop participants likened the relationship between government and civil society to an outrigger canoe where the government is represented by the main canoe and civil society by the outrigger. One does not function well without the other; both are needed for the canoe to be balanced and function well.

Civil society organisations can be found everywhere in the world. In some societies there might be many of them, in others only a few. Some societies may have a large, powerful and influential civil society, while in others civil society may be comprised of only a few small formal or informal groups. Civil society organisations may be local, national or international. Almost all civil society organisations start small and learn as they go along. Exercise: What does our own society look like?Provide the participants with Handout 1.1.1. Ask them to think about their own society and how they would depict the relative sizes of the three sectors in their own context. Ask them to discuss this and then prepare a diagram like the one in Handout 1.1.1. What are the roles of the sectors and how do they cooperate? Is there an overlap in roles?

Concluding the session• Society is made up of three main sectors: government, business and civil society.• Civil society consists of all groups that are neither government nor business.• Civil society organisations do not make a profit; they aim to promote member interests.• The roles of the three sectors making up society are complementary; only if the sectors work together can

a society advance.

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Handout 1.1.1: Main sectors in society

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Session 1.2: Social capital

The government and business sectors are driven by financial capital. The civil society sector is driven by social capital. Some civil society organisations may have salaried personnel, but all civil society organisations depend on volunteers and non-remunerated efforts. Without social capital civil society organisations cannot continue to exist.

Key issues• Comprehending the concept of social capital• How strong is our social capital?

Teaching aids and materials requiredFlip chart, board, markers and copies of handout.

InputSocial capital is the term used to describe bonds between people like trust, understanding, shared values and norms. It is about behaviour that binds people together in groups, networks and communities and it is what makes collaboration and cooperation possible. At both the micro and macro level social capital can be seen as the glue that holds society together. Civil society organisations operate with voluntary inputs from their members and they are therefore hugely dependent on social capital. Where social capital is weak, civil society organisations function poorly.

Growing social capital

Face-to-face relationships between people encourage social capital to grow. In fact, the more social capital is used, the more it grows. Hierarchical structures and corruption undermine social capital while participatory structures, transparency and accountability reinforce social capital. Social capital is necessary to ensure sustainable development and to build sustainable societies that are secure and at peace.

The diagram below summarises how social capital is created through face-to-face interaction and shows that it grows to produce trust and shared norms and values, including those of inclusion, participation, transparency and accountability. It shows that with increasing social capital there is increasing motivation and willingness to invest time and energy without being remunerated. Increasing social capital goes hand in hand with increasing cohesion both at the level of individual organisations and in society at large. Civil society organisations have a very important role to play in promoting sustainable societies that are secure and at peace.

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Exercise: Our social capitalAsk the participants to think about the following question: What is my motivation in working for my association? Give them a few minutes and then ask each one in turn to share their response.

ExperienceSome of the answers participants in one group came up with were the following:• to make myself useful by serving my people• to contribute• for mutual assistance• in order to assist people who find themselves in difficult situations• to give an example to others• to be with other women• to exercise my passion for music and sports• in order to promote local agricultural products• in order to share• in order to discover• in order to build my personality• in search of justice• in order to give renewed value to my traditional culture• in order to transmit indigenous and traditional knowledge to others• to ensure that Pacific countries and territories engage with the rest of the world• to ensure that our voices are heard• in order to find solutions through dialogue• in order to contribute to making sense of and channel the existing motivation and goodwill of my people• because of the contacts and the opportunities to meet with people and the possibilities this offers for

sharing• because I like, I enjoy, I love what I am doing, and that is my motivation

Social capitalInclusion

ParticipationTransparency

Accountability

SustainableDevelopment

SustainableSocieties

Shared set of values, virtues, expectations- Organisations- Society

TrustFace-to-face interaction

Increasing motivation to invest time and energy, for the greater good, without financial remuneration

Increasing cohesion and unifying force

Civil society organisations are the glue that holds a society together; they are the key to sustainable development and sustainable societies

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After they have shared their responses facilitate a discussion with the participants on the strength of the social capital in their own association. Provide the participants with Handout 1.2.1 and ask them if they can construct a diagram like the one above that reflects their own situation. What are weak and strong points? How could social capital be increased?

Concluding the session• Social capital is the ability of people to trust each other and work together toward agreed-on goals. • Social capital evolves from trust to become a shared set of values, virtues, and expectations within an

association and within society as a whole.• Social capital fosters greater inclusion, cohesion, participation, transparency and accountability, and hence

sustainable development.

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Handout 1.2.1: Social capital

Social capitalInclusion

ParticipationTransparency

Accountability

SustainableDevelopment

SustainableSocieties

Shared set of values, virtues, expectations- Organisations- Society

TrustFace-to-face interaction

Increasing motivation to invest time and energy, for the greater good, without financial remuneration

Increasing cohesion and unifying force

Civil society organisations are the glue that holds a society together; they are the key to sustainable development and sustainable societies

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Session 1.3: Capacity building and empowerment

With increasing capacity, civil society organisations become increasingly empowered and increasingly able to take the lead in controlling their own destinies. Building capacity is about strengthening and developing human resource skills, both at a managerial level and a technical level.

Key issues• Comprehending the concept of capacity building • Comprehending the concept of empowerment• What is our own capacity?

Teaching aids and materials requiredFlip chart, board, markers and copies of handouts.

Input2 In the sections below, capacity building and empowerment are discussed.

Capacity building

Capacity building is the process of developing the skills, knowledge, processes, structures and resources needed by civil society organisations to help their members and communities survive, adapt, and thrive in an ever changing world. However, capacity building is not just training, it is more than that. Capacity building includes:• Human resource development — the process of equipping individuals with the understanding, skills and

access to information, knowledge and training that enables them to perform effectively;• Organisational development — the elaboration of management structures, processes and procedures,

within organisations as well as the management of relationships between different organisations and sectors (public, private and community); and

• The creation of an enabling environment with appropriate policy and legal frameworks.3

For associations, capacity building may relate to almost any aspect of their work: • governance• planning• mission and strategy• programme development and implementation• evaluation• leadership• partnerships and collaboration• advocacy and policy change• positioning• administration (including human resources, financial management, and legal matters)• fundraising and income generation• diversity• marketing, etc.

2 Adapted from: http://en.wikipedia.org/wiki/Capacity_building. Ann Philbin, Capacity Building in Social Justice Organizations Ford Foundation, 1996.

3 http://www.gdrc.org/uem/capacity-define.html

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At an individual level, capacity building may relate to the development of skills like:

• leadership• advocacy • training • presentation and public speaking • organising • specific technical skills 4

Capacity building is what gives flexibility and functionality to an organisation to adapt to the changing needs of its membership — the population it serves.

Exercise: What capacity means for our own associationAsk the participants to consider their own association and to define what capacity building means to them.

ExperienceOne group defined the capacity of their association at two levels:• The ability to execute programmes efficiently, using time and resources in the best way. It is about ‘What we

do’. Donors judge us on what we do.• The ability to function sustainably as a strong and independent entity with its own values and ‘trademark’.

It is about ‘Who we are’. Our members, leaders and other associations judge us on who we are.

Empowerment

The World Bank defines empowerment as ‘the process of increasing the capacity of individuals, groups or communities to make choices and to transform those choices into desired actions and outcomes’. Central to the concept of the idea of empowerment is being in control of one’s own life5. By building capacity, civil society groups become empowered and increasingly able to influence the actions they wish to undertake.

Exercise: What can an empowered community achieve?Divide the group into small groups of 3 or 4 persons. Provide the small groups with Handouts 1.3.1 and 1.3.2. Ask the groups to consider the two situations (before and after) depicted on the handouts and to identify which skills the community must have had to overcome the seemingly disastrous situation they were in.

Handout 1.3.1: Situation before Handout 1.3.2: Situation after

4 Linnell, D. 2003. Evaluation of Capacity Building: Lessons from the Field, Washington, DC: Alliance for Nonprofit Management5 http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTPOVERTY/EXTEMPOWERMENT/0,,contentMDK:20272299~pagePK:210058~p

iPK:210062~theSitePK:486411~isCURL:Y~isCURL:Y~isCURL:Y~isCURL:Y~isCURL:Y,00.html

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After having discussed this question in small groups ask the groups to present their results to the full group. Summarise the discussion by saying that the community in the pictures is an empowered community: it has been able to make choices and transform those choices into desired actions and outcomes. It has managed to improve its conditions. The community has shown that it has the skills needed for empowerment, skills like the following:

• leadership• problem solving• planning • communication and networking• community cooperation

All of these skills can be gained through capacity building and we shall be looking at them during the course of the current training.

Exercise: Capacity, empowerment and our own associationProvide the participants with Handout 1.3.36 showing a list of skills relating to capacity building and empowerment. Using this list as a basis, ask participants to consider their own association or group and discuss their own capacity. Ask them to discuss the concept of empowerment. How empowered do they feel their association is? Which are weak and strong areas? In which areas would they like to see their association build capacity and become empowered?

Concluding the session• Capacity building is the process of developing the skills, knowledge, processes, structures and resources

needed to survive, adapt, and thrive in an ever changing world.• Empowerment is the process of increasing the ability of an individual, organisation, or community to make

choices and to transform those choices into desired actions and outcomes.

6 Secretariat of the Pacific Community and German agency for International cooperation (GTZ), 2003. The lost paradise.

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Handout 1.3.1: Situation before

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Handout 1.3.2: Situation after

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Handout 1.3.3: What capacity building and empowerment are all about

For associations, capacity building may relate to almost any aspect of their work:

• Governance• Planning• Mission and strategy• Programme development and implementation• Evaluation• Leadership• Partnerships and collaboration• Advocacy and policy change• Positioning• Administration (including human resources, financial management, and legal matters)• Fundraising and income generation• Diversity• Marketing, etc.

At an individual level, capacity building may relate to the development of skills like:

• Leadership• Advocacy • Training • Presentation and public speaking • Organising • Specific technical skills

Empowerment means having skills like the following:

• Leadership• Problem solving• Planning • Communication and networking• Community cooperation

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Module 2: Good governanceBackgroundThis module is about good governance. In a democratic society it is important that not only government but also business and civil society organisations incorporate democratic processes and systems into their ways of operation. Democratic processes and systems are also known as good governance. This module presents good governance principles and helps participants identify how the principles can be applied to their own associations.

Training objectiveTo enable participants to gain a clear understanding of good governance principles and how to apply them to their own association.

Learning objectivesAt the end of this module the participants will be able to:• list and explain good governance principles;• explain the specific roles and responsibilities of the board, board members and staff, and appreciate the

difference between the roles;• demonstrate gaps in governance structures and functioning within their own association; and• list ways and means to improve the governance and thereby the functioning of their own association.

Training outputs• Training plan for the coming year• Action plan for the board

Training contentSession 2.1 – Principles of good governanceSession 2.2– Structure of an associationSession 2.3 – StaffSession 2.4 – Values and policiesSession 2.5 – Financial managementSession 2.6 – Board meetingsSession 2.7 – Teamwork

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Session 2.1: Principles of good governance

The international community has formulated good governance principles to guide the operation of all institutions, organisations and associations that are part of a democratic society. These principles are applicable to government, business and civil society institutions.

Key issues• Comprehending what is meant by governance• Comprehending what is meant by good governance

Materials requiredFlip chart, board and markers.

Note for trainer

Prepare a flipchart with the table ‘Five principles of good governance’ and hang it on the wall so you can refer to it throughout the sessions of this module.

Input7 Governance can be defined as the process whereby societies or organisations make their important decisions and determine who has a voice, who participates and how account is rendered. Good governance concerns not only the government, public administration, and governing models and structures but also ways to continually engage all sectors of society. Governance is about democracy and the important role that citizens need to play to make it work. In the case of civil society organisations, governance is about ensuring that the membership takes an active role in the operation of the group.

The United Nations Development Programme (UNDP) put forward a set of principles that are based on such international conventions as the Universal Declaration of Human Rights. These principles are often taken as a reference.8 A simplified version of the good governance principles is given below.

Five principles of good governance

UNDP principles and related UNDP text on which they are based

Legitimacy and voice Participation – all men and women have a voice in decision-makingConsensus orientation – mediation of differing interests to reach a broad consensus on what is in the best interests of the group

Direction Strategic vision – there is a perspective on human development which is grounded in a historical, cultural and social context

Performance Responsiveness – an effort is made to serve all stakeholdersEffectiveness and efficiency – producing results while making the best use of resources

Accountability Accountability – decision-makers are accountable to their membership, the public and to institutional stakeholdersTransparency – sufficient information is accessible to those concerned in order for them to understand and be able to monitor progress

Fairness Equity – all men and women have opportunities to improve or maintain their well-beingRule of law – law is fair and enforced impartially

These principles focus on the results of power, and about how well power is exercised. It is important that organisations should strive to meet all principles, not just a few, and to find a balance between principles where there may inherently be contradictions.

7 Edgar, L., C. Marshall and M. Bassett, 2006. Partnerships: Putting good governance principles in practice. Institute on Governance, Canada. http://www.iog.ca/publications/2006_partnerships.pdf

8 UNDP Governance and Sustainable Human Development, 1997.

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Good governance exists where:

• Those in power have acquired their power legitimately.• Those whose interests are affected by decisions have a voice.• Exercise of power is guided by a direction or guide to action.• Governance is responsive to the interests of the people.• Those in power are accountable to those whose interests they serve.• Accountability is made possible by transparency and openness in the conduct of the work.• Governance is fair and conforms to the rule of law and the principle of equity.

Exercise: Examples of good governance in our environmentDivide the participants into five small groups. Give one of the five principles of good governance to each group. Ask each group to discuss the meaning of the principle and to find examples of the principle in their association.

ExperiencePrinciple 1 — Legitimacy and voice: In our tribe the council of elders makes decisions by consensus.Principle 2 — Direction: We believe that our traditions and culture should guide our development activities.Principle 3 — Performance: Our women’s association does not have a building so we hold our meetings in the school canteen. In that way we make good use of available resources.Principle 4 — Accountability: At the end of every month our association hangs up an information sheet on the notice board to inform our members of the amount of fish caught and our income and expenditures.Principle 5 — Fairness: The law of our country does not make a distinction between men and women.

Exercise: Good governance in our associationAsk the participants to go back into their small groups and tell them that they should now focus on their own association. Ask the participants to discuss the concept of good governance and identify both strong and weak areas in relation to their own association.

While the groups are talking prepare two sheets of flipchart paper. Mark one ’Board action plan’ and the other ‘Training plan’. Hang them on the wall for the duration of this module.

Bring the group together and ask participants to present the results of their discussions. Identify relevant points for the ‘Board action plan’ (things the participants would like to change in the association) and ’Training plan’ (areas in which board, staff or members need training).

Concluding the session• Governance refers to the rules of how a group is organised, how decisions are made and how resources

are used to manage the groups’ affairs.• Good governance means governing in a truly democratic fashion where citizens (or members) are actively

engaged in the affairs of the group (or association).

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Session 2.2: Structure of an association

Like other organisations, civil society groups have an internal organisation or structure which forms the basis for the group’s operation. Some civil society groups have a clear governing structure. In other cases, groups may not have defined a structure or may have a structure that has not yet been formalised, or one with which the members are not so familiar, or one that is unlike the structure defined in their constitution. It is important for civil society organisations to have a clear structure and for their members to know what the structure is. If there is a constitution, then the actual structure should correspond to the structure defined in the constitution. Finally, it is important that the structure reflect good governance principles.

Key issues• Identifying the governing structure of the association• Understanding that it is important that members be familiar with the structure and that it correspond to

the constitution• Determining whether the structure of the association is in accordance with good governance principles

Teaching aids and materials requiredFlip chart, board, cards, thumb pins, masking tape, markers and copies of questionnaire.

Exercise: Structure questionnaireOn a sheet of flipchart paper prepare an evaluation wheel as shown below:

Then ask the participants to fill in the following questionnaire9 (Handout 2.2.1) and return the slips to the trainer. Explain that this is one of a series of small questionnaires the participants will be asked to complete during the course of the current module.

9 Wyatt, M. 2004. A handbook of NGO governance. European Center for Not-for-Profit Law, Hungary. http://www.icnl.org/knowledge/pubs/Governance_Handbook.pdf

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Questionnaire : Structure

No. Question Yes No Don’t know

1 Our organisation has a formally established governing structure.

2 Our board makes decisions collectively.

3 Our board has a designated leader or chair.

4 Our chief executive has a written job description outlining performance expectations and goals.

Analyse the results (or ask one of the participants to assist you) by determining the number of ‘yes’ answers and then the proportion of ‘yes’ answers in relation to the total number of respondents. Present the results on the ‘structure’ axis of the evaluation wheel by placing an X on the appropriate place on the axis, which is determined as follows: the distance from the centre of the circle to the edge represents the total number of participants and the distance from the centre of the circle to the X represents the number of ‘yes’ answers. Leave the evaluation wheel on the wall; it will be completed step by step during the course of the remaining sessions of this module.

Exercise: Defining the governing structure of our associationAsk the group to identify the board members sitting amongst them. Then ask the board members to stand up in front of the group so it is clear to everyone who they are.

Ask each board member to write out a card with his or her name and the position he or she holds on the board. Ask the board members to position the cards on the board so as to represent the structure of their association (they will be preparing an organisation chart). Add the regular members and staff to the organisation chart. Invite the group to respond and reach a consensus on the structure. Check whether the structure is in accordance with the constitution.

Ask the group to discuss whether the structure of their association is in accordance with good governance principles. If not, how could the structure be adapted? Try to get a consensus from the group on what the structure of the association should look like.

Picture 1

ExperienceDuring one workshop the participants produced a top-down structure with the chairman making the decisions and handing these down to other board members. Salaried staff had positions on the board as Secretary and Vice-Secretary (see Picture 1 below). A consensus was reached that the structure should be changed (see Picture 2 below) to one showing that the members made the major decisions during the General Assembly and the elected board, representative of the membership, was responsible for daily decision-making. The structure further showed that the board operated on the basis of consensus decision-making and that responsibilities were delegated to the staff, who were responsible for execution.

Picture 2

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InputThe board is the governing structure of an association. Some of the key roles of the board are:• Governing — The board puts in place an internal set of rules by which the association operates. This set of

rules is called the governance system.• Accountability — The governance system ensures accountability.• Oversight — The board ensures that it has the ‘big picture’.

Collective decision-making

The board makes decisions on topics such as policies and strategies, allocation of resources, the annual plan, evaluating staff and membership. Good governance demands that decisions be made collectively for the following reasons:• to ensure all stakeholders are implicated• to ensure no one has a special (personal) agenda• to combine everyone’s skills, ideas and knowledge resulting in the best possible decision

Collective decision-making is not easy. This is why associations decide on rules governing decision-making, for example regarding voting and quorums.

Exercise: Decision-making in our associationAsk the group how decisions are made in their association. Ask them to discuss whether the decision-making system ensures that the needs of all stakeholders are considered. What rules exist regarding voting and quorums? Can the decision-making procedures be improved in view of these points?

Board members are volunteers

Board members are volunteers. By working together they create social capital, which motivates them to continue working for the association. If board members lose their motivation it puts the sustainability of the association at risk. Board members need to nurture and increase social capital, thereby keeping motivation levels up.

Exercise: What motivates me to be on the board? Distribute cards and ask participants to give reasons why they are motivated (or why they think others are motivated) to serve on the board. Sort the cards and put them up on the board. Discuss what these ideas show about voluntary work. Bring out the point that board members are always volunteers and that this is a positive quality because it:• shows commitment;• promotes shared values;• facilitates positive change; and• allows a person to give to the community he or she cares for.

Ask participants how they could encourage motivation levels to remain high within their own association. What changes in operation would they have to make?

Before concluding the session, add any relevant points coming out of the discussions to the two sheets of paper labeled ‘Board action plan’ and ‘Training plan’.

Concluding the session• In an association the board and the staff are separate entities.• The board is the governing structure.• The board makes decisions collectively.• The board’s members are volunteers.• The board makes decisions and delegates responsibility to staff who then execute the decisions.• The staff are accountable to the board.

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Handout 2.2.1: Structure questionnaire


1 Our organisation has a formally established governing structure.

2 Our board makes decisions collectively.

3 Our board has a designated leader or chair.

4 Our chief executive has a written job description outlining performance expectations and goals.

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Session 2.3: Staff

Sometimes associations recruit staff to take care of the daily management and implementation of activities. Such staff are remunerated. The highest ranking staff member is known as the manager. The manager is responsible for running the daily operations and is the person responsible to the board for the organisation’s successes.

Staff and the board have distinct roles and duties. It is important that there is no confusion here and that good governance principles are upheld. Furthermore it is also important to understand the relationship between staff and the board.

Key issues• Comprehending the need to separate the functions of governance and management • Understanding that the board delegates responsibility to the manager• Defining the relationship between the manager and the board • Listing the main tasks of a manager

Teaching aids and materials requiredFlip chart, board, markers and copies of questionnaire.

Exercise: Staff questionnaireAsk each of the participants to fill up the questionnaire below (Handout 2.3.1) and return the forms to you.


5 Our staff have written job descriptions outlining performance expectations and goals.

6 The board evaluates the manager annually.

7 Staff are not voting members of the board.

8 The manager is not the board chair.

Analyse the result and record it on the ‘staff’ axis of the evaluation wheel.

Exercise: Why do I need a board?Tell the participants that you frequently hear managers asking themselves ‘Why do I need a board?’ Ask the participants why they think managers would say this. Ask them if they think their own manager would say it. Why or why not? Discuss reasons.

InputUnlike staff, many board members have no previous experience. Not many board members receive training to guide them in the exercise of their roles and functions as board members. It is therefore not uncommon in young associations, and even occasionally in more mature associations, for boards to be in need of strengthening. Where attention is not given to strengthening board members managers may end up saying ‘Why do I need a board?’ An association with a board that does not function is an association that does not operate according to good governance principles.

Separation of governance and management

In order to ensure good governance, notably to prevent conflicts of interest, it is important that the roles of governance and management be separated. The board is responsible for governance while staff, and in particular the manager, are responsible for the daily management of the association.

Suppose that in a particular association the manager habitually chairs the board meetings. On one occasion the manager has an item on the agenda regarding his or her own contract and level of remuneration. In this instance there is a conflict of interest. It is the board which should make decisions about contracts and levels of remuneration. This should be done in the absence of the concerned person. In summary:

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• If the board and staff are not considered separate entities, there can be a conflict of interest.• Staff cannot vote on the board.• Staff cannot chair board meetings.• However, staff CAN be non-voting board members.

The relationship between the board and the staff

The board delegates responsibilities to the manager. Usually this is done through the chair after adequate deliberation with all board members. The manager is responsible for the execution of board decisions but he or she does not make decisions about tasks and activities unilaterally. In summary:• The board delegates to the staff (usually the manager).• The manager executes the decisions of the board; he or she is accountable to the board.

The most important relationship in an association is that between the chair (as main representative of the board) and the manager. Together they form a bridge between the board and the staff (between governance and management; between decision-making and execution). The relationship between the chair and the manager ensures two-way communication regarding decisions made, progress, performance, budget etc. The chair communicates information from the board and gives clear guidance to the manager. The manager gives information to the chair and asks for guidance. These roles are summarised below:

Roles of the manager Roles of the board

Gives information to the board Gives clear information, instruction, guidance and feedback to the manager

Asks for guidance from the board Monitors and evaluates the manager (on the basis of a job description); evaluation results are the basis for remuneration, contract extension and dismissal

Mentors the manager

Probes, inquires, criticises and praises the manager so he or she is clear about expectations and is motivated to do his or her work

Job description of a manager

Below is an example of the main points in a job description of a manager:• hire and fire staff• manage and evaluate programmes• identify and manage resources• prepare the annual budget• propose policies and strategies• communicate with stakeholders• promote the association• support the board

Exercise: Our manager needs the boardIn small groups and on the basis of the content of this session ask the participants to consider their own association and to identify changes that would avoid a situation in which their manager would say ‘Why do I need a board?’ How could weak areas be improved?

If useful, points from the list below can be used to stimulate the discussion (put the list up on a flipchart).

Complaints of a manager toward the board

• Board members don’t support me.• Board members don’t attend meetings regularly.• Some of them have been on the board for too long.• Family or friendship links compromise objectivity of board members (conflict of interest).• Board members do not read the reports.• They don’t respond to me.• They don’t help me mobilise financial resources.• They are not really interested in the work of the association.• They want to be in control of the finances of the association.

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Before concluding the session, add any relevant points coming out of the discussions during this session to the two sheets of paper marked ‘Board action plan’ and ‘Training plan’.

Concluding the session

• In an association the functions of governance and management need to be separated.• Governance is the role of the board, management that of the staff.• Conflict of interest needs to be avoided at all costs.• The board delegates responsibilities to the manager.• The manager executes decisions made by the board.• The chair and manager form a bridge between the board and staff.• The board gives clear instruction and guidance to the manager.• The manager provides information to the board.

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Handout 2.3.1: Staff questionnaire


5 Our staff have written job descriptions outlining performance expectations and goals.

6 The board evaluates the manager annually.

7 Staff are not voting members of the board.

8 The manager is not the board chair.

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Session 2.4: Values and policies

When people work together, as they do in an association, they develop a set of common values, ethical standards, norms and principles defining the way they operate together and orienting what it is they want to achieve. In the beginning, these values are implicit — they are ‘understood’. However as an association grows and develops it becomes important to make these values ‘explicit’ by drafting policies and deciding on positions. For civil society organisations, values, policies and positions are a way to incorporate good governance principles and establish a reputation of integrity and quality service.

Key issues• Comprehending the importance of values and ethical standards• Enshrining values in policies to ensure integrity and quality service• Integrating values with the roles and activities of the board


Exercise: Values and policies questionnaireAsk each of the participants to fill up the questionnaire below (Handout 2.4.1) and return it to you.


9 Our board sets a high professional and ethical standard.

10 Our board has prepared rules of operation according to which it functions.

11 Our board has established and enforces a conflict of interest policy.

12 Our organisation has a mission statement which is known throughout the organisation.

13 Our board focuses on strategic leadership and the ‘big picture’.

14 Our board makes sure that regular evaluations of programmes and operations are performed and acted upon.

Analyse the result and record it on the evaluation wheel’s ‘policies, strategies and values’ axis.

InputValues, norms, codes of conduct and policies are discussed in the sections below.

Values

The motor of a civil society organisation is its volunteers and the social capital generated by them. While working together, civil society workers develop values to guide their work. In young associations these values are often implicit or understood. Sometimes members may even find it difficult to put a name to their common values. In order to reinforce values it is wise to make them explicit.

Exercise: The values of our associationAsk the participants to call out the values of their association. Note them on a large sheet of paper and in order to reinforce the values keep the list up on the wall during the whole of this module. Add to the list if new values are identified.

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ExperienceThe following values were identified by one group: • Punctuality• Good communication• Collective decision-making• Loyalty• Honesty• Seriousness• Effectiveness• Availability• Pursuit of credibility

As an association grows and develops, its values are translated into norms and principles and they become the basis for the way it functions. Values, norms and principles, incorporated into policies, find a place in such documents as the constitution or rules of operation. It is very important that civil society organisations actively uphold what they stand for. This will help them maintain a good reputation.

Board members are elected representatives of the members of an association. The members put their trust in their representatives to defend their interests. Board members should therefore be ‘models’ who exhibit values through exemplary behaviour: adhering to the association’s values, showing commitment and being willing to invest time without personal gain. Furthermore, it is the role of the board to set and reinforce values, to decide on norms and principles and to draft policies. All of these help orient and guide the activities of the association. For example an association, even if it is really in need of funds, may decide not to accept funds from a certain source because the source upholds values that are not in accordance with those of the organisation.

Code of conduct

In many countries, as well as internationally, civil society organisations have come together to enshrine values in a joint ‘Code of conduct’, of which there are many examples to be found.10 Such a code of conduct aims to enhance the performance and reputation of the organisations subscribing to it.

Establishing policies

Policies are a way to formalise values. The constitution defines values, policies and governance systems. Especially if there is no constitution it is important that the board draft policies. An example of a policy is one on reimbursement of expenses. While all board members work voluntarily, i.e. without remuneration, this does not mean that they cannot get reimbursement of expenditures they make in the exercise of their function. It is useful for an association to establish a policy on reimbursement of expenses so as to avoid any misunderstandings and uphold the reputation of the persons concerned and that of the association.

Another area that requires a policy is that of conflict of interest. A conflict of interest policy defines rules such as the following: • The manager can never be a regular voting board member.• The manager should preferably have have no family connections with a board member. Where there is a

family linkage between a manager and board member, both persons should be excluded from discussions concerning the other.

10 The International Federation of Red Cross and Red Crescent Societies Code of Conduct: http://www.ifrc.org/publicat/conduct/code.asp

Code of Conduct for NGOs engaged in Humanitarian Action, Reconstruction, and Development in Afghanistan: http://www.reliefweb.int/rw/rwb.nsf/db900sid/EVIU-6D5EBR?OpenDocument

The Palestinian NGOs Code of Conduct, 2008. Code of conduct coalition: http://www.pngo.net/data/files/codeofconducteng/code_of_conduct_eng.pdf

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ExperienceThe picture shows the head quarters of an association called ‘Farmers for a bright future’. The building appears to be in good condition, and they have a vehicle. In one room we can see that a board meeting is taking place but there are only men and they are drinking. It does not look like an effective meeting. In the next room we see a man at the association’s safe. It looks like he is helping himself to the contents. The shop is in chaos, with only a few items for sale. The association’s vehicle is being driven off loaded with someone’s family, a picnic lunch and a boat. Women farmers are sitting outside with their documents; they may be waiting for assistance. It looks like this association does not have the following:• Values: honesty, integrity, discipline, being service-oriented, being available for members, commitment,

exhibiting model behaviour, upholding the reputation of the association.• Policies: a policy for vehicle use, a policy for handling cash, a gender policy for ensuring female board

members, a code of conduct.

What about the participant’s own association? Are there weak areas when it comes to values, principles and policies? How can their association be improved? Are there points to be added to the ‘Board action plan’ and ‘Training plan’?

Concluding the session• Values are created by a group of people working together, for example in an association.• In the beginning values are implicit; they need to be made explicit by formulating principles and policies.• Thus values define how an association operates; they orient the activities of an association and are the

basis for policies.• The board is responsible for drafting and enforcing policies and upholding the reputation of an association.

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Handout 2.4.1: Values and policies questionnaire


9 Our board sets a high professional and ethical standard.

10 Our board has prepared rules of operation according to which it functions.

11 Our board has established and enforces a conflict of interest policy.

12 Our organisation has a mission statement which is known throughout the organisation.

13 Our board focuses on strategic leadership and the ‘big picture’.

14 Our board makes sure that regular evaluations of programmes and operations are performed and acted upon.

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Session 2.5: Financial management

Strong financial management is key to an effective organisation and a way to incorporate good governance principles. Sometimes civil society workers find financial management a difficult area to deal with and it is not given due priority. Sometimes financial responsibility lies with just one person, which can be risky. Capacity building in this area can provide a way to improve the situation.

Key issues• Comprehending the importance of financial management• Comprehending what financial management is• Understanding who plays which role in financial management

Teaching aids and materials requiredFlip chart, board, markers, copies of questionnaire and handouts.

Exercise: Financial management questionnaireAsk each of the participants to fill up the questionnaire below (Handout 2.5.1) and return it to you.


15 Our board takes part in financial resource development.

16 Our board understands the organisation’s finances and monitors its financial condition regularly.

17 Our board ensures that the organisation’s accounts are regularly audited.

18 Our board ensures that internal financial controls are in place and working.

19 Our board ensures that an annual report is produced and distributed.

Analyse the result and record it on the evaluation wheel’s ‘financial management’ axis.

Input11

Civil society organisations are commonly in need of capacity building in financial management.

Why financial management is important

Accountability, transparency and credibility are principles of good governance that are directly linked to financial management. These qualities are considered high priority by donors when funding programmes. They are a key way of achieving a more effective organisation. A strong financial management capacity allows an organisation to better control its own affairs. Without it, the future is often uncertain: it may be impossible to predict when money will be short and crucially, it may become impossible to find funding for activities.

What is financial management?

Financial management is making sure that an organisation manages its resources soundly. To have strong financial management, the following tasks need to be performed well:• planning and budgeting: fitting a budget to the annual objectives and monitoring progress during the

year;• keeping accurate and up-to-date accounts;• financial reporting: annual accounting statements and reports; and• ensuring that financial controls are in place and functioning in order to minimise error and theft.

These four tasks are evaluated annually through an external audit. The audit should be performed by an independent and reputed financial expert.

11 Cammack, J. 2007. Building Capacity through Financial Management, a practical guide. Oxfam.

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A number of organisational conditions help assure strong financial management. These conditions are:• Board members with appropriate skills. Financial issues should be on the agenda of each meeting and

board members need to be competent to understand and ask appropriate questions about financial information presented to them.

• Finance staff with appropriate financial skills.• Financial information that is accurate and up-to-date and is provided in a format that suits the need of the

audience, e.g. board members do not need all details to be able to make the right decisions.• The right organisational culture — priority should be given to financial issues.• Open and transparent communication about financial matters with stakeholders, including members,

donors and the government.

The above information is summarised in the following diagram (see also Handout 2.5.2).

Who is responsible for financial management?

The board is responsible for overseeing the finances of an association. This includes raising funds, budgeting in line with the objectives for the year, carrying out ongoing monitoring of the financial situation, ensuring financial controls are established and in operation, arranging for an audit and producing an annual financial report (with information on the source and amount of income, expenditures made on activities and administration, and an audit statement).

The manager, or specialised finance staff, has the tasks of:• keeping the accounts;• producing accounting statements and reports for the board, donors and members; and• putting in place financial controls.

In order for civil society workers to understand and perform their financial tasks effectively they need to be equipped with the necessary skills. It is not uncommon for board members and managers to undergo training in specific financial management areas.

ORGANISATIONAL CULTURE EXTERNAL RELATIONSHIPS

EXTERNAL AUDITFINANCIA

L INFO

RMATION FINANCE STAFF

M

ANAGEMENT COMM

ITTE

E

The leadership team promote and prioritise the financial side of the

organisation

Financially aware programme and non-finance staff

Strong relationships

eg. with donors, beneficiaries

Awareness of what could go wrong

Suitably experienced

finance person

Members are able to understand basic

financial information

Trained and competent

finance staff

Finance staff able to communicate with non-finance staff

Plan

ning and budgeting Financial reporting

Up-to-date financial

management information

User-friendly financial systems

Accounts record-keeping Financial contro

ls

Strong financial management

capacity

Specific tasks

Organisational aspects

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Exercise: Assessing our association’s financial management capacityAsk the participants to use Handout 2.5.3 and the information given during this session to try to assess their organisation’s financial management capacity and the need for training. What are the weak areas? Are there points to be added to the ‘Board action plan’ and ‘Training plan’?

Concluding the session• Many civil society organisations need capacity building in financial management.• Strong financial management goes hand in hand with good governance.• Strong financial management helps an organisation increase effectiveness and gain a good reputation

among internal and external stakeholders alike.• Financial management not only comprises financial skills but also includes organisational conditions.

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Handout 2.5.1: Financial management questionnaire


15 Our board takes part in financial resource development.

16 Our board understands the organisation’s finances and monitors its financial condition regularly.

17 Our board ensures that the organisation’s accounts are regularly audited.

18 Our board ensures that internal financial controls are in place and working.

19 Our board ensures that an annual report is produced and distributed.

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Handout 2.5.2: Ingredients of strong financial management capacity12


ORGANISATIONAL CULTURE EXTERNAL RELATIONSHIPS

EXTERNAL AUDITFINANCIA

L INFO

RMATION FINANCE STAFF

M

ANAGEMENT COMM

ITTE

E

The leadership team promote and prioritise the financial side of the

organisation

Financially aware programme and non-finance staff

Strong relationships

eg. with donors, beneficiaries

Awareness of what could go wrong

Suitably experienced

finance person

Members are able to understand basic

financial information

Trained and competent

finance staff

Finance staff able to communicate with non-finance staff

Plan

ning and budgeting Financial reporting

Up-to-date financial

management information

User-friendly financial systems

Accounts record-keeping Financial contro

ls

Strong financial management

capacity

Specific tasks

Organisational aspects

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Handout 2.5.3: Assessing financial management capacity13

Assess your association’s financial management capacity by discussing and answering with a ‘yes’ or a ‘no’ the sets of questions in each of the 10 areas below.

Planning and budgeting• Are organisational objectives the starting point for the planning and budgeting process?• Do the manager and board regularly compare budgeted income and expenditures with actual income

and expenditures and take action where necessary, especially when donor funding is affected?• Is there always enough money to pay for salaries, goods and services?

Accounts record keeping• Is the record of money coming in and going out (sometimes called the ‘cash/bank book’) up to date and

accurate?• Is there a separate register to record loans or other money given to staff?• Are there documents (for example invoices and receipts) for every transaction?

Financial reporting• Is it possible to identify funds that have been given for a particular purpose?• Are financial reports submitted on time to donors?• Are annual accounting statements produced?

Financial controls• Are at least two people involved in transactions, for example authorising payments and signing the

cheques?• Are the association’s bank figures matched with the bank statements at least monthly (bank

reconciliation)?• Does someone, other than the person responsible for the cash, count it regularly?

External audit• Is there an audit/independent examination of the finances each year?• Does the auditor make written recommendations?• Are the auditor’s recommendations prioritised and implemented?

The board• Is there a member who is responsible for financial issues?• Can other members understand the financial information and ask appropriate questions about it?• Does the management committee approve the annual budget?

Staff with financial responsibilities• Are all finance staff competent in their work?• Are there enough finance staff?• Can finance people (at least one person) communicate technical issues in a straightforward way to non-

finance people?

Financial information• Do the board and the manager receive up-to-date information?• Does the information provided contain the appropriate level of detail?• Is the information easy to understand?


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Organisational culture• Do the board and manager give positive messages about finance?• Does the manager set an example in his or her personal accounting?• Do the other staff have a working knowledge of finance?

Communication with stakeholders• Is your relationship with stakeholders (members, donors) open and transparent?• Are your members given financial information in appropriate detail and format?• Does the planning process consider what could go wrong (e.g. what to do if a donor withdraws funding)?

Having looked at your association critically by answering the questions in this assessment, you are now ready for the next step. When you answered ‘no’ it may be a sign that your association needs capacity building in that particular financial management area. Try to prioritise the areas and prepare a capacity building plan.

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Session 2.6: Board meetings

Regularity of board meetings is an indicator of the dynamism of an association. Board meetings are a way to apply good governance principles. This session deals with the reasons why it is important to hold good board meetings. Module 12 of this manual deals with the practical steps in preparing, holding and evaluating meetings.

Key issues• Recognising the importance of holding regular board meetings• Recognising that board meetings are events where good governance principles are discussed, developed

and applied• Understanding the conditions for holding effective meetings


Exercise: Board meetings questionnaireAsk each of the participants to fill up the questionnaire below (Handout 2.6.1) and return it to you.


20 Our board meets regularly, with dates set in advance.

21 All board members arrive at meetings punctually and prepared to take part in proceedings.

22 Board meetings focus on policy, oversight, and strategic direction.

23 Board meetings involve active discussion and decision-making rather than rubber-stamping and listening to staff reports.

24 Our chair knows how to lead discussions, maintain discipline, and include all board members in accomplishing the necessary work.

25 Board meetings keep to the preset agenda.

26 Our board keeps minutes of all of its meetings. Analyse the result and record it on the evaluation wheel’s ‘board meetings’ axis.

InputWell-functioning associations hold regular board meetings to discuss activities, progress, financial affairs and other important matters. It is during meetings that board members have the opportunity to share knowledge, experience and insights and it is here that collective decision-making can occur. Meetings are also the occasion to develop strategic vision, apply transparency principles and set policies for accountability and fairness. Board meetings are key to applying good governance principles. They are also an important place for building social capital, including values and trust. More practical reasons for holding meetings are:• to give information;• to get information;• to develop options; and• to make decisions.

It is important that boards have the discipline to hold regular meetings.

Experience One association having trouble getting board members together and therefore unable to function effectively decided to fix a meeting schedule by meeting every first Sunday of the month just after Sunday mass. This helped as all board members could plan ahead and make themselves available.

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Holding effective meetings

Because board members are volunteers it is important not to waste time. Meetings should be effective. Following are some tips for holding effective meetings:• Purpose — make sure there is a reason for the meeting, i.e. there are decisions to be made or issues to be

discussed regarding policy, oversight, and strategic direction.• Prepare the meeting — this is the task of the chair. Send the board members information prior to the

meeting and expect them to come prepared.• Set an agenda — this indicates the objectives of the meeting.• Time management — emphasise punctuality, start and end on time and use the agenda to move ahead.

Do not wait for late arrivals.• Define meeting norms — define how the group works together (e.g. not interrupting, not taking the floor

for longer than a certain period) and ensure discipline in keeping to the agenda.• Discuss and decide — encourage participation and be sure to make decisions.• Action – follow up on tasks assigned during the meeting.

Meetings and policies

In addition to meeting norms certain policies may affect the conduct of meetings, for example:• rules relating to decision-making and quorum;• rules relating to renewal of the board; and• rules relating to non-attendance.

Exercise: How good are our board meetings?Ask the participants to discuss the regularity and way of holding meetings in their own association. Is there room for improvement?

ExperienceOne association was struggling to get its board members together at meetings and get them to participate actively as leaders of their community. Time and again meetings had to be deferred because the quorum was not attained and decisions could not be made. It was decided during a general assembly that if a board member missed more than 3 meetings in a row, he or she would be automatically expulsed. This measure helped sweep out the board and renew it with active, motivated members able and willing to invest time. Board meetings became regular as a result.

Are there points to be added to the ‘Board action plan’ and ‘Training plan’?

Concluding the session• Regular board meetings with good attendance are an indication of the dynamism of an association and

the motivation of its leaders.• Board meetings are events where good governance principles are discussed, developed and applied.• There are ways to ensure that meetings are effective.

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Handout 2.6.1: Board meetings questionnaire


20 Our board meets regularly, with dates set in advance.

21 All board members arrive at meetings punctually and prepared to take part in proceedings.

22 Board meetings focus on policy, oversight, and strategic direction.

23 Board meetings involve active discussion and decision-making rather than rubber-stamping and listening to staff reports.

24 Our chair knows how to lead discussions, maintain discipline, and include all board members in accomplishing the necessary work.

25 Board meetings keep to the preset agenda.

26 Our board keeps minutes of all of its meetings.

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Session 2.7: Teamwork

In order to be effective a board needs to work as a team rather than leaving most of the work to the chair or the manager. It helps to orient board members and to develop position descriptions so they know what is expected from them. A well-functioning board shares the responsibilities and the workload.

Key issues• Comprehending that a team is not just a group of people• Comprehending that teamwork means working through interaction• Tasks, duties and roles of board members

Teaching aids and materials requiredFlip chart, board, markers, copies of questionnaire and handouts.

Exercise: Teamwork questionnaireAsk each of the participants to fill up the questionnaire below (Handout 2.7.1) and return it to you.


26 Our board works well as a team.

27 All board members have written guidelines outlining expectations of their board service.

28 Our board sets annual goals for itself.

29 Our board assesses its own performance regularly.

30 Individual board members serve set terms within a system of regular rotation.

31 Our board recruits new members strategically.

32 New board members are thoroughly oriented into the organisation and board service.

33 Our board members serve enthusiastically as ambassadors for the organisation. Analyse the result and record it on the evaluation wheel’s ‘teamwork’ axis.

Input14

This section deals with the various aspects of teams and teamwork.

What is a team?

A team is a group of people who are united to achieve a common goal that cannot be achieved by an individual. What makes a group a team is the common task. Without a task a group is not a team.

What is teamwork?

Teamwork is action. It is something people do and it requires a common focus, mission or goal.

Exercise: Identifying actions that constitute teamworkAsk the participants to come up with actions that can be labeled as teamwork. Here are some ideas: • working together to accomplish a task• assisting others• trusting each other• sharing ideas• sharing expertise• listening to others’ ideas in a non-judgmental fashion• offering constructive feedback with the goal of improving outcomes• listening to feedback and acting upon it when it can improve things

14 Boller, S. 2005. Teamwork training. ASTD Trainer’s Workshop Series. http://books.google.com/books?id=80mj8ENdimkC&pg=PA47&lpg=PA47&dq=teamwork+training+boller&source=bl&ots=lGpm65d4uR&sig=cbTsb99pPJEWJoRs2L7cb5bjX1E&hl=en&ei=H2kLSr3_MIrGtAPt3N2IAw&sa=X&oi=book_result&ct=result&resnum=1

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Teamwork means working together in an interdependent way. In most cases teams have defined different roles for each member. For example, on a football team the players have different roles. If all players play quarterback, the team will perform very poorly. If team members play on their own, without consideration of the other team members, the team will perform equally poorly. In order to perform well, the members of a football team have different roles to play.

The board is a team

An effective board is one that is a team: the members have a common goal (the mission of their association) and they demonstrate teamwork. When a board works as a team it generates social capital. If a board does not work as a team, there may be three reasons:• there is no common goal;• the members do not want to work together as a team; or• the members are not competent in teamwork — they need to learn to work as a team.

Exercise: Is our board a team?Ask the participants to discuss their own board. Is it a team? Does it demonstrate teamwork?

ExperienceOne group compared their association to a traditional Melanesian hut. They said the central pillar represents the board’s chair; the pillars around the circumference of the hut represent the other board members. The roof totem represents the vision, mission, objectives and results of the association. The totems at the entrance represent the manager and other staff, and the structure of the roof represents the members. The group considered everyone’s role to be dependent on everyone else’s role. If one structure failed to support another the hut would collapse. They also considered their hut to still be open to the elements. Training and experience would ensure adequate ‘roofing material’ to make the hut a safe and happy place to be.

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Teamwork is powerful

When a group starts to be a team and demonstrate teamwork many positive changes can result. Improved teamwork can lead to any of the following outcomes:• better communication;• better outcomes;• more creativity and innovations;• fewer complaints; and• happier board members and happier members.

Renewing the board

Upon renewal of the board it is important to orient new members, making it clear to them what teamwork is and what their tasks and roles are. Strategic recruitment aims at acquiring specific skills, acquiring prestige (people with a certain status) or enhancing diversity and representativity. Associations often have a policy governing the recruitment process, the length of terms and the number of terms a board member can serve.

Exercise: Tasks, duties and roles of board membersDivide the participants into groups and ask them to come up with a goal for their board that reflects being a team. Then ask each group to develop a list of tasks, duties and/or a position description for board members. Are the tasks and duties of different board members interdependent? Once the groups have developed lists ask them to compare their lists with Handout 2.7.2. Do they want to adopt the lists and formalise them?

Exercise: Questions a board member should be able to answerPass around copies of Handout 2.7.3. Ask participants to get into groups of two and test themselves by finding responses to the questions in the handout. How did the participants assess themselves? Did they find the questions easy or difficult? Which were the most difficult questions? This may indicate areas needing more attention.

Before concluding the session, are there any points to be added to the ‘Board action plan’ and ‘Training plan’?

Concluding the session• A team requires a common goal.• A board is a team working toward the goal of a well-run and effective association.• In a team, members have interdependent roles.• Teamwork means working together on a basis of trust, sharing, and giving and accepting feedback.

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Handout 2.7.1: Teamwork questionnaire


26 Our board works well as a team.

27 All board members have written guidelines outlining expectations of their board service.

28 Our board sets annual goals for itself.

29 Our board assesses its own performance regularly.

30 Individual board members serve set terms within a system of regular rotation.

31 Our board recruits new members strategically.

32 New board members are thoroughly oriented into the organisation and board service.

33 Our board members serve enthusiastically as ambassadors for the organisation.

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Handout 2.7.2: Tasks, duties and position description of board members

Tasks of board members• Safeguard the mission• Set values and standards• Make policy• Provide oversight• Provide strategic guidance• Ensure resources (e.g. recruiting staff, monitoring finances)• Promote the association in the community

Duties of individual board members• Meet regularly• Contribute to discussions • Participate in collective decision-making• Place association’s interest above personal interest

Example of a position description for board members• Know and support the mission of the association• Attend board meetings regularly• Prepare for meetings in advance• Maintain confidentiality• Offer informed and impartial guidance• Avoid conflict of interest• Participate in sub-committees and special events• Support the staff• Take part in fund raising• Promote the organisation in the community• Other specific responsibilities according to expertise/experience

Specific tasks of the chair• Coordinate the work of the board• Liaise with the staff• Convene and lead meetings:• Schedule meetings• Set the agenda• Lead discussions• Has no special decision-making powers• Lead the hiring and assessment of staff• Ensure that the board functions properly• Represent the association in public

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Handout 2.7.3: Questions a board member should be able to answer15

1. What is a board?

2. Why should I be a board member?

3. Is the manager a board member?

4. Are the staff board members?

5. How can I stay motivated to give my best?

6. What is the relationship between the board’s chair and the manager?

7. Does a good manager need to have a board?

8. What are the responsibilities of the manager toward the board?

9. What are the responsibilities of the board toward the manager?

10. Does the manager only communicate with the board during meetings?

11. What are the responsibilities of the board?

12. Where can I find the rules of operation of the board?

13. How does the board evaluate the manager?

14. How can board members avoid conflict of interest?

15. What can I expect during a board meeting?

16. How does the board recruit new members?

15 Dyblaylo, V., Ivkovic D., Malych, B., Panov, L., Stalis, E., Wyatt M. and Zajazi, K. Questions every board member should ask. http://ngoboards.org/sites/ngoboards.org/files/questionsrev3.pdf

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Session 2.8: Completing the evaluation wheel

In the different sessions of this module participants have been assessing the commitment of their association to good governance principles. They have done this by responding to short questionnaires covering the areas of structure, staff, values and policies, financial management, board meetings and teamwork. This session will first summarise the content of the sessions on good governance and then create a visual image of the results of the questionnaires to show the participants in what measure their association is committed to good governance principles.

Key issues• Understanding how to apply good governance principles to one’s association• Evaluating the current performance of the association

Teaching aids and materials requiredFlip chart, board, markers and evaluation wheel used in previous sessions.

Exercise: Summarising the sessions on good governanceDraw two circles, one inside the other. The two circles together represent the association. The outer circle represents the function of governance, the inner one the function of management. There are inputs feeding into the associations, and outputs which are the results of the work of the association. Ask the participants to help you identify the various activities or tasks making up each of these elements.

ExperienceOne group prepared the following summary of their association.

Key points of the diagram:• Associations have inputs (donor budget, membership fees, unprocessed raw materials, training, knowledge,

skills and experiences of volunteers and staff) and outputs (audit report, events and finished products).• Governance and management are separate functions.• The board governs, the staff manages.• The board’s role is to put in place a system of measures to ensure that good governance principles are

upheld (e.g. collective interest, collective decision-making, participation, representation, transparency, accountability).

• The manager is in charge of day-to-day management (staff, budget, communication, etc).• Values and reputation are of utmost importance for a well-functioning association.• Members and the community judge the association by the way it governs and manages.• The local and national government judge the association by whether it has a clean audit.

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Exercise: Completing the evaluation wheelThe evaluation wheel should now have crosses (X’s) on each of the six axes, reflecting the number of ‘yes’ answers in relation to the total number of answers. Now connect the X’s on adjacent axes to form what looks like a spider web. Colour the area within the boundaries of the spider web. The coloured area represents the groups’ assessment of the commitment of their association to good governance principles. The area that is not coloured represents the work that still needs to be done for the association to function fully according to good governance principles.

Discuss the results with the group. Do participants feel the image is an accurate reflection of the actual situation? Can they look at the image and identify those areas that are stronger and weaker (the further from the center an X is placed along an axis, the stronger the commitment of the association to good governance principles in that particular area).

Now ask the group to compare the evaluation wheel with the points on the ‘Board action plan’ and ‘Training plan’. Do the results reinforce each other i.e. have training sessions and other actions been identified to strengthen weak areas indicated in the evaluation wheel?

ExperienceThe photo on the right shows the result of an assessment conducted by one particular group. The assessment clearly shows that the association is stronger in the area of structure than it is in the area of board meetings. On the whole, the association needs to work on integrating good governance principles.

The questionnaires can be administered at regular intervals, for example once a year, and new evaluation wheels prepared. Over time this can show trends in the development of the association. If good governance principles are gradually adopted the coloured area should gradually increase in size.

Concluding the session• An evaluation wheel is based on the views of members of an association, gathered through a

questionnaire and subsequently analysed and recorded.• An evaluation wheel is a visual representation of the current state of functioning of an association,

including strong and weak areas.• If the exercise is repeated at intervals the results show trends over time. A trend shows whether or not the

functioning of an association is improving in line with good governance principles.

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Module 3: Identifying priorities through a problem tree analysisThe problem tree analysis is a participatory exercise often used to determine the focus of the work of associations. It can also be used to ascertain whether an ongoing programme of activities is in line with the priorities and expectations of the association’s members.

Key issues• Identifying member priorities through a participatory exercise• Translating member priorities into work objectives and strategies

Training objectiveTo work with participants to establish the focus of the work of their association based on perceived problems and needs.

Learning objectivesAt the end of this module the participants will be able to:• explain the relationship between problems, causes and root causes in their own environment; and• explain how they arrived at their list of work objectives and strategies.

Teaching aids and materials requiredFlip chart, board, cards, thumb pins, masking tape, markers and copies of handout.

Input16 The objective of this module is to work with members to identify the priority areas that members wish their association to address. It is a participatory exercise and requires inputs from all member subgroups.

Problems, causes and root causes

In this session the focus is on mapping problems faced by members, along with their underlying causes. Consider the problem ‘farmers cannot access markets’. This problem may have several different underlying causes: the distance to the market may be too large; the farmers may have products that the market does not demand; or all the farmers may be producing the same products, resulting in the market being saturated. These underlying causes may in their turn be caused by other causes. For example the problem ‘the distance to the market is too large’ may have the following causes: farmers do not have vehicles to transport their produce, the cost of transport is too high, farmers are unable to organise themselves for collective transport or there simply is no road or ship to transport the produce. By asking the question ‘why?’ it is possible to identify causes of problems at several underlying levels. It is always very important to identify the root causes and find solutions to them in order to improve an unsatisfactory situation. It is like treating a sick person – the most effective treatment is the one that takes away the cause rather than the one that relieves the symptoms. Problems and causes and their interrelationships can be presented in a ‘Problem tree’. An example of a problem tree is given in Handout 3.1.

Exercise: Brainstorming problemsAsk the group to brainstorm issues and problems they face in a particular context relevant to their association. The context may be agriculture if the association is a farmers’ association, or fisheries if the association focuses on fisheries. Hand out metacards and markers. Ask the participants to write their responses on cards, with one idea per card. Collect the cards as they are produced and hang them on the wall or on a board.

Identifying core problems

Once the group is satisfied that their problems have been identified exhaustively, ask them to identify ‘core problems’ — ones to which many of the other statements seem to be linked. Now remove all the other cards, leaving the core problems on the board.

16 AusGuide - A Guide to Program Management, AusGuideline 3.3: The Logical Framework Approach, Annex A: Steps in conducting problem tree analysis. http://www.ausaid.gov.au/ausguide/pdf/ausguideline3.3.pdf

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Identifying causes and effects

Start to identify cause and effect by taking each of the removed cards one by one and asking the group whether the card is a cause or an effect of the core problem. If it is an effect then place the card above the core problem. If it is a cause, place it below the core problem. Carry on the exercise until all cards have been sorted either above or below the core problem to which they relate. Make sure that statements that are unclear are rewritten with the consensus of the group. Statements that are very general and apply to any development situation can be identified as ‘overall constraints’ and moved to the side of the problem tree. Examples of overall constraints are: lack of government policy, great distance, climatic problems, etc.

The guiding question now becomes ‘What leads to this (a particular card)?’ Choose any card within the ‘cause’ area and ask the participants ‘What leads to this?’ Choose from the other cards (or add cards if not yet identified) and place the card below your chosen card. If there are two or more causes for a problem, place the cards side by side. After placing the cards for each relationship ask the group to review and see if there are more causes leading to the problem. If so, add more cards. Similarly, ask if there are more effects resulting from the problem. Multiple effects are placed side by side.

Double-check the problem tree to ascertain that the logic is correct i.e. that one card is the cause of the card next in the hierarchy. Finally, join the cards by putting in vertical lines to indicate cause–effect relationships and horizontal lines to indicate joint causes and combined effects.

Turning the problem tree into an objective tree

While maintaining the structure of the problem tree, on the back side of each card write a statement that turns the negative problem statement into a positive objective statement. For example: ‘impoverished soil’ becomes ‘soil enriched’. While the problem tree shows the cause–effect relationship, the objective tree shows the means–end relationship. Double check to make sure that the links between cards are logical and reasonable: does one objective statement reasonably and logically lead to the one above? It might be necessary to add cards.

ExperienceIn one setting a group of farmers produced the following problem tree in response to the question ‘What problems do we face as farmers?’

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Identifying strategies

Look at the objective tree and identify distinct areas that would need to be handled through different strategies. Depending on the objective tree, examples of strategies could be a soil improvement strategy, a marketing strategy etc.

ExperienceIn the previous example the group identified the following strategies:• awareness raising, training and extension • market development and new products• post-harvest technologies • youth and agriculture strategy

Identifying actors

Ask the participants to consider their objective tree and identify appropriate actors to help achieve the objectives. The actors may be: the association itself, other local organisations, government departments, the private sector, projects, regional service providers etc.

Next steps

The results of this exercise, i.e. the list of strategies and list of actors, can now be used to develop a new strategic plan for an association, or assess the appropriateness of an existing one.

Concluding the session• The problem tree analysis is a participatory exercise requiring representatives from all member subgroups.• It is often used to identify priority needs of association members.• The results of a problem tree analysis feed well into a strategic planning exercise (Module 4).• The results can also be used to check that an association’s current objectives and activities are aligned with

the priority needs of its members.

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Module 4: Strategic planning Associations are often asked whether they have a strategic plan. However, it is often not clear to them what a strategic plan is, why it should be necessary to have one and especially how to prepare one.

Key issues• Comprehending what a strategic plan is• Comprehending why a strategic plan is important• Understanding that a participatory planning process ensures ownership of and commitment to the

strategic plan• Preparing a vision statement; a mission statement; sets of values, objectives, strategies, and activities; an

action plan and monitoring indicators

Training objectiveTo work with participants to prepare a strategic plan.

Learning objectivesAt the end of this module the participants will be able to: • explain the vision, mission, values, objectives and strategies of their association;• list the association’s activities and the indicators for measuring progress of the work; and• explain how all these are related to each other.

Teaching aids and materials requiredMetacards,17 tape, markers, board, large sheets of flipchart paper and copies of handout.

InputConsider the following quotation from Lewis Carroll’s The Adventures of Alice in Wonderland:

If you don’t know where you are going, any road will get you there.

In the context of an association, this means that if your association has no vision, goal or objectives to guide it, any result will be OK. Without these things the association is not clear about what it wants to achieve and even less about how to achieve it. Strategic planning is about imagining your association in 5, 10 or 15 years and mapping out a path to get there.

Strategic planning is a systematic planning process involving well-defined steps. These steps include such elements as defining a vision, a mission, and objectives; deciding on values; prioritising activities; and preparing action plans and plans for monitoring and evaluating the work of the association. In this module we shall be looking at needs, visions, missions, values, objectives, strategies, activities, action plans and indicators.

Role of members in deciding the content of a strategic plan

An association belongs to its members; it is therefore the members who decide on the contents of the strategic plan. Sometimes members may leave the strategic planning process to their elected representatives, the board members, with final approval for the strategic plan being given by the members for example during a general assembly. It is important for members to participate in deciding what they want the association to achieve and the way they want to achieve it. This ensures ownership and commitment, which in turn results in greater willingness by members to invest time and effort. In order for an association to flourish everyone needs to contribute: the ordinary members, the board and the staff. Everyone needs to work collectively as a team (see Module 2, Session 7 on teamwork) to achieve the best possible result.

17 Metacards are cards cut from stiff paper and measuring about 20 x 10 cm. They are useful during brainstorming exercises, applying the rule ‘one idea, one card’.

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Exercise: Why? Who? What? How?This exercise aims to help participants reflect upon the reasons why an association exists. The objective is for the group to find common ground. Write the following questions on flipchart paper and hang them up for all to see:• Why do we exist?• Who do we serve?• What needs are we addressing?• How do we address the needs?

Hand out metacards and markers then ask the participants to come up with ideas, first in response to the question ‘Why do we exist?’ If participants have more than one response, ask them to use one card for each response. Collect the cards and proceed to the next question (‘Who do we serve?’) and so on down to the last question — ‘How do we address the needs?‘ Now prepare four columns on the board and label them ‘Why’, ‘Who’, ‘What’ and ‘How’. Ask the participants to sort the responses and attach them in the appropriate columns using tape. Where the same response has been given attach the cards next to each other horizontally. Differing responses should be attached vertically.

Discuss the results and come to a consensus regarding the responses to the four questions. The group should now have reached a common understanding of why their association exists and what it aims to do.

ExperienceBelow are the results of an exercise conducted with the members of one association in New Caledonia.

Why do we exist?• to promote economic activities on our island• to give our population the means to exist• to allow us to live in good circumstances• to help us with all our needs

Who do we serve?• the fishers of our island• all the inhabitants of our island / village• we not only serve those that have received financial assistance, we serve everyone

What needs are we addressing?• the need to create economic opportunities for people who do not have a job• the need to create livelihoods so we can support our children at school as well as provide for our personal

needs• the need to help people access (financial) assistance

How do we do this?• by selling our products• by increasing our production to generate more income and ensure that our association sustains itself into

the future• by making sure that our association functions properly• by ensuring that there is a good understanding between our stakeholders and ourselves• through good management of our association• through everyone’s goodwill and contribution for the success of our association• by providing services and giving access to material means

Elements of a strategic plan

A vision statement, mission statement and objectives are ways to express what an association wishes to achieve and how it wishes to get there. They help make the purpose and ambitions of an association

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clear. This not only benefits the membership but also creates clarity for external stakeholders. In practice, associations often have trouble distinguishing vision and mission and seeing how these fit in with objectives. Indicators are tools that enable an association to measure whether it is achieving its objectives. We will look at each of these in turn.

InputA vision statement outlines what an association wishes its future to look like. It describes what will be achieved if the association is successful in 10 or 20 years. The vision is a future state to which an association contributes together with other stakeholders; it is not a future it accomplishes on its own. The vision is a source of inspiration. When written down, the vision should leave the reader a little breathless, but inspired and energised by the possibility of a society that, albeit with significant stretching, is within reach.

Some ingredients of a vision statement:• describes a bright future • focuses on people and quality of life• presents a clear and vivid picture• uses positive and engaging wording• uses present tense language• aligns with the association’s values and culture

Exercise: Identify a vision Ask each participant to think of one very positive experience he or she has had with the association — one that makes them think ‘Yes! — this is why I am part of this association!’ Ask them to explain why they remember this experience and why they feel it is positive. Write the results on flipchart paper.

Now ask the participants to imagine it is the year 2020. They are standing at the top of a nearby hill and have the power to see the entire area and everything that is happening. At this time, in 2020, three wishes for the area’s future have come true. Ask the participants what these wishes might be and how they could have come true. Record the results on flipchart paper. Another way of developing a vision is to ask participants to make a drawing of their area in 2020.

Use the results of the exercise to formulate a vision statement. Make sure there is consensus regarding the statement. Record the vision statement on flipchart paper and hang it on the wall as a reminder.

ExperienceIn one workshop participants contributed the following wishes that had come true:• A big green building has been established; it is the association’s headquarters.• Lots of people are engaged in economic activities, generating cash for their families.• Farmers produce large quantities of a diverse range of products.• Farmers’ products are of high quality and find an easy market.• Several markets for local produce are established in the area.• Trucks of local produce are leaving the area for other markets, even export markets.• The population is working together in harmony and unity.• There are tourists in the area making use of local lodging and camping.• Tourists go on treks to discover the nature of the area, they participate in cultural events, they undertake

trips on the sea; there are guides, signposted walks and facilities like riding on horseback.• There are many happy people with cash in their pockets and satisfied with the initiatives they have

undertaken.

A vision was formulated as follows:

‘A united and prosperous population living in harmony with the natural resources of the area, managing them in a sustainable way and proudly sharing them with others’

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It may be worthwhile to compare the vision statement prepared during this exercise with the vision as defined at the creation of the association and often incorporated into the constitution. Has there been a change in the perception of the aim of the association? Do any adaptations need to be made?

Mission statement

The mission statement serves to differentiate the function and core expertise of an association from those of other organisations working to achieve the same vision. A mission statement gives the fundamental purpose of an association and defines the target group. A mission statement provides a path to realise the vision and is in line with an association’s values.

Some ingredients of a mission statement:• gives the purpose of the association• identifies the primary stakeholders• describes the responsibilities of the association toward these stakeholders• gives the products and services offered

Exercise: Define the mission statementOn the basis of the vision statement and the elements provided above ask the group to brainstorm and reach a consensus on a mission statement.

ExperienceFrom the above example a corresponding mission was formulated as follows:

‘In the spirit of working together we help the population of the area to improve their social and economic conditions’

Another association formulated its mission as follows:‘Through a well-functioning association we help the population of our island

to sustainably improve livelihoods for a better living standard’

Values

Values determine the ‘culture’ of an association. They are like a behavioural code or reference and they are created and strengthened as social capital grows (see Module 1). Values define the way members of an association work together and they are reflected in objectives and the way activities are implemented.

ExperienceThe mission below shows an important value:

‘In a spirit of working together we help the population of the areato improve their social and economic conditions’

It is the value of working together. This association decided that they need consensus and collaboration at every step of the way. It means that they need to undertake much consultation, work in a participatory and transparent manner and communicate effectively with their membership and stakeholders.

Exercise: Define valuesBreak the group into subgroups and ask each subgroup to state which value they think is the most important value in their association. What are the implications of this value in the way the association operates and in the way it should operate? Present the results to the full group and reach a consensus about the core values of the association.

ObjectivesObjectives outline how a vision is to be achieved. They are like the stepping stones leading to the vision. When setting objectives it is important to focus on a result, not on an activity. It is important to formulate objectives

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clearly. One way of doing so is to use the ‘SMART’ method, which employs five criteria that need to be fulfilled to ensure good formulation. The criteria are the following:

S = Specific (is the objective specific?)M = Measurable (can the objective be measured?)A = Achievable (is the objective achievable?)R = Relevant (is the objective relevant?)T = Time-bound (is the objective time-bound?)

Exercise: Formulate objectivesKeeping vision and mission in mind, ask the group to formulate objectives. Test whether the objectives are formulated SMART-ly.

Experience One farmers’ association had formulated their mission as follows:

‘To service our membership by advocating, promoting and supporting sustainable agricultural production practices and consumption of healthy local foods,

and by facilitating marketing’

In line with this mission the following objectives were formulated for the coming four years:• The image of five local foods improved and their production and consumption promoted• Five appropriate sustainable production practices promoted and supported• Access and training in three post-harvest technologies facilitated• Marketing of three agricultural products facilitated

Strategies

A strategy is a plan, or an approach, by which an objective is to be achieved. In the above example the following would be possible strategies:• communication and awareness raising strategy using the media• training and extension strategy• marketing strategy

Exercise: Identify strategiesOn the basis of the objectives identified for their association, ask the participants to now identify suitable strategies.

Activities

From the objectives and corresponding strategies, a list of activities usually follows quite logically. Taking for example the objective:

‘The image of five local foods improved and their production and consumption promoted’

a communications and extension strategy would be appropriate. The following list of activities could be prepared:• Identify the list of five local foods to be promoted.• For each local food prepare a brochure and poster with information on nutritional benefits, cultivation

techniques and recipes.• Promote incorporation of local foods in the menu of the school canteen.• Incorporate production techniques, nutritional benefits and cooking of local foods into the school

curriculum.

Depending on the available resources of the association it may be necessary to prioritise activities.

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Exercise: Identify activities Divide the group into subgroups and give each subgroup one of the strategies formulated in the previous exercise. Ask the participants to discuss and come up with a list of activities to be implemented in order to reach the objectives defined earlier. Make sure the list of activities is in line with the vision and mission statements. Also make sure that the list of activities can realistically be implemented by the association. Present the list to the full group and reach a consensus.

Action plans

Activities are often presented in a table called an action plan. There are different ways to present an action plan, including the following:• The activities to be implemented can be shown on the vertical axis and the time scale on the horizontal

axis. • The table may have a number of columns such as: activity, when it is to be implemented, and

responsibility.• The table may contain more detail such as: objectives, strategies, activities, timing, and responsibility.

Exercise: Prepare an action planPrepare an action plan for the activities identified during the previous exercise. Make sure the action plan is feasible in terms of resources and timing. Discuss whether the action plan needs approval from the associations’ members. How? When?

Indicators

Indicators are the tools that will indicate how far the association is from achieving its objectives and whether it is going in the right direction.

Taking the first objective from the example given in the paragraph on objectives and the activities developed in the section on activities, the following could be a possible list of indicators.

Objective: The image of five local foods improved and their production and consumption promotedIndicators:• list of five local foods to be promoted• leaflets for each local food• school canteen menu featuring local foods• evidence of lessons given at local school

Exercise: Identifying indicatorsAsk the participants to go back into their previous subgroups and to come up with indicators for the objectives and activities they produced earlier. Make sure the indicators measure achievement of the objectives.

Concluding the session• Without strategic planning, an association will never know where it is going, much less if it ever got there. • Planning is critical to the success of an association.• Some important steps in strategic planning include formulating a vision, a mission, values, objectives,

strategies, activities, action plans and indicators (Handout 4.1 gives a summary of the session).

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Handout 4.1: Strategic planning summary18

VisionIs the image that members of the organisation have about an ideal future to which the organisations’ work contributes.

MissionIs the overall purpose that guides the operation of the organisation.

ValuesAre the standards that determine how the organisation should carry out its activities. They are the personality or culture of the organisation.

ObjectivesAre the short-term targets that the organisation works toward to achieve the mission.

StrategiesAre the approaches used by organisations to achieve their objectives.

ActivitiesAre the individual actions that fit in a strategy and contribute to achieving the objectives.

Action planIs a matrix showing all the activities to be implemented with corresponding time scale and responsibilities.

IndicatorsThese are the tools that help determine whether the organisation is achieving its objectives. Indicators can be measured.

18 Adaped from: Chechetto-Salles, M. and Y. Geyer, 2006. Community-based organization management. Handbook series for community-based organizations. Institute for Democracy in South Africa (IDASA). www.idasa.org.za/gbOutputFiles.asp?WriteContent=Y&RID=1701

Vision

Mission

Values

Objectives

Strategies

Activities

Action PlansIndicators

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Module 5: Preparing a logical frameworkA logical framework (or logframe) is a summary, or overview, of a project in the form of a table. It is a handy tool for communication purposes. When associations solicit funds from donors, they are often asked to supply a logframe with their funding proposal. This module covers preparing a logframe.

Key issue• Preparing a logframe

Training objectiveTo work with participants to prepare a logframe.

Learning objectivesAt the end of this module the participants will be able to: • explain the logframe of their association or programme; and• explain why the logframe is a useful planning, monitoring and evaluation tool for their work.

Teaching aids and materials requiredFlip chart sheets, pencil, eraser, Post-it notes or cards and copies of handouts.

Input19, 20 A logframe is a further step in the strategic planning process. It is a tool that allows for systematic planning, managing, monitoring and reporting of a project. It also allows the project to be summarised in one table, which facilitates better communication among stakeholders. Key words in the logframe approach are: objective oriented, target group oriented and participatory.

Exercise: Problem tree analysisThis exercise is presented in Module 3. If the exercise has already been done, use the results to develop the logframe.

Exercise: Strategic planningThis process has been described in Module 4. If a strategic planning process has already been undertaken by the association, use the results to develop a logframe.

While the previous two exercises are done with a wide group of stakeholders, it is probably easier to complete the logframe with a smaller group and get feedback from the others once a draft logframe (or summary table of the project) has been developed.

Give the participants copies of the logframe matrix below (Handout 5.1). This matrix will be used as a reference while the exercise is conducted.

Structure and content of a logframe matrix

Measurable indicators Means of verification Important assumptions

IMPACT: Wider problem the project will contribute to resolving

Quantitative ways of measuring or qualitative ways of judging timed achievement of goal

Cost-effective methods and sources to quantify or assess indicators

External factors necessary to sustain objectives in the long run

OBJECTIVE: The immediate impact on the project area or target group i.e. the change or benefit to be achieved by theproject

Quantitative ways of measuring or qualitative ways ofjudging timed achievement of purpose


External conditions necessary if achieved project purpose is to contribute to reaching project impact

19 NORAD, 1999. The Logical Framework Approach (LFA), Handbook for objectives-oriented planning, fourth edition. http://www.norad.no/items/1069/38/5751098277/Logical%20Framework%20Approach%20LFA%20-%20handbook%20for%20objectives-oriented%20planning.pdf

20 BOND, Networking for International Development, 2003. Guidance Notes no. 4: Logical Framework Analysis. http://www.gdrc.org/ngo/logical-fa.pdf

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OUTPUTS: The specifically deliverable results expected from the project to attain the purpose

Quantitative ways of measuring or qualitative ways of judging timed production of outputs


Factors out of project control which, if present, could restrict progress from outputs to achieving project objectives

ACTIVITIES: The tasks to be done to produce the outputs

INPUTS: A summary of the project budget

Financial report as agreed in grant agreement

Factors out of project control which, if present, could restrict progress from activities to achieving outputs

NOTE: The two boxes in the centre of the activities row are not used for measurable indicators and means of verification as the progress and success of the activities are measured at the outputs level. Remember, the activities are carried out to achieve the outputs. These ‘spare’ boxes can therefore be used to provide any useful additional information such as inputs and budgeting requirements.

In the sections below, the logframe exercise is described in three consecutive steps: • Step 1: What is the project going to achieve?• Step 2: How can the achievements be measured? • Step 3: What factors could restrict the progress of the project?

Hand out the Post-it notes or cards to each participant in the group and ask them to provide ideas as you facilitate the process of filling up the logframe matrix with them. One Post-it or card should not feature more than one idea.

Step 1: What is the project going to achieve?

In this step the group will be working down the first column of the matrix and looking in turn at the impact, objective, outputs and activities of the project. The box called ‘inputs’ at the bottom of the second column will also be looked at.

• Impact: Using the information from the objective tree of the problem tree analysis, ask the participants to consider the question ‘What ultimate issue or problem is the project going to contribute to?’ Also consider the vision and mission of your association in answering this question; make sure all elements are aligned. The impact should be formulated as a brief statement or summary. Ask the participants to write their ideas on the Post-its or cards and to reach a consensus before proceeding in the same manner to the other parts of the matrix.

Example: To promote sustainable agricultural practices in villages A, B and C

• Objective: What final results are you trying to achieve? This is the objective of the project. The objective should be formulated clearly and briefly.

Example: Five sustainable agricultural techniques identified and promoted in the villages A, B and C.

• Outputs: What are the particular outputs needed to achieve the impact of the project? There may be several outputs.

Example:• Agriculturalextensionagentrecruitedandtrained• Fiveappropriatesustainableagriculturaltechniques

identified• Extensionmaterialsprepared• Extensionandtrainingsessionsheldineach

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• Activities: List the activities that are needed to achieve these outputs. There may be several for each output. Statements should be brief and emphasise action words.

Example 1: For the output ‘Agricultural extension agent recruited and trained,’ the following activities may be identified:• Advertisethevacancyby(date).• Holdinterviewsby(date).• Recruitacandidate.• Trainthecandidateontheaimsandcontextofthe

project.

Example 2: For the output ‘Five appropriate sustainable agricultural techniques identified,’ the following activities may be identified:• Holdmeetingswithfarmerstoidentifyfarmer

problems and possible solutions.• Networkwithpartnerorganisationsandother

stakeholders to identify technical solutions.• Studyfeasibilityofthesolutions/techniques.• Decideonfivesolutions/techniquestobe

promoted.

• Inputs: In this cell there is room to provide additional information, such as the inputs that are needed to carry out the activities. Again, there may be several for each activity and it will help to run through each activity individually, listing required inputs (resources, equipment, tools, and people). The cell next to the inputs may include a summary of the project budget.

Example: For the activity ‘Hold meetings with farmers to identify farmer problems and possible solutions,’ the following inputs may be required: training room, workshop materials (paper, markers).

Step 2: How can the achievements be measured?

This section is about how the objectives of the project can be measured; it is about identifying indicators and means of verification (columns 2 and 3 of the matrix).

• Indicators: Identify a way of measuring each activity and output, as well as each objective and impact. By finding ways of measuring, you are identifying indicators. Formulate the indicators as ‘QQT,’ which is an acronym for ‘quality, quantity and timing’ where:

Ŭ Quality indicates the kind of change. Ŭ Quantity indicates the extent of the change. Ŭ Timing indicates by when the change should have taken place.

There are different kinds of indicators you may wish to consider (Handout 5.2):

Type of indicator What it measures Example

Process indicator Measures the extent to which you have achieved what you set out to do

Number of farmers who have completed training on (specified) sustainable agricultural techniques by (specified) time

Impact indicator Measures the impact of your work Number of farmers applying (specified) sustainable agricultural technique by (specified) time

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Direct indicator Measures an activity directly Number of compost bins in use in farmers’ fields

Indirect indicator Measures a ‘proxy’ Number of compost bins sold at the local agricultural inputs shop

• Means of verification: Try and work out what information sources you need and how you can gather the information. This is the means of verification. Examples are: training records, farm visit reports, monitoring forms and anecdotal evidence like views expressed by project beneficiaries. Consider the cost implications of gathering the information and build this into the project budget.

Step 3: What factors could restrict the progress of the project?

In this step reflect on which external factors (outside your control) could prevent work from progressing. These factors may be climatic, political, economic or otherwise. They should be real risks rather than a list of everything that could go wrong. • Refer to the fourth column of the matrix and identify assumptions for each level.

Examples of assumptions:• An agricultural extension agent with knowledge

of sustainable agricultural techniques shall be recruited.

• Government policies will continue to promote sustainable agricultural techniques.

• Sustainable solutions to farmers’ most pressing problems exist and are appropriate and feasible.

• By reflecting up from the bottom of your logframe (column 4), consider how, if each assumption holds, it will be possible to move to the next higher level in your logframe.

• Double check your logframe by going over it, from bottom to top, to check that it is truly logical: Ŭ Will the inputs and activities clearly lead to the outputs required to achieve the objective and

contribute to the impact? Ŭ Will the indicators and means of verification effectively measure the progress of the project? Ŭ Are the assumptions reasonable or do they indicate a level of risk that suggests that the project is

unlikely to get off the ground or be completed? A ‘killer assumption’ is one that is very likely to occur, with the consequence that it would be best to change the project radically or abandon it altogether.

Ŭ Type the logframe up onto A4 sheets. Ŭ Get consensus by giving a copy of the logframe to all stakeholders and asking them for feedback.

Reach a consensus on the final logframe. Ŭ Monitor and revise the logframe over time. The logframe is a flexible tool. As the project progresses

situations and contexts are bound to change. In such instances, return to the logframe and revise it. Get a consensus for these changes from the stakeholders and keep everyone informed so that they are able to keep up to date with current progress of the project and its future direction.

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ExperienceBelow is an example of a completed logframe.



IMPACT: Increased sustainable agricultural production

At least 20% increase in productivity during next 5 years and continuing in the long term

• National statistics• Survey

• Agricultural policy in harmony with project aims

OBJECTIVE:Increased soil fertility

At least 40% of the farmers adopt one or more sustainable technologies before the end of the project

Survey • Socio-economic situation allows farmers to participate

• Farmers’ problems and priorities remain unchanged

OUTPUTS:• Farmers’ problems

identified• Appropriate sustainable

technologies identified• Appropriate technologies

promoted

• Meetings with farmers held in every village and problems documented

• At least 3 sustainable technologies developed and tested by farmers

• At least 5 promotional materials developed and disseminated

• Project reports• Interviews with farmers• Survey

• Partner organisations’ aims in harmony with project

• Support from partners provided

• Technician continues in the post

ACTIVITIES: • Work with farmers to

identify their problems and potential solutions to them

• Test potential solutions in farmers’ fields

• Promote successful techniques using communication strategies and aids

INPUTS:Project budget in figures.

Financial report • Farmers participate.• Qualified technician

available to lead the fieldwork

Concluding the session• Logframes are produced through a participatory process.• The logframe is a tool allowing for systematic planning, managing, monitoring and reporting of a project.• A logframe summarises the project in one table.• Donors often ask for logframes.• Over time logframes are adjusted in accordance with changing contexts.

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Handout 5.1: Summary of the content of a logframe



IMPACT: Wider problem the project will contribute to resolving

Quantitative ways of measuring or qualitative ways of judging timed achievement of goal


External factors necessary to sustain objectives in the long run

OBJECTIVE: The immediate impact on the project area or target group, i.e. the change or benefit to be achieved by the project

Quantitative ways of measuring or qualitative ways of judging timed achievement of purpose


External conditions necessary if achieved project purpose is to contribute to reaching project impact

OUTPUTS: The specifically deliverable results expected from the project to attain the purpose

Quantitative ways of measuring or qualitative ways of judging timed production of outputs


Factors out of project control which, if present, could restrict progress from outputs to achieving project objectives

ACTIVITIES: The tasks to be done to produce the outputs

INPUTS: A summary of the project budget

Financial report as agreed in grant agreement

Factors out of project control which, if present, could restrict progress from activities to achieving outputs

NOTE: The two boxes in the centre of the activities row are not used for measurable indicators and means of verification as the progress and success of the activities are measured at the outputs level. Remember, the activities are carried out to achieve the outputs. These ‘spare’ boxes can therefore be used to provide any useful additional information such as inputs and budgeting requirements.

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Handout 5.2: Types of indicators

Type of indicator What it measures Example

Process indicator Measures the extent to which you have achieved what you set out to do

Number of farmers who have completed training on (specified) sustainable agricultural techniques by (specified) time

Impact indicator Measures the impact of your work Number of farmers applying (specified) sustainable agricultural technique by (specified) time

Direct indicator Measures an activity directly Number of compost bins in use in farmers fields

Indirect indicator Measures a ‘proxy‘ Number of compost bins sold at the local agricultural inputs shop

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Module 6: Preparing a capacity building planFew people are well-prepared for the task ahead of them when they become board members. In most cases people learn from other people, through practice or through skill development and training. Giving people the skills they need to run an association effectively is called human resource development. A capacity building plan is a document that outlines how an association would like to develop its human resources. It is based on an inventory of the current level of human resources of the association and aims at improving the association’s overall effectiveness.

Key issues• Determining the strong and weak points of an association• Preparing a capacity building plan

Training objectiveTo work with participants to prepare a capacity building plan.

Learning objectivesAt the end of this module the participants will be able to: • explain the capacity building plan for the association; and• explain how the capacity building plan was developed through identification of weak and strong areas of

organisational performance.

Materials requiredMetacards,21 tape, markers, board, large sheets of flipchart paper.Exercise: Why? Who? What? How?This exercise is described under Module 4. If the exercise has already been conducted with the group reference can be made to the results.

Exercise: Assessing the performance of the associationAsk the participants to remind you of the main development goal of their association. Get a consensus on this.

Copy the H-frame shown below onto large paper, leaving enough room on the sides to allow for developing a list of points. Explain to the participants that the horizontal line is a scale showing worst (0%) and best (100%) case scenarios with respect to the performance of the association in reaching its overall development goal.

Now ask each participant in turn to place an x on the horizontal line such that it reflects their assessment of the association’s current performance. This exercise can be done anonymously (turn the flipchart to face away from the group), in plenary or in sub-groups. Once everyone has rated the performance of the association discuss the results. Is the performance good or bad? Is there a lot of variation in the way people rated the performance of the association? Help the group come up with reasons for the current performance. Mark positive points (strengths) to the right and weak points to the left.

21 Metacards are cards cut from stiff paper and measuring about 20 x 10 cm. They are useful during brainstorming exercises, applying the rule ‘one idea, one card’.

Weak points Strong points

0 100%

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ExperienceBelow are two examples of the results of H-frame exercises conducted with different groups.

Once the group has discussed the results exhaustively and come up with a complete list of strengths and weaknesses, it may be useful to ask the participants to reach a consensus by indicating one point on the scale that represents the actual performance of the association. This should involve negotiation on the basis of the reasons recorded on the left and right of the H-frame.

Summarise the exercise by explaining that the points on the right side of the H-frame indicate the progress made to date while those on the left indicate obstacles to further development. Ask the group to prioritise the obstacles.

InputObstacles hinder the achievement of objectives and goals and hence of the mission and vision of an association. Depending on the obstacle, the solutions may be sought in different areas. Sometimes there is a need for changes in values, behaviour, and relationships, and sometimes the association needs a different set of skills than it currently has. These changes can be either changes in process (how things are done) or in outcome. Often the required change is a combination and it is necessary to find the right mix of the two.Changes imply learning, adaptation and attitudinal change at an individual, group, organisational and even societal level. Change means assuming new responsibilities and finding new collective solutions to common problems. Change involves breaking with habits and routines and it involves taking risks. Risk taking is often difficult for people. Where social capital is abundant associations might find it easier to change and improve their performance than in cases where social capital is low.

Exercise: SWOT analysis This exercise can be done in addition to the above exercise ‘Assessing the performance of the association,’ with the results feeding into this exercise, or instead of it.

SWOT stands for strengths, weaknesses, opportunities and threats. On a large sheet of paper draw the matrix shown below and label the boxes as indicated.

HELPFUL To achieving the goal

HARMFUL To achieving the goal

INTERNAL Attributes of the association

Strengths Weaknesses

EXTERNAL Attributes of the environment

Opportunities Threats

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Explain the meaning of the boxes:• Strengths: are attributes of the organisation that are helpful to achieving the objective.• Weaknesses: are attributes of the organisation that are harmful to achieving the objective.• Opportunities: are external conditions that are helpful to achieving the objective.• Threats: are external conditions which could do damage to the business’s performance.

Ask the group to think of factors internal to their association that are strengths. Then look at internal factors that are weaknesses. Continue by asking the group to now consider external factors representing opportunities and those representing threats. Record all the points raised in the relevant boxes of the table.Summarise the exercise by explaining that while internal factors are mostly under our own control, external factors are not. Therefore when looking for solutions, it is wise to be strategic and look for solutions which are within the reach of the association.

Exercise: From obstacles and weaknesses to a capacity building planOn a large piece of paper, prepare a matrix like the one below.

Obstacle/ weakness expressed as a capacity

Whose capacity? Existing capacity How to change? When? Capacity indicator

Use the results of the previous two exercises and concentrate on the obstacles and weaknesses, for it is these the association would like to change. Take each obstacle/weakness and express it as a relevant (lack of ) capacity. Record each obstacle/weakness in a separate box in the first column of the matrix. Make sure the way obstacles/weaknesses are recorded ensures a common understanding. For example an association may have identified as a weakness a lack of meetings. Depending on the situation this could mean a lack of capacity to hold meetings (not knowing how to hold a meeting), or a lack of capacity to physically meet (people are not able to be present at the same time in the same place because they may live to far apart), or the lack of capacity to motivate people to come together (people are not interested in getting together to meet).

Ask the group to in turn discuss each item in the first column and identify and record the answers to the following questions:• Whose capacity needs to be addressed?• What is the existing capacity?• How can a change be brought about?• When is the best time to address this?• What is a good indicator for measuring whether the capacity has improved?

Record the results in the appropriate columns.

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Experience

Whose capacity? Capacity to do what?

Existing capacity How to change? When? Capacity indicator

Treasurer Do the accounts Not adequate Training Within 6 months Accounts kept up to date

Committee Mobilise members Not so good Visit members, hold meetings, promotional activities

Immediate % increase of membership

Concluding the session• Most associations need to build capacity on an ongoing basis.• Capacity building is about human resource development aiming at improving the performance of an

association.• Capacity building often involves change: change in values, behaviour, or relationships, or improved

organisational or technical skills.• The starting point for a capacity building plan is the current performance of an association.• Preparing a capacity building plan is a participatory activity.• A capacity building plan is a document outlining how an association wants to develop its human

resources.

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Module 7: Conflict resolutionSometimes associations get stuck in a conflict which damages their performance and from which they find it very difficult to emerge. Often the reasons for such conflict are viewed differently by different members or get lost in time. Sometimes the members of an association belong to the same village and to the same social network, making it difficult for them to talk openly about the conflict. Sometimes it can be very helpful to receive neutral outside assistance in resolving conflicts.

Key issues• Identifying and reaching a consensus on problems causing the conflict• Identifying and reaching a consensus on solutions to the conflict• Preparing an action plan

Training objectiveTo work with participants to resolve a conflict.

Learning objectivesAt the end of this module the participants will be able to:• explain the problems causing the conflict and the solutions to it; and• explain how the action plan will help resolve the conflict.

Materials requiredTape, markers, board, large sheets of flipchart paper.

InputAs a first step participants need to identify the reasons for the existing conflict and reach a consensus regarding it. Below are three exercises that will help in initiating discussions and identifying reasons. Hang up a large sheet on the wall to note reasons for the conflict as they come up.

Exercise: Time lineThis exercise is useful to gain deeper insight into the history of an association and how its history has shaped its present form. It is also useful to generate discussion among participants around problematic or sensitive issues.

Draw a horizontal line across the board and explain that the line represents the life of the association. At the left of the line write the date of creation of the association and at the right today’s date. Invite the participants to mark major events and milestones in the association’s life. These may be positive or negative.Allow the group to work on this together. Note points of discussion and dissent and where appropriate solicit more information or more discussion between the participants. Elicit the reasons the association is currently not functioning optimally. Note these as ‘problems’ on the large sheet of paper.

ExperienceOn the right is an example of a timeline prepared by one group.

This timeline helped to generate a discussion amongst association’s members on the perceived reasons for changes in levels of fish production over consecutive years.

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Exercise: Venn diagramThis exercise can be used to map the network of an association. Draw a circle in the centre of a large sheet of paper and give it the name of the association. Now invite the participants to draw similar circles on the paper denoting existing links with other groups, organisations or individuals. The size of any circle denotes the importance of the other institution or individual to the association. The distance of any circle denotes the intensity of contact existing. Ask the participants whether they find the situation indicated in their map a satisfactory one. Why? If the situation is unsatisfactory, what are reasons? Note the reasons as problems on the large sheet of paper.

ExperienceOne association mapped their network as shown in the photograph on the right.

This exercise helped make it clear to the participants that if their association ceased to exist, the members would not be able to continue meaningful relationships with any of the stakeholders on whom they depended for their livelihoods. It made it clear that the existing conflictual situation needed to be resolved.

Exercise: Assessing the performance of the associationThis exercise is described in Module 6. The participatory evaluation done in this exercise is a useful basis for initiating a discussion amongst participants on the strong and weak points of the association and hence the reasons for a less than satisfactory performance. Note reasons as problems on the large sheet of paper.

Exercise: Reaching a consensusUpon completion of the exercise go through the list of problems recorded on the large sheet of paper. Read out each problem separately and ask the group whether everyone agrees with it. Reach a consensus on all the problems listed on the paper.

InputIt is likely that many of the problems listed on the large sheet of paper are in fact caused by other underlying problems. These underlying problems are often called root problems. This part of the module aims to analyse the existing situation more closely and to identify root problems.

Exercise: Fish boneHang up two or more large sheets of paper next to each other and draw a horizontal line across the middle of the pages. Ask one of the participants to draw a fish head at one end of the horizontal line and a fishtail at the other end. Now draw several lines at angles from the horizontal line, thus creating a ‘fishbone’.

At the fish head write down the overriding problem faced by the members of the association. For example: ‘Our association is not functioning properly’. Explain that the problems identified earlier (refer to the list on the large sheet of paper) contribute to this overall problem. Along each slanting bone write one of the problems from the large sheet of paper. Explain that these problems are causing the overall problem, which is that the association is not functioning properly. Now explain that there may be yet other problems, so far not expressed, contributing to each of the problems. Tell the group that the aim is to uncover these underlying or root problems.

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Start with one bone and its corresponding problem and ask the group to think, analyse, discuss and identify root problems. Make sure there is a causal relationship between the root problem and the higher order problem. Also make sure to identify real root problems by asking the question ‘Why does this problem exist?’ repeatedly until the question can no longer be answered. Record each root problem along lines coming off each slanting bone. Emphasise that each root problem causes the next level problem and eventually the overall problem.

Experience

The photo above shows the result of a fishbone exercise conducted with one association.

Divide the group into subgroups and give each subgroup one or more problems with the corresponding root problems. Ask each group to identify a solution corresponding to each root problem. Ask them to do so by discussion and negotiation so as to find the most appropriate solution for their context. Questions like the following may help in finding the most appropriate solution: Is the solution feasible? Is it acceptable? Is it practical? What are the consequences?

When finished, ask the subgroups to present their work to the full group. Invite the other participants to ask questions, ask for clarification and/or further discuss the solutions presented. Ask the participants to reach a consensus on a list of appropriate solutions for the problems. List the solutions on a large sheet of paper.

InputIn order to progress out of the conflict situation and ensure that the results of the workshop are turned into positive action, the next step is to prepare an action plan. The action plan lists each of the proposed solutions and identifies how each solution is to be implemented, by whom and when. Make sure there is enough time for this as the exercise often generates a lot of further discussion.

Exercise: Preparing an action planHang up a number of large sheets of paper. Write the title ‘Action plan’ on them. Below the title draw four columns and label them ‘solution’, ‘how’, ‘who’ and ‘when’. List the solutions identified in the previous exercise in the first column. Take each solution separately and invite the group to decide how it believes the solution would best be implemented. List the action steps in the second column. Ask the group to identify for each step in turn when they wish to implement it and who is responsible for ensuring that it is implemented. It is often practical to list names of individuals rather than ‘the board’ or ‘the staff’. This will ensure that responsibilities are clear. Get a consensus on the action plan. Make sure that participants receive a copy of the action plan after the workshop so they can monitor its implementation.

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ExperienceBelow is an example of the first part of an action plan prepared by one association.

Action PlanAction/solution How Who When

Invite women and youth to join the association

Make a decision on this at the next board meeting

Board chair to initiate First Sunday of November

Spread the message informally

All members Immediately

Hold a village meeting with women and youth

Board chair Second Sunday of November

Use the next general assembly to renew the board and integrate women and youth

Board and members December

Regularity of board meetings

Prepare a calendar of monthly meetings

Board chair/secretary Hold meetings every first Sunday of the month

Prepare agenda in advance Board chair with manager One week before every meeting

Send invitations to all board members including information on place, time and agenda

Board secretary One week before every meeting

Hold a meeting to prepare well for the next board meeting

Board chair, secretary, treasurer and extension agent

In the last week of the current month

Concluding the session• It is not uncommon for associations to undergo conflict situations.• Sometimes conflicts can drag on and do much damage.• Often the reasons for a conflict are not clear to board members and general members alike.• A neutral person, often an outsider, can be useful in facilitating a resolution to a conflict.• Resolution involves the members of an association identifying and reaching a consensus on the problems

and their solutions.• To ensure that solutions are clearly spelled out and can be monitored, it is useful to prepare an action plan.

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Module 8: ParticipationOne key area of a well-functioning association is that of participation. Often leaders of an association may have a general idea of what is meant by participation but the potential benefits may remain unclear to them and they often lack detailed knowledge on how to apply the concept.

Key issues• Understanding the levels of participation• Analysing participation in one’s own association• Planning for improved participation

Training objectiveTo enable participants to gain a clear understanding of what participation is, its benefits and how participatory approaches can be applied in their own association.

Learning objectivesAt the end of this module the participants will be able to:• explain the different levels of participation; and• explain the current level of participation in their association and how participation can be improved.

Materials requiredTape, markers, board, large sheets, flipchart paper and copies of handout.

Exercise: What does participation mean to me?Write the word ‘Participation’ on the board. Then ask the group’s participants what the word means to them. Invite participants to write their ideas on cards, one idea per card. Collect the cards, discuss them one by one and group them, distinguishing for example between attitudes, actions and procedures.

ExperienceBelow are the results of this exercise in one group.

Participation means…

Attitudes Actions Procedures

Inclusiveness Expressing opinions Decision-making in the general assembly

Democracy Being a volunteer Representation of community groups on the board

Sharing responsibilities and a teamwork approach

Encouraging feedback from members Strategic planning

Engagement Involvement Obtaining approval from members

Empowerment Information and transparency Assisting farmers to prepare project proposals

Input 22

Present the group with handout 8.1. Go through it with the participants.

Level 1 Information Telling people what is planned

Level 2 Consultation Offering a number of options and listening to the feedback received

Level 3 Deciding together Encouraging others to provide additional ideas and options, and deciding together what is the best way forward

Level 4 Acting together Different interests deciding together what is best and forming a partnership to carry it out

Level 5 Supporting independent community initiatives

Helping others achieve what they want to achieve

22 Wilcox, D. 1994. The guide to effective participation. Supported by Joseph Rowntree Foundation. http://www.partnerships.org.uk/guide/frame.htm

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The handout presents five levels of participation:• At Level 1 people are informed about plans, budgets, results and other matters. At this level there is no

interaction influencing the outcome. Everything is controlled by the individual or individuals in charge, for example the board.

• At level 2 there is consultation with stakeholders. A number of options are provided and there is room for feedback. The feedback influences the result but the decision-making rests with those in charge.

• At level 3 others are encouraged to contribute their own ideas and suggestions. They are discussed in the group and the result is a decision made by the group.

• At level 4 there is a discussion between individuals or groups with differing interests to determine the best way forward. A partnership is formed to carry out the work.

• At level 5 independent community initiatives are supported, for example within a framework of grants, advice and support.

It is clear that as one proceeds from level 1 to higher levels there is increasing participation from stakeholders. Depending on the situation, different levels of participation may be appropriate.

The figure below (Handout 8.1) provides a summary of the previous paragraphs.

Control by an individual/the board Information

Consultation

Deciding together

Acting together

Supporting independent community initiatives

Increasing participation

Top-down management

In some cases associations have a top-down management system. This is a system that relies on level 1: members are informed, they are not consulted and they never take part in decision-making. In such a management system it is difficult to take into account members’ long-term interests. In associations with such a system of management, members become discontented quite quickly, resulting in withdrawal from the association.

Exercise: Participation in our associationAsk the participants to think of their own association and to identify examples, processes and practices that illustrate the five different levels of participation. Facilitate a discussion around some examples put forward by the group by asking if they think that the levels are appropriate for the purpose or if a lower or higher level would be more appropriate.

Control by members

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ExperienceFollowing are some examples put forward by a group.

Level Example Appropriateness

Level 1: Information Our manager informs the members of our association of the logistics regarding participation at a farmers’ market (the delivery date for produce, departure time, and cost of participation).

Appropriate

Level 2: Consultation A new manager was recruited for our association. CVs were shortlisted and interviews held by board members. Heads of the commissions were consulted but the final decision was made by the board.

Appropriate

Level 3: Deciding together Some of our members asked our association to invest in a fish processing plant. This was discussed during our last general assembly. The assembly decided to go ahead with the project in line with the discussions held at the general assembly.

Could have been more appropriate at level 5

Level 4: Acting together Before the creation of our association there were people who were for and against agricultural development. Many meetings were held with and between the population and local development agencies. It was decided that creating an association was the best way to access funding and services ensuring agricultural development. We now have many members and work in partnership with different agencies.

Appropriate

Level 5: Supporting initiatives A group of members from a fishers’ association asked their association to assist them to establish a plant for converting fish waste to fertiliser and animal feed. The association plans to assist in a participatory process bringing together stakeholders, including community groups, resource providers and the market and transport sectors, to realise the project.

Appropriate

Characteristics of participation

Some characteristics of good participation in an association are the following:• representation of all sub-groups• free exchange of information• member contributions (ideas, time, materials, funds) • procedures providing for participation by members (in decision-making, planning, implementation and

evaluation)• procedures promoting transparency (accountability, public auditing)

Advantages of participation

Consider the quote below:

Nobody knows everything — everybody knows something

In the context of participation in an association it means that everyone has something to contribute and that when knowledge and resources are pooled and shared, the results are better than when the association is dependent on just one person or a select group. Participation helps increase the knowledge base.

Another important advantage of participation is that it helps create group cohesion. In the context of an association, involving members increases ownership (‘our’ association), commitment and sustainability of the organisation. Participation also helps empower weaker social groups by giving them a voice and showing that they can influence results.

Constraints of participation

Participation is not something that happens by itself. In many cases people are used to hierarchical relationships where decision-making is done by others. Often considerable and sustained effort needs to be put into preparing people for a participatory mode of operation.

Once people are prepared, implementing a participatory approach costs time and effort as it involves calling people together, explaining, soliciting ideas, discussing, comparing alternatives, convincing and agreeing

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on matters. Often a number of meetings need to be called before decision-making can take place. Because of the time and effort involved it often seems easier to just inform people. A balance needs to be sought between providing for genuine participation of members in decision-making and planning and making timely decisions. In general, details of operations can be left to a management group, while major decisions and plans that affect all members of the association need to be discussed and agreed by all members. There are instances when there are no short-cuts and a full participatory process needs to be applied.

Another commonly occurring constraint to participation is that of vested power. Sometimes local political or power structures may inhibit true member participation by influencing decision-making to their own advantage. Solutions need to be sought on a case-by-case basis.

Exercise: Increasing participation in our associationDivide the group into small groups of four participants. Refer to the earlier exercise of this module and ask the groups to discuss if they see room for improving participation in their association. How would they like to do this? When the groups are finished, ask them to present their conclusions to the full group and discuss. It may be useful to prepare an action plan to implement the ideas.

Concluding the session• Participation can occur at different levels — at a basic level it involves simple sharing of information; at a

higher level it means consulting, deciding and acting together.• Each level of participation is appropriate for specific activities in a specific context.• The board and members of an association should decide how they apply participation in their own

association.• Advantages of quality participation include an increased knowledge base and operating according to

good governance principles (representation, accountability, information and transparency), leading to increased ownership.

• A disadvantage of participation is that it is time consuming.

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Handout 8.1: Levels of participation23

Level Level of participation Characteristics

1 Information Telling people what is planned2 Consultation Offering a number of options and listening to the feedback received3 Deciding together Encouraging others to provide additional ideas and options, and

deciding together what is the best way forward4 Acting together Different interests deciding together what is best and forming a

partnership to carry it out5 Supporting independent

community initiativesHelping others achieve what they want to achieve

Control by an individual/the board Information

Consultation

Deciding together

Acting together

Supporting independent community initiatives

Increasing participation

23 Wilcox, D. 1994. The guide to effective participation. Supported by Joseph Rowntree Foundation. http://www.partnerships.org.uk/guide/frame.htm

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Module 9: Self-help, dependency and volunteerismBackgroundThis module deals with attitudes and beliefs affecting the readiness of people, associations and communities to take initiatives to improve their conditions. A self-help attitude is one where internal initiatives are taken to mobilise internal resources in quest of a solution to an internal problem. Dependency is a sense of helplessness and waiting for an external agency to take control of an internal situation. Volunteerism is an expression of self-help; it is something associations depend upon.

Training objectiveTo enable participants to gain a clear understanding of the concepts of self-help, dependency and volunteerism so they can be recognised and judged on their true value.

Learning objectivesAt the end of this module the participants will be able to:• explain the concept of self-help;• explain the concept of dependency;• explain the concept of volunteerism; and• relate all three concepts to the reality of their own association

Training contentSession 9.1 – Self-help and dependencySession 9.2 – Volunteerism

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Session 9.1: Self-help and dependency

Sometimes an association or a community may come to a standstill through an overwhelming sense that it cannot act for its own good but that it needs outside help to progress. This is an attitude and belief rather than a reality.

Key issues• Understanding the concept of self-help• Understanding the concept of dependency and recognising its symptoms• Analysing one’s own association with regard to these concepts

Teaching aids and materials requiredTape, markers, board, large sheets of flipchart paper and copies of handouts.

Exercise: Case study ‘Chernobyl 20 years on’Give the participants copies of Hand out 9.1.1. Ask participants to read and identify the main message of the article. When the article has been read by all, ask the group for feedback. Discuss and summarise by making the point that the article is about breaking the dependency syndrome through an attitude of self-help.

Input24 What are dependency and self-help?

The dependency syndrome is an attitude and belief that a group cannot solve its own problems without outside help. Self-help is a belief and attitude that a group can and must take effective initiatives to improve its conditions. Self help leads to self-reliance. Self-reliance is a characteristic of empowerment (see Session 1.3).

Characteristics of dependency

The attitude of dependency is often reinforced by external agencies, including governments, which tend to want to give to communities and community groups rather than cultivating attitudes of self-help leading to self-reliance. The list of symptoms of the dependency syndrome is long and includes the following:

Lack of initiative Sense of deprivation

Passivity Apathy

Lack of creativity Lack of entrepreneurial spirit

Lack of confidence Lack of motivation

Lack of hope for the future Ignorance

Lack of accountability Dishonesty

Lack of sustainability Lack of community spirit

Divided communities Unstable society

Exercise: Examples of dependency in my associationAsk the group to discuss the concept of dependency and identify examples in their association or in their community.

24 Bartle, P., 1998. Handbook for mobilisers. http://www.scn.org/cmp/hbmob.htm

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ExperienceOne group came up with the following results:• Not regularly attending board meetings; it means we are not fully in control of our own development.• We don’t ask for a financial overview of our association.• Most members don’t attend the general assembly.• We don’t invest enough time in mobilising our members.• We are timid and lack the confidence to engage with external partners.• We have incidents of theft of materials.

Fighting the dependency syndrome

History shows us that people have the physical and mental capacity to overcome negative situations — to take initiative and to look for solutions. If people did not have this capacity the human race would not be where it is today.

People and communities, no matter how poor, have internal resources both human and material. It is the mobilisation of these resources that demonstrates an attitude of self-help. Due to the dependency syndrome internal resources often remain unrecognised and consequently are not utilised. Strong, resistant and sustainable communities are those communities that utilise internal resources to the largest possible extent in order to solve community problems and progress.

To build strong communities and facilitate strong associations it is important to promote a sense of self-help in people. Government resources are always in short supply. Therefore communities and associations need to be self-reliant and empowered in order to progress.

Exercise: Farmers First associationAsk the participants to consider the following case study (Handout 9.1.2).

Case studyAn association called Farmers First was created with the aim of channeling government funds to individual farmers to improve their livelihoods. The association operated for four years; many farmers received funds and were able to improve their farms and earn extra income by selling produce through the association. However, the management of the association remained largely in hands of a manager funded by the government. After four years the government funds ran out. The association continued to operate for a few more months but then ceased to exist. Most farmers reverted back to the conditions they were in before the creation of the association.

Ask the participants for feedback on this case study. Would it have been better if the association had continued to exist? Can one speak of self-help and self-reliance in this case study? What could have been done differently to ensure sustainability of the association and hence the services to the farmers?

Conclude the exercise by making the point that when outside agencies implement projects without adequate community involvement, those projects are often not successful in the long term. Once the outside agency has run out of funds or left the area, the facility or service deteriorates. Because in the above case study the project was an externally led initiative, the community or association had little motivation to use and maintain the facility effectively or to sustain the service. There could have been a different outcome if the association or community members had had a greater role in decision-making, planning, and management, and if they had contributed to the costs of the project.

Advantages of being self-reliant

Being the initiator of one’s own projects and activities allows an association or community to be in control and to enjoy greater participation, appropriateness, responsibility, ownership and sustainability of its efforts in the long run. Often governments and donors are more likely to provide complementary external resources

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if community groups and associations show that they have already mobilised their internal resources to the largest possible extent.

Exercise: Internal resources and our development projectAsk the group to identify a development project their association or community would like to undertake. In relation to the chosen project ask the group to prepare an inventory of the internal resources existing in their association or community that they could use to realise their project. To what extent are external resources required and how could these be obtained?

ExperienceOne group decided they would like to design and implement a project aimed at transferring knowledge about traditional agricultural practices to youth. They prepared the following inventory of internal resources.

Internal resource How to use it

Youth Awareness raising and mobilisation of youth

Youth club Talk to the leaders and ask for their support

Farmers Ask farmers to create opportunities for youth to work with them on their farms for 3–6 months; provide meals in return

Community hall Can be used to lodge youth who come from further away

Common land Ask the chief to provide land to youth wishing to farm as a group

Local market Give youth a place in the market to sell their produce

Concluding the session• Dependency and self-help are attitudes and beliefs rather than realities.• There is a long list of negative conditions associated with dependency.• The solution to dependency is self-help, leading to self-reliance and empowerment.• Self-help and self-reliance promote ownership, control and sustainability of community activities.

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Handout 9.1.1: Article ‘Volunteers drive recovery of Chernobyl-affected communities’25

Left to right: Olga Kolosyuk, Vyacheslav Bortnik and Yugesh Pradhanang visit a water pump in Kirdany, Ukraine. (Photo by UNV.) 26 April 2006.

Kiev, Ukraine: For Olga Kolosyuk, clean water represents progress in a post-Chernobyl Ukraine. The fact that her village of 1,000 has safe drinking water demonstrates what the community has accomplished—most notably the refurbishment of a local water supply—since taking the lead in improving their situation.

Olga is a leader of a community organization called Dryzhba, a collective of residents from Kirdany. She is one of numerous volunteers who, with the help of the United Nations Volunteers (UNV) programme, set up a community organization in the village. More than 200 community-led organizations exist in 139 villages throughout the Chernobyl-affected area. They are addressing the economic, environmental and social problems stemming from the Chernobyl nuclear disaster, which occurred 20 years ago today.

The organizations were established between 2002 and 2005 as part of the Chernobyl Recovery and Development Programme (CRDP), a joint initiative of the Government of Ukraine, UNDP, UNV and the UN Office for the Coordination of Humanitarian Affairs (OCHA), with funding from Japan, Canada and Switzerland. The CRDP uses mixed teams of Ukrainian and international UN Volunteers, together with technical assistance from UNDP Ukraine, to work alongside the communities. Collectively, they identify and develop rehabilitation projects, from renovating schools to improving community health centres to better cope with the illnesses associated with the Chernobyl fallout. During 2004 and 2005, 94 community projects were implemented, including 21school improvement initiatives, 21 health centre refurbishments and 22 water supply system improvements.

To build the capacity of the communities, the UN Volunteers provided training in planning, communications, leadership, fundraising and other skills to bring about effective project management. In 2005, nearly 4,000 people, including representatives of local government, participated in various trainings. ‘They’re not only working to improve the community, but also themselves,’ says Yugesh Pradhanang, a UN Volunteer from Nepal, charged with overseeing the UNV component of the CRDP. ‘Before [the CRDP], there was a dependency syndrome – people expected the government to take care of everything. Volunteering has given them a “magic stick”. They’re building partnerships and working together with local governments to improve their lives.’

Promotion of volunteerism is an important component of the CRDP. The UN Volunteers have worked extensively on sensitising the communities on the benefits of volunteering and its role in steering community development forward.

25 UN volunteers website, 2006. http://www.unv.org/en/news-resources/news/doc/volunteers-drive-recovery-of.html

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Much work has been equally carried out with Ukraine’s existing network of community organizations and other civil society groups to raise awareness of volunteerism in Ukraine and reposition it beyond preconceived notions under the former Soviet Union. Schools, for instance, have benefited from the new take on volunteerism. Previously seen as institutions under the government’s responsibility, today several schools part of the CRDP are hubs of community engagement with parents and those unaffiliated with the school active in education.

‘There has been a big change in people’s minds,’ says Vyacheslav Bortnik, a national UN Volunteer at the CRDP Regional Office in Ovruch. ‘When we first came here, people had no hope for the future and they wouldn’t believe that they could change anything. Now they’re saying “We did this and we are planning this”. There has been a big change.’

Mobilizing youth has also been a focus of the CRDP. Several community organizations have made youth issues a priority and invested heavily to create opportunities to improve their lives in the affected communities. As a result, youth centres were opened in 19 villages during 2004–2005, providing youth with a gathering place where resources are available on educational and social opportunities.

Beyond tangible results, the CRDP, and its focus on volunteerism, has boosted the affected communities’ sense of spirit, hope and direction. ‘I have positive feelings towards the CRDP,’ says Valentina Radkevich, a leader of an association of community organizations in Listvin, where a youth centre and health post were established. ‘I have [had] the chance to teach other people… I am almost 60, but I still have possibilities for development and it’s great when you can help someone.’

Iryna Nevmerzhytska, a youth leader in Kirdany, says volunteerism has helped realize a common goal. ‘The [programme’s] most valuable success is the cooperation among people and joining forces together, all directed towards the achievement of one aim… the well-being of the community,’ she says.

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Handout 9.1.2: Case-study of Farmers First association

Case-study

An association called Farmers First was created with the aim of channeling government funds to individual farmers to improve their livelihoods. The association operated for four years; many farmers received funds and were able to improve their farms and earn extra income by selling produce through the association. However the management of the association remained largely in hands of a manager funded by the government. After four years the government funds ran out. The association continued to operate for a few more months but then ceased to exist. Most farmers reverted back to the conditions they were in before the creation of the association.

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Session 9.2: Volunteerism

Some associations are in a position to employ staff. However the vast majority of associations are entirely led and run by volunteers. A good understanding of volunteerism is important for associations.

Key issues• Comprehending the concept of volunteerism• Understanding what drives members to be volunteers in one’s own association

Exercise: Case study on volunteerismRefer back to Handout 9.1.1. Ask the participants what the article shows about volunteerism. How has the community in the article benefited from the spirit of volunteerism?

Materials requiredTape, markers, board, large sheets of flipchart paper.

Input26 In the context of an association volunteerism is the practice of people working for the common good without being motivated by financial or material gain. Volunteers work to improve their association or communities but also to improve their own skills and competencies and/or to satisfy personal ambitions. Volunteerism, self-help and social capital are closely related concepts.

Nature and benefits of volunteerismVolunteerism draws on a vast and powerful resource of human energy and initiative that is readily available; anyone can become involved in a cause at any time and every individual can make a difference. Volunteerism has great social benefits because it helps to build social relationships and thereby cohesive and stable communities fostering trust, solidarity and reciprocity. Volunteerism also has economic benefits because volunteers fulfill important tasks at little or no cost.

Although volunteerism is essential to the welfare of societies and a source of great social contributions, it tends to remain largely invisible; for example it is often overlooked in national statistics. Sometimes it is considered to be of lesser importance than remunerated work. To highlight the important place of volunteerism, the United Nations, in 1985, adopted 5 December as the International Volunteer Day for Economic and Social Development (IVD) through Resolution A/RES/40/212 .

Volunteerism and the dependency syndromeVolunteerism has many benefits and can be very powerful; at the same time it is often unjustly used to explain why plans or activities of associations do not progress. For example statements like the following are often heard:• It is difficult for us to hold regular meetings because we depend on volunteers.• We would like to participate in training but as we are all volunteers we cannot make commitments.• It is important to discern the real reasons for not progressing; is it the dependency syndrome at work

rather than the spirit of volunteerism?

Exercise: What is my motivation to work for my association?Ask the group to reflect on this question, discuss it with those sitting next to them and come up with their own personal reasons for being involved with their association. Ask everyone to present their motives and make an inventory. Summarise by saying that volunteers are a very important resource of associations and that there are many reasons for which volunteers commit themselves to work for an association. See Session 1.2 on social capital for an example of what one group came up with when they conducted this exercise.

26 http://en.wikipedia.org/wiki/Volunteerism

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Concluding the session• Volunteerism is a willingness and commitment to work for the common good without expecting financial

or material gain.• Volunteerism is a powerful tool; a vast resource is potentially available.• Volunteerism makes vast contributions to societies and promotes cohesive, stable communities.• Volunteerism is a sign of social involvement rather than stagnation.

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Module 10: Gender awarenessIn society women and men have differing roles. These roles vary from one society to another. Because the roles affect the realities, the needs and the participation of men and women in development activities, it is useful for members of associations to have a deeper understanding of the subject.

Key issues• Differentiating between sex and gender• Recognising gender roles• Comprehending that gender roles are changeable• Understanding gender equality• Understanding what it means to look with a gender lens• Identifying needs for change in our own association

Training objectivesTo enable participants to gain a clear understanding of what the concept of gender is and how the association can be changed to ensure that it is gender sensitive.

Learning objectivesAt the end of this module the participants will be able to:• explain the difference between gender and sex;• explain the concepts of gender equality, gender lens and gender change; and• explain in what measure their association is gender-sensitive and how the situation can be improved.

Teaching aids and materials requiredSheets of A4 paper, pencils, metacards, tape, markers, board, large sheets of flipchart paper and copies of handouts.

Exercise: Drawing farmers/fishers27 Give each of the participants a sheet of paper and pencil. Tell them that they will be making drawings but they are not allowed to work together, discuss or ask questions. Hand them the following instruction sheet (Handout 10.1).

Instructions: Draw a farmer or fisher

Think of your own farming (or fishing) community. Now imagine a farmer working on a farm or in a field (or a fisher engaged in fishing). Draw that farmer (or fisher) with the background scenery as you like. Try to be as realistic as you can in illustrating clothing, hats, farming (or fishing) implements, activities, etc. After finishing the picture write down the farmer’s (or fisher’s) name as well as your own name.

Note: In this exercise it is important that the facilitator always makes sure to refer to the person to be drawn as ‘the farmer’ or ‘the fisher’. Never should there be an indication that the farmer or fisher is either male or female.

When everyone has completed their drawing ask the participants to hang them on the wall and to view the drawings of the other participants. Once everyone has done the round, count and announce the number of male and female farmers. It is likely that there will be more male than female farmers.

27 Adapted from: http://unesdoc.unesco.org/images/0010/001091/109112eo.pdf

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ExperienceBelow are two of the drawings prepared by one group. They show that in both cases, participants automatically considered ‘farmers’ to be men.

Conclude by saying that the drawings represent what we carry in the back of our minds. They show the traditional gender role whereby farmers and fishers are considered to be men. The drawings are examples of gender bias. Gender roles are ingrained over generations and we usually act based on them. This is the reason that changing gender roles is not a simple affair.

Input28 This section will discuss some of the key concepts about gender.

Distinction between sex and gender

Sex refers to the universal, biological differences between men and women. Sex cannot change.

Gender refers to the characteristics and qualities that societies associate with being a man or a woman. It is about the social roles and relationships between men and women. These roles and relationships are context specific and can change from one group of people to another and from generation to generation. Gender is influenced by culture, race, wealth, class, age, education, religion and ideology. What is considered a woman’s role in one society might be considered a man’s role in another. Since society is constantly changing, the gender roles and status of women and men are also changing.

When discussing gender, it should always be remembered that women are people with the same potential and limitations as men.

Exercise: Describing men and womenPrepare a two-column table on a large sheet of paper and write at the top of one column ‘women’, at the top of the other ‘men’. Ask the participants to call out words or symbols that describe men and women. List the results.

28 Training Package 1: Interpersonal growth and gender in groups. Module 1: Gender awareness. Canada Nepal Gender in Organisations Project with support of the Canadian International Development Agency. http://www.cngo.org.np/pdf/genderawareness.PDF

Ahmad N., G. Aqil and I. Nyborg 2002. Training manual for gender awareness/sensitization, workshop for community representatives. NLH/AKRSP High Altitude integrated natural resource management program. http://www.umb.no/statisk/akrsp/06_publications_and_pres-entations/08_training_materials/2_gender_awareness.pdf

Saeed, F. 2005. A manual for gender sensitivity training for the Pacific. Noumea, New Caledonia: Secretariat of the Pacific Community.

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ExperienceOne group produced the following table.

Women Men

Bear children Strength

Breast feed Earns family income

Care for children Rational

Household chores Handle big machines

Cooking pot Yam

Taro Go fishing by boat

Emotional Decision-maker

Pass on traditions Head of the household

Not so strong Can become a chief

Can never become a chief Brave

Once the list has been prepared exhaustively, prepare a table with two columns labeled ‘sex’ and ‘gender’. Use the results of the previous table to indicate whether the descriptors of men and women are related to sex (biological) or gender (social).

ExperienceThe following table was produced to show the distinction between sex and gender.

Sex (biological, cannot change) Gender (social, can change)

Bearing children Caring for children

Breast feeding Doing household chores

Strength Being emotional/rational

Earning family income

Taking decisions

Passing on traditions

Position in the household

Handling big machines

Becoming a chief

Fishing by boat

Being brave

Values, status, roles and activities

Conclude the exercise by saying that beyond women’s role of bearing children and the fact that women have less physical strength than men, the only differences between men and women are those that society has bestowed on them. In practical terms, sex should not be a determining factor of a person’s ability to function well in a job or in an association because there are few tasks that require especially hard physical labour. For example there is no proven physical reason why women cannot be good engineers.

Stereotypes

Stereotypes are fixed ideas or assumptions about a group of people. Individuals belonging to that group are assumed to have the characteristics of the stereotype. Stereotypes can lead to false or unrealistic expectations about individuals who belong to a particular group of people. We have seen in the previous exercise that there are many stereotypes about men and women that are based on traditional gender roles.

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Gender equality

We have seen above that gender is about the roles given to men and women by society. Gender relations in many societies are unequal and hierarchical. This is shown by factors such as access to and control over resources. Institutions, ideologies, values, ideas and practices all play roles in shaping attitudes about gender. Gender equality is about valuing women and men equally. Equality means recognising how women and men have traditionally been treated differently and making changes so that things like the work that women and men do is recognised as valuable and worthy. For example, unpaid work in the home can be as valued as or more valued than work done in an office. It is just a matter of how you look at things.

Gender lens

Gender lens is a name given to trying to look at the community and society around us in a different way. It is like putting on a pair of spectacles and seeing everything differently. A gender lens helps us see things without interference from traditional gender roles.

Imagine that with one lens you see women’s participation, needs and realities and with the other you see men’s participation, needs and realities (Handout 10.2). Your sight or vision is the combination of what both eyes see together. By being aware of the situations of both men and women we can work to achieve more equal and just societies. Equal, respectful partnerships between men and women are necessary in order to have happy, healthy families and communities and strong associations.

A gender lens can be applied by associations to the composition of their board, the management of their staff, the design of programmes, the planning of meetings or workshops and so on. A gender lens helps promote equal partnerships between men and women.

Change

Societies and gender roles change over time. In an effort to build a more balanced and just society we can facilitate the evolution of gender roles ourselves.

Exercise: Gender changeAsk the participants to sit in one large circle. Give each participant one metacard and ask them to write down one aspect of gender that has changed over time. This could be an activity, an idea, an invention, an experience, a policy, etc. Each participant then reads his or her idea and places it inside the circle. After all of the ideas are read out ask the group to cluster the ideas (clusters could be education, politics, family etc).

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ExperienceOne group came up with the following ideas.

Cluster

Education Politics Employment Family

Nowadays both boys and girls go to school.

Women can become president of the country.

More and more women earn an income.

Men care for children when the mother goes to work.

Women have trained to become seafarers.

Our national assembly has an increasing number of women.

In the nickel mines some women drive heavy vehicles.

My sons help in the housework.

Facilitate a discussion along the following lines:• How did the changes come about for each cluster?• Are the changes perceived to be positive or negative, and why?• Were the changes difficult to achieve?• What other gender changes does the society need?

Exercise 4: Gender and community institutions/associationsPrepare a table like the one below. Ask the participants to consider their own environment and local institutional landscape. Fill the table up with the assistance of the participants.

Name of local institution/association

Functions Women’s involvement

As beneficiaries Leading activities Management and decision-making

Facilitate a discussion based on the results: • Which institutions/associations involve women and at which level?• What does the group think of the results?• Where is change needed and why?• How could change be brought about?

ExperienceA fishermen’s association became aware that their gender bias had made them believe that fishing is a man’s role. During the training they ‘discovered’ that in their village women are also fishers. They may not own a boat and go to sea but they do fish on foot. In addition, women’s associations in the community were observed to be well-organised and dynamic. The men proposed making changes to their association so that it would also represent women. They decided to invite women to join and contribute their skills and resources for the good of their community. An action plan was formulated, resulting in nomination of women to the board. The association also decided to open up the fish processing unit to female workers.

Concluding the session• Sex refers to biological roles of men and women. They are roles that cannot be changed.• Gender refers to socially constructed roles of men and women. Gender roles can and do change.• Women are people with the same potential and limitations as men. In many societies they do not get the

same opportunities because of the gender roles assigned to them by those societies.• Gender equality means recognising that women and men have traditionally been treated differently

and making changes so that women and men and the roles and work they do are recognised as equally valuable and worthy.

• Associations can take the initiative to build a fairer society by becoming gender aware and acting in consequence.

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Handout 10.1: Instruction sheet — Drawing a farmer or fisher

Instructions: Draw a farmer or fisher

Think of your own farming (or fishing) community. Now imagine a farmer working on a farm or in a field (or a fisher engaged in fishing). Draw that farmer (or fisher) with the background scenery as you like. Try to be as realistic as you can in illustrating clothing, hats, farming (or fishing) implements, activities, etc. After finishing the picture write down the farmer’s (or fisher’s) name as well as your own name.

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Handout 10.2: Gender lens

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Module 11: Communication and presentationBackgroundThis module is about communication and presentation. Good communication skills are important in every aspect of people’s lives. Communication refers to the way we behave with another person; it encompasses such things as the way we respond, the use of our voice and our body language. Presentation is about the skills needed to communicate with a group. Good communication and presentation skills are amongst the most important competencies that board members and staff of associations should have. Good communicators are often able to achieve many more things than those who are less skilled at communication.

Training objectiveTo enable participants to gain a clear understanding of skills needed for effective communication and presentation.

Learning objectivesAt the end of this module the participants will be able to:• explain the meaning of communication;• explain which human skills are involved in effective communication with individuals and groups;• explain which factors influence communication; and• explain why nervousness occurs when presenting in front of groups and how it can be dealt with.

Training contentSession 11.1 – CommunicationSession 11.2 – Presentation

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Session 11.1: Communication

Communication is needed in every aspect of the work of an association; it is key to an effective association. Good communication promotes good governance principles like sharing information and transparency. It is important that board members and staff have a good understanding of what communication is, how it is affected and how it can be improved.

Key issues• Comprehending what communication is• Understanding of the skills used during communication• Understanding of the factors affecting communication

Teaching aids and materials requiredFlip chart, board, thumb pins, masking tape, markers and copies of handouts.

Exercise: What is communication?Ask the group to imagine two people sitting with their backs to each other in a closed, otherwise empty room. They are not allowed to use their voice, look at each other or get up from their chairs. Ask the group to reflect on whether they think these people can communicate with each other in this situation. Alternatively this exercise could be conducted as a role play where the two players are asked to find ways to communicate with each other and the rest of the group are observers.

ExperienceIn a role play the players shuffled their feet, tapped their fingers and sniffed their noses, eliciting responses from each other. In another situation one player had a pen and a little piece of paper in her pocket. She wrote the message ‘can you read this?’, then crumpled the paper into a ball and threw it backward over her head to the other participant. The other participant was able to pick it up from the floor, read the message and acknowledge it by clapping her hands.

Conclude the exercise by saying that communication is not just a verbal act; there are many ways to communicate and we make use of them all the time in our daily lives. The exercise also shows that communication can be hampered by certain conditions, making it much more difficult for people to interact effectively.

Input29 Communication is a means of exchanging messages or an act of giving information and receiving a response. There has to be:• a sender• a receiver• a message• a response• a channel through which the message and response are passed.

This idea is presented in the diagram below (Handout 11.1):

29 Singh, H., D. Hitchcock, G. Paudel and S. Rana, 2002. Training of Trainers, a training manual in eleven modules, module 2 —Problem identification and analysis, Nepal Australia Community Resource Management Project. http://www.nacrmlp.org.np/publications/ training_manuals.php

Receiver

Sender

Message

Response

ChannelChannel

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Exercise: Whisper lineWrite down a message on the back of a flipchart but don’t show it to the group. Now line up all the participants in the room. Whisper the message to the first person in line. Ask that person to whisper the message to the next in line and so on down the line. Make sure that the whispered message is not audible to those around. When the message has reached the end of the line, ask the last person to write the message on the front of the flipchart. Compare the two messages. Are they the same?

In almost all cases when conducting this exercise, you will find that the original message has been considerably distorted. Ask the participants how this happens and what it shows.

Sum up the exercise by noting that in almost all cases receivers interpret messages differently from what the sender had in mind. This is due to many factors, both external (noise, volume, accent etc) and internal (reference structure of the receiver, how the receiver perceives the sender etc).

Human skills used during communication

For communicating we have a number of human skills at our disposition which we can use individually or in combination. These skills include vocal, listening, visual, observational and reading skills as well as physical contact (touching, hitting, etc). Some people are said to be good communicators, others are said to be bad communicators. Exercise: Good and bad communicatorsAsk the group for characteristics of good and bad communicators; list them and discuss.

ExperienceThis is the list of characteristics prepared by one group.

Good communicators Bad communicators

Succeed in getting the message across Are unable to send the message across correctly

Are at ease communicating Are nervous

Use the right mix of skills Do not use skills optimally

Adapt to the audience Communicate in the same way no matter who is the audience

Interact with the audience Are detached from the audience

Get things done Have difficulty achieving things

Now ask the participants whether they think people can be taught to be good communicators. Discuss whether some people are born with the gift of being good communicators while others will remain bad communicators throughout their life.

Summarise the exercise by saying that being a good communicator is probably partly a gift and partly learnt. The characteristics of good and bad communicators have their roots in personal attitudes and the extent to which individuals have learnt communication skills.

One-way and two-way communication

One-way communication is about sending a message; it is not about responding to the sender. In two-way communication there is an interaction in which the receiver responds to the message from the sender. One-way and two-way communication are appropriate in different contexts. For example during a meeting both one- and two-way communication may occur.

Exercise: One-way and two-way communicationAsk the group to identify examples of one- and two-way communication.

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ExperienceBelow is a list of examples of one- and two-way communication produced by one group.

One-way communication Two-way communication

Billboard Telephone conversation

Advertisement on TV Debate

Presentation Discussion

Article in the newspaper Question and answer session

An order from your superior Chatting on the Internet

Letter Meeting

Film Interview

Radio talk Quarrel

Rules and regulations Participatory training

Exercise: Talking, listening and observingDivide the big group into small groups of three persons each. In the small groups assign roles for each member: a communicator, a listener and an observer. Tell the groups that they will be performing a role play involving a conversation between the communicators and the listeners. Give the groups a topic of conversation that is easy to talk about, e.g. ‘gender balance in our board’, ‘how climate change is affecting us’ or ‘expectations regarding the next yam harvest’. Now give the groups Handout 11.1.1, telling them that further instructions are given therein.

Note that while the instructions for the communicators and observers are the same, there are different instructions for the listeners of each group. Allow the groups to discuss their assignments for about 10 minutes and then ask each of the groups to present their role play to the rest of the group. After each role play ask the observer to share his or her observations and discuss in the larger group before moving on to the next role play.

When all the role plays have been performed and discussed, summarise the exercise by emphasising that interest and attitude of the listener affects a conversation. Highlight the verbal and non-verbal skills used by the players to demonstrate their interest and attitude to the communicator.

Factors affecting communication

Listed below are a number of factors affecting communication.• Attitude and interest of the listener. If a listener is not interested, this attitude will act as a mental screen

whereby information from the communicator is rejected out of hand and in some cases may not even be heard. This is called selective perception and it is based on motivation as well as cultural and emotional factors in the listener. In order to be effective in communicating it is important to know the audience and use this information to shape the message in such a way that it attracts their attention.

• Language used by the communicator. It is important to speak in a language the target audience understands. If the words are too complex, the audience will soon lose interest.

• Terminology. Some words do not mean the same thing to everyone or may create different images in people’s minds. Consider, for example, such words as ‘education’, ‘house’ and ‘frequently’. When communicating it is important to make sure that everyone has the same understanding of a word or definition.

• Appropriateness of the message. Different people have different information and motivation requirements. Messages must be adapted to the target audience rather than given in a form satisfying the needs of the communicator.

• Methods used to present the message. Many methods of message delivery can be used to share ideas and information. The attitude and interest of the target audience are important factors in determining the best method.

• Degree of complexity of the message. Simple messages are best. If ideas are too difficult then there will be little comprehension and therefore little effect.

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Concluding the session• Communication involves a sender, a receiver, a message, a response and a channel.• There is one-way communication and two-way communication. Each kind of communication is suitable

for different contexts.• Communication is about vocal, visual, observational, listening, and reading skills as well as physical contact.

The way these skills are used makes us good or bad communicators.• Many factors affect communication; we need to adapt our way of communicating to ensure maximum

effectiveness.

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Handout 11.1.1: Communication

Receiver

Sender

Message

Response

ChannelChannel

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Handout 11.1.2: Instruction sheets for communication exercise

COMMUNICATOR INSTRUCTION SHEET

YOU ARE THE COMMUNICATOR

Your job is to hold a conversation with the Listener

DO NOT INVOLVE THE OBSERVER IN THE CONVERSATION

It is your responsibility to keep the conversation going, no matter how the Listener reacts to you.

DO NOT DISCUSS OR SHARE THIS INSTRUCTION WITH OTHER GROUPS

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OBSERVER INSTRUCTION SHEET

YOU ARE THE OBSERVER

Your job is to observe the conversation between the Communicator and the Listener and to note what you observe

DO NOT COMMENT OR PARTICIPATE IN THE CONVERSATION BETWEEN THE LISTENER AND THE COMMUNICATOR

It is your responsibility to remain quiet and passive. Do not concern yourself with the content of their conversation, but observe their facial expressions, use of hands, body movements and posture, and the

volume of their voices.

Write down your observations. Describe as accurately as possible what you observed without judging it. You will be asked to give your observations to the Communicator and Listener at the end of the exercise.


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LISTENER INSTRUCTION SHEET (Group 1)

YOU ARE THE LISTENER

Your job is to continue the conversation with the Communicator


Your responsibility is to appear attentive and to listen carefully to the Communicator. But you are to challenge everything he or she says. You must play the role of a critic by interrupting while he or she is talking, saying

ahead of time what is going to be said, disagreeing or presenting your own views forcefully, and making appropriate gestures whilst talking to emphasise your points.

However, after you have finished criticising, allow the Communicator to continue the conversation. Your attitude is to show the Communicator that you are superior to him or her.


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Your responsibility is to listen carefully to what the Communciator has to say, but indicate that you are bored, by yawning, looking away from the Communicator, cleaning your fingernails, closing your eyes.

If the Communicator accuses you of not being interested or of being inattentive, insist that you are interested, by summarising what was said. But continue to show him/her that you are still bored. Your attitude is to show

that you do not care what is being discussed.


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Your responsibility is to appear attentive, to listen carefully to the Communicator, and to agree with everything he or she says, regardless of your opinion on the subject. Even when your opinion is the opposite of what he

or she is saying, smile or nod your head to show agreement. You may make comments like, ‘That is a good way of putting it’ or ‘I agree absolutely’, and so on. If you are asked for your opinion, ideas, criticism or evaluation of

what’s just been said, just agree with the Communicator.


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Your responsibility is to listen carefully to the Communicator and be involved in the conversation. If you disagree, say it calmly and logically and ask for clarification if necessary. Do not try to lead the conversation.

You are to play an active part, making the communication process as clear as possible with the involvement of both the Communicator and yourself.


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Session 11.2: Presentation

Board members of associations regularly find themselves in a position of having to make a presentation, for example during board meetings or general assemblies or in meetings with external stakeholders. Holding a presentation is about communicating with a group. It requires certain skills. Knowing more about these skills can help improve self-confidence and improve the effectiveness of presentations.

Key issues• Understanding that presentations need preparation• Understanding which skills can be used to improve presentations• Understanding why people get nervous when presenting in front of a group

Materials requiredFlip chart, board, thumb pins, masking tape and markers.

Input30 Presenting is communicating with a group of people. While communicating we make use of verbal and non-verbal skills influencing the effectiveness of our presentations. Factors determining the effectiveness of our presentations include:• what we do;• how we look;• what we say; and• how we say it.

Research has shown that the total impact of a message depends less on what we say than on how we say it and the body language we employ while we say it. Skills used in presentations are discussed below.

Verbal and vocal skills

Verbal skills are about the choice of words used. Words conjure up images; certain words impact more strongly than others and some words may or may not belong to the vocabulary of the target group. It is important to choose a mix of words appropriate to the message and the target group.

Your voice shows your internal state; it shows for example whether you are composed or stressed. Vocal skills are about how the voice is used. Having a calm and composed voice with well-articulated words tends to make people listen. If you talk too fast and don’t take the time to breathe, you pass on your stress to the audience, making them feel uncomfortable.

Exercise: Using vocal skillsThe first column in the table below lists a number of vocal skills. Demonstrate to the group how these skills can be applied using the ideas presented in the second column. For example for the skill ‘volume’, first whisper to the group and then talk excessively loudly. After each demonstration ask the group to give you feedback on how they experienced the way you applied the skill. What had a positive effect and what had a negative effect?

30 Carnegie, D. 1991. How to develop self-confidence and Influence people by public speaking. Adapted from: http://wwwedu.ge.ch/cptic/f3mitic/scenarios/0203/follmi/www45/F_oral/outil.htm Singh, H., D. Hitchcock, G. Paudel and S. Rana, 2002. Training of Trainers, a training manual in eleven modules, module 10 Conducting train-

ing, Nepal Australia Community Resource Management Project. http://www.nacrmlp.org.np/publications/training_manuals.php

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Skill Demonstrating the skill to the group Questions a presenter should ask him/herself

Volume Whisper and then talk excessively loudly to the group and ask them how they feel about it.

Do I whisper or talk too loud?

Intonation Say something in a monotonous tone and then say something in a sing-song voice.

Is the tone of my voice flat or melodious?

Expression Say with and without emotion: ‘I was very happy,’ or ‘I was very angry’.

Do I bring emotion into my voice at the right moments?

Pronunciation Say something in a thick accent, and then say it again with an overly ‘correct’ pronunciation.

Can people understand my accent?

Articulation Say something while slurring or swallowing your syllables.

Do I speak clearly, slur or swallow my syllables?

Tempo Say something slowly and then very fast. Do I talk too slow or too fast?

Pauses Try saying the following:• What is is what is not is not that is it is it not• What is, is; what is not, is not. That is it. Is it

not?

Do I stop and take a breath between commas and full stops?

Quantity Consider the following directions:• The shop is round the corner.• Follow this road till you see the big tree on

the right hand side of the road. Take the next street on the right and the shop is the third building on the left hand side.

Am I using too many or too few words and sentences?

Type of message Ask the group how they respond to each of the following:• Could you bring me the pen?• Bring me the pen.• Yes, I’ll be very happy if you could bring me

the pen.• Did you not bring me the pen?

Do I package my message as a question, order, affirmation or negation?

Non-verbal skills

The first column of the table below presents a list of non-verbal skills. The second column presents ways of applying the skill, while the third column gives some remarks on effects these may have on the audience.

Skill Applying the skill Remarks

Posture How do you stand, sit or walk? By holding yourself upright with your shoulders straight you give the impression of being self-confident and open to your audience. Stooped shoulders give the impression of being unsure and afraid.

Facial expression Do you smile or do you look uninviting? The audience will be trying to read your face, forming an opinion of you and influencing how they respond to your message.

Looks Have you taken the right amount of care about your looks?

Think about such things as cleanliness and being neat and tidy.

Dress Are you dressed appropriately? If in doubt it is advisable to dress conservatively.

Eye contact To what extent do you maintain eye contact? During conversation it is normal to have eye contact about 50 per cent of the time. During presentations 100 per cent is necessary; it makes people feel included and that the message is directed at them. Looking away communicates shyness and reading notes without looking at your audience is sure to make them bored. So is turning your back to the audience (a common mistake when using PowerPoint).

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Hands Are you fidgeting, do you wring your hands, are they in your pockets or are you waving your hands about a great deal?

These could indicate nervousness or lack of interest. Neither helps to reinforce your message.

Gestures Do you use gestures to reinforce what you are saying?

Gestures can help to make a presentation more interesting. For example if you are talking about a ‘big’ tree, indicate this by holding your hands and arms wide.

Distance Are you too near or too far from your audience? Being very close to your audience can increase involvement and control but it can also intimidate. Be certain that you engage your audience by having the right amount of distance. Be careful not to invade anyone’s personal space.

When presenting it is important to try to radiate confidence, belief, commitment, credibility, preparedness, knowledge, understanding and caring for the problems and concerns of the audience. To do this, presenters need to put their verbal and non-verbal skills to best use and make sure their verbal communication matches their non-verbal communication.

Knowledge retention

To further increase the effectiveness of presentations it is useful to know how people remember. Research shows that people remember:• 10% of what they hear;• 16% of what they read;• 20% of what they hear and see;• 70% of what they hear, see and respond to; and• 90% of what they hear, see, respond to and process (or do something with).

The most memorable presentations therefore are those in which people hear, see, are invited to respond, and have the opportunity to discuss. Handouts, flipcharts, photos, PowerPoint presentations and films may be used, where appropriate, to increase the visual inputs of a presentation. Allowing time for questions and answers and giving the opportunity for discussion or debate further increases people’s knowledge retention.

Nervousness at talking in front of a group

Research has shown that everyone suffers, or has suffered, from nervousness at presenting in front of a group. People have a natural fear of speaking to a large group.

Exercise: Nervousness at presenting in front of a groupAsk participants if they have ever presented in front of a group. Ask them when and in what context. Ask them how they felt. Did they suffer from nervousness?

ExperienceThe results of this exercise with one group are given in the table below.

Context How I felt

I was asked to make a presentation of our association’s progress at the last donor meeting.

I felt shaky and ill at ease but thankfully I had prepared myself well.

I was asked to give my views at the last general assembly. I couldn’t find the right words and did a bad job.

At the last village meeting I wanted to make an important point.

I plucked up all my courage and managed to put my point across.

I am chairperson of another association and I regularly make presentations.

Nowadays I have learnt to deal with making presentations but it has not always been so. It is important to prepare well.

Last week I went for a job interview; there was a committee of three persons.

My hands were sweating; I felt very nervous and was glad when it was over!

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In order to overcome the fear of speaking in front of a group it is useful to understand why it occurs. When we get up to address a group we put ourselves in a situation of exposure and vulnerability. This causes stress and the body responds by secreting adrenaline into the bloodstream, causing physical reactions like an increase in heart rate and general readiness to deal with danger. The reaction of the body to the situation may cause the following symptoms:• dry throat• trembling hands• difficulty expressing oneself• the need to look away from the group• loss of self-confidence

In the context of a presentation in front of a group, this fear is irrational as there is no real physical danger. The reaction of the body normally subsides once the presentation gets underway.

Dealing with nervousness

Dealing with nervousness is something everyone needs to learn. One way to deal with it is to take advantage of the adrenaline flow. It allows for increased blood flow to the brain and therefore increased acuity. However, sometimes the reaction of the body is so strong that it can cause a complete block. To prevent this from happening here are some useful tips:• Accept that you are nervous and know that everyone suffers from it.• Breathe (especially out).• Concentrate on the task at hand; believe that you can do it.• Give yourself time just before your presentation to flex and relax your muscles.• Talk to individuals in the audience and try to forget about the crowd.• Prepare yourself mentally.• Know and use your strong qualities.• Practice, practice, practice.• Don’t wait for your turn but get it over with as soon as possible, the earlier the anxiety passes the more

comfortable you will be.

Concluding the session• Board members are regularly called upon to present in front of a group.• When presenting we make use of verbal and non-verbal skills.• Non-verbal skills have a particularly large effect on how presentations are perceived by the audience and

hence the effectiveness of presentations.• People remember best when they hear, see, are invited to respond and have the opportunity to discuss.• Presentations require preparation in order to be effective.• Everyone suffers from nervousness at presenting in front of a group; there are ways to overcome this

nervousness

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Module 12: Preparing, holding and following up meetingsOne of the most important activities of board members is holding meetings. Meetings allow people to come together, present and share their ideas and opinions, discuss options and make decisions. In many instances new board members feel unsure about their roles at meetings. They are also uncertain about what is entailed in planning for and holding effective meetings.

Key issues• Understanding why meetings are important• Understanding the steps in holding effective meetings• Planning a meeting for one’s own association

Training objectivesTo enable participants to gain a clear understanding of the steps and responsibilities in preparing for, holding and following up meetings.

Learning objectivesAt the end of this module the participants will be able to: • list the steps in preparing for, holding and following up meetings; and• explain how they have planned the next meeting for their association.

Teaching aids and materials requiredFlip chart, board, thumb pins, masking tape, meta cards, markers and copies of handouts.

Exercise: Perceptions about meetingsAsk participants what their perceptions are about meetings in general. Ask them to give examples of good and bad meetings they have had in the past and why those meetings were good or bad. Try to elicit positive and negative points.

ExperienceBelow are lists of positive and negative points elaborated by a group of trainees.

Positive points Negative points

Information flow Boring

Two-way communication Waste of time

Exchange of ideas People don’t attend in spite of being invited

Holding discussions Meeting not structured

Making decisions Some people talk too much

Allows for consensus decision-making Some people talk too little

Allows people to be involved Conflicts

Strengthens relationships Meetings are dominated by one person

InputIn the sections below different aspects of meetings are presented.

What influences the way a meeting unfolds?

The way a meeting unfolds depends on many factors, for example: • the type of meeting• the topics on the agenda• the time allocation

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• personalities of people in the meeting (the chair can particularly influence the way a meeting goes)• the number of people participating

When preparing meetings it is useful to keep these factors in mind.

Types of meetings

Looking at meeting objectives, meetings can be classified as follows:• Meetings to give information (top-down) — the chair knows more than the group.• Meetings to gather information (bottom-up) — the chair knows less than the group.• Meetings to resolve a problem.• Meetings to discuss and exchange views — the objective is to bring points of view closer together or to

reach a common position.

Exercise: Current meeting practiceAsk the group to think of their current meeting practice and to call out strong and weak points. List them in two columns on the board.

ExperienceOne group came up with the following lists of strong and weak points:

Strong points Weak points

Regularity: we hold meetings every month Absenteeism: apologies are rarely sent

Information: everyone receives the minutes Lateness: participants are not punctual

Learning: we learn much during meetings and from minutes Timidity: uncertain about taking the floor, nervousness and afraid to change routines

Training: access to capacity building training Respect: appearing in meetings upon taking alcohol and/or drugs

Transport: we have a vehicle to pick us up Attitude: not sufficiently committed, available, lack volunteerism spirit

Access: allows us to have access to external financial resources Discipline: insufficient following through of plans made and decisions made during meetings

Keep the results of this exercise as they provide indicators for improving current meeting practice. For example they can be used to evaluate the next board meeting.

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Exercise: Steps in holding a meetingThis exercise makes use of the table in Handout 12.1. The first column of the table gives the steps in holding a meeting. Prepare the exercise by using a pair of scissors to cut out all the boxes so that every step is on a separate piece of paper. Mix the pieces and place them in an envelope. Prepare as many envelopes as you plan to have sub-groups; each envelope should contain all the steps. Divide the group into small groups of two or three participants and give each group an envelope. Ask the groups to open the envelope and take out the pieces of paper, then work together to place the pieces in the right chronological order for the preparation, holding and following up of meetings. Upon finishing give the groups Handout 12.1 so they can check their own work. Groups that finish early can be asked to assist other groups.

Experience

The photographs above show a group in the process of completing the exercise.Conclude the exercise with a discussion looking at points like:• Were participants aware that holding a meeting involves so many steps?• Did they realise how important it is to plan a meeting?• How does current practice compare with this exercise?• Are there steps that could be deleted or need to be added?

Exercise: Purpose of an agendaAsk the participants to brainstorm why a meeting needs an agenda. Jot down the ideas on the flipchart.

ExperienceOne group came up with the following list. We need an agenda to:• know the date and time of the meeting;• know the structure of the meeting;• know what will be discussed during the meeting;• prepare ourselves for the meeting; and• have a checklist during the meeting.

Summarise the exercise by highlighting the following points:• The agenda communicates information on the topics to be discussed, who presents and how much time

is allotted.• It provides a focus for the meeting.• It provides the outline for the meeting.• If the agenda is prepared in advance it allows participants to prepare themselves before the meeting.

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Preparing an agenda

Below are the steps in drawing up an agenda.• Inform participants that there will be a meeting; give the overall objective of the meeting, the timing and

the place. • Ask those who want to include an agenda item to inform you at least one week in advance, giving the

topic and how long they will need to present the item.• Prepare the agenda in table format (item, presenter, time). Keep it realistic by keeping to the objective of

the meeting and keeping within the total time allocation.• Send the provisional agenda to all participants, thereby inviting them to the meeting. Ask participants to

respond by accepting or declining the invitation.

Handout 12.2 gives an example of an agenda prepared in table format.

Roles of the chair

Exercise: Roles of a chairAsk the participants to brainstorm the roles of a chair. Use cards, ask the participants to express one idea per card. Collect the cards as they are written, sort them and display them.

ExperienceOne training group identified the following roles for a chair:• prepares the meeting• invites the participants• gives information• is the principle decision-maker

The exercise allowed for a discussion to take place on the roles of a chair in relation to the roles of other meeting members. It was agreed that a chair should encourage participation and transparency, share responsibilities and the work load and ensure consensus decision-making. The participants then reviewed their list by saying that the chair:• prepares the meeting with the secretary;• delegates presentations to other board members;• ensures the meeting runs smoothly (avoiding conflict, keeping to time);• ensures consensus decision-making.

Summarise the exercise by highlighting that the chair plays an important role in preparing meetings and a key role in leading meetings by ensuring that:• discussions are to the point;• discussions take place in an atmosphere of mutual respect and objectivity;• everyone participates;• the agenda is adhered to; and• the time schedule is respected.

It is not the chair’s role to take decisions unilaterally. Handout 12.3 lists the roles, tasks and qualities of a good chair.

Roles of the secretary

Major roles of the secretary in a meeting are the following:• taking care of the logistics of the meeting• assisting the chair in preparing the agenda• writing and sending letters of invitation including the agenda and relevant papers• taking the minutes and writing them out after the meeting• circulating and archiving the minutes

Handout 12.4 gives the roles, tasks and qualities of a good secretary.

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Exercise: Writing an invitation letterDivide the group into sub-groups and ask each group to take on the role of secretary and write an invitation letter for other board members for the forthcoming monthly board meeting.

Hang up the letters around the room and ask the participants to circulate and read the letters. Discuss the results and summarise by listing the important elements of an invitation letter: • Use a letterhead or logo of the association.• Address letters personally to each board member.• Mention the subject of the letter.• Mention the purpose of the meeting.• Clearly indicate the place, date and time of the meeting.• Include the agenda and relevant documents.

ExperienceHandout 12.5 contains an invitation letter prepared by one group.

Roles of a good participant in a meeting

A good participant takes an active part in the meeting. He or she does this by:• coming prepared;• being engaged and committed.• participating in the discussions — not remaining silent;• not being afraid to disagree; and• remaining respectful and constructive and keeping to the point.

Handout 12.6 gives the roles, tasks and qualities of a good participant at a meeting.

Encouraging participation during meetings

Good participation at meetings is rewarding, both at the group and individual level. However, at times meetings can be downright frustrating because poor communication causes participants to feel left in the dark, confused, misunderstood and uncomfortable. Effective communication is very important to ensure everyone is at ease and motivated to participate.

Comfort

Comfort creates a supportive context for participation. Comfort is created through encouraging an open, non-judgmental environment, thereby reducing relationship tension. Comfort plays a large role in determining how much participation can be achieved; increased comfort leads to greater participation.

Verbal and non-verbal communication

While the chair has an important leadership role during meetings, other participants can help to encourage participation. The following table presents some verbal and non-verbal communication techniques to encourage and discourage participation.

How to encourage participation How to discourage participation

‘Thanks for sharing that.’ ‘I don’t think that topic is within the scope of this meeting.’

‘That is a good example.’ ‘Let’s hear from someone who hasn’t spoken for a while.’

Nodding your head. ‘Thank you for your input but let’s move to the next point.’

Moving physically closer to the person. Stepping back physically.

Holding eye contact. Breaking eye contact.

It is important to ensure your verbal and non-verbal communication match. If your verbal message, for example saying: ‘That is a good example’, is not matched by your non-verbal message (for example you break eye contact by looking out of the window), your audience will not be convinced and this will not encourage participation.

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Exercise: Preparing your own meetingAsk the group to prepare their next board meeting, working together as a team. Give the following instructions (Handout 12.7).

Instructions for preparing the next board meeting:• Decide who will do what and how (who will determine the agenda, how will the position of chair will be assigned, who will be secretary, who will write invitation letters etc). • Make use of the knowledge gained during the training, the information in the handouts and the various resources at the office (e.g. minutes of previous meetings). • Think about how presence and participation at the meeting will be encouraged. • Decide how the meeting will be evaluated after it has been held and what will be done with the results.

Assist and encourage the group where necessary. At the end of the exercise ask the group to present their work. Get a consensus from everyone and a commitment to hold the meeting as planned.

ExperienceOne group prepared the following agenda for a meeting on the 5 November from 8 to 10 o’clock at their association’s premises.

No. Agenda item Presenter Time

1 Opening Chair 1 minute

2 Outline of the meeting• Purpose• Introduction of participants • Procedures• Changes and adoption of the

agenda

Chair 15 minutes

3 Discussion point 1PresentationQuestionsDiscussion to clarify issues and determine options

Presenter 1 10 minutes — report 15 minutes — questions and discussion

4 Discussion point 2• Presentation• Questions• Discussion to clarify issues and

determine options

Presenter 2 10 minutes — report15 minutes — questions and discussion

5 Seek a motion to resolve the issue Chair 10 minutes

6 Take a vote and explain what will be done

Chair 15 minutes

7 Close the meeting Chair 1 minute

This exercise elicited a discussion about priority items for the meeting. For many board members it was the first time they had had influence over the agenda. Agenda points 3 and 4 were considered to require a discussion. They were prepared in sub-groups and subsequently presented in plenary for comments, additions and approval by the group. Time was allocated for each agenda point.

The participants decided that the chair would be rotated so that everyone would have a chance being chairperson. They also decided to appoint a vice-chair to replace the chair if required.

The secretary was chosen and invitation letters were prepared. The participants decided to dispatch the invitations two weeks before the date of the meeting, together with the agenda. A list of 15 participants was prepared. The secretary was tasked with preparing the minutes and action plan. With the help of the results of the ‘Current meeting practice’ exercise the participants prepared a list of indicators to evaluate their meeting as follows:• Number of participants present.• Number of participants absent without apologies.

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• Number of participants on time.• Number of participants taking the floor.• Number of participants ‘under the influence of…’• Number of actions/decisions left without follow-up without reason.• Number of routines changed.

Concluding the session• Not all meetings are productive but there are ways to make meetings more effective.• Good communication (open, non-judgmental and participatory) is essential for good meetings.• Preparing, holding and following up a meeting involves multiple steps.• The agenda gives the structure of the meeting and is prepared in advance.• Participants at a meeting have roles to play.• It is everyone’s task to encourage participation at meetings, thereby increasing quality and commitment.

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Handout 12.1: Steps in holding a meeting

Before the meeting

Step Remarks

Decide whether holding the meeting is really necessary. Are there other ways of solving the problems and issues? Only hold a meeting if absolutely necessary and if it is the only possible way to move ahead.

Decide who needs to participate.

Decide on the length of the meeting Normally meetings shouldn’t last longer than two hours.

Prepare the agenda. Invite a neutral facilitator to sensitive meetings. The agenda must include the topics for discussion, allocate roles and tasks for the meeting (e.g. chair, minute taker, time keeper), and indicate a presenter for each topic as well as the time allocated for each topic.

Arrange a suitable time and place to hold the meeting.

Prepare materials for the meeting.

Notify participants. In your notification include meeting objectives, agenda, place, date, time, background information and assigned items for preparation.

Have the minutes of the previous meeting. If appropriate.

During the meeting

Step Remarks

Arrival of meeting participants. Participants should arrive on time, come prepared, keep to the point and participate constructively.

Ensure the participants are at ease. For example by serving coffee, tea, water.

Start the meeting precisely on time. Don’t punish those who are punctual.

Explain the meeting purpose.

Allow the participants to introduce themselves. Unless they already know each other.

Explain the procedures for the meeting.

Designate a minute-taker.

Send around a registration list/presence list. Include name, designation, institution and contact details and keep it as a record.

Outline the agenda and get agreement. If necessary add extra agenda points.

Summarise the decisions of the previous meeting. If necessary get agreement on the minutes of the previous meeting.

Hear the reports by the participants.

Allow for questions and discussions to improve understanding.

Make sure that during discussions everyone has a say. Keep discussions focused and adhere to the schedule. Use ‘problem solving’: facts, issues, options, action.

Make decisions. Encourage consensus decision-making.Ensure everyone understands what is being decided.

Take notes/minutes. Ensure decisions are documented, preferably with an assigned responsibility and time schedule.

At the end of the meeting

Step Remarks

Summarise the meeting.

Decide on tasks to be done if you have not already. These are ‘actions’ for the action list.

Delegate responsibility for tasks if you have not already; decide how the tasks should be accomplished and by when.

These are the ‘who’, ‘what’ and ‘when’ of the action list.

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Set time, date and place for next meeting.

Evaluate the meeting and suggest adaptations for next time.

Use the indicators developed in the exercise ‘Current meeting practice’.

After the meeting

Step Remarks

Make sure notes/minutes are written up, including an action list.

The action list is basically a table with four columns: action, who, what, when.

Send the minutes and action list to all participants.

Make sure the minutes are archived.

Encourage follow-up on the action list.

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Handout 12.2: Outline for an agenda

This is a suggested structure for an agenda that combines some informal discussion with formal decision-making.

Venue: Meeting roomDate: dd/mm/yyTime: 8:30 to 10:00

No. Agenda item Presenter Time

1 Opening Chair 1 minute

2 Outline of the meeting• Purpose• Introduction of participants • Procedures• Changes and adoption of the

agenda

Chair 15 minutes


determine options

Presenter 1 10 minutes — report 15 minutes — questions and discussion


determine options

Presenter 2 10 minutes — report15 minutes — questions and discussion

5 Seek a motion to resolve the issue Chair 10 minutes

6 Take a vote and explain what will be done

Chair 15 minutes

7 Close the meeting Chair 1 minute

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Handout 12.3: Roles, tasks and qualities of a good chair

The chair is the person who leads the meeting and who has the role of ensuring that it is effective, open and allows for everyone to be heard. To achieve this, he or she:• Prepares the agenda (this is often done together with the Secretary).• Allows people to introduce themselves at the beginning of the meeting.• Presents the agenda, purpose and schedule of the meeting.• Starts at the first point of the agenda and gradually works through to the last point.• Follows established rules for conducting meetings; if there are no established rules, he or she proposes

working procedures.• Focuses on the content of the meeting but gives as much attention to social interaction.• Keeps a clear view of the big picture so that the meeting does not get bogged down in minor details. • Does not waste people’s time but keeps the discussion focused and on track.• Provides an open and comfortable environment:

Ŭ Ensures that everyone is treated respectfully and equally. Ŭ Ensures that everyone listens to each other carefully and is not judgmental. Ŭ Ensures that the topics under discussion are dealt with objectively.

• Ensures that everyone understands the topic under discussion.• Notes who wishes to speak and indicates when a person may speak. Ensures that only one person speaks

at a time.• Assists the flow of ideas.• Interferes and assists actively to avoid unnecessary detours, friction or conflict.• Encourages people to participate, especially the quieter persons. Amicably tries to restrict those who tend

to talk too much.• Only gets involved in the discussions if his or her opinion is sought, otherwise keeps to the role of

controlling the meeting.• From time to time summarises the issue under discussion to facilitate decision-making.• Comes to the meeting informed; reads minutes, papers and relevant documents in advance.• Has a sense of pace. Knows when to close a subject and move on to the next.• Keeps to the schedule.• At the end of the meeting gives a summary of the achievements, decisions and pending issues.• With the participants decides on the action plan and allocates responsibility to individuals.

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Handout 12.4: Roles, tasks and qualities of a good secretary

A good secretary does the following:• Prepares the agenda together with the chair.• Makes arrangements for the meeting place (room, chairs, coffee…).• Prepares the invitations and sends them with adequate time for participants to prepare themselves. • Takes notes during the meeting.• Prepares the minutes as soon as possible after the meeting, according to the following guidelines:

Ŭ Begin with a list of those present and those having sent apologies. Ŭ Follow the order of the agenda. Ŭ State the main issues, points of view put forward and decisions made. Ŭ Close with an action list including:

. What (action) . Who (is responsible) . How (the action will be implemented) . When (is the deadline)

• Circulates the minutes and action list as soon as possible to all the participants.• Confirms all important arrangements in writing.• Archives one copy of the minutes and action list.

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Handout 12.5: Sample invitation letter for a board meeting

Mr/Mrs ………………………...Address

Place, date

Subject : Monthly board meeting of ….Name of your association….

Dear board member,

Herewith I would like to extend an invitation for you to attend our coming monthly board meeting.The meeting will be held at our premises, …..address…., …..date…. from ….time…. to ….time…..The purpose of this meeting is to discuss………………. / The following subjects will be discussed during the meeting:………………………. For your information please find included the agenda and related documents.I look forward to seeing you and appreciate your continued service to our association.

Yours sincerely,

Mr/Mrs …………..Secretary

Attached: Agenda and documents

Letterhead or logo of your association

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Handout 12.6: Roles, tasks and qualities of a good participant at a meeting

A good participant:• Is committed to his or her task.• Is involved and shares suggestions, ideas, solutions and proposals.• Participates actively by:

Ŭ engaging actively in discussion but keeping to the point; Ŭ not remaining silent; Ŭ listening actively to other participants; Ŭ not allowing one or two people to dominate the discussions; and Ŭ helping the chair to bring a discussion back on track quickly when it strays.

• Is not afraid to disagree, but rather reveals his or her position during the meeting.• Communicates rather than ‘bottling up’. • Maintains an atmosphere of teamwork:

Ŭ Shows positive recognition and respect to other participants. Ŭ Does not show off. Ŭ Does not attempt to outdo others. Ŭ Does not engage in a power struggle. Ŭ Refrains from personal attack and blame, whether open or veiled.

• Has a constructive attitude: Ŭ Focuses on issues rather than persons. Ŭ Focuses on overcoming obstacles. Ŭ Focuses on continual improvement of weaknesses.

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Handout 12.7: Instruction sheet for preparing the next board meeting

Instructions for preparing the next board meeting:

• Decide who will do what and how (who will determine the agenda, how the chair will be assigned, who will be secretary, who will write invitation letters etc).

• Make use of the knowledge gained during the training, the information in the handouts and the various resources at the office (e.g. minutes of previous meetings).

• Think about how presence and participation at the meeting will be encouraged. • Decide how will the meeting be evaluated after it has been held and what will be done with the results.

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Module 13: Management and leadershipBackgroundIn associations management and leadership are provided by the board and the manager. Some roles are played by the board, others by the manager, and some are performed together. For an association to be effective it is important that management and leadership roles be clearly defined.

Training objectiveTo enable participants to gain a clear understanding of the roles and tasks associated with management and leadership in an association.

Learning objectivesAt the end of this module the participants will be able to:• explain the concepts of management and leadership;• list the management roles related to running an association; and• explain the responsibilities for different management roles with respect to their own association.

Training contentSession 13.1 — Defining managementSession 13.2 — PlanningSession 13.3 — OrganisingSession 13.4 — StaffingSession 13.5 — Directing and leadingSession 13.6 — ControllingSession 13.7 — Preparing a responsibility chart

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Session 13.1: Defining management

Management is an abstract term. Generally management is taken to be about organising, coordinating and leading a group of people and activities. However, depending on the context it may mean different things to different people. It is important to have clearly identified management roles, tasks and responsibilities to ensure an association runs smoothly.

Key issues• Understanding that management is a broad concept• Understanding what management is in the context of an association

Materials requiredFlip chart, board, markers, tape, thumb pins and metacards.

Exercise: Everyone is a managerIntroduce the subject of management by saying that everyone is a manager, in many different ways. Ask the participants to think about their own daily lives and activities and how they are managers themselves. Ask them to give examples.

ExperienceBelow are some of the responses from one group:• In order to come to today’s training I have had to manage the following: arrange that my child is brought

to school and picked up, that someone replaces me at the guesthouse where I work and that I got a lift to come to the training venue.

• Running my household is management: cooking, cleaning, shopping, washing, caring for the children, visiting and receiving guests are all tasks that need to be undertaken.

• I am a farmer and therefore I am a manager. I need to prepare my field, plant, weed, water, regularly inspect and harvest my crop. I need to plan according to the seasons and sometimes I need to manage things I could not foresee like excessive rain. I also have to look for markets in order to sell my crop. There are many tasks I need to plan and manage to be a good farmer.

• I am a fisherman. I too need to manage my work: ensure that my boat is seaworthy, that I have fuel; I need to know my fishing grounds, respect the time of day, the tides and the weather. I need to sell my catch as soon as I get back and I need to manage my finances. All this requires that I plan carefully to sustain my livelihood.

• Being a board member of my association means that I assist in the management of my association.

Exercise: Identifying our association’s management roles and tasksAsk the group to think of their association and to brainstorm on the management roles and tasks within their association. Use metacards, asking the participants to record one idea per card. Collect the cards, sort them and display them.

ExperienceOne association came up with the following management roles and tasks:• Planning• Budget management• Calculating our profits by knowing our income and expenditures• Taking stock of our assets• Managing our fixed assets and consumables• Time management• Identifying and monitoring our values: respecting the

environment, respecting our health and being motors of change• Evaluating our performance so we know how to improve our

services

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Now ask the participants which roles are those of the board and which are those of the manager. Facilitate a discussion along the following lines: • Which of the identified roles are they, as individual board members, concerned with? • Do they participate in all or some of the roles? • Do they fulfill other management roles, so far not identified? • Is it clear to the participants whose responsibility it is to fulfill specific management roles or is the situation

not that clear?

Exercise: Management definitionsGive the group the following management definitions (Handout 12.1).• Management, in the context of an association, is a social process including five general functions: planning,

organising, staffing, directing/leading and controlling.• Management can be explained as follows:

Ask the participants to discuss in pairs and comment on the definitions. Ask for feedback from the group and discuss. Ask the group if the concept of management is becoming any clearer.

Concluding the session• In their daily lives everyone performs management roles and tasks.• In an association management roles and tasks are mainly performed by the board and the manager.• It is important that management roles, tasks and responsibilities be clearly identified.

INPUTSStaffVolunteersCapitalBuildingsEquipment Materials

THROUGHPUTSMissionPoliciesOrganisational cultureValuesStrategiesPractices

OUTPUTSAchievementsSatisfaction of membersAbsenteeism of board membersSize of membershipQuality and quantity of services

MANAGEMENT

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Session 13.2: Planning

The first of the five management roles presented in this module is planning.

Key issues• Understanding what planning is• Differentiating between strategic and operational planning

Teaching aids and materials requiredFlip chart, board, markers and copies of the handout.

InputPlanning cuts across all other management tasks. It is a mental process in which the members of an association assess the external environment, their organisation, and the resources they have available, and decide about objectives. The following types of planning can be differentiated:• Strategic planning (see Module 4): deciding about the vision, mission, values, broad objectives and

strategies of an association. Strategic planning has a long-term horizon.• Operational planning: this is about implementation of the strategic plan. It focuses on getting activities

accomplished effectively over a span of time usually ranging from several weeks or months to one or two years. Operational planning includes planning for funds, staffing and action planning.

Exercise: Planning in your associationAsk the participants to think about their own association and identify examples of strategic and operational planning. List the examples and keep the list for a later exercise.

ExperienceBelow are the results from one group.

Strategic planning Operational planning

Planning to build a fish processing plant Planning participation at farm fairs

Deciding on a new focus, e.g. tourism Planning to recruit staff

Deciding to cater for students’ practical assignments Planning meetings

Deciding to integrate women on the board Preparing the annual budget

Exercise: Planning a vegetable gardenDivide the group into small groups and read out the following case study (or provide the groups with Handout 13.2.1).

Case study: Vegetable gardenThe members of your association have made a request for increased services. They would like the association’s shop to stock a wider assortment of agricultural inputs. This will require increasing the surface area of the shop by constructing a new building. The request has been discussed by the board and it was decided that in order to generate the necessary funds a community vegetable garden will be created. The community is willing to allocate a piece of land free of charge. Moreover the association’s members have offered voluntary labour to grow the vegetables. The vegetables will be sold by the association to generate funds for constructing the building.

Ask the participants to work together to prepare a plan for the vegetable garden. Ask them to make a list of

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activities that need to take place and to think about resources and responsibilities. Ask them to make a time plan showing when the different activities are to take place.

ExperienceOne group prepared the following plan for their vegetable garden.

ActivityWeek

1 2 3 4 5 6 7 8 9 10 11

Appoint coordinator (volunteer)

Form 3 groups of volunteers to work in weekly shifts

Gather and buy seeds and other inputs

Find tractor on loan and plough the land

Start compost

Prepare the beds

Sow the seeds

Transplant

Inspect, weed, water, perform maintenance

Harvest

Discuss the results in plenary and summarise by highlighting that in planning it is useful to ask the following questions:• What has to be done?• How is it to be done?• What is needed?• Who will do it?• When is it to be done?• How long will it take?• What has to be done first; which activities can/should take place at the same time?

Exercise: Identifying our associations’ planning roles and responsibilitiesAsk the group to brainstorm on the planning roles and responsibilities in their association. Record the ideas on a flipchart.

ExperienceBelow is a list of planning roles and responsibilities prepared by one group.

Planning role Responsibility

Determining the vision, mission, values, broad objectives and strategies of an association

Board with input from manager

Formulate policies Board

Formulate annual objectives, plans and budgets Manager

Approve annual objectives, plans and budgets Board

Prepare report on achievement of annual objectives Manager

Monitor achievement of long-term objectives Board and manager

Operational planning Manager

Concluding the session• Planning is a cross-cutting management task.• Planning includes strategic and operational planning.• Strategic planning is a role and responsibility of the board.• Operational planning is the task of the manager.

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Handout 13.2.1: Vegetable garden case study

Case study: Vegetable gardenThe members of your association have made a request for increased services. They would like the association’s shop to stock a wider assortment of agricultural inputs. This will require increasing the surface area of the shop by constructing a new building. The request has been discussed by the board and it was decided that in order to generate the necessary funds a community vegetable garden will be created. The community is willing to allocate a piece of land free of charge. Moreover the association’s members have offered voluntary labour to grow the vegetables. The vegetables will be sold by the association to generate funds for constructing the building.

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Session 13.3: Organising

Once plans have been made they need to be implemented. Organisation is about the practical issues involved in getting things done, including implementing activities and providing services. This role requires specific skills and at times can be quite demanding and complex.

Key issues• Understanding that organising is a management role• Understanding which skills are required to organise effectively

Materials requiredFlip chart, board and markers.

InputOrganising is about getting things done. It involves coordination and administration of people, activities and budgets with a view to implementing plans in a timely and effective way. Organising involves setting priorities, planning actions, respecting schedules, solving problems, making decision and managing time. Organising is very much about ensuring smooth operations and it is a major task for the manager. Depending on how many staff work for an association, delegation may be important.

Exercise: Identifying our associations’ organisational roles and responsibilitiesAsk the group to brainstorm on the organisational roles in their association. For each role define whether the board or the manager is responsible. Record the ideas on a flipchart.

ExperienceBelow is a list of organising roles and responsibilities prepared by one group.

Organising role Responsibility

Organise board meetings Board and manager

Assess the needs of the members Manager

Manage the delivery of services/activities Manager

Organise a fund raising campaign Manager

Evaluate the services of the association Board

Maintain accounts Manager

Prepare reports of activities Manager

Manage external contacts: liaison and network Manager

Concluding the session• Organising is about coordinating and administering resources to implement plans.• Organising requires special skills.• Organising is first and foremost a task of the manager.

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Session 13.4: Staffing

Recruiting staff for the first time may be daunting. Often board members are unfamiliar with what the recruitment process entails and may be uncertain about how to fulfill their staff management roles. While this session is primarily about preparing the board to deal with paid staff, it may also be applicable to volunteers.

Key issues• Comprehending what the recruitment process entails• Comprehending that motivating staff is an important management role• Comprehending how to motivate staff• Comprehending the need and importance of appraising staff• Comprehending when and how to dismiss staff

Materials requiredFlip chart, board, markers and metacards.

Input31 Recruiting, motivating, appraising and dismissing staff are important staff management roles. These roles are performed by the board (for the manager) and the manager (for other staff ).

Recruiting staff

The decision to recruit staff rests with the board. Once the decision has been made it is important to find the best person for the job. Mistakes in recruitment can be costly and damaging, not only for the individual but also to the reputation and activities of the association. Staff recruitment should be done by a recruitment panel; it should not rest with one individual. The recruitment panel can comprise selected board members, general members and/or other staff as appropriate. It is important that both the recruitment process and the panel ensure objectivity, fairness, openness and a systematic process in the selection of the candidate. The following is a list of steps generally followed in the recruitment process:

• Create the person specification for the job. This is a list of key experience, qualifications, skills and other qualities needed for the job.

• Prepare a job description.• Advertise the vacancy (including person specification and job description).• Shortlist the applicants by choosing those closest to the person specification.• Conduct interviews with shortlisted individuals.• Choose the best candidate.• Write a letter of appointment stating the position, joining date, termination date (if applicable), salary

details and benefits, notice period and responsibilities. Keep a copy of the letter, signed by both the employee and the employer, in the office.

Every step in the recruitment process should be documented. The paper trail is important and can be useful if procedures or decisions are challenged.

Associations also work with volunteers. In some circumstances it may be judicious to organise letters of assignment for volunteers stating the time period, responsibilities and any allowances.

Motivating staff

Humans are social beings. Motivating staff is important to ensure that social, psychological and emotional needs are satisfied and obstacles causing frustration are lifted. This will help in getting staff engaged and securing the commitment and spirit to achieve maximum results. Two important areas to be considered in staff motivation are the following:

31 Strength to strength, capacity-building newsletter for MRDF partners, February 2006, issue 3. Methodist Relief and Development Fund. http://www.mrdf.org.uk/assets/downloads/partnership/S2S3%20English.pdf.

Leading your NGO, corporate governance, a reference guide for NGO boards, 2002. http://www.swd.gov.hk/doc/ngo/corp-gov-eng.pdf.

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• Relationships at the work place: managers have an important role in promoting and maintaining good relationships between staff.

• People’s search for self-fulfillment: for this staff need challenges (e.g. goals or targets); they also need responsibilities and a certain amount of autonomy. It is the role of managers to align the search for self-fulfillment with the fulfillment of the goals of the association.

Staff can easily lose motivation as a result of the following:• conflict• a bad atmosphere or low morale in the association• weak management• not recognising staff commitment and good work• lack of overall strategy or ethos binding the staff together• inadequate management systems and procedures• job insecurity• stress and overwork

Motivating staff is an important management role for both the board and the manager. Staff motivation needs to be done actively to maintain the high morale necessary to achieve the best results.

Some ways to motivate staff:• Use participatory working methods, for example in planning and evaluation. Have staff participate in

decision-making and encourage them to give feedback and share experiences and new ideas at board meetings. Make staff feel valued.

• Reward staff by recognising their efforts publicly, in writing or through other non-financial incentives; or reward staff through bonuses or salary increases where appropriate.

• Give staff promotions, increased responsibility or new challenges where possible; this will enable staff to grow and develop in their role.

• Encourage an open, honest and transparent atmosphere in the workplace.• Provide opportunities for professional development like training courses or visits to other NGOs. Training

needs can be identified through a capacity building plan (see Module 6) and during staff appraisals.• Set annual goals for staff to focus on and improve on last year’s performance. This can be done during an

annual appraisal.

Exercise: What motivates me?Ask each participant, whether staff or board member, to reflect on what motivates him or her. What needs do they have in order to remain motivated? Share and compare the responses. Discuss and summarise then ask who is responsible for keeping motivation levels high. What actions can be taken to ensure that motivation levels remain high?

ExperienceBelow are the results from one group.

What motivates me is:• Facing challenges and overcoming obstacles one by one so that in the end I have the satisfaction of having

done a good job.• Being part of an effective team with members working well together.• Getting the chance to improve my own personal competencies.• Working for a brighter future for our children.• Working to provide services to satisfy the needs of our population.• That I am able to contribute to developing my village.• That I am able to contribute to the economy of my country.

To remain motivated it is important that we work in harmony, supporting each other and recognising each other’s contributions. It is also important that we see a positive outcome. We are all responsible to keep motivation levels high. There are several ways to keep motivation levels high — for example, readily investing time and effort, being sincere and occasionally having a lunch together.

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Succession planning

Succession planning concerns replacement of persons in management positions in the event of:• retirement (end of tenure)• resignation• dismissal• sickness

In the context of an association consideration needs to be given to succession of both board and staff members. Good succession planning includes timely recruitment of new board and staff members and their induction. This ensures that there is continuity and things do not grind to a halt when the reins are handed over.

Sometimes succession planning offers an opportunity to review the composition of the board and plan for changing it. Strategic recruitment is a further tool to plan for change. For example youth and women can be actively recruited to the board if the association feels these groups should be better represented.

Exercise: Renewing the boardAsk the group to consider their association and facilitate a discussion around the following questions:

• What is the tenure period of board members?• How are they elected and how are they replaced at the end of their tenure?• Is there an induction programme?• Is the current composition of the board satisfactory?• When is the next board renewal?• Who can be made available or is qualified to stand for certain positions?• What measures exist to ensure continuity?

ExperienceBelow are the results of one group’s work on succession planning.

The group decided that:• The board shall be composed of seven members (chair, vice-

chair, treasurer, vice-treasurer, secretary, deputy secretary and one member).

• Each of the seven board members shall be a fisher and representative of one of seven identified community stakeholder groups (traditional chiefly structure, municipality, women, youth, those dependent on more than one source of income, those dependent solely on fishing, those fishing for non-frozen fish delivery).

• Staff members shall be non-voting observers at board meetings.• Before elections, candidate board members shall be screened on

the following qualities:• Ability to invest time• Likelihood of participating actively• Self-confidence• Motivation• How well-regarded the person is by his or her group

Appraising staff

Staff appraisals (see also Session 2.3 of this manual) are formal one-to-one conversations undertaken annually between a staff member and the supervisor. The board chair usually appraises the manager while the manager appraises other staff. The purpose of appraisals is to allow for reflection about how a job is performed in the given context and to facilitate improvements in motivation, relationships, confidence, job satisfaction, and career development. It is a way by which the board or supervisor can provide a supportive environment

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in which staff members are listened to so as to further develop mutual expectations and responsibilities. Appraisals serve to:• recognise strengths of staff;• identify areas for improvement and how to achieve them;• set annual job-specific objectives; and• identify training needs.

In giving staff feedback it is important to be constructive. Giving feedback involves telling staff how they are seen by others and identifying strengths and weaknesses in their actions and behaviour. Giving feedback has the aim of improving motivation and performance. If badly handled, or not done, it can result in loss of staff interest. Neither giving nor receiving feedback is easy. Supervisors generally do not enjoy critiquing their staff; staff members can easily become defensive or upset. It may help to know that both the giver and receiver feel just as uncomfortable.

An important outcome of an appraisal exercise is identifying staff training needs. Training needs can be identified in a discussion with the concerned staff member or through a skills audit. The latter involves preparing a list of required skills for the job and evaluating in which measure the skills are already present and in which measure they are lacking. The following table is an example of a skills audit.

Who Competency/ performance objective

Skills required Current skills Needed skills How to improve

Chair Chairing meetings

Setting agenda Leading meetings

Agenda OK Leading meetings, insufficient

Practice leading meetings

Training, guidance, practice

Treasurer Accounting Understand basic accounting

Insufficient Insight into current accounting practice

Accounting training, guidance

All board members

Able to fulfill board members’ roles

Knowledge of association objectives, board roles

Insufficient More clarity needed

Workshop to define and clarify objectives and roles

Skills auditThe results are translated into a staff development plan showing the actions to be taken (e.g. formal or informal training, attachments or guidance by another staff member) and a time schedule. Staff development not only helps to maintain high performance by ensuring the competency is acquired, but also helps to maintain high motivation levels because people recognise that the association is investing in them as individuals. Module 6 presents a way of developing a capacity building plan for board members.

Dismissing staff

Dismissing a staff member is a difficult thing to do. It needs to be done responsibly. Some suggestions to deal with this are given below.• Prevention: ensure that there is good two-way communication between the staff member and the

supervisor so that expectations are clear to both parties.• Monitoring: monitor staff performance by using tools such as a probationary period, annual appraisals,

giving assistance, organising training, establishing personal objectives and issuing warning letters.

Reasons for proceeding to dismissal can be various and may include the following:• Persistent underperformance to the detriment of the association.• Serious misconduct such as theft, physical violence, serious damage to property, refusal to obey a

reasonable instruction, conduct bringing the association into disrepute, being under the influence of

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drugs or alcohol during working hours, sexual harassment and discrimination.• Inadequate funding.• Long-term illness.

The manager should consult with the board over the decision to proceed to dismissal. It is advisable to not delay matters, to write a letter of termination clarifying the reasons, to meet with the employee to explain how the termination will occur (when, what needs to be done before the employee leaves, etc) and to end the meeting on a positive note.

Exercise: Identifying our associations’ staffing roles and responsibilitiesAsk the group to brainstorm on the staffing roles in their association. For each role define whether the board or the manager is responsible. Record the ideas on a flipchart.

ExperienceBelow is a list of staffing roles and responsibilities prepared by one group.

Staffing role Responsibility

Decide to hire staff Board

Employ the manager Board

Hire and dismiss staff Manager

Recruit board members Board

Direct the work of staff Manager

Manage conflict between staff Manager

Decide about staff salary levels and conditions Manager and board

Appraise staff Board (for manager) and manager (for other staff)

Manage staff development Manager

Concluding the session• Staff management involves recruiting, motivating, appraising and dismissing staff.• Both the board and the manager have staff management roles and responsibilities.

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Session 13.5: Directing and leading

Directing or leading involves setting well-defined, clearly understood and consistently administered policies; providing a clear course; and leading employees and members to achieve goals. It also involves decision-making and delegation of responsibilities. Sometimes it is not clear where responsibilities lie. Such diffuse situations can be cleared up by preparing a responsibility chart. Both the board and the manager have roles in directing and leading.

Key issues• Understanding the roles of board and manager in directing and leading an association• Understanding what makes a leader• Understanding what advocacy is

Teaching aids and materials requiredFlip chart, board, markers and copies of handouts.

Input32 The board and manager have different roles in directing and leading the association.

Board roles in directing

The board has the role of setting policies, e.g. relating to administration, finance and membership. The board reviews and decides about membership applications, reviews and approves reports and makes decisions about long-term plans.

Manager roles in directing

The manager has roles such as creating positive working conditions for staff, supervising, training, and appraising staff and acting as a spokesperson for the association.

LeadershipLeadership has been the subject of study throughout human history. Much has been written about the characteristics of leaders and how they motivate people.

Exercise: Identifying leadersAsk the group to think of their own daily lives and to come up with examples of leaders. Record the results on a flipchart. Then ask the group what all these people have in common that makes them leaders.

ExperienceOne group produced the following list of leaders:• head of a political party• priest or pastor• village chief • the elders• headmistress• teacher• household head• in a group of children there is often a leader• chairman of the association

32 Advocacy, Building skills for NGO leaders, 1999. The CEDPA Training manual series, Volume XI. Centre for development and population activities.

http://www.getvisable.org/files/resourcesmodule/@random41940ceb78dbb/advocacy_manual.pdf

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The example shows that our daily lives are full of examples of leaders who give us direction. What all these people have in common is that they are able to get people to do what they wish. However, sometimes those in leadership positions may not be performing a leadership role. For example if a teacher, in spite of being in a leadership position, does not have the right personality, quality or skills to manage the class, he or she will likely have a chaotic class. Leadership is about having the right combination of personality, qualities and skills to motivate a group of people to act to achieve a common goal. In the context of an association, a leader inspires others to achieve the goals of the association. Both the board and the manager need to be leaders.

Exercise: What characteristics should a good leader in your association have?Ask participants to formulate characteristics, qualities and/or skills of a good leader for their association. List them on a flipchart and hang the list on one side of the room for easy reference. You will find that many of the qualities and skills have been talked about in the previous sessions of this module.

ExperienceOn the right is the list prepared by one group. A good leader in our association is:• Motivated and motivates others.• Honest.• Open minded and listens to others, communicates easily,

accepts critique and knows how to give constructive feedback to others.

• Has good negotiation skills; manages to find marketing outlets.• Good in planning, organising and directing.• Has good problem solving skills.• Is good at time management.• Is good at leading meetings.• Manages conflicts well.

Handout 13.5.1 lists qualities that do or do not enhance leadership.

Handout 13.5.2 lists management skills of good leaders and how they can be applied.

Advocacy

Advocacy is an externally oriented leadership role that most associations engage in. Often association members find it difficult to express exactly what advocacy is.

Exercise: What is advocacy?In order to clarify the term ‘advocacy’, ask the group to brainstorm and come up with associated words. Here is a list of words that they may come up with:

Defending Influencing

Sensitising Marketing

Changing Raising awareness

Persuading Selling an idea

Communicating Lobbying

Exposing Attracting attention

Providing a solution Acting

Promoting Backing

Supporting Encouraging

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Advocacy means ‘giving voice’ to a group or population that traditionally has been ‘voiceless’. Advocacy involves speaking up about or drawing attention to an important issue, and directing decision-makers toward a solution. In advocacy associations work with other people and organisations to make a difference.

In summary, advocacy is the act or process of supporting a cause or issue. We advocate a cause or issue because we want to:• Build support for that cause or issue.• Influence others to support it.• Try to influence or change legislation that affects it.

Associations have an important role to play as intermediaries between marginalised people and policy-makers. They may organise advocacy campaigns, which are a set of specific actions in support of a cause or issue. While the best advocates bring passion and commitment to their work, they also need technical skills to identify issues, plan, communicate and network.

Preparing an advocacy campaign

Below is a series of steps to guide the preparation of an advocacy campaign.• Identify the issue around which a policy change is to be promoted. The issue should be focused, clear, and

widely supported in the advocacy group.• Based on the issue, articulate an advocacy goal (similar to a vision) and objectives (which are short-term,

specific and measureable).• Identify the key policy audience — the decision-makers who have the power to bring about a policy

change.• Develop a compelling advocacy message and tailor it to the interests of the policy audience.• Select the appropriate communication channels to deliver the advocacy message to the policy audience

(e.g. a press conference, an executive briefing package, a public debate, a conference for policy-makers, etc).

• Seek to broaden the support base by targeting society members and other potential allies.• Raise funds and mobilise other resources to support the advocacy campaign.• Implement the advocacy strategy according to a plan of action.

Throughout the process:• Collect data, e.g. it is often necessary to research the position of policy-makers toward the issue.• Monitor and evaluate to be in a position to measure what will be different as a result of the campaign.

Exercise: Identifying our association’s directing and leading roles and responsibilitiesAsk the group to brainstorm on the directing or leading roles in their association. For each role define whether the board or the manager is responsible. Record the ideas on a flipchart.

ExperienceBelow is a list of directing or leading roles and responsibilities prepared by one group.

Directing or leading role Responsibility

Problem solving and decision-making Manager, board

Deciding on goal and objectives Board

Operational planning Manager

Advocacy Manager, board

Delegation Manager (to other staff), board (to manager)

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Managing - Staff- Human resources- Communications- Time- Resources- Conflicts

Mostly manager and some board

Leading meetings Manager, board chair

Concluding the session• Both the board and the manager have roles in directing and leading an association. Their roles are

different.• Leaders are people who have the right combination of personality, qualities and skills to inspire and

motivate a group of people to achieve the goal of the association. • Advocacy involves speaking up or drawing attention to an important issue, and directing decision-makers

toward a solution.

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Handout 13.5.1: Qualities that do or do not enhance leadership

Qualities enhancing leadership Qualities that do not enhance leadership

Patience Impatience

Good listening skills Never listening

Helpfulness Lack of interest

Honesty Dishonesty

Fairness Favoritism

Not dominating, encouraging participation Dominating, authoritarianism

Ability to resolve conflicts Getting into conflicts

Keeping one’s word Not keeping promises

Paying debts Having debts

Know-how Being ill-informed, not having a direction

Planning skills Lack of planning skills

Problem solving skills Leaving problems unsolved

Being good at encouraging team work Not caring about team work

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Handout 13.5.2: Management skills of good leaders and how they can be applied

Management skill How to apply the skill

Problem solving and decision-making

Define the problem (if it is complex break it down into sub-problems), prioritise the problems (urgent, necessary?), identify causes, identify alternatives and select an approach, then implement, monitor and verify.

Planning Decision-making about ends, means, policies and results.

Delegation This does not transfer accountability. Delegation can motivate others, but the right person must be selected. It is important to give the person space to operate, give feedback regularly, evaluate and reward performance.

Task management Break up projects into action steps to make them manageable.

Group management Set the standards of performance and behaviour. Develop roles within the group; develop team work, cooperation, morale and team spirit.

Managing individuals Individuals have different needs, skills, strengths and fears. Balance the needs of the team, the tasks at hand and the needs of the individual.

Manage communication Communication needs to be strong and clear to all.

Time management Good time management ensures that tasks are completed on time.

Meeting skills These help ensure effective meetings.

Human resource management

Planning, recruitment, selection, induction, training and development, performance appraisal, promotion / transfer / dismissal.

Conflict management Conflict is about power and interests and can be managed in different ways:• Negotiation• Joint problem-solving• Facilitation by a neutral third party• Mediation (formal process): the role of the mediator is to stop the argument,

hear parties, allow parties to propose solutions, choose the best solution and get agreement for the solution.

• Arbitration (legal proceedings)

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Session 13.6: Controlling

Controlling is a management role involving the ability to influence the results of an association. By making appropriate adjustments in a timely manner performance can be improved. In order for the board and manager to make the right adjustments, they must have oversight and ongoing knowledge on progress and performance.

Key issues• Understanding the concept and purpose of controlling• Understanding the concept and purpose of monitoring• Understanding the concept and purpose of evaluating• Planning a monitoring and evaluation activity for the association

Teaching aids and materials requiredFlip chart, board, markers, tape, thumb pins and copies of handout.

Exercise: The project cycleDivide the participants into groups and give each group a set of cards, prepared in advance, showing the elements of the project cycle (one element per card). The project cycle is shown in Handout 13.6.1.

Ask the groups to discuss and place the elements in the right order, thereby constructing the project cycle. Facilitate a discussion on the elements of monitoring and evaluation:• What are the roles of monitoring and evaluation?• Why are they part of the project cycle? • Are they essential parts of the project cycle? • Why are they placed where they are?

Input33 Controlling is a management role involving the ability to influence the performance of an association. For those in management positions to be able to exercise this role they need information about the beginning situation (also called baseline), regular updates on progress and the desired end situation (generally expressed in the objectives of a programme). Monitoring and evaluation are processes aimed at providing much of this information.

What is monitoring?

Monitoring is the process of continuous and periodic checking of the implementation of a programme by timely gathering of systematic information on work schedules, input delivery, targeted outputs, and other variables required for the programme to achieve its objectives.

The purpose of monitoring is to:• provide information on the current programme status and check whether progress is as planned;• provide the basis for corrective measures if there is a problem with progress;• verify proper utilisation of programme resources; and• verify that inputs are made available on time to implement activities that result in outputs (see the

management definition in Session 13.1).Monitoring is a systematic way of recording project activities. This information helps to evaluate our work.

What is evaluation?

Evaluation is the systematic collection of information on the conceptualisation, design, implementation and/or impact of an intervention or programme. The purpose of evaluating is to:

33 Monitoring and evaluation of nutrition and nutrition-related programmes, a training manual for programme managers and implemen-tors, 1999. The Applied Nutrition Programme, University of Nairobi. http://www.pronutrition.org/files/M&E%20TrainingManual.pdf

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• determine, referring to objectives, the extent to which desired changes have occurred; and• determine whether the changes are the result of the activities of the association.Evaluation is a systematic process that assesses whether or not project objectives have been achieved. It is a way of finding out the quality of our activities.

Both monitoring and evaluation are ways of assessing the work we do so that we can improve. However, in order to make sense out of monitoring and evaluation information we need to relate that information to a beginning and an end point. The beginning point is the baseline and it needs to be measured at the start of any intervention. The desired end point is expressed in the objectives.

Exercise: Why are monitoring and evaluation important? Ask the group to consider this question: Why is it important for an association to monitor and evaluate? Write the ideas on a flipchart.

ExperienceOne group came up with the following list:• To see if the association is achieving what we created it for (vision, mission).• To increase transparency: if we don’t measure what we are doing, we don’t know what we are doing.• To learn from what we did wrong and what we did right.• To improve the quality of our activities and services.• To better manage highs and lows in the life of our association.• To help us to plan better in the future.• To measure if we are successful and if we are making progress in achieving our objectives.• To gather information for our annual report.• To find out whether members are satisfied with the association.• To measure if the results of our activities are proportionate to the cost.• To asses if what we are doing is sustainable.• To gather information to show our progress to members, donors, the government and others.

Planning for monitoring and evaluation

Monitoring and evaluation are very important tools for the board and manager, ensuring they have information about progress and giving them the basis to make timely decisions on corrective actions. Monitoring and evaluation help maintain delivery of high quality services. For monitoring and evaluation to work properly, they must be properly planned.

Exercise: Monitoring and evaluation in our associationAsk the group to try to identify monitoring and evaluation processes currently existing in their association by asking the following questions:• What kinds of data are being collected?• What do they measure, how are they collected and who collects them?• When are they collected and processed?

List the responses on a flipchart under the title ‘data being collected’. Then ask the group what kind of information is not being collected. Refer to the objectives of the association. List this information on another flipchart under the title ‘data not collected’.

ExperienceThe results from one group are given below.

Information we collect Missing information

How the farmers are implementing their projects. Systematic evaluation of our participation at different markets.

Whether new skills are applied following training. How satisfied our members are with our services.

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An inventory of materials and equipment.

How we invested our funds.

The income from our shop.

The condition of our materials and equipment.

The functioning of our staff.

The quality of the farmers’ produce.

The size and condition of our stock of fresh produce.

Break the group into smaller groups and give each group the task planning a monitoring and evaluation process for collecting one part of the missing information. Ask the groups to think about the following elements:• The purpose of the process (why do we need to collect that information?).• Who is responsible.• Where and when the collection will be carried out.• Who will be targeted to gather the information (present members, past members, community members,

donors…?).• Which methods to use to gather the information (interviews, community meetings, project records, group

discussions…).• How to go about collecting the information.• Analysing the data.• Writing a report.• Deciding if corrective action needs to be taken and if so, which action.

ExperienceBelow is a plan prepared by one group to collect missing information.Missing information: systematic evaluation of our participation at different markets.

Element How/why/who/when?

Decide on the purpose of the process (why do we need to collect that information?).

To know which markets and fairs are good (we will return) and which are bad (we will abandon).

Decide who is responsible. Staff charged with marketing.

Decide where and when it will be carried out. The morning after each market.

Who will be targeted to gather the information (present members, past members, community members, donors…?).

Staff and members who participated at the stand to sell the produce.

Decide which methods to use to gather the information (interviews, community meeting, project records, group discussion…).

Records:• Records of quantity, quality and type of produce taken

and returned.• Names of staff and members selling at the stand (are

they good or bad salespersons?).• Total cash income and expenditure.• Time investment including preparation, travel and

being present at the market.• Evaluation of the stand/place/situation (are we visible,

do we attract customers etc).

How to go about collecting the information. Information to be collected for every market and fair.

Analyse the data. Data will be analysed once a year.

Write a report. Analysis will be presented at the last board meeting of the year.

Decide if corrective action needs to be taken and if so, which action.

Board will decide which markets and fairs will be attended during the next year, who will be the salespersons, which products will be sold and how to improve our stand.

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Exercise: Identifying our associations’ controlling roles and responsibilitiesAsk the group to brainstorm on the controlling roles in their association. For each role define whether the board or the manager is responsible. Record the ideas on a flipchart.

ExperienceBelow is a list of controlling roles and responsibilities prepared by one group of trainees.

Controlling role Responsibility

Monitor how farmers’ projects are doing Manager, reporting to the board

Follow the application of skills learnt during trainings Manager, reporting to the board

Follow the evolution of the budget Manager, reporting to the board

Follow the evolution of the shop Manager, reporting to the board

Monitor the condition of materials and equipment and the frequency of their use by members

Manager, reporting to the board

Monitor the condition of the office equipment Manager, reporting to the board

Measure the satisfaction of our members Manager, reporting to the board

Concluding the session• Controlling is having the ability to influence the performance of an association by taking timely corrective

action when and where necessary.• In order to know if corrective action is necessary we need to measure performance.• Performance is measured through monitoring and evaluation — the systematic collection of data.• To be able to measure performance we need to know how the data at a certain point in time compares to

what the situation was at the starting point (baseline) and what the desired end situation is (objectives).

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Handout 13.6.1: Project cycle34

34 Project cycle management technical guide, 2001. Socio-economic and gender analysis programme, Food and Agriculture Organiza-tion of the United Nations. http://www.fao.org/sd/seaga/downloads/EN/projecten.pdf

Evaluation: periodic review of project with feedback for next project cycle

Identification: generation of the

initial project idea and preliminary design

Appraisal: analysis of technical, financial, economic, gender,

social, institutional and environmental aspects

Proposal preparation, approval and

financing: writing the proposal, approval

for implementation, arranging funds

Monitoring: ongoing checks on progress

and feedback

Preparation: detailed design of the

project addressing technical and

operational aspects

Implementation of project activities

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Session 13.7: Preparing a responsibility chart

For any organisation to function effectively it is necessary that responsibilities be clear to everyone. A clearly visible responsibility chart in the association’s office may help shed light on a situation which is all too often diffuse.

Key issues• Recognising the need for clarity about responsibilities• Preparing a responsibility chart for the association

Materials requiredFlip chart, board, tape, thumb pins and markers.

Input35 As in the workplace, it is important for associations that responsibilities for management roles be clear. It is also important that there be a consensus regarding the responsibilities, that board members and manager be aware of their responsibilities and that the information be easily accessible by other members. A responsibility chart is a useful tool to ensure all of these.

Exercise: Preparing a responsibility chartUsing the results of the exercises on management roles and responsibilities completed in Sessions 13.1 to 13.6, a responsibility chart can now be prepared by compiling the results into one table.

Prepare a table like the one below. In the first column write in the management roles and activities identified during the previous sessions. In the second and third columns, with a cross, show whose responsibility each activity is. Hang the chart in the association’s office.

Management roles/activitiesResponsibility

Board CEO

Planning• AAA• AAA• AAA

Organising• BBB• BBB• BBB

Staffing • CCC• CCC• CCC

Directing or leading• DDD• DDD• DDD

Controlling• EEE• EEE• EEE

35 Smith, M. and Erwin J. Role and responsibility charting (RACI). http://www.pmforum.org/library/tips/pdf_files/RACI_R_Web3_1.pdf

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ExperienceBelow is an example of a responsibility chart prepared by one group for the management role of ‘Planning’.

Management roles/activities in PLANNINGResponsibility

Board CEO

Prepare annual plan and budget X X

Meeting roster X

Market roster X

Operational planning for all activities X

Arrange audit X

Prepare annual report X

If useful, the second column can be divided into several columns, one for each board member. Alternatively the names of the persons can be mentioned in the columns. In some instances it may be necessary to mention committees or groups, even groups outside the association, if they perform certain management roles or have an impact on the performance of the management roles.

If there is a wish to further detail the responsibility chart, this can be done using the following acronyms in columns 2 and 3:• R — This person has responsibility for an action or decision but may not necessarily have the authority to

act independently.• A — This person must approve the action or decision in order for it to take effect.• C — This person must be consulted before the action or decision but cannot affect its outcome.• I — This person must be kept informed of an action or decision but cannot affect its outcome.• X — This person has no formal role.

Ideally there is only one R and one A for each row. If more than one R and A are obtained, then it may be necessary to work at a more detailed level or renegotiate to change some As to Cs or Is. C means that input (consultation not approval) must be received before making a commitment. No cell may contain more than one letter. First place the R and then proceed to the other levels.

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Annex 1: Evaluating trainingEvaluating training is a useful exercise for different reasons. It gives overall feedback to the trainer on how the participants experienced the training. It can give information about which parts of the training were appreciated the most and the least. Finally, it is a way of closing the training.This annex gives several exercises for evaluating training.

Evaluation: Three facesOn a large sheet of paper draw three faces:• a smiling face• a frowning face• a neutral face

Ask participants to match their overall feelings about your training to one of the faces by placing a cross under the appropriate face. A space can be provided to participants who wish to make comments.

Finally, thank the participants for their participation and hard work and close the training.

Evaluation: Hand signalsExplain that you will read out a question and people should respond quickly with hand signals; you will not allow time to think, discuss or check what other people think. What counts is the instant reaction; it will show what a person thinks right now.

Demonstrate the hand signals.

Signal Meaning

2 thumbs up Feel very, very positive

1 thumb up Feel positive

1 thumb sideways Just OK

1 thumb down Feel negative

2 thumbs down Feel very, very negative

Practice the hand signals with the group. Then take a list of questions prepared in advance. Ask the first

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question and get a response from the participants. You may want to document the response. Continue with the second question and so on down the list. Examples of questions are:

• Did you enjoy this training?• Did you find this training useful?• Do you feel more confident about your role as a board member?• Do you plan to apply what you learnt?

Following the exercise, and depending on the results, you may want to have a more detailed discussion on one or two aspects of the training.


Evaluation: Small group discussionDivide the group into small groups of three or four persons. Give the groups 10 or 15 minutes to discuss and answer the following questions:• Name one thing that you did not like about the whole training. Give reasons for your answer.• What was the main thing you learnt from the whole training? Give reasons for your answer.• Is there anything from today’s training that you need further information on to help you be more effective?• What other topics do you feel you need training on to improve the running of your association?

Ask each group to share the results with the rest of the participants. Discuss as necessary.


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ns a

bout

mee

tings

Curre

nt m

eetin

g pr

actic

eSt

eps i

n ho

ldin

g a

mee

ting

Purp

ose

of a

n ag

enda

Role

s of a

cha

irW

ritin

g an

invi

tatio

n le

tter

Prep

arin

g yo

ur o

wn

mee

ting

166

Mod

ule

13M

anag

emen

t and

lead

ersh

ipSe

ssio

n 13

.1D

efini

ng m

anag

emen

tEv

eryo

ne is

a m

anag

erId

entif

ying

our

ass

ocia

tion’

s man

agem

ent r

oles

and

task

sM

anag

emen

t defi

nitio

nsSe

ssio

n 13

.2Pl

anni

ngPl

anni

ng in

you

r ass

ocia

tion

Plan

ning

a v

eget

able

gar

den

Iden

tifyi

ng o

ur a

ssoc

iatio

ns’ p

lann

ing

role

s and

resp

onsib

ilitie

sSe

ssio

n 13

.3O

rgan

ising

Iden

tifyi

ng o

ur a

ssoc

iatio

ns’ o

rgan

isatio

nal r

oles

and

resp

onsib

ilitie

s

Sess

ion

13.4

Staffi

ngW

hat m

otiv

ates

me?

Rene

win

g th

e bo

ard

Iden

tifyi

ng o

ur a

ssoc

iatio

ns’ s

taffi

ng ro

les a

nd re

spon

sibili

ties

Sess

ion

13.5

Dire

ctin

g an

d le

adin

gId

entif

ying

lead

ers

Wha

t cha

ract

erist

ics s

houl

d a

good

lead

er in

you

r ass

ocia

tion

have

?W

hat i

s adv

ocac

y?Id

entif

ying

our

ass

ocia

tions

’ dire

ctin

g an

d le

adin

g ro

les a

nd re

spon

sibili

ties

Sess

ion

13.6

Cont

rolli

ngTh

e pr

ojec

t cyc

leW

hy a

re m

onito

ring

and

eval

uatio

n im

port

ant?

Mon

itorin

g an

d ev

alua

tion

in o

ur a

ssoc

iatio

nId

entif

ying

our

ass

ocia

tions

’ con

trol

ling

role

s and

resp

onsib

ilitie

sSe

ssio

n 13

.7Pr

epar

ing

a re

spon

sibili

ty c

hart

Prep

arin

g a

resp

onsib

ility

cha

rt

167

Ann

ex 3

: Lis

t of h

ando

uts

Mod

ule

Sess

ion

Han

dout

Mod

ule

1 Ci

vil s

ocie

ty, c

apac

ity b

uild

ing

and

empo

wer

men

tSe

ssio

n 1.

1 M

ake-

up o

f soc

iety

Han

dout

1.1

.1: M

ain

sect

ors i

n so

ciet

ySe

ssio

n 1.

2 So

cial

cap

ital

Han

dout

1.2

.1: S

ocia

l cap

ital

Sess

ion

1.3

Capa

city

bui

ldin

g an

d em

pow

erm

ent

Han

dout

1.3

.1: S

ituat

ion

befo

reH

ando

ut 1

.3.2

: Situ

atio

n af

ter

Han

dout

1.3

.3: W

hat c

apac

ity b

uild

ing

and

empo

wer

men

t are

all

abou

tM

odul

e 2

Goo

d go

vern

ance

Sess

ion

2.1

Prin

cipl

es o

f goo

d go

vern

ance

Non

eSe

ssio

n 2.

2 St

ruct

ure

of a

n as

soci

atio

nH

ando

ut 2

.2.1

: Str

uctu

re q

uest

ionn

aire

Sess

ion

2.3

Staff

Han

dout

2.3

.1: S

taff

ques

tionn

aire

Sess

ion

2.4

Valu

es a

nd p

olic

ies

Han

dout

2.4

.1: V

alue

s and

pol

icie

s que

stio

nnai

reH

ando

ut 2

.4.2

: ‘Far

mer

s for

a b

right

futu

re’ a

ssoc

iatio

nSe

ssio

n 2.

5 Fi

nanc

ial m

anag

emen

tH

ando

ut 2

.5.1

: Fin

anci

al m

anag

emen

t que

stio

nnai

reH

ando

ut 2

.5.2

: Ing

redi

ents

of s

tron

g fin

anci

al m

anag

emen

t cap

acity

Han

dout

2.5

.3: A

sses

sing

finan

cial

man

agem

ent c

apac

itySe

ssio

n 2.

6 Bo

ard

mee

tings

Han

dout

2.6

.1: B

oard

mee

tings

que

stio

nnai

reSe

ssio

n 2.

7 Te

amw

ork

Han

dout

2.7

.1: T

eam

wor

k qu

estio

nnai

reH

ando

ut 2

.7.2

: Tas

ks, d

utie

s and

pos

ition

des

crip

tion

of b

oard

mem

bers

Han

dout

2.7

.3: Q

uest

ions

a b

oard

mem

ber s

houl

d be

abl

e to

ans

wer

Sess

ion

2.8

Com

plet

ing

the

eval

uatio

n w

heel

Non

eM

odul

e 3

Iden

tifyi

ng p

riorit

ies t

hrou

gh a

pro

blem

tree

ana

lysis

(One

sess

ion)

Han

dout

3.1

: Pro

blem

tree

pre

pare

d by

a g

roup

of f

arm

ers

Mod

ule

4 St

rate

gic

plan

ning

(One

sess

ion)

Han

dout

4.1

: Str

ateg

ic p

lann

ing

sum

mar

y

Mod

ule

5 Pr

epar

ing

a lo

gica

l fra

mew

ork

(One

sess

ion)

Han

dout

5.1

: Sum

mar

y of

the

cont

ent o

f a lo

gfra

me

Han

dout

5.2

: Typ

es o

f ind

icat

ors

Mod

ule

6 Pr

epar

ing

a ca

paci

ty b

uild

ing

plan

(One

sess

ion)

Non

e

Mod

ule

7 Co

nflic

t res

olut

ion

(One

sess

ion)

Non

e

Mod

ule

8 Pa

rtic

ipat

ion

(One

sess

ion)

Han

dout

8.1

: Lev

els o

f par

ticip

atio

n

Mod

ule

9 Se

lf-he

lp, d

epen

denc

y an

d vo

lunt

eeris

mSe

ssio

n 9.

1 Se

lf-he

lp a

nd d

epen

denc

yH

ando

ut 9

.1.1

: Art

icle

‘Vol

unte

ers d

rive

reco

very

of C

hern

obyl

-affe

cted

com

mun

ities

’H

ando

ut 9

.1.2

: Cas

e-st

udy

of F

arm

ers F

irst a

ssoc

iatio

n

Sess

ion

9.2

Volu

ntee

rism

Non

eM

odul

e 10

G

ende

r aw

aren

ess

(One

sess

ion)

Han

dout

10.

1: In

stru

ctio

n sh

eet —

Dra

win

g a

farm

er o

r fish

erH

ando

ut 1

0.2:

Gen

der l

ens

168

Mod

ule

11

Com

mun

icat

ion

and

pres

enta

tion

Sess

ion

11.1

Co

mm

unic

atio

nH

ando

ut 1

1.1.

1: C

omm

unic

atio

nH

ando

ut 1

1.1.

2: In

stru

ctio

n sh

eets

for c

omm

unic

atio

n ex

erci

seSe

ssio

n 11

.2 P

rese

ntat

ion

Non

eM

odul

e 12

Pr

epar

ing,

hol

ding

and

follo

win

g up

mee

tings

(One

sess

ion)

Han

dout

12.

1: S

teps

in h

oldi

ng a

mee

ting

Han

dout

12.

2: O

utlin

e fo

r an

agen

daH

ando

ut 1

2.3:

Rol

es, t

asks

and

qua

litie

s of a

goo

d ch

air

Han

dout

12.

4: R

oles

, tas

ks a

nd q

ualit

ies o

f a g

ood

secr

etar

yH

ando

ut 1

2.5:

Sam

ple

invi

tatio

n le

tter

for a

boa

rd m

eetin

gH

ando

ut 1

2.6:

Rol

es, t

asks

and

qua

litie

s of a

goo

d pa

rtic

ipan

t at a

mee

ting

Han

dout

12.

7: In

stru

ctio

n sh

eet f

or p

repa

ring

the

next

boa

rd m

eetin

gM

odul

e 13

M

anag

emen

t and

lead

ersh

ipSe

ssio

n 13

.1 D

efini

ng m

anag

emen

tN

one

Sess

ion

13.2

Pla

nnin

gH

ando

ut 1

3.2.

1: C

ase

stud

y ve

geta

ble

gard

enSe

ssio

n 13

.3 O

rgan

ising

Non

eSe

ssio

n 13

.4 S

taffi

ngN

one

Sess

ion

13.5

Dire

ctin

g an

d le

adin

gH

ando

ut 1

3.5.

1: Q

ualit

ies t

hat e

nhan

ce a

nd d

o no

t enh

ance

lead

ersh

ipH

ando

ut 1

3.5.

2: M

anag

emen

t ski

lls o

f a g

ood

lead

er a

nd h

ow th

ose

skill

s can

be

appl

ied

Sess

ion

13.6

Con

trol

ling

Han

dout

13.

6.1:

Pro

ject

cyc

leSe

ssio

n 13

.7 P

repa

ring

a re

spon

sibili

ty c

hart

Non

e

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