1 Strengthening Your Organization A Series of Modules and Reference Materials for NGO and CBO Managers and Policy Makers Compiled by the Nigeria Country Office Africa Regional Office in conjunction with Nigeria Management and Training Network Resource Mobilization STRUCTURE Proposal Writing SUSTAINABLE DEVELOPMENT Marketing/Public Relations Fund Raising Community Participation Cost Sharing SYSTEMS Supervision Objectives Monitoring and Evaluation SUSTAINABILITY VISION Sustainability Restructuring Future Success SWOT DIVERSIFICATION DEVELOPMENT Systems New Initiatives Strategic Focus Made possible by generous grants from The Ford Foundation and USAID/REDSO
2 Contents SERIES I ORGANIZATIONAL DEVELOPMENT (DEVELOPING YOUR NGO) Module 1: Module 2: Module 3: Strategic Planning Vision Goals Action plans Mission Strategic objectives Institutionalizing the Plan Structure Membership and volunteers Role definitions Division of work and types Job descriptions Relations and linkages Levels of authority Organizational charts Leadership Board development Communication Team building Decision-making Conflict resolution Managing change Organizational structure and levels of development Leaders roles/style Running effective meetings Delegation SERIES II ORGANIZATIONAL MANAGEMENT (MANAGING YOUR NGO) Module 1: Program Design and Management Module 2: Human Resource Management and Supervision Module 3: Financial Management Module 4: MIS, Monitoring, and Evaluation SERIES III ORGANIZATIONAL SUSTAINABILITY (MAKING YOUR NGO SUSTAINABLE) Resource mobilization Fund raising Proposal writing Receiving or sharing of costs Marketing/Public relations Community participation and support Inter-organizational collaboration
3 Acknowledgements An undertaking of this size is not only an act of optimism, but also the work of many hands. First, Pathfinder s Country Office in Nigeria and its Regional Office in Nairobi are deeply indebted to The Ford Foundation and USAID s REDSO/ESA and its Africa Bureau for providing much-needed financial support and encouragement throughout the project. Second, we are happy that three visionary staff who are committed to building capacity and increasing South-to-South implementation and collaboration by well-managed and more sustainable African institutions Mike Egboh, Pathfinder/ Nigeria s Country Representative, Fran Farmer, Director of Programs/Africa, and Bisi Tugbobo, Senior Program Officer for Capacity Building in the Nigeria Office had the stamina and will power to review and revise this Manual for Strengthening NGOs several times. A skilled management consultant, Dr. S. A. M. Adelakun, ably assisted them in this task. The evocative line drawings of Dorothy Migadde, the graphic layouts of Winnie Oyuko, and the editorial skills of Nathan Krystall also enhance the Manual. But most of all, the Manual represents a major commitment of an extraordinary group of talented Nigerian professionals who comprise one of the best examples of locally appropriate, South-to-South training, technical assistance, and consultative services. Members of the nationwide Management and Clinical Services Training Network, a Nigerian home-grown initiative that has stood the test of time and fluctuating circumstances while continuing to make positive contributions to strengthening program managers and providers technical skills, they are: i Gbola Omotosho Pullen Igbinosun Moji Oyelami Grace Faoye Aishat Abubakar Emmanuel Okochi Ajiboye Rachel Ngozi Mbibi Chris Onyejekwe Margaret Bodede Samuel Akpovi Adedoja Adisha We hope that organizations and managers throughout the Africa region will benefit from the Manual s practical tips, exercises, formats, and techniques. Elizabeth L. Lule Regional Vice President/Africa Pathfinder International
4 Introduction WHY THIS MANUAL? This Manual has been developed for NGO chief executive officers and managers. It seeks to provide knowledge and skills for effective management of sustainable organizations and programs. This Manual is a compendium of principles, practices and procedures needed by NGOs at various stages of development. Managers will acquire a variety of tools and techniques suitable for solving management problems and providing leadership appropriate to their unique organizational settings. It also contains tips, suggestions, exercises, and approaches that can be adapted or applied as needed. The manual is especially designed to free managers and staff from waiting for external technical inputs. Many aspects of this manual are do it yourself, designed to encourage self-reliance and creative problem identifcation, problem solving, and systems or programs implementation that are more locally appropriate, accepted, and sustainale. HOW THIS MANUAL IS ORGANISED Series 1: Organisational Development (that is, developing your NGO) contains three modules on strategic planning, structure and leadership. Module 1 on Strategic Planning addresses specific topics such as vision, mission, goals, strategies, objectives and implementation plans. Module 2 on Organizational Structure touches on organizational structure, job descriptions, membership, and volunteers. iii Module 3 on Leadeship describes board development, leadership roles and style, communication, team building, decison-making, delegation, running effective meetings, conflict management, and managing change. Series 2: Organizational Management (that is, managing your NGO) is divided into four modules. Module 1 covers program design and management including participatory process involving stakeholders, communities and intended beneficiaries. Module 2 discusses human resource management, while Module 3 covers financial management and Module 4 focuses on management information systems (MIS) and program monitoring and evaluation. Series 3: Organisational Sustainability focuses on techniques to ensure that your NGO is sustainable over the longer term. Its single module focuses on various kinds of sustainability: financial, programmatic, technical, and community. This module reviews sustainability,planning, marketing, fund-raising, and local resource mobilization. It also discusses some of the systems or management implications if an organization seeks to be moreself-sufficient and sustainable. Each modules, begins with an introduction describing the management topics and subjects contained in the module. Topics are also introduced by a series of questions or issues that should be considered before you begin.... Definitions and practical examples of concepts
5 and technical terms are included. Exercises, cases, checklists, worksheets, tools, sample answers and other techniques to stimulate practical learning are built into module contents. HOW THE MANUAL SHOULD BE USED This Manual can be used in a variety of ways: iv Consultants and human resource management experts can use the manual as a training and technical assistance document or in planning and management of sustainable NGOs. Managers can use it for day-to-day management and planning. Planners can use it in designing new programs or reviewing organizational structures. Boards of Directors can use it when thinking about new strategic directions, assessing organizational performance, or establishing new policies. Staff can use it to gauge how well their programs are performing and how best to maximize their interactions with one another and the organization. Teams can use it to provide a good starting point for creative organizational thinking or managing change. For all, it is hoped that these Modules will be useful reference material, to be used when issues arise and technical experts or resource persons are not available. Its guidance is designed to stimulate creative use and adaptation. So... the materials are yours to be used in the way you and your colleagues think best.
6 Why Capacity Building is Important... In Africa, many institutions are emergent. As a result, their management practices, systems, and staff may not be adequate or appropriate for fostering organization growth, delivery of quality services, and sustainability. It has therefore become extremely important to focus technical assistance (TA) training and materials development on creating the climate and skills for improved institutional management. Although capacity building or institutional development means different things in different organizational settings, it is clear that capacity building affects the full range of operations and management. Defining Institutional Capacity Building Institutional capacity building is a process, relying on a series of institutional capacity building or skills transfer initiatives, leading to financial, managerial, and technical sustainability, that ensures more effective: Resource management (financial, human, technical, community) Service delivery Staff competencies at all levels Planning (including individual or short-term, annual, strategic, and sustainability) Implementation of appropriate, efficient, and costeffective management systems v The amount, focus, degree, and expected results of such assistance depends on organizational level and commitment to sustained change demonstrated by an organization s leadership. As organizations are strengthened, they can more easily provide South-to-South TA and training a much more cost-effective, locally appropriate, and ultimately sustainable way of assisting partner organizations. These modules are designed to reinforce this process by providing reference materials, skills building exercises, and tips and tools for managers. The Manual actually complements systematic development of NGOs in several sectors, and provides useful guidance even when more formal TA and training are not available. Key Capacity Building Activities: Over time, Pathfinder has learned that certain key activities conducted together with partners staff members, volunteers, and stakeholders facilitate capacity building. These include: Jointly assessing institutions, including their governance, structures, systems, strategic directions or potential, linkages within communities, and staff. Developing and institutionalizing strategic/sustainability plans.
7 Increasing the reliability and efficiency of management information and other operations systems, and using data or other systems outputs for more effective planning, resource allocation, and performance measurement. Strengthening continuous self-assessment as a basis for monitoring and evaluating performance. Inculcating awareness of the connections between quality service and effective management so partners are more efficient and responsive to clients or customers needs and demands for high quality service delivery. Assisting organizations to clarify roles and responsibilities and choose more effective structures so they become more efficient and responsive to management mandates. Improving partners abilities to identify and monitor cost centers and achieve costeffectiveness. Evaluating changes in organizational capacity (such as increased use of data and information for decision making; increased reliability of systems outputs; improvements in staff managerial or technical competence and effectiveness; maintenance of improved quality; improved ability to track and project costs, monitor cost centers, and implement sustainability, diversification, and/or income-generation strategies; reduced reliance on a single donor and increased self-sufficiency). This has lead to Pathfinder s understanding that capacity building is a continuum, as demonstrated by the drawing below, and to the adoption of a five-step process consistent with this continuum to guide its activities in support of institutional capacity building. vi Organizing Services Pursuing Organizational Sustainability Sustainable Efficient Cost-effective Institution Strengthening Project Level Management Managing a Mature Organization Organizing Management Structure/Process Step 1: Step 2: Step 3: Step 4: Step 5: Joint management assessments using a variety of tools Pre-award and financial analyses Technical capacity assessments Joint development of TA or master training plans to improve DIME (designing, implementing, managing, evaluating) Rigorous joint monitoring
8 Lessons Learned Efforts to build the capacity of partners organizations at varying levels of maturity have yielded some very important lessons. These can be instructive to organizations and donors alike in shaping systematic programs to build capacity and improve management. For example: Since many of Pathfinder s partners in Africa have fragile management systems or organizational structures, it usually takes longer than originally anticipated to identify the most fundamental problems facing individual agencies and develop tailored programs to address them. Meaningful capacity building can only be accompanied by a corporate culture that supports management of change and growth and full commitment of staff and other stakeholders. Problem identification and problem solving must be joint activities between donors and implementing partners if there is to be any chance of successful and sustainable introduction of systems and procedures over the longer term. When partners feel ownership of definitions of problems and their solutionsæaccompanied by rigorous and continuous self-assessment and monitoringæthere is a higher degree of commitment necessary to transform organizations. The best TA and companion training focus on basic building blocks or fundamentals in designing management systems or capacity building plans. Systems and their components should be clear, practical, simple to comprehend, and appropriately tailored to staff and organizational skills and capabilities. Community support is key to sustainable organizations. Assisting partners to strengthen outreach and use participatory processes systematically must be incorporated into institutional development or capacity building. vii Measuring progress in increasing capacity is extremely difficult and often very subjective. Developing new qualitative and quantitative indicators, benchmarks, and processes for tracking achievements in capacityæfor both staff and institutionsæmust receive greater priority attention. Additional efforts to document systems requirements and implementation strategies, cost-effective and efficient models, and locally appropriate approaches to capacity building must increase. It is now clear that partners need written guidelines and how to instructions (with accompanying formats, tips, and self-assessment and other tools to reinforce capacity building even when TA, training, or other technical resources are not readily available). In most organizations, management concepts, new techniques, and skills developed or recommended at workshops can only be implemented by or with approval of the most senior managers. If this cadre is not sensitized, they may resist changes proposed by junior managers and supervisors. It is important, therefore, to provide TA and training for both line managers or service providers and more senior supervisors and managers.
9 It is now clear that institutional development strategies should be implemented institution-wide wherever possible, instead of focusing exclusively on program-related strategies, in order to ensure efficiency, complementarity, and maximum coverage of the varying operations that contribute to organizational growth and sustainability. viii Future Directions There are also some challenges to successful implementation of regional institutional development strategies. Future efforts to build capacity of organizations must take these challenges into account and devise tactics or strategies to address and overcome them. Some of the key challenges include the following: Organizational environments are not always conducive to systematic decision-making, and roles and responsibilities within organizational structures are often unclear or undefined. Organizations should be urged to use strategic planning exercises or efforts to strengthen governance, to clarify roles and responsibilities, and to establish a sound foundation for future expansion or diversification. Many donor-supported projects or programs were formerly viewed as separate or vertical and are therefore not integrated into the longer-term organizational plans, identity, structure, or resource allocations. Although it is sometimes difficult to implement institution-wide, versus project-specific, approaches in the long run, organizations achieve more coherent and efficient operations using institution-wide systems, planning, monitoring, and strategies. Data collection and processing systems are often non-systematic, overly complex, and not well understood by the managers, supervisors, and workers who must make inputs and use the outputs. These systems are also often developed in isolation from overall organizational needs or strategic focuses. A functional management information
10 systems (MIS) should be developed and integrated into the context of the larger capacity building process. Resources to support longer-term institutional development strategies are often limited, and program managers, boards, and supporters are not always able to identify, access, or acquire dedicated resources. Fund-raising and diversification of resources, especially using local channels, should be incorporated into all formal institutional development or capacity building programs. Even when organizations are successful at mobilizing grants from several sources, multiple donors often impose competing, inconsistent, and time-consuming requirements that compromise project performance and focus. Improved coordination should become a priority for institutions and donors alike. ix
11 Acronyms x AIDS - Acquired Immune-Deficiency Syndrome ARH - Adolescent Reproductive Health BCC - Behavior Change Communication BCI - Behavior Change Interventions CAs - USAID Cooperating Agencies CBD - Community-Based Distribution CBS - Community-Based Services CBSOs - Community-Based Services Organizations CBRHWs - Community-Based Reproductive Health Workers CEO - Chief Executive Officer CYPs - Couple Years of Protection ECP - Emergency Contraceptive Pill ED - Executive Director FP - Family Planning FPMD - Family Planning Management Development Program of MSH FT - Foaming Tablets HAPAC - HIV/AIDS Prevention and Care HIV - Human Immuno-Deficiency Virus IEC - Information, Education and Communication IGA - Income generating activities IPC - Interpersonal Communication IPPF - International Planned Parenthood Federation IRHS - Integrated Reproductive Health Services IR - Intermediate Result IS - Integrated Supervision IUD - Intrauterine device LPO - Local Purchase Order M/E - Monitoring and Evaluation MCH - Maternal and Child Health MIS - Management Information System MSH - Management Sciences for Health NGOs - Non-Governmental Organizations OJT - On-the-job training PHC - Primary Health Care PLA - Participatory Learning and Action PLWH/A - People Living With HIV/AIDS PRA - Participatory Rural Appraisal Q & A - Question and Answer REDSO/ESA - Regional Economic Development Services Organization/East and Southern Africa RH - Reproductive Health RHS - Reproductive Health Services RTI - Reproductive Tract Infections SO - Strategic Objective S/RH - Sexual and Reproductive Health
12 STD - Sexually Transmitted Diseases STI - Sexually Transmitted Infections SWOT - Analysis of organizational Strengths, Weaknesses, Opportunities, and Threats TA - Technical Assistance TB - Tuberculosis US - United States USAID - United States Agency for International Development VCT - Voluntary Counseling and Testing WHO - World Health Organization xi
13 Suggested Readings xii 1. Wolff, James A., Suttenfield, Linda J., et. al., Family Planning Managers Handbook: Basic Skills and Tools for Managing, MSH (FPMD Project), Kumarian Press, Inc., West Hartford, CT, Kelleher, D., McLaren, K, and Bisson, R., Grabbing the Tiger by the Tail: NGOs Learning for Organizational Change, Canadian Council for International Cooperation, Edwards, M and Hulme, D, editors, Making a Difference: NGOs and development in a changing world, Save the Children (UK), London, USAID/Africa Bureau, Office of Sustainable Development, Health and Family Planning Indicators: Measuring Sustainability, v II 5. Young, Felicity. Tool Box for Building Strong and Health Community Organizations working in HIV/AIDS and Sexual Health, DFID and Department of Health (RSA), December, CEDPA. Project Design for Program Managers, Washington, DC, Rosemary McMahon, et. al., On Being In Charge: A Guide to Management in Primary Health Care, WHO, Geneva, Switzerland, Abt Associates. Fundamentals of NGO Financial Sustainability, Cambridge, MA and Bethesda, MD, Management of Human Resources for Health. Report of a WHO Expert Committee, WHO Technical Report Series: No 783, Community Tool Box Series Bryson, John M., Strategic Planning for Public and Non-profit Organizations: A Guide to Strengthening and Sustaining Organizational Achievement, Jossey-Bass Public Administration and Management Series, San Francisco, CA, IPPF. Sustainability Matters, vol. 2/no.2, November, Gajanjake, S and J. Community Empowerment: A Participatory Training Manual on Community Project Development. Northern Illinois University, DeKalb, IL, Selener, D, Endara, N, and Carvajal, P. Participatory Rural Appraisal and Planning Work Book, International Institute of Rural Reconstruction, Weisbord, M and Janoff, S. Future Search: An Action Guide to Finding Common Ground in Organizations and Communities, Berret-Koehler Publishers, San Francisco, CA, Brown, Lisanne, Elkins, Catherine, et. al. Measuring Capacity Building, [draft], MEASURE Evaluation Project, Tulane University, October 18, CAFS. Family Planing Program Management Training Modules (I XI). 18. Management Systems International (MSI). Project Development and Proposal Writing Materials for a Workshop conducted by IPPF Africa Regional Office, July, Garcia-Nunez, José. Improving Family Planning Evaluation: A Step=by-Step Guide for Managers and Evaluators. Kumarian Press, Small Business Administration (USA). Planning and Goal Setting for Small Business, # MP-6, Washington, DC. 21. Pathfinder/Family Health Services Project. Network Supervisory Training Manual., Lagos, Nigeria, Jay, Anthony. How to Run A Meeting. Harvard Business Review, vol. 52, No. 2, March-April, 1976.
14 23. Knight, Rodney and Tsui, Amy O. Family Planning Sustainability at the Outcome and Program Levels. The Evaluation Project, University of North Carolina, Chapel Hill, NC, USA, December, Verado, Denzil. Managing the Strategic Planning Process. ASTD Info Line, Alexandria, VA, USA. 25. Haines, Stephen G. Successful Strategic Planning: Building a High-Performance Business. Crisp Publications, Inc, Menlo Park, CA, Scott, Jaffe, Tobe. Organizational Vision, Values, and Mission: Building the Organization of Tomorrow. Crisp Publications, Inc., Menlo Par, CA, Scott, et.al., Successful Strategic Planning. Fifty Minute Series Book, Crisp Publications, Doyle, Michael and Straus, David. How to Make Meetings Work (The Interactive Method), Jove Books, NY, NY, Kaner, Sam, et. al. Facilitator s Guide to Participatory Decision-Making, New Society Publishers, Canada, Katzenbach, Jon R. and Smith, Douglas K. The Wisdom of Teams: Creating the High-Performance Organization, HarperCollinsPublishers, See also the publications of the National Center for Nonprofit Boards and the National Association of Community Health Centers, Inc., both in Washington, DC, USA. xiii
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