WORKSHOP ON FORMING AND MAINTAINING PEOPLES ORGANIZATIONS
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WORKSHOP ON
FORMING AND MAINTAINING
PEOPLE'S ORGANIZATIONS
ORGANISED BY
THE CATHOLIC HOSPITAL ASSOCIATION OF INDIA
SECUNDERABAD
IN COLLABORATION WITH
COADY INTERNATIONAL INSTITUTE, CANADA
SECUNDERABAD, 27 FEBRUARY - 3 MARCH 1995
> p '■
EXECUTIVE SUMMARY
This manual focuses primarily on methods of mobilizing disadvantaged groups
to form and maintain people’s organizations. The methods are presented for three
life-cycle phases of an organization - pre-organization formation, organization
formation, and organization maintenance.
Pre-organization formation methods are those required to mobilize
disadvantaged group for the purpose of analyzing its situation,
a
selecting
priorities and focusing on manageable problems. Organization formation methods
are those required by a disadvantaged group for the purposes of formulating an
overall
development
strategy and
constructing an action plan to form an
organization. Organization maintenance methods are those required to strengthen
the planning, organizing, controlling and coordinating capabilities of a new
organization.
The manual
assumes that the formation and maintenance of
people’s
organizations can be achieved by effective intermediary partner organizations.
Consequently, the manual devotes seme attention to methods of assessing the
capabilities of intermediary organizations. As well, it presents methods for
strengthening particular capabilities of intermediary organizations.
All of the methods presented in the manual are treated as ’’Tasks” which are
to be planned and implemented by workshop workgroups. The assumption is that
appropriate skills are developed through practice.
The introductory chapter of the manual reviews four theoretical models used
to
analyze
organizations. The models provide some basis for the selection of
Tasks.
Since the manual can be used as a training guide, Chapter II presents some
guidelines for the organization of a training workshop.
The remaining chapters focus on the methods for forming and maintaining
people's organizations, methods of assessing intermediary organizations and
methods of strengthening intermediary organizations.
Index
I
^Executive Summary.......................................................................................................................
i
Chapter I
: Conceptual Framework of the Manual...........................................
1
A. Introduction........................................................................................................
1
B. People's Participation in Development...................................... 2
C. People’s Organizations in Development...................................... 4
D. Conceptual Outline of the Manual...................................................
7
Chapter 2: Training Methodology of the Manual..............................................
9
A. Pre-Workshop Planning Guidelines...................................................
9
B. Workshop Initiation................................................................................. 10
C. Workshop Learning Method.......................... .. .......................................
12
Chapter 3: Pre-Organization Formation Methods For POs ...................
13
Task A: Legitimizing the IO in the problem Area................
14
•
Task B:
Identifying Target Constituencies................................... 17
Task C: Enabling Target Groups to Understand Their
Problem Situation............................................................................. 28
Task D: Enabling Target Groups to Select a Priority
Probl em........................................................................................................ 43
Task DI: Enabling Target Groups to Select Manageable
Problems...................................................................................................45
Chapter 4: Organization Formation Methods........................................................ 47
Task E: Enabling Target Groups to Formulate a
Development Strategy..................................................................... 48
Task F: Enabling Target Groups to Form A People’s
Organization.......................................................................................... 52
Task Fl: Constructing A Constitution For A PO........................... 56
Task G: Overcoming Obstacles to Formation of People's
Organizations........................................................................................ 59
Chapter 5: Organization Maintenance Methods................................................... 63
'i
r—
5
V
Task H: Enabling POs To Acquire Planning Skills................... 64
Task I: Organizing Method: Staff Coordination in POs...68
J
J )
><.
Task J: Organizing Method: Program Budgeting........................... 72
Task JI: Controlling Methods:
Program Baselines................... 74
Task K: Controlling Methods: Feasibility Assessment.... 77
Task L: Controlling Methods: Program Monitoring........... . 80
A
Task M: Controlling Methods: Terminal Evaluation................ 83
Task N: Methods of Leading: Overcoming Immobility of
Leaders.........................................................................................................85
Task 0: Methods of Leading: Facilitating Communications 89
Task P: Methods of Leading: Resolving Conflict...................... 93
Chapter 6: Assessing and Strengthening Capacities of 10s................ 99
Task Q: Assessing IO Structure and Functions........................ 100
Task R: Reforming 10 Structures........................................................... 104
Task S: A Training Program in Participatory Methods... 108
Task T: Staff Coordination within An 10...................................... 112
Figures, Boxes, Exhibits and Case Problems
A
Figure 1:
Evolution of the Concept of People’s Participation.... 3
Figure 2:
People’s Participation in Development........................................... 5
Figure 3: Integrated Description of a Problem situation...................... 42
Exhibits 1 - 5 : Data Gathering Methods................................................... 23 - 27
Boxes 1 - 11: Social Analysis Questions................................................... 32 - 41
Composite Case #1............................................................................................................................ 62
Composite Case # 2......................................................................................................................... 88
Composite Case # 3......................................................................................................................... 98
Bibliography......................................................................................................................
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115
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CHATTBR I
CONCEPTUAL FRAMEWORK OF THE MANUAL
A. Introduction
The Deve 1 opment Goa 1 of this manual is to contribute to the integral
development
of disadvantaged peoples of less developed countries.
Integral
development is a multidimensional phenomenon involving five components which
affect the disadvantaged directly or indirectly.
The first component of integral development to be achieved is Growth in the
Physical, Intellectual, Volitional and Moral Capabilities of the disadvantaged
as persons. Concretely, this implies acquisition of useful knowledge, social
awareness, ability.to make choices, physical security and-self assurance.
The second but
complementary
component
of
integral
development
is
Empowerment of Disadvantaged Groups through strengthening of their collective
capacities.
Concretely,
characterized by
this
implies
effective
people’s
organizations
solidarity, bona fide leadership and participatory decision
making.
The third component of integral development is the Transformation of Social
Institutions in keeping with the principles of equity and social
justice.
Concretely, for the disadvantaged, this implies that institutions such as the
education system, the economic system, and the health system should guarantee to
the disadvantaged equitable, if not preferential, access to their benefits and
opportunities. Without such transformation, all other development outcomes will
be non-sustainable.
The fourth component of integral development is the Enhancement of the
Ecological Resource Base upon which the disadvantaged depend for physical
security and sustenance. Concretely, for both the urban and the rural poor, this
means hygienic living conditions, productive and sustainable resources, and a
secure physical environment.
The fifth component of integral development is Dynamic Cultural Innovation
in the beliefs, values and norms which constitute the blueprint for a modem
society and for the behaviour of its members. Concretely, for the disadvantaged,
this inplies that any traditional belief or practice which limits the physical,
intellectual, volitional and/or moral growth of a person or any groups of persons
is to be transformed or discarded.
This
concept
of
development
may
appear
as
an unachievable
ideal;
nevertheless, without an integrated approach to development, it is unlikely that
the individual components considered above will independently achieve any level
of sustainability.
The Development Purpose
of the manual can be expressed in terms of the
second component of integral development noted above, namely, To strengthen the
collective
capacities
of
disadvantaged
people
through
the
formation
and
maintenance of organizations owned and controlled by them.
The Specific Objectives of the manual are :
To develop change agent skills in methods of forming and maintaining people’s
organizations.
To develop change agent skills in methods of assessing and strengthening
intermediary organizations.
To develop Trainer skills related to methods of forming and maintaining people’s
organizations,
and
methods
of
assessing
and
strengthening
intermediary
organizations.
(The differentiation between 10s and POs will be explained below)
B. People’s Participation in Development .
The concept of people’s participation in the development process has been
developed and refined over the past four development decades. During the pre-
1960s, people’s participation in the development process was defined in terms of
the extent to which disadvantaged peoples accepted program benefits directly from
an external donor. Subsequently, in the early 1960s, people’s participation began
to be defined in terms of labour input to implementing programs planned for them
by external donors. In the next decade, people’s participation began to be
2
Figure 1: EVOLUTION OF THE CONCEPT OF PEOPLE PARTICIPATION
Control &
Ownership
Planning
Working For
3
defined in terms of the extent to which the disadvantaged shared in the planning
of programs intended for their welfare. Finally, during the 1980s, people’s
participation in the development process has come to be defined in terms, of
ownership and control of the development process by the disadvantaged through
people’s organizations. See Figure 1 for a pictorial description of this concept.
As
the
of people’s
concept
participation has
emerged,
so
has
the *
terminology employed to denote the different applications of the concept in
practice. Terms such as ’’people’s participatory planning”, ” participatory
research”, ” participatory evaluation” and ” formation of people’s organizations”
have beccme well-used terms in the lexicon denoting the process of enabling
disadvantaged people to participate as subjects in the development activities
affecting their destiny. See Figure 2 for a pictorial representation of the
concept.
C. People’s Organization in Development
As
noted
above,
this
manual
differentiates
between
Intermediary
Organizations and People’s Organizations. Intermediary Organizations (IOs) are
private and voluntary organizations owned and controlled by members who do not
benefit directly frcm the organization’s output. People’s Organizations are
organizations which are owned and controlled by members who benefit directly from
the organization’s outputs. Uphoff (1988;5) refers to the latter as membership
organizations
which
can
include
cooperatives,
labour
unions,
farmers’
associations and women’s organizations. Intermediary Organizations, on the other
hand, are best described as private agencies established by church authorities,
donor agencies and philanthropic organizations.
Carroll
(1992) in a recent
publication contends that vertical or apex networks of cooperatives or POs can
take on the functions of Intermediary Organizations. These IOs work for the
disadvantaged but they are not
owned or controlled by the disadvantaged. They
are sometimes referred to as third party organizations
underlying assumption
of
this
manual
disadvantaged should do so through
is
that
IOs
(Cemia;1988).
which work
with
The
the
People’s Organizations .
Because of the importance of organizations in the conceptual framework of
this manual, several organizational models are borrowed from the social sciences.
These will be employed to inprove our understanding of the structure and function
of organizations in the development process.
4
FIGURE 2: PEOPLE’S PARTICIPATION IN DEVELOPMENT AND THE DIFFERENT
SPECIALIZATIONS
5
Organizational analysis concepts are usually classified in four basis
models:
structural,
conflict management
human relations,
and
organization
symbolism. Bolman and Deal (1991) refer to those models as alternative frames for
understanding organization behaviour.
The structural frame (Bolman and Deal; 1991:15) describes an organization
in terms of its goals, roles, relationships, rules and organization levels.
Organizations must be structured to fit the social, physical or technological
environment in which they are expected to operate. If an organization’s policies,
management practices, division of labour or operating criteria are inappropriate
to the needs of the constituency being served,
the organization must
be
restructured. Thus, the structural frame enables us to understand the necessity
of achieving a fit between organization structure and its constituency’s needs.
The human relations frame focuses our attention on the needs of the
organization’s
members.
It
assumes
that
organizations
only
can
perform
effectively if their structures and processes accomodate the aspirations and
expectations of their members.
Problems arise when members are misfits or
unhappy.The solution lies in improving the human resource capacities of the
members or modifying organization structure to accorrmodate members’ needs.
The conflict management or political frame model focuses our attention on
the corpetition and conflict which exist among organization members over the
ownership and control of scarce resources and power within the organization.
Problems arise when power is concentrated in the wrong hands or positions. The
solution is to redistribute power through bargaining, negotiations, compromise
or coercion.
The symbolic frame focuses our attention on the ceremonies,
ritualistic behaviours, myths and emotional symbols which organizations employ
_to give meaning to-behaviours which are not obviously rational activities. All
organizations engage in j?ro forma activities not because they are effective in
achieving expected outccmes
but
because
adherence
to
the
activities
are
normatively prescribed.
Bolman and Deal <jl91) contend that each of these frames provides a unique
consequently,
insight into organization behaviour;
the field and
training
guidelines associated with the Tasks used in this manual will reflect the
application of these models to organization problem solving.
A concrete application of the structural frame to organization problem
6
"solving is the ’’Best-Fit” model proposed by Korten (1980). Simply stated, the
model suggests that organizations are most effective when they incrementally
’adjust their programs and structures to the emerging needs of their target
constituencies. According to Korten, when organizations achieve this dynamism,
they can be designated_as learning organizations.
One final concept appears relevant to the relationship between Intermediary
Organizations and People’ Organizations. Tansik et al.(1988) propose
that organizations pass through three life cycle phases - pre-organization
formation, organization formation and organization maintenance. At each phase,
organizational needs will
differ.
For People’s Organizations at the pre
organization formation phase, the need will be for disadvantaged groups to
analyze their problem situation, identify root causes of problems, and finally,
choose to address manageable aspects of these priority problems. Presumably, the
Intermediary Organization in it relationship with the PO will employ methods
appropriate to these needs such as social analysis and force field analysis.
For People’s Organizations at the organization formation phase, a new set of
needs will emerge. Here , the need will be to formulate objectives, design an
organization formation plan, and overcame obstacles to organization formation.
In this case, the IO must employ action planning methods and change strategies
which will enable the PO to overcame obstacles. Finally, at the organization
maintenance phase, another set of needs will emerge. These will be defined in
terms of needs for planning, organizing, coordinating and controlling skills.
Here, the task of the
IO will be to assist the PO partner to develop these
skills. At this phase, guidelines derived frcm the four organizational frames
will be particularly useful.
D. Conceptual Outline of the Manual
In keeping with the models detailed above, the manual will highlight the
following conceptual dimesnions:
1. Life Cycles Phases of People’s Organizations
* Pre-Organization Formation Methods (Chapter 3)
<
* Organization Formation Methods ( Chapter 4 )
* Organization Maintenance ( Chapter 5 )
2. Assessment Design For IO Capabilities
* A set of organization indicators necessary for the assessment of IO
7
capabilities. (Chapter 6)
3. A Method For Strengthening IO Capabilities
* Formulating organization vision and mission.
* Organization change strategy for IOs
* Carmuni cat ions method.
* Leadership mobility method
* Conflict resolution method
* Staff coordination method
8
CHAPTER 2
TRAINING METHODOLOGY OF THE MANUAL
Introductory Note
Although this manual was originally designed as a field manual for use at
at the grassroots level, it has come to be used more and more as a training
manual. The original content of the manual was organized in terms of tasks. Each
task was presented in terms of rationale, objectives and field guidelines. As the
manual came to be used as a training instrument, it became necessary to add
training guidelines related to each task. Therefore, for the present edition,
each task includes, as well, a set of training guidelines. Moreover, it was
considered necessary to include additional general guidelines for the planning
and organization of training workshops. These guidelines are summarized from the
Institute’s manual: TRAINING OF TRAINERS FOR INTEGRAL DEVELOPMENT. The guidelines
are presented in three subsets of guidelines - Pre-Workshop Planning , and
Workshop Initiation and workshop learning methods
A. Pre-Workshop Planning Guidelines
Pre-workshop planning involves a minimum of four essential activities:
1. Identifying the training constituency and its training need.
2. Planning workshop objectives and workshop content.
3. Recruitment and selection of candidates.
4. Planning administrative aspects of the workshop.
A brief note on these four activities follows:
Al. IDENTIFYING THE TRAINING CONSTITUENCY AND ITS TRAINING NEEDS
-
This pre-workshop planning activity involves the establishment of a
planning/training team. The team will conduct a rapid appraisal of the
<
the target area identifying major issues/problems, the groups/people
affected, and the people who can possibly improve the situation given
access to appropriate training.
9
A2. PLANNING WORKSHOP OBJECTIVES AND CONTENT.
This activity requires the team, with the assistance of selected target
group leaders,
to define the training needs, to’formulate training
objectives, and to plan the learning content.
A3. RECRUITMENT AND SELECTION OF CANDIDATES
Given a clear definition of training needs, objectives and content, the
team can decide which groups of people and/or organizations can or will
sponsor or propose candidates for training. Recruitment materials can be
sent to these constituencies or they can be contacted directly.
A4. PLANNING ADMINISTRATIVE
*
ASPECTS
This aspect involves a plethora of provisions for the effective
inpiementation of the workshop including:
* arrangements for training facilities, materials, equipment, lodging and
transport.
* development of the workshop schedule, its duration, workshop learning
process, monitoring and evaluation.
* arrangements for inaugural ceremonies.
B. Workshop Initiation
This phase will involve a series of activities necessary for initiating the
workshop.
Bl. INAUGURAL CEREMONIES AND NEGOTIATIONS
* Facilitating the inaugural ceremonies which may involve civil formalities
and religious rituals.
* Conducting a get-acquainted exercise with the participants.
* Establishment of a Steering Carmittee consisting of the coordinator
(appointed by the implementing organization), the Facilitator (s),
and one or more resource persons.
* Negotiating with candidates agreement on administrative aspects of the
workshop. The responsibility of the Coordinator.
* Negotiating with the candidates agreement on workshop objectives, schedule
of content, and organization of workshop process (see below). Responsibility
of the Facilitator.
10
B2. ESTABLISH DAILY MANAGEMENT TEAMS.
'The daily management team
consists of a
Chair, Recorder and
Monitor . These are elected daily by the participants. The Chair assumes
responsibility for conducting the daily proceedings
sessions, assisting the Facilitator
including opening the
to mobilize the workshop exercises,
arranging the plenary reporting sessions, and overseeing
preparation of a
daily report on proceedings. This report is prepared at the
end of each day
and presented on the following morning at the beginning of the
proceedings. The
Recorder maintains a record of the main ideas and
findings of the day and includes them in the daily report. Finally, the
Monitor asesses the conduct of the workshop proceedings by observing for any
undue deviations from the workshop design and by observing any failures to
realize expected workshop outcomes. These are also included/r4the team report.
the responsibilities of the daily
All workshop participants must share in
management team.
B3. ESTABLISH PARTICIPANTS’ WORKGROUPS
Workshop participants are normally organized into permanent workgroups of
6-7 persons. These workgroups will, as a rule, adopt an appropriate case
problem at the beginning of the workshop. This case problem will be used for
problem solving exercises throughout the workshop. Workgroups are required
to appoint a chair and a reporter for each exercise on a rotation basis.
Workgroups must not only solve the case problem but also present concise
reports (usually written on newsprint) to plenary session of the workshop.
B4. PLAN TERMINAL EVALUATION METHODS
As noted under Daily Management Team., workshop monitoring is conducted by the
team
monitor.
Terminal
is
evaluation
usually
administration of a structured questionaire and
conducted
through
the
through open-end discussion
among the participants at the end of the workshop. The questionaire will focus
on perceptions of the relevancy of the
learning content, the adequacy of the
workshop method, most useful learnings and recommendations for future workshops.
11
C.
*
WORKSHOP
LEARNING
METHOD
Workshop training content can focus on three dimensions of teaching -
transmitting knowledge, generating awareness and developing skills related to
particular development practices. For each of these content areas, the teaching
method can be different. The transmission of knowledge, technical or other, may
be more effectively achieved through traditional methods such as lecturing,
demonstration or programmed learning methods. The generation of awareness os
issues or problems is more effectively achieved through self or groups discovery
methods such as groups discussion, socio-drama, social analysis and structured
experiences. Finally, the development of skills in technical areas calls for
practice opportunities. Practice opportunities are provided primarily through
problem solving exercises - individual or group.
The tasks in the present manual focus primarily on skill development
methodologies, e. g., rapid appraisal, social analysis, force field analysis,
etc,; consequently, the manual favours exercises which provide practice in the
use of particular methods.
12
CHAPTER III
-
PRE-ORGANIZATION FORMATION METHODS FOR POs
According
to
organizations pass
the
conceptual
through three
framework
employed
life-cycle phases
in
in
this
manual
,
their growth and
development - pre-organization formation, organization formation and organization
maintenance
The pre-organization methods which an intermediary can employ in working
with POs include the following tasks:
* Legitimizing the entry of the IO to the problem areas.
* Identifying the disadvantaged target group of people.
* Enabling the target group to understand its problem situation.
* Enabling the target group to select a priority problem.
* Enabling a target group to focus on manageable problems.
Legitimizing the entry of the 10 to the problem area recognizes the need
to take account of the attitudes of established leaders in the conmunity,
organization or group. It recognizes that these attitudes can be either positive,
neutral
or negative.
This can be
achieved through constructing
conrumity
profiles.
Identifying the target group emphasizes the need to correctly identify
target the groups at risk and avoid working with relatively advantaged groups.
This can be facilitated through use of a rapid appraisal method.
Enabling the target group to understand its situation does not assume that
the target group is ignorant of its problem situation. It assumes that its grasp
of the problem can enhanced by further social analysis. This can be achieved
through methods of social analysis.
Ability to select priority problems is essential to the problem-solving
process in which the target group must engage. This can be achieved through
a
priority ranking method
Finally, enabling the target group to choose manageable problems for
problem solving is fundamental to participatory problem solving. This can be
achieved through a force-field analysis method.
13
TASK A
LEGITIMIZING THE 10 IN THE PROBLEM AREA
Rationale
The unquestioned entry of an Intermediary Organization into the affairs of
a community, organization or group of people cannot be taken for granted. This
is particularly true for IOs which have not been active in an area and are
unknown to the local
people.
In many countries, concern for security by
authorities extends down into the local communities . Whether justified or not,
officials or even vested interests
can
generating suspicions, non-cooperation
jeopardize the work of
the
10 by
and even conflict among people of the
area in question. The best guarantee against such an eventuality is a type of
diplomacy through which area officials and influential are apprised by the 10
of its intended entry to the problem area.
Objectives
To legitimize the entry of an intermediary organization to a problem area.
To increase among workshop trainees skills in methods of legitimizing entry of
an 10 to
a problem area.
Field Guidelines
1. Before initiating an action in a problem area, the 10 should identify the
persons, groups or organizations which have power to prevent, frustrate or
facilitate the effective working of the 10 in the area.
2. If it is anticipated that the so-called legitimizer will probably be
supportive and cooperative, the 10 should initiate a negotiative process in
which objectives and expectations are agreed upon.This will be important in
the case of local officials and formal leaders.
3. If it is anticipated that the so-called legitimizers will be neutral
respecting the entry of the 10 to the problem area, it will still be safer to
obtain some public and explicit acceptance of the 10’s intended
14
role.
4. If it anticipated that the so-called legitimizers will be negative initially
or that they will become negative as the IO threatens the status quo, the IO
must , at least, apprise the legitimizers of its proposed entry to the area.
Here it will be useful for the IO to demonstrate that it has the support of
some higher official or organization.
5. If the intermediary organization has a specific mandate, e.g., promoting
literacy, income generation or primary health care, it may use this mandate
to legitimize entry to a problem area even although the 10 may have a broader
agenda.
6. Normally, responsbility for the legitimization task should be undertaken by
senior executive of the 10.
7. Ideally, the outcome of the legitimization process should be a formalized
agreement between the 10 and formal leaders of the carmunity.
Training Method
The Workshop Facilitator can arrange the following learning situation in
order to develop legitimizing skills among trainees:
1. Explain to the trainees that any intervention by an external agent in the
affairs of a conmunity or organization will require preparatory work. The
ground work is referred to as the legitimizing process.
2. Organize the trainees in workgroups of 5- 8 persons. Instruct each workgroup
to assume the role of.an intermediary organization which is getting ready to
enter a problem area.
3. Instruct each workgroup to select a coirmunity or group of people as its target
constituency. At least, one member of the workgroup should be familiar with
the target constituency selected. Each workgroup can assume that it is
•
mandated to work in this community by some higher authority.
4. Instruct each workgroup to construct a leadership profile (formal and
informal) of the target constituency. This profile should include leaders of
churches, informal religious groups, traditional groups, economic, political
and vested interested groups.
5. Instruct each workgroup to select out
leader^ which might be
negative to
the entry of the 10 to the conmunity. Then each group should devise a method
i
15
for dealing with these leaders. This method might involve informal visits to
these leaders in the company of an official. It can also involve a meeting to
which all citizens are invited. Explanation of the 10’s intention is provided.
Leaders are asked for their opinions.
6. Each workgroup should record on newsprint a leadership profile of its target
constituency, designation of the leaders expected to be positive and negative,
and the method by which leaders will be influenced to legitimize the entry of
the 10. This will require that each workgroup organize itself with a chair and
recorder.
7. Each workgroup will make its presentation in plenary session. Here it will be
assessed for adequacy.
Workgroup Output
COMMUNITY
Leatlor s
Local
LEADERSHIP
Attitude
Priest
Tradi t: i onei 1
1 eader
Local
PROFILE
Ot -f icia 1
Appr oach
If
r>os zL -t ive
Visit/Ask
suppor -t
If
negative
Visit with
pub lie
otticia1
If
negative
Invite
public
Timeframe
Facilitator’s explanation
15 minutes
Workgroup exercise
60
Workgroup reports to plenary
15
”
”
(@ Workgroup)
Materials
Notebooks, newsprint, markers and posting location
16
-to
TASK B
IDENTIFYING TARGET CONSTITUENCIES
AND THEIR LEVEL OF ORGANIZATION.
Rationale
Many development programs have failed badly because their intended target
constitueny or reference group was not correctly identified. Too often, the program benefits
were claimed by the more advantaged people leaving the poorer people relatively worse off.
Towards the end of the 1970s, intermediary organizations began to target their programs
more precisely towards disadvantaged groups such as the landless rural dwellers, agricultural
laborers, tribals, unemployed youth and unorganized workers. It was only in the 1980s that
women came to be recognized as a disadvantaged group of people primarily because of
gender differences. The need to be more precise with respect to identification of the
disadvantaged and their organizational status created the demand for more effective research
methods. In this manual, the Rapid Appraisal method (Chambers, 1988) is modified for this
purpose.
Objectives
To identify disadvantaged target constituencies or reference groups and their
organizational status.
To increase among trainees skills in methods of identifying disadvantaged group and
their organizational status.
17
Field Guidelines
The Rapid Appraisal method employed here consists of data gathering methods which
i
can be quickly administered to obtain a preliminary but valid identification of disadvantaged
groups. This method is not appropriate for in-depth analysis or so-called conscientization of
the disadvantaged. It simply sets the groundwork for more advanced study and analysis.
The following guidelines can be used to plan and implement a rapid appraisal of an area for
the purpose of identifying a disadvantaged group of people:
The Intermediary Organization must first identify the general geographic area,
1.
population or organization where problem solving is to be carried out.
The IO must then establish a small and mobile research team which will carry out the
2.
preliminary data gathering through the rapid appraisal method. The team should
include a cross section of expertise appropriate to the needs of the area. Women
should be represented on this team. There should be not more than 5 - 6 persons on
each team.
If the area or population to be surveyed is large, data gathering can be made more
3.
manageable by using some kind of sampling procedure. It is possible to use a grid
system which can be superimposed on a map of the geographic area. A sample of
the grid blocks can be selected. The search for the disadvantaged can be conducted
within the selected blocks. In any event, development of a map of the area can be
useful to identify important ecological features, isolated population groups and other
important features of the area. Even with technically sophisticated sampling and
\
•
survey methods it is possible to overlook isolated or distinctly disadvantaged groups;
therefore, it is important for the researchers to employ common sense or even intuition
in the search for the disadvantaged.
18
4.
The 10 should set a limited timeframe for this preliminary research. Precious time will
be more effectively used et subsequent phases of the process.
5.
To provide an initial focus *for
this
preliminary research, the team can choose 6 - 7
population or area characteristics (also called variables) which are known from
previous research or experience to be indicative of human, institutional and/or
ecological disadvantage. These characteristics or indicators might include
landlessness, tribal status, female gender, unemployment, slum residence or
unorganized agricultural labor. Where these characteristics are present, it is highly
probable that there will be disadvantaged people also present.
6.
Which are the sources of information or data on these characteristics? They include
the following:
* reports produced by government agencies or private organizations.
* key informants living in the area and familiar with it.
* informal groups and gatherings.
* the physical situation and observable behavior.
7.
The methods for collecting information or data from these sources can include the
following:
* checklist forms for recording information obtained from reports.
_
- «' -
, b .J v.-.
* informal interview forms. z .
;
x
t? s'
. .
,.
.<
.,
/
* observation forms to record physical conditions and behavior.
--------- -Cfu .z
. . *'
* methods for tracing historical information.
c V/G-j p «_ <-
(See Exhibits 1 - 5 for alternative data collection forms)
8.
When the survey team has identified the disadvantaged people in a preliminary
manner, they can focus in on them more selectively. This can constitute a second
round of more intensive data collection in which the team can confirm which people
19
are most adversely affected by such variables as malnutrition, lack of access to
institutional services, lack of organization, or gender discrimination.
9.
The research’team when it collects the information should organize it in such a manner
that it clearly identifies the disadvantaged group.
10.
In summary, for the rapid appraisal methodology, it may be best for the research team
to begin the research with a type of scanning operation focusing on the characteristics
indicative of disadvantage and tentatively identifying the disadvantaged peoples. This
can be followed up by a second round of data collection which will obtain more
specific information on the groups in question. As the data gathering becomes more
focused, it might be advisable to involve local leaders in the process.
Training Guidelines
The Workshop Facilitator can arrange the following learning situation in order to
increase rapid appraisal skills among trainees:
1. Instruct the workgroups to take on the role of an intermediary organization which must
correctly identify the disadvantaged people of a particular area.
2. Instruct the workgroups to make the following decisions:
* Who will make the decision to implement the rapid appraisal task.
* What will be the objectives of this preliminary research.
* Who will be responsible for appointing the survey team.
* To whom will the survey team report.
20
3. Instruct the workgroups that they must now take on the role of the survey team. The
survey team must now make the following methodological decisions:
*
* Select 5'- 6 characteristics indicative of disadvantage in this region.
K
k
(See Field Guidelines above.)
* Determine the sources from which data can be collected. (See Field Guidelines above.)
* Identify the methods which can be used to collect the data. These might include any
following type: (See Exhibits 1-5)
OBSERVATION FORM
The observation form consists of a set of descriptive categories which classify physical
conditions of land, housing, clothing, hygienic conditions, skin texture and physical
behavior. The researcher observes physical realities and fits them into these pre-arranged
categories. For instance, how often does skin rash appear among the target population.
INTERVIEW FORM
The interview form consists of a set of questions which can be addressed to key
informants in order to obtain preliminary data on health conditions, community leadership,
agricultural production and/or discrimination. The questions can call for limited response
range, e.g., yes or no^they can call for an open-end or unlimited response range.
DISCUSSION GUIDE
The discussion guide consists of a set of questions which will generate discussion within a
small group respecting community conditions, people affected by particular problems and
cultural problems. The discussion will produce useful information on conditions
contributing to disadvantage in the area.
HISTORICAL TRACE METHOD
The historical trace method consists of identifying a problem and then helping people to
trace back the evolution or origins of the problem.
21
4. The research team will have to plan the scope of the survey and the timeframe.
5. When the data gathering is completed, the survey team must prepare a report on the
major problems / constraints identified, the people affected and their organization status.
The report is then presented to IO authorities for action.
WORKGROUP OUTPUT - example
Each workgroup will present a report related to its chosen case problem. The report should
be presented on newsprint in plenary session of the workshop
As an example, the report should provide the following information:
designation of the target area.
survey methods employed.
major problems / constraints identified.
people most affected by the problems - 2000 Female Entreprenneurs with Low Earned
Income.
ninety percent of women own no property independently of spouses.
* Ninety-five percent of women belong to no organization.
Sixty percent of children under 5 years suffer from malnutrition.
Timeframe
Facilitator's Explanation
15 minutes
Workgroup problem solving
60 minutes
Plenary reports (total)
45 minutes
Materials
Newsprint, markers, sample data forms.
22
EXHIBIT
1
INTERVIEW FORM
A.
DATA SOURCE : KEY INFORMANTS
B.
SUBJECT VARIABLE : LITERACY LEVEL
C.
DATA QUESTIONS :
What is the level of literacy among adult females (16yrs + ) in this
area?
1.
252
752+
352
452
552
652
What is the literacy level among adult males in this area?
2.
252
752+
452
352
552
652
3.
What are the causes of illiteracy among adult females?
4.
What are the consequences of female illiteracy in this area?
5.
Are women in this area interested in a literacy program?
Yes
6.
Don’t Know
No
Any additional comments?
23
EXHIBIT
2
HISTORICAL TRACE METHOD
SENIOR/OLDER RESIDENTS
A.
DATA SOURCE :
B.
SUBJECT VARIABLE:
LANDLESSNESS
C.
ANALYSIS METHOD:
CROUP DISCUSSION
1. How many households in this area are landless?
Estirrate Number
2.
How many of these families were landless:
10 yrs ago
3.
25 yrs ago
50 yrs ago--------
Exactly when did families begin to lose their land?
How many years ago?
4.
Why did families begin to lose their land
Reason
• f---------------------------------------------------------------------------------------------5. What were the consequences of families losing their land?
6. What could be done about the landless problem in this area?
24
r
*.i EXHIBIT
3
SMALL GROUP DISCUSSION FORM
A.
DATA SOURCE.'MIX GROUP OF LOCAL MEN AND WOMEN.
B.
SUBJECT VARIABLE:
C.
DATA METHOD:
GENDER DISCRIMINATION
DISCUSSION QUESTIONS
Can women engage in income generating activities in this area?
1.
Yes__
NO
Can women retain or keep the earnings from their enterprise
independently of their spouse?
2.
Yes
NO
Comment
Can women borrow money from commerical banks or from government
insti-tutions independently of their spouses?
3.
Ye s
NO
Comm e n t
Can women own land and/or other property independently of their
spouse?
4.
Y e s_______
5.
C o mm ent s
Are there any current community practices which interfere with
the participation of women in social and economic activities?
Yes
6.
N o______
NO
Comment
Are there any programs or action which the women of this area
would like to promote?
Comme n t____________________________________ _______________________ ____________ -
25
EXHIBIT
4
CHECKLIST FORM
PUBLIC RECORDS,
A.
DATA SOURCE:
B.
SUBJECT VARIABLE:
C.
DATA METHOD;
1.
SEARCH PUBLIC RECORDS
Female s________
Number of adult male and female deaths recorded for the period?
Male s
3.
POPULATION MORTALITY LEVELS
Population of adult (16yrs+) males and females for the period?
Male s
2.
1986 - 90.
Female s
Age at death for males and females?
Gender
16 - 29
AGE IN YRS
30 - 44
45 - 59
60 - 7^
75+
Total
Males
Females
4.
Number of male and female children (-16 yrs) for the period?
Mai e
5.
F e ma1e
Age at death of children
Gender
Under 1 yr
Male
Female
26
Age in yrs
1 - 4 yr
5 - 9yrs
10 - 15yrs
EXHIBIT
*
5
OBSERVATION FORM.
A.
DATA SOURCE:CHILDREN UNDER 5YRS OF LANDLESS FAMILIES
B.
SUBJECT VARIABLE;
C.
DATA METHOD;
1.
LEVEL OF NUTRITION
OBSERVATION OF CHILDREN’S PHYSICAL CONDITION
Number of households with children under 5 yrs
Nu mb e r
2.
Number of children under 5 yrs in each home?
Number
3.
Number of children under 5yrs showing signs of:
Skin rash
Distended stomach
Below normal arm size
Below normal height/weight for age
Listless/lethargic
4.
Number of families by number of dependent (16 yrs) children?
Nu mb e r
5.
Health condition of mothers with malnourished children?
Good health
6
Poor health
Which types of programs or actions would the mother of this
community want to promote or support?
R e s po n s e_________________________ __________ ________________ _____________
27
TASK C
ENABLING TARGET GROUPS TO UNDERSTAND THEIR
PROBLEM SITUATION
Rationale
An intermediary organization may adhere to a very sophisticated methodology
in studying the dimensions of disadvantage suffered by a given groups of people.
Indeed, it may obtain a very accurate picture of the disadvantage in question;
nevertheless this achievement will not help the group itself to better understand
its problem situation. In recent years, methods have been developed to assist the
disadvantaged understand more deeply the problems which affect them.
methods
are variously
analysis,
referred
historical
to
analysis
as
structural
analysis,
These
social
and/participatory research.
These
niethods have the cannon purpose of creating awareness among the disadvantaged.
In this manual, the term ” social
analysis ” will
employed to denote the
methodology.
Objectives
To enable target groups to inprove their understanding of their situation.
To increase among trainee^ ski 1 Is in methods of assisting target groups to
better understand their problem situation.
Field Guidelines.
Two set of guidelines are considered here. Guidelines for mobilizing the
target group for social analysis and guidelines for the Social Analysis method
itself.
1. METHOD FOR MOBILIZING TARGET GROUPS FOR SOCIAL ANALYSIS.
a) The 10 management will appoint a Facilitation Team (FT) which will work
with the target group.
28
b) The FT will contact the target group (TG) through leaders identified at
the target group identification stage (rapid appraisal).
c) On the advice of TG leaders, the FT will organize
Groups
the TG into Study
(SGs). Study Groups can be organized on the basis of village,
neighbourhood, or special interest.
d) The Study Groups can be asked to elect their leaders. These leaders can be
brought together to form a Core Group. (CG) This Core Group can work on
behalf of all the study groups and the total target group where necessary.
e) The FT will organize the CG so that it can-learn how to do social analysis.
This will probably require several weeks during which the Core Group will
participate in social analysis exercises.
f) When the Core Group has completed its social analysis exercises, its
members can return to their respective Study Groups where they will help
their groups to conduct their own social analysis sessions. The
Facilitation Team will cooperate closely with the Core Group members in
facilitating this social analysis at the local level.
g) When the local Study Groups have completed their analysis, the Core Group
leaders can come together to consolidate the findings from the various
groups.
2.
SOCIAL ANALYSIS METHOD.
a) The Facilitation Team will first help the Core Group to focus on the
problems which the CG considers most relevant and significant. This can be
achieved through small group discussion of the local situation, through
role plays or through the use of generative themes (issues/problems which
have expanded implications}. The extensive list of leading questions
contained in Boxes 1-11
can provide the Facilitator with significant
issues for core group study and discussion.
b) To facilitate analysis by the Core Group, the Facilitation Teams should
make available analysis methods appropriate to each problem which is being
analyzed. (See illustration below) Normally, any method of social analysis
/
/ \ <r' ■■
v
7
will assist the study group to focus on a particular problem in terms of
%
its symptoms, causes and consequences. This type of analysis will generate
an increasing list of problems which will be much larger than the original
list employed to begin the discussion. (See illustration below)
29
c) upon completion of its analysis, the Core Group should prepare a composite
list of the problems generated by the local study groups.
Training Guidelines
The Workshop Facilitator can organize the following learning situation in
order to develop social analysis skills among trainees:
1. Instruct the workgroups to assume the role of a Facilitation Team appointed
by an intermediary organization.
2. Instruct each workgroup to focus on the Target Group which it selected at
the target group identification phase (rapid appraisal). (The example used in
the manual is 2,000 female entrepreneurs with low earnings)
3. Instruct the workgroups to organize the target group for social analysis.
The workgroups should specify how the Core Group and the Study Groups will
be organized for the social analysis exercise. (See Field Guidelines above)
4. The workgroups should specify methods of creating social awareness among the
target group. These methods might include the following:
* Role Plays and Socio Dramas which enable members of the target group to
act out problems which are of concern to them. Role Plays and Socio-Dramas
are useful means for communicating information on sensitive socio-cultural
issues. The audience will interpret and add to the information portrayed
by the dramas.
* Generative Thames. Generative themes may be defined as focal issues the
discussion of which will lead to identification of connected issues. For
illiterate target groups, generative themes (e.g., polluted water) can be
depicted by way of posters. The content of the poster/picture can be used
to generate discussion and extended analysis of the problem as it exists in
the target group’s community.
* Forum/Panel Discussion. This method can be employed effectively if there are
seme members of the target who are more informed on problems .They can be
assisted to discuss significant community problems in the presence of the
remaining members of the target group.
30
5. The workgroups should also assist the target group to begin its social
analysis by suggesting selected focal problems for analysis. See boxes
1-12 for presentation of an extensive list of focal problems. Discussion of
these focal problem will lead to discussion of related problems.
6. The workgroups , upon completion of the social analysis exercise by the
target group, should assist the target group
to construct a composite list
of the problems which have been identified and analyzed.
Workgroup Output
ILLUSTRATION OF SOCIAL ANALYSIS METHOD
FOCAL PROBLEM
METHOD OF ANALYSIS
ANALYSIS OUTCOME
Malnutrition of
Children under 5yrs
Small group study of
causes and effects.
Ignorance of food
preparation; Emphasis
on cash crops.
Government Oppression
and Discrimination.
Historical tracing of
Government Relations
No access to public
benefits; inequitable
distribution of goods.
Economic Exploitation
of Target Group.
Group discussion among
farmers.
Low farm prices; No
farmer organization;
Reliance on middlemen.
Gender Discrimination
Review of cultural
practices by women’s
group.
No property ownership
among women; non-access
to commercial loans;
Low earnings.
_j
Environmental pollution
Observation of physical
conditions in the area.
Improper latrines;
Exposed water
sources;Polluted water
1-------------------------------------------
Timeframe
Facilitator’s Explanation
15 min.
Workgroup Exercises
60 min
Plenary Reports
45 min.
Materials
Newsprint. Markers. Space for workgroup exercises. Posting positions.
BOX 1: PERSONAL DIMENSIONS OF DISADVANTAGE
- What is the extent of malnutrition among the people?
- What are the conditions of their .housing and facilities?
- What is the incidence of contagious diseases?
- Are the personal lives of the people safe from physical danger?
- What is the level of employment and income among the people?
- Do the people securely own their land and housing?
- What is the level of knowledge and skills among the people
- Are the people aware of their social and political reality?
- Do the people possess adequate analytical skills?
- Do the people have self-confidence and self-respect?
- What level of occupational skills do the people possess?
- Do the people follow misleading cultural beliefs?
- Do the people live in fear of repression or oppression?
- Are the people capable of participating in community decisions?
- Are the rights and freedoms of the people restricted by any forces?
- Do the people suffer from fear of discrimination?
Personal Dimensions of Women’s Disadvantage
- Are the women deprived of physical security due to family food practices, arduous
work, threat of violence, or unhygienic house conditions?
- Are the women deprived of intellectual growth due to cultural beliefs and social
practices?
- Are the women deprived of basic rights to freedom of choice, movement, speech
and assembly?
- Are the women deprived of basic rights to ownership of assets and earnings?
32
BOX 2: COLLECTIVE DIMENSIONS OF DISADVANTAGE
- Is leadership among the disadvantaged chosen by them or is it imposed or taken
over by external actors?
- Is leadership among the disadvantaged conscious and concerned re their prob
lems?
- Do the disadvantaged have the capacity to achieve agreement on what are their
problems and the solutions to them?
- Do the disadvantaged have the capacity to control disagreement and conflict
among themselves?
- Is there any social infra-structure among the disadvantaged which enables them to
design development programs for their benefit?
- Is there organizational infra-structure among the disadvantaged which will enable
them to act collectively to influence public decision-making in their favour?
- Do the disadvantaged have the organizational capacity necessary to resist dis
crimination and exploitation by vested interests and other actors?
- Are the disadvantaged members of organizations which will guarantee them fair
wages for their labour and prices for their products?
- Are the disadvantaged members of organizations which will enable them to invest in
and own their own business?
- Are the disadvantaged members of organizations which will enable them to obtain
improved health, community and other services?
33
|
Do the disadvantaged have equitable access to land and other natural resources
necessary for physical sustenance?
-
Do the disadvantaged have equitable access to subsidized public inputs, e.g.,
loans, fertilizer, building materials, etc. necessary to improve their productive
capacities?
-
Do the disadvantaged have equitable access to the technical and management
advice necessary for improving their productivity?
-
Does the economic system include any mechanisms or regulations which guaran
tees producers a fair price for their products?
-
Does the economic system include any mechanisms or regulations which protect
the disadvantaged from exploitative wages for their labour, prices for their prod
ucts?
-
Does the economic system include any mechanisms or regulations which protect
the disadvantaged from unfair or exploitative prices for goods and services which
they must purchase?
-
Does the system encourage production of cash crops to the exclusion of basic
food crops?
-
Does the economic system encourage and protect the development of small scale
business enterprise?
-
Is the tax burden distributed equitably and fairly among all people in society?
-
Does the economic system encourage and promote the growth of group owned
enterprises?
-
What is the impact of international economic conditions such as indebtedness on
the national and local economy and on the disadvantaged? .
-
Historically, has the nation’s economic system provided opportunities and benefits
equitably to all peoples?
-
What are the current trends in the relationship between the economic system and
the status of the disadvantaged?
34
BOX 4: POLITICAL SYSTEM DIMENSIONS OF DISADVANTAGE
-
Are the disadvantaged proportionally represented in the political and administra
tive positions of society?
-
Are the disadvantaged members of political parties or other advocacy organiz
ations through which they can influence the planning and implementation of public
policies to their advantage?
-
Do-the disadvantaged enjoy the right to join voluntary organizations which will
promote or protect their interests?
-
Are the disadvantaged exploited by vested interests because of lack of political
awareness and organization?
-
Is access of the disadvantaged to political and administrative positions limited by
reason of gender, class, ethnic or religious bias?
-
Are appointments to political and civil positions based on professional criteria,
nepotism or subjective criteria?
-
Is political influence associated with economic power, heritage or professional
competence?
-
Historically, has the nation's political system provided equitable access of all
people to public decision-making?
-
What are the current trends in the relationship between the political system and
the disadvantage of people?
35
BOX 5: EDUCATION SYSTEM DIMENSIONS OF DISADVANTAGE
-
Are all citizens represented proportionally or equitable by gender, class, ethnic
and religious groups at the primary, secondary and post-secondary levels of the
public educational system?
-
For the disadvantaged, what are the teacher-pupil and facilrties-pupil ratios
provided by the educational system?
How do these ratios compare with ratios for other groups?
-
Are the disadvantaged represented proportionally at all levels of the private edu
cational system?
-
What is the fit between the education and training provided
by the educational
system and the employment needs of society? How does this fit or lack of it
affect deprivation of the disadvantaged?
-
-
Does the educational system provide non-formal or popular education for disad
vantaged adults?
Does the educational system devote research and extension resources to develop
technology which will lighten the work burden of women?
-
What has been the historical relationship between the public educational system
and the disadvantaged? What has been the relationship for the private educa
tional system?
-
What are the current trends in the relationship between the educational system
and disadvantaged?
36
BOX 6: HEALTH SYSTEM DIMENSIONS OF DISADVANTAGE
-
What is the incidence of preventable disease among the population. Is there any
one group more affected than the general population?
-
Is there any group or section of the population less well served by the existing
hearth system? Do the poor have equitable access to curative hearth services
(e.g., doctors, drugs, etc.)?
-
Who performs the various levels of hearth service in the community? Does the
health system permit para professionals, trained local persons and other non-professional personnel?
-
What level of resources are expended on the following type of health services:
curative (hospital care, drugs, etc.); preventative (sanitation, vaccination, nutrition,
etc.); integrated (hearth education, agricultural development and social reform)?
-
For the development of hearth policy, facilities, and programs, does the commun
ity have any input to decision-making?
-
Is there any community organization established to participate in health related
decision-making?
-
Do the neighbourhood and communities inhabited by the disadvantaged possess
water, sanitation and hygienic control facilities equivalent to those possessed by
other neighbourhoods and communities?
-
What is the historical relationship between the nation’s health system and the
deprivation of the disadvantaged?
-
What are the current trends in the relationship between the hearth system and the
disadvantaged?
-
Can the present hearth system be extended to provide greater population cover
age given the resources of the country?
-
How can adequate hearth services be effectively extended to more people without
increasing non-sustainable costs?
37
BOX 7: RELIGION SYSTEM DIMENSIONS OF DISADVANTAGE
-
What percentage of the disadvantaged belong to Christian denominational
churches, Christian fundamentalist churches and to non-christian religions?
-
Historically, how have the Christian churches and other religious systems
addressed the physical, intellectual and social deprivation of the disadvantaged?
-
Has there been any difference in the approach of different religious systems to the
disadvantaged based on gender, class, ethnic, or religious differences?
-
Presently, how do the religion systems address the deprivation of the disadvan
taged and is there any difference in approach based on gender, class, ethnic or
religious distinction?
-
Presently, do the religion systems focus on alleviating the symptoms of deprivation
or eliminating the causes of deprivation?
-
Do the religion systems condemn social injustice, discrimination and exploitation
independently of the gender, class, status, ethnicity or religion of the deprived?
-
Within the religion systems, what is the perception of the relationship between
religious conversion and development? What implications has this perception for
work with the disadvantaged?
33
-
What percentage of the citizens live in substandard housing in urban and rural
sections of the area?
-
What proportion of the disadvantaged have access to potable water, acceptable
sanitation, communications and public transportation facilities?
-
Does the government implement any effective public policy which will enable the
disadvantaged to participate in housing and facilities’ improvement prpgrams?
-
Are there private agencies which implement effective programs which will enable
the disadvantaged to improve their housing and community facilities?
BOX 9: PUBLIC SERVICES AND DISADVANTAGE
-
Are there rehabilitative public and private services available to the physically and
mentally impaired of the area?
-
Are there public and private support programs for the aged and the infirm of the
area?
-
Are the disadvantaged relatively more deprived of social services for the impaired
and the aged than other sections of the population?
-
Are there child care services which will permit disadvantaged women and families
to participate in gainful employment?
39
; any of the physical deprivation suffered by the disadvantaged legitimized or
jstrfied by-any religious or cultural belief?
s the intellectual deprivation of the disadvantaged justified or caused by any
eligious beliefs?
s the deprivation of ability to choose freely the result of particular cultural values
or practices?
Is the physical, intellectual and volitional deprivation of the disadvantaged due to
non-adherence to cultural beliefs, values and traditions?
Is discrimination against the disadvantaged by gender, class, ethnic or religious
groups promoted or supported by any cultural beliefs or values?
Is discrimination by gender, class, ethnic or religious groups a deviation from
given cultural beliefs, values and traditions?
-
Is the inequitable access of the disadvantaged to economic, educational, political,
' health and other institutional benefits attributable to cultural beliefs, values or
traditions?
Is the inequitable access of the disadvantaged to institutional benefits the result of
deviation from cultural traditions, values and beliefs?
Historically, has there been any connection between certain cultural practices and
the problems of the disadvantaged?
What are the current trends in the relationship between culture practices and the
problems .cf the disadvantaged?
40
BOX 11: ECOLOGICAL DIMENSIONS OF DISADVANTAGE
-
Is any of the physical deprivation of the disadvantaged due to deterioration of
land, water, air and other natural resources?
-
Is the deterioration of natural resources the result of practices adhered to by the
economic, political, health and other institutional systems of the society?
-
Are the ecologically harmful institutional practices traceable to adherence to par
ticular cultural beliefs, values and practices?
-
Are the ecologically harmful institutional practices traceable to the non-adherence
to certain cultural beliefs, values and traditions?
-
Do current development programs emphasize technologies which will guarantee
sustainable growth or maintenance of natural resources?
-
Are there development programs which will enable the disadvantaged to partici
pate in sustainable environmental development?
-
Historically, when did the non-sustainable exploitation of the environment begin to
emerge?
-
What are the current trends in the people-environment relationship?
41
FIGURE <3
INTEGRATED DESCRIPTION OF A PROBLEM SITUATION AFFECTING
2000 WOMEN
42
TASK D.
ENABLING TARGET GROUPS TO SELECT A PRIORITY
PROBLEM
Rationale
Normally, social analysis results in a large list of problems which are of concern to the target
group. However, when it comes to solving any of these problems greater specificity is
required. Therefore, it is necessary to assist the target group to achieve this greater specificity
with respect to the problem it wants to solve.
Objectives
To assist target groups select a priority problem .
To develop among trainees skills in methods of enabling target groups to select a priority
problem .
Field Guidelines
1. The IO Facilitation Team can choose to work with the Core Group which was organized at
the social analysis phase. (It should be remembered that the Core Group consists of
representatives of the local or village study groups.).
2. The Facilitation Team can assist the Core Group to learn the method for choosing a priority
problem .
3. When the core group members have learned the method of selecting a priority
problem, they can return to their respective groups to assist them to choose
priority problems.
4. The recommended method for selecting the priority problem involves ranking the
problems identified at the social analysis phase: according to significance.
Significance can be determined on the basis of the following criteria:
* The number of persons physically deprived as a result of the problem.
* The number of persons living in ignorance as a result of the problem.
* The number of persons remaining collectively powerless as a result of the
problem.
* The number of persons who are deprived of basic rights because of the
43
problem.
* The extent to which the problem causes other problems.
* The extent to which the problem prevents solution of other problems.
* The level of injustice/inequity caused by the problem.
* The possibility of solving the problem.
Other criteria can be chosen by the core or study groups. This will depend on the .
nature of the problems being ranked. One priority problem may be chosen or several
priorities may be chosen.
Training Guidelines
1. The Training Team can advise each workgroup of trainees to develop a method for
enabling target groups to select a priority problem from the list of problems identified at the
social analysis phase.
2. The TT can advise each workgroup to review the list of problems affecting its particular
target group at the social analysis phase.
3. The TT can advise each group to select out 6 - 7 of the most significant of these
problems.Then it can advise the groups to rank these problem according to a set of
selection criteria as specified under Training Guidelines above.
4. The groups can select one or several prioritie problems so long as the priority level is
specified .
Workgroup Output
SELECTED PRIORITY PROBLEMS AND CRITERA
h
PROBLEM
PRIORITY
CRITERIA
| Low earned income among
U female entrepreneurs
First
Deprivation of rights
Causes other problems
Collective powerlessness
Level of injustice/inequity
Possible to solve.-:■
| Gender Discrimination
Second
Inequity/powerlessness
Deprivation of rights
Solution - long term
0 Ecological Deterioration
Third
Physical deprivationn
Results in sickness
Solution - long term
44
TASK DI
ENABLING TARGET GROUPS TO SELECT MANAGEABLE PROBLEMS
RATIONALE
As noted in the preceding task on Selecting Priority Problems, problem solving
requires specification of the problem to be solved. It is possible that the prioitization
operation of the preceding task produces sufficient specificity, that is, the problem is
specific enough to be solved directly. Nevertheless, this manual suggests that most
priority problems selected through a ranking system will require further specification to
make them amenable to problem solving directly. For this purpose a force field
asnalysis method can be employed.
OBJECTIVES
To enable target groups to select manageable problems.
To develop among trainees skills in methods of enabling target groups to select
manageable problems.
GUIDEUNES
Basically, the Force Field method consists of the following procedures:
* Identify the forces which will constitute constraints or negative forces in solving
the priority problem. Then rank these forces (1st, 2nd, 3rd, etc.) according to the
order in which they should be eliminated.
* Identify the forces which will constitute supportive conditions in solving the
priority problem. Then rank these positive forces according to their value in
solving the priority problem. See Box 12 for the negative and positive forces
expected to affect solution of the low earnings problem among the 2000 female
entrepreneurs.
* According to the force field model, the best strategy is to begin the problem
solving process by attacking the first ranked negative force. In developing a plan
to overcome this first negative force, the planners can take advantage of any of
the positive forces identified during the force field analysis exercise.
45
,■ f
TRAINING GUIDELINES
1. The training team can organize the participants in workgroups which will use the
force field method to identify the appropriate manageable problems.
2. Each workgroup should begin the force field analysis exercise by identifying the 5 6 constraints or forces which will inhibit solution of the priority problem. These
negative forces should then be ranked according to their manageability or
solvability. The first - ranked negative force will constitute the first problem to be
solved.
3. Each workgroup should also rank the forces which will facilitate solution of the
priority problem. These positive forces should be ranked according to their
potential for solving the priority problem. They can be used to support the
program designed to solve the first negative force. ( See Box 12 for positive and
negative forces expected to affect solution of the low earnings problem.
7. Once each group has ranked both the negative and positive forces related to its
priority problem, it can prepare a report for presentation to plenary session.
8. As an extra task, the workgroup can establish a baseline measure for their selected
manageable problem. Baseline measures simply establish the empirical status of
the manageable problem at the time of measurement. For example, the first
negative force preventing solution of the low earnings problem is "no organization
base" among the target group. This is a measurable variable. Concrete indicators
of the variable include:
* Percent of women who are members of development organizations.
* Percent of women in leadership positions with development organizations.
* Percent of women participating in meetings of development organizations.
The same method can be employed with other manageable problems to establish
heir baseline status.
ach workgroup’s report to plenary session can be produced according to the format of Box
12. (next page)
46
WORKGROUP OUTPUT ILLUSTRATION
rOX 12-
PRIORITIZED POSITIVE AND NEGATIVE FORCES WHICH WILL AFFECT
SOLUTION OF LOW EARNINGS PROBLEM AMONG 2000 WOMEN
POSITIVE FORCES
rank
RANK
NEGATIVE FORCES
4
Awareness of Income Opportunity
2
No Legal Right to Assets
3
Available Natural Resources
4
No Access to Bank Loans
5
Available NGO Help
3
No Collateral fji'
1
High Motivation
1
No Organization Base
2
Productive Skills
5
Limited Enterprise
Timeframe
Facilitator’s Explanation
Plenary presentation
- 15 min.; Workgroup Exercises - 60 min.
-15 min each group.
Materials - Newsprint, markers, posting location.
46a
CHAPTER IV
ORGANIZATION FORMATION METHODS
Organization
formation
constitutes
second
the
life-cycle
phase
of
organization growth. For the purposes of this manual, we will divide the phases
into four stages:
* assisting the target group to formulate a development strategy.
* assisting the target group to construct an action plan related to forming
an organization.
* assisting the target group to develop a constitution and bye-laws for the
proposed organization.
* assisting the target group[s to overcome local opposition to forming an
organization.
A-
Formulating
opment
a.
Strategy
It is not absolutely necessary to have the target group formulate a
development strategy as part of the organization formation phase. Nevertheless,
if the group has chosen a priority problem as well
as several manageable
problems, it will be useful for the group to develop an
overall plan on how to
solve these problems over a period of time.
At a minimum, a plan will include
a set of objectives and a set of program corponent . See Task E.
13-
Constructing
Ac t: zL on
slxa
Plan
An action plan simply calls for a systematic series of steps that are to
be followed
in implementing
a
project.
For
the
formation of
a people’s
organization, the action plan will specify the sequence of activities to be
followed, the methods to be use, the agent, the timeframe and the expected
outcome. This will be practised in Task F.
C.
Cons-true-ting
et
Constitution
and
Bye-Xsws
The constitution and bye-laws is one element included in the action plan.
Without a constitution, an organization can have no structure. See Task Fl
D.
Overcoming
Local
Opposition
-to
Organization
\
The best indicator of the relevance of an organization is the arousal of
opposition from vested interests
and established elites.
Overcoming
opposition is a necessary element of the action plan. See Task G.
47
this
term
objectives. The long term objective should refer to solution of the
priority problem itself.
The short term objective should refer to solution
of the first ranked negative force preventing solution of the priority
problem. The interim objectives should refer to solution
of the 2nd, 3rd, etc. ranked negative forces
preventing solution of the
priority problem.
4. Once the set of objectives is formulated, the SPT must now design the sequence
of program components (projects) which will be necessary to achieve the
interim
objectives. It will be easier if the SPT designs first the program
component necessary to achieve the short term objective. Then the SPT can
proceed to design the sequence of program components necessary to achieve the
interim objectives. The sequence will follow the order in which the negative
force are ranked.
N.B. Once all the negative forces are eliminated or the interim objectives are
achieved , the long term objective will be automatically achieved, that
is, the priority problem will be solved.
Case Illustration of Development Strategy
Strategic Objectives.
Long Term: To increase the earned income of 2000 female entrepreneurs within a
five year period.
Short Term: To form a people’s organization among 2000 female entrepreneurs
within one year.
Interim: * To obtain reform of legislation governing women’s rights to ownership
of property within three years.
* To increase savings and credit facilities owned and controlled by 2000
female entrepreneurs within three years.
* To increase the level' of participation in micro-enterprise development
by 2000 female entrepreneurs within five years.
Program Components
* By the end of the first year, an organization formation program component will
be implemented to establish a people’s organization.
* By the end of the third year, an advocacy program component will be
carried
out by the new people’s organization for the purpose of achieving legislative
49
reform.
* By the end of the fourth year, a promotional and organizational program will
be carried out establishing savings and credit facilities owned and controlled
by 2000 female entrepreneurs.
* By the end of the fifth year , a promotional program to increase participation
of female entrepreneurs in micro-enterprise will be carried out.
Training Guidelines
1. The Training Team will organize the workshop participants into workgroups of
6-7 members. Each workgroup will take one the role of a Strategic Planning
Team.
2. Each workgroup will review the status of the priority problem and the related
negative and positive forces.
3. Each workgroup will review the Field Guidelines indicating procedures for
developing a program strategy in the field.
4. In formulating a development strategy, each workgroup can practice alternative
methods. The following alternatives are possible:
* Study and discussion of the connections between a priority problem, negative
and positive forces, objectives and program components.
* visiting other organizations to assess their development strategies.
* Obtaining the services of a resource person who will lead them in the
complex task of formulating an overall development strategy.
* With the help of
the Train Team, each workgroup can design a critical path
of the forces to be overcome and the sequence of program components to be
implemented.
5. Each workgroup will record its development strategy on newsprint for
presentation to plenary session of the workshop. Here each strategy will be
discussed and assessed.
Workshop Output.
The workshop output produced by the workgroups will follow the pattern of
the Case Study Illustration presented above. Basically, it will consist of a set
of objectives and program components.
50
Timeframe.
Facilitator’s Explanation
15 min.
Workgroup Exercises
60 min
Plenary Reports
15 min (@ workgroup)
Debriefing
30 min.
Materials
Newsprint, markers, posting location, transportation and tables
TASK F
ENABLING A TARGET GROUP TO FORM A PEOPLE’S
ORGANIZxATION
Rationale
In the case study used in this manual ( 2000 Female Entrepreneurs), lack of
organization among the women is taken as the first ranked negative
force
preventing solution of the priority problem - low earned income among female
entrepreneurs. Consequently, the first program component to be implemented is the
formation of a women’s organization
Task Objectives r
To enable Target Groups to establish People’s Organizations.
To increase among trainees skills in methods of enabling Target Groups to
establish People’s organizations.
Field Guidelines
1. The IO will appoint a Planning Team. It will have the primary responsibility
for enabling the Target Group to form a.people’s organization.
2. The Planning Team can use the following method to mobilize the target group
for organization formation:
* Organize the Target Group into Study Groups if these are not already
established.
* Assist the Study Groups
in forming the people’
plan to form a people
4. An Action plan must
elect a Core Group consisting of study group
Group and the IO Planning Team will take the lead
representatives. The Co
3. The Planning Team and t
j
organization.
j
Core Group will cooperate by designing an action
organization.
lude the following
52
* An Objective stating what is the expected outcome of the action plan.
* A sequence of activities which will lead to a achievement of the objective.
* Each activity in the sequence should be described in terms of the following
characteristics:
- Name of the activity
- Purpose of the activity
- Method of carrying out the activity
_ Agent responsible for the activity
- Timeframe of the activity
- Level of participation in the activity by the Target Group
- Resources required for the activity
- Expected outcome of the activity
N.B. See illustration of action plan form an organization, Box 13.
4. Once the action plan is designed , the Planning Team and the Core Group will
oversee implementation of the action plan activities.
5. Prior to implentation of the action plan, the Planning Team should appoint a
person or persons who will be responsible for monitoring implementation of the
plan.
6. For monitoring purposes, a monitoring design must be constructed by the
monitor or the Planning Team. The monitoring design should enable the monitor
to observe:
* Whether each activity or any specific activity of the action plan has been
implemented as planned, that is, according to the planned method, agent,
timeframe and resources.
* Whether each activity or any specific activity has produced the outcome
expected.
If a specific outcome has not been achieved by an activity, the monitor should
be able to indicate whether the cause
has been failure to implement the
activity correctly, or the cause is imperfection in the planned activity
itself.
'
7. It is up to the monitor or the Planning Team to decide which activities of the
action plan will be monitored if all activities are not to be monitored.
This decision will automatically determine the timing of monitoring actions.
8. The monitor must report any discrepancies in plan implementation to a ...
designated authority for action. This could be the Planning Team.
53
N.B. It should be clearly noted that systematic monitoring is not
possible
where there is no systematic action plan.
Training Guidelines.
1. The workshop Training Team can organize the participants in workgroups of 6 -
7 persons.
2. Each workgroup can take on the role of the Training Team and the Core Group
combined.
3. Each workgroup will review the development strategy formulated in the
preceding task. It will identify the short term objective stated in the
strategy which is to form as people,s organization.
4. Each workgroup should now be instructed to begin forming the action plan
implied by the development strategy.
5. Using the Field Guidelines (above), the Training Team/Core Group can formulate
the following features of its action plan:
■* ’ State the organization formation objective.
* Outline the sequence of activities necessay to achieve the objective.
* Describe each activity in terms of purpose, method, agent, timeframe, etc.
6. The workgroups can employ alternative methods to formulate their action plan.
These can include the following:
* Simple study-discussion method for the whole task.
* Fish bowl technique using a small central planning group surrounded by a
larger circle of observers as assessors.
* Several persons from the workgroup can be assigned the responsibility of
formulating several alternative action plans frcm which the workgroup will
select the most appropriate.
7. Each workgroup should construct a monitoring design. In doing so, it wil
designate: (See Field Guidelines above)
* Who will be the monitor and who will appoint him/her.
* What will be the monitoring method.
* Which activities will be monitored.
* To whom will the monitor report.
* Who will take follow-up action on the report if action is necessary.
8. Each workgroup will record its action plan for presentation to plenary
session
54
WORKGROUP
OUTPUT
( SAMPLE )
BOX 13
ACTION PLAN TO FORM A WOMEN’S ORGANIZATION
Activity
Purpose
Method
Agent
Timeframe
Core group
meeting 3 hrs.
Decide on
organization
functions
Discuss
functions
in Box 14
Facilitation
Team
Jan. 10,
9-12 a.m.
Core group
meeting 3 hrs
Decide on
organization
structure
Discuss
examples of
structure.
Box 15
Facilitation
Team
Jan. 10,
2-5 p.m.
Core group
planning
meetings (3)
Construct
organization
constitution
Examine
al tentative
models
Facilitation
Team
Jan. 20-22
Village group
meetings (S3)
Discuss and
approve draft
constitution
Informal
Group
discussion
Village group
leaders
Feb. 10 - 28
Meeting of
village
groups (QI)
Sign up
members
Fill out
membership
card
Facilitation
Team
March 15, 93
General
membership
meeting (1)
Elect leaders
and
caimi ttees
Democratic
election
Core group
chair
April 30,
993
Visit
Registration
office_______
Obtain legal
certificate
Meeting with
registrar
President of
the
organization
May 10, 993
TIMEFRAME
Facilitator’s Explanation
Workgroup Exercises
Plenary Reports (@ 15 min.)
15 min.
60 min.
MATERIALS
Newsprint, markers, posting location.
55
TASK Fl
CONSTRUCTING A CONSTITUTION FOR A PO
Rationale
Most organizations
fail
because they have an inadequately
specified
constitution. The constitution of an organization spells out the structure and
functions of
the
organization.
Without a
constitution,
an
organization’s
structure remains unclear. Bye-laws are added to a constitution for specific
purposes.
Objectives
To enable a target group to develop a constitution for its organization.
To increase among trainees skills in methods of enabling target groups to form
a constitution.
Field Guidelines
1.
The IO Planning Team will work directly with the target group or the core
group to form the constitution. The constitution will include the following
elements.
2.
A clear statement of the vision and mission of the organization. Vision
refers to what kind of change or improvement the organization hopes to
achieve. Mission refers to how the organization will proceed and for whose
benefit.
3.
Membership
criteria which determine who can be a member and what must be
done to remain a member in good standing.
4.
Objectives which specify what specific benefits the organization will achieve
for its members, the connunity or larger society.
5.
An organization can consist of three levels of decision-making authority policy making, management and operations. Policy-making refers to decisions
respecting the mission, purpose and program ccmmitments of the organization.
Management refers to planning, implementing, coordinating and controlling
program activities. Operations refer to the actual implementing of management
56
decisions by the general staff.In western country organizations, policy
making is the responsibility of the membership and the board of directors.
Usually, the board is elected by the membership. The board can appoint or
elect standing (permanent) and ad hoc (temporary) ccnrnittees to carry out
special functions of the board. Management is the responsibility of the
chief executive officer or manager. Operations are the responsibility of
the general staff. There is a clear line of authority between the policy
maker, the manager and the operational staff. The direction of authority
is from policy maker to manager
to staff. Cooperatives and credit unions
adhere to this model in most countries.
An organization can include several levels of complexity. Primary units,
secondary level units
and tertiary level units. Exanples: local credit
union, credit union league and confederation. Station, parish and diocese.
A constitution should specify the method of leadership turnover to ensure
leadership immobility.
The distribution of authority within an organization can take many forms.
Authority can be highly centralized and exercised in a top-down manner
from the chief executive officer to operational
staff,
or it can be
distributed among various levels and positions of the organization. The
principle of ’’subsidiarity” constitutes the best norm, that is, no higher
level should assume responsibility for what a low level and- perform
effectively.
The control of the organization’s financial resources
should be subject
to a systematic accounting and audit system. Other resources should be
subject to an inventory control system.
The organization should have a standard system for recording outcomes of
meetings.
A constitution should identify or specify the external linkages of the
organization.
The constitution should specify the timeframe of meetings to be held by
policy making bodies of the organization - general membership and board of
directors.
An organization’s constitution should specify method of legal registration
15.
A constitution should specify method of dissolution and distribution of
assets.
Training Guidelines
1.
The facilitator of the workshop may request trainees to form workgroups which
will take on the role of the core group which is responsible for action
planning.
2.
The workgroups can review the requirements of an organization’s constitution.
(See field guidelines).
3.
The workgroup will develop a constitution for the case-study organization
which they are establishing. They will present the product in plenary
session.
4.
The plenary session will review and modify if necessary the workgroups’
constitutions.
TXmef x
ame
*
Presentation by the Facilitator
15 min.
Workgroup Exercises
60 min/
Plenary Presentation
10 min @ workgroup
Materials
Newsprint, posting station, markers and work tables.
58
TASK G
OVERCOMING OBSTACLES TO FORMATION OF PEOPLE’S
ORGANIZATION
Rationale
As a rule, opposition to a people’s organization does not emerge until the
organization begins to operate. However, where local elites , vested interests,
entrenched bureaucrats and traditional leaders are sensitive to threats to their
position, they will take pre-emptive (forestalling ) action to prevent the threat
from
developing.
Where
the
organization
formation
process
adheres
to
consciousness-raising and participatory methodology, the opposition will have
time to realize what is happening and will take appropriate action. As a rule,
no person or group voluntarily gives up or shares power, privilege, or resources.
It
is inevitable that a new organization which has power
to bring about
redistribution of benefits will arouse opposition.
Objectives
To enable Target Groups to overcome obstacles to 'the formation of people’s
organization.
To develop among trainees skills in methods of enabling target groups overcome
obstacles to formation of people’s organization.
Field Guidelines
I
1. The IO Planning Team and Core Group
should identify the sources
of
resistance and the obstacles to organization formation.
2. If the opposition is emerging out of misinformation, the Planning Team(PT)
and the Core Group (CG) can take action to correct any misconceptions among
the opponents.
3. If the opposition, on the other hand, is emerging out of a refusal by elites
to share power, prestige or community benefits, pressure strategy must be
adopted by the PT and CG.
4. The Pressure Strategy involves the following tactics:
59
a) Identify the influential persons and institutions which can form public
opinion within the community and in the surrounding area.
b) Convey to those who can form public opinion a clear picture of the
proposed organization and its purpose. Emphasize the advantages of the
proposed organization for the disadvantaged groups in the conmunity.
Emphasize the possible negative consequences of failure for the groups.
c) Identify, publicly, the opponents to the organization. Suggest selfish
motives as the basis for this opposition.
d) Prevail upon supportive officials and influential to make public
statements in favour of forming a people’s organization.
e) Where local bureaucratic opposition is present, use public marches and
demonstrations to draw attention to the negative influence of these civil
servants. Imply that there is collusion with vested interests and the
elites.
f) Constantly build up the solidarity of the target group by emphasizing
common interests, values and external threats. Adopt an organization
emblem or symbol with which the target group can identify.
g) Keep the opponents off-balance by engaging in unexpected actions. These
actions might range from offers of cooperation to action which will cause
embarrassment or inconvenience.
h) As a general rule, do not engage the target group in direct confrontation
with the opposition. This might result in a physical power struggle which
the opponents can win.
i) If the IO is associated with a well-known private or semi-public
institution, e. g., church agency, external NGo, etc., it should take
advantage of this influence by having the institution publicly support the
organization formation plan.
Training Guidelines
1. Request the workshop trainees to form themselves into workgroups whicri will
take on the role of the 10 Planning Team and Core Group. The purpose of this
joint group will be to form a people’s organization among the disadvantaged'
2. The workshop Training Team will
present the workgroups with a case problem
describing local opposition to organization formation. See Composite Case #1.
60
3. Request the workgroups to review the Field guidelines respecting use of the
pressure strategy.
4. Instruct the workgroups to construct a strategy to overcome the opposition.
5. Instruct workgroups to report their strategy on newsprint in .point form for
presentation to plenary session.
6. Assess the appropriateness of the strategies presented to plenary.
Workgroup Output
The workgroup output should describe the strategy to overcome opposition in terms
of the following:
1. Specification of the general situation.
2. Specification of the type of opposition and its source.
3. The sequence of actions whereby the opposition will be overcome.
4. The persons responsible for planning and implementing these actions.
Timeframe
Facilitator’s explanation
10 min.
Workgroup Exercises
60 min.
Plenary Session reports
i? 15 min.
Materials
Markers, newsprint, and posting location.
61
LOCAL RESISTANCE TO THE FORMATION OF A PEOPLE’ ORGANIZATION
COMPOSITE CASE # 1
A group of 300 female micro-entrepreneurs frcm five contiguous villages of
the Asapa area of West Africa is attempting to establish their own People’s
Organization. In this venture, they have the support of an intermediary
church organization - BSENA. In planning for the new PO, the Asapa leaders
have formulated the following organizational objectives:
1. To increase the earnings of female entrepreneurs frcm micro-enterprise
development.
2. To increase access of female entrepreneurs to commercial and public
credit opportunities.
3. To increase the savings and credit capabilities of female entrepreneurs
as an organized group.
4. To eliminate traditional obstacles to effective participation by females
in enterprise activities.
With the assistance of BSENA. the Asapa leaders have initiated the
j
organization formation process among the target group of 300 females. This
program began with consciousness-raising regarding the potential benefits
of a people’s organization. This was followed by study meetings to draft
the constitution of the proposed organization. The draft constitution
detailed the development vision of the organization, its objectives,
membership and performance criteria, and the remaining structural
ccmponents of the organization. At this stage local opposition and
criticism began to emerge. It took the following forms:
I
[
1. Local elites and money lenders, fearing the independence which savings
and credit capability among the women would create, began to threaten
female borrowers with early recall of their loans.
2. Local vested interests began to spread misinformation in the villages
regarding the lack of money-management skills which the women possessed
and how savings would be misused.
3. Local traditional leaders were aroused by warnings frcm local elites of
the probable family instability which would result from economic
independence of women in the villages.
4. Local bureaucrats, foreseeing that their arbitrary use of power and
authority respecting the business affairs of women would be severely
threatened if the women were organized, began to warn the women of the
many insurmountable obstacles which would confront them as an organized
group.
The Asapa leaders and BSENA realize that they must develop a strategy which
will neutralize this opposition, otherwise, the objective of establishing a
people’s organization will be frustrated.
62
CHAPTER V
ORGANIZATION MAINTENANCE AND MANAGEMENT METHODS
This chapter focuses on the third life-cycle phase of an organization’s
development - maintenance or management of the organization. Effective management
of an organization requires development of four capacities - Planning, organizing
, controlling and leading. Unfortunately, many new organizations become stymied
very shortly after the first flush of membership enthusiasm fades a away.
According to the model used in this manual, a new people’s organization will not
achieve management effectiveness and solidarity without the help of an external
body such as an intermediary organization.
The following are a selected number of management capacities which a new
organization must develop to achieve effectiveness and solidarity:
1. Skills in Program Planning methods. These might include some elements
of
strategic
planning.
2. Skills in Methods of Organizing and Coordinating the Implementation of
Program plans. This
capacity can include specific capacities such as
the following:
* Allocating staff for program functions.
* Budgeting financial resources for program implementation.
3.
Skills in Controlling Program Inpiementation. This can include several
specific operations:
* Establishing baseline measures of organization programs.
* Assessing the Feasibility of a program Plan.
* Monitoring the implementation of a program.
* Terminal assessment of program outcomes.
4.
Skills in Leading the Organization. These skills can concern methods of
decision making, delegation of authority , leadership style and mobility
of leadership within the organization.
63
TASK H
ENABLING POS TO ACQUIRE PLANNING SKILLS
Rationale
Normally, organizations carry out services/functions for their members
through projects or programs. This organization responsibility requires that
organization management possess program planning skills. There are two ways in
which organization management can acquire these skills - through formalized
training or through applied experience, that is, learn to do by doing. In most
organization situations, the latter alternative is the main option open to new
and unskilled managers. Nevertheless, where an effective partnership exists
between a new PO and an IO, the 10 can help to structure project planning
experience so that an optimum level of learning accompanies achievement of the
project.
Objectives
To enable PO management to acquire planning skills.
To develop among trainees skills in methods of enabling POs to acquire planning
skills.
Field Guidelines
Guidelines for planning a project or program follow a fairly common pattern of
steps. This is true whether you are planning a literacy project or a primary
healthcare project. In this manual, these planning procedures, appear at several
places. The following procedures are adapted for the purposes of the manual:
1. The new PO will appoint
a Project Planning Committee. It will work in close
cooperation with the partner 10 Facilitation Team.
2. The Project Planning Ccmnittee will begin the planning process by reviewing
the problem for which it is responsible. This will involve several specific
steps:
64
* Specifying the target group affected by the problem in question, e.g.,
female entrepreneurs affected by lack
of the right to legal ownership of
property .
* Organizing the target members within the organization to work with the
Project Planning Ccrrrnittee. This might involve one or two mass meetings of
the members in question or it might involve meeting these members at village
level. For the manual case problem,
the purpose of these meetings will be
to clarify and confirm member
commitment to the selection of low earned
income as the priority problem,
and to selection of ’’lack of legal rights”
as the second
manageable problem
(2nd ranked negative force) to be
addressed by the newly formed PO.
3.
If project evaluation will be considered important, it will be important to
establish baseline measures of the priority and/or manageable problem.
Baseline measurement establishes the existing status of the problem in
question . Baseline measurement involves the following procedures:
* Clear definition of the problem.
The problem of ” lack of legal rights
of ownership to property among adult women” means that women cannot own
land or physical property which they can
use as collateral.
* Specification of observable indicators of the problem. Indicators of the
lack of rights problem would include: absence of clear legislation
specifying the right of women to own property independently of their
spouses or relatives and lack of legal deeds to acquired property
* Collection of data on the problem and its extent. Data on this problem can
be collected by examining legal documents or by conducting interviews with
female entrepreneurs to obtain their actual experiences. These data would
establish existing status of the legal rights problem.
4.
The next step is for the Planning Team to establish the Objectives of the
project. Basically, formulation of the objectives flow from the specification
of the problem. Formulation of objectives can be quite simply or rather
corplicated. A simple statement of an objective should include the
following information:
* What is the expected outcome e.g., to increase the level of nutrition among
children.
* What amount or level of change is expected, e.g., the percent of children
65
with adequate nutrition will increase
from 10 percent to 75 percent of all
children.
* Who will benefit frcm the change, e.g., all children of the area under
5yrs of age.* Within what timeframe will the benefits occur, e.g., 5 mos.
5.
Instead of being guided by one simple objective, a project or program can be
guided by an hierarchical set of objectives. The hierarchy might include long
term, interim and short term objectives. See TASK E for an illustration.
5. The next step in the project cycle is design of the project to achieve the
objective. Basically ,
a project plan consists of a sequence of activities
which will lead to achievement of the objective. Each activity can be
described in terms of the following:
* Name of the activity.
* Statement of its purpose.
* Description of method to carry out the activity.
* Specification of the person(s) responsible for the activity.
* The level of participation in the activity by the target group.
* The expected outcome frcm the activity.
* The resources needed to carry out the activity.
The resulting plan is called an action plan which provides a blueprint or design
for achieving the objective. For instance, using the manual case problem, the
action plan might be designed to obtain reform in legislation governing the
rights of wcmen. An illustration is provided under training guidelines below.
Training Guidelines
1.
The Training Facilitator can request the workshop participants to organize
themselves in workgroups.
2.
The TF can request the workgroups to take on the role of a PO Planning Team
which will be assisted by an IO Facilitation Team.
3.
Request each workgroup to review the Field Guidelines above respecting
designing an action plan.
4.
Instruct each workgroup to choose the first manageable problem which a new PO
might want to solve. Here it will be useful for the workgroup to review the
set of negative forces identified in TASKH - SELECTING A PRIORITY PROBLEM AND
MANAGEABLE ASPECTS OF IT. For the manual case problem, the 2nd ranked negative
66
A
force will be chosen - no legal rights to assets. See Box 12. Now the PO will
design a sequence of activities to solve this problem.
Workgroup Output ( Sample of Action Plan)
ACTION PLAN TO OBTAIN LEGISLATIVE REFORM
Objective: Within a two-year period, to achieve reform in government
legislation governing the rights of wcmen to own property.
Out cane
Timeframe
Appointment
Board
Reform
May 1, 1993
by PO Board
President
Process
Purpose
Method
Appointment
To initiate
of PO Project
the Reform
Committee
Process
Planning
Study
Discuss with
Planning
Existing
Committee
existing
lawyer
Committee
Rights
study meeting
rights
Planning
Study methods
Discuss with
Planning
Reform
May 20 ,
Committee
of
government
Committee
Methods
1993
Study meeting
legislative
leaders and
reform
lawyers
Discover
Mass meeting
Planning
Negative
June 10,
effects of no
with Planning
Committee
Effects of
1993
collateral on
Committee
Writing with
i
Agent
Activity
Initiated
May 10, 1993
Identified
Identified
lack of
collateral
enterprise
development
rame
Facilitator’s explanation
15 min
Workgroup Exercises
75 min
Plenary Session
15 min (@ group)
Materials
Manual, newsprint, markers, posting location
67
TASK I
ORGANIZING METHOD: STAFF COORDINATION
Rationale
The second
significant management function of an organization is that of
organizing resources for the implementing of programs. The most critical
organizing functions are:
* Allocating staff resources according to program job requirements.
* Arranging physical facilities for program requirements.
* Arranging social infrastructure and external linkages.
* Constructing program budgets.
The function of allocating staff resources according to program job
requirements of the organization is usually referred to as work planning. It
is treated specifically in this Task.
Objectives
To increase the work planning skills and staff coordination among the
management of POs.
To increase among trainees skills in methods of enabling PO management to
acquire work planning skills.
Field Guidelines
Within an organization, work plans can be developed for individual
workers and for carmittees or other groups. Work plans simply spell out what
the persons or committee is responsible for within a given period of time. The
work plan can also specific the time frame for the performance of certain
responsibilities. As well, it can specify what proof will be needed to show
that the responsibilities have been fulfilled.
The following guidelines will assist in developing a work plan for the
committee which is responsible for promoting reform of legislation respecting
the rights of female entrepreneurs to independent ownership of property.
68
1.
The PO Planning Team can review the action plan designed in the preceding
task in order to specify it for work planning purposes. The action plan in
question focuses on the function of ’’obtaining legislative reform
respecting the rights of female entrepreneurs to independent ownership of
property”. This would be one of the major program thrusts of the PO. It
can be referred to here as a major ” Performance area” of the PC's work.
2.
The next step for the planning team is to identify the activities which
will be necessary to complete this performance area or function.
Activities might include the organizing of
study meetings,
consultations with legislators and legal advisors and drafting of proposed
legislation.
3.
Any action plan activity must be specified terms of the actor responsible,
the time frame, the method to be employed and the expected or observable
outcome. In the case of the legislative reform outcome, the following
specification apply:
* the planning ccmmittee is the actor responsible for the sequence of
activities required.
* The timeframe is a two year period; however, the action plan here
provides only specific dates for each activity. Not all the necessary
activities are specified in the sample action plan of Task H.
* The overall outcome will be new legislation recognizing the rights of
women to property.
* The method to be employed by the committee will be study, planning and
advocacy.
4.
Form this action plan analysis, the workplan for the planning committee
can be developed for the two year period or for shorter periods.
Training Guidelines
1.
The workshop facilitator can organize the workshop participants in
workgroups.
2.
Each workgroup can take a known organization as its case study, it can
identify the major programs to be implemented by the organization. It
should choose only one of these programs for exercise purposes.
3.
For the program chosen, it can identify its major components or
performance area. Seme programs may consist of only one main component.
69
4.
Work groups should choose only one program corponent for exercise
purposes. They can then, identify the activities necessary to implement
the corponent.
For each activity they can identify the persons or
parties responsible for the activity. As well, for each activity , they
can specify the time frame, the observable outcome and the method to be
used.
5.
If only one person or party is responsible for all the activities, it will
be each to develop or derive the workplan for that person or party. If
several persons or parties are involved, it will be necessary to sort out
their responsibilities to arrive at description of their workplans.
Work Group Output
Work Plan For PO Planning Committee
May 1 - June 30, 1994
Program Carpcnent : Achieving Legislative Reform
Activities
Timeframe
Outcome
Three general study meetings
9 days
Reform Process Plan
Study meetings with female
entrepreneurs (3)
6 days
Data on investment
problems
Consultations with legal
advisors (5)
10 days
Guidelines for
achieving reform.
Drafting of proposed
legislations
5 days
Draft law
Meetings with local political
representatives (10)
10 days
Record of opinions
Meetings with target
constituency
10 days
Publicity on public
views.
Organization of
Demonstrations and boycotts
5 days
Media reports
Preparing reports
5 days
Written reports
70
Time frame
15 min.
75 min.
15 MIN. @ workgroup
Facilitator’s explanation
Work group exercises
Plenary session
Materials
Markers, writing tables, newsprint, posting locations.
71
TASK J
ORGANIZING METHOD: PROGRAM BUDGETING
Rationale
Budgeting
financial resources is an essential organizing function of
organization management. There are numerous budget formats that can be
employed in organizing financial resources. A cannon project budget format is
one which estimates the costs of project components and assigns them to
financial sources. This format constitutes the focus of this task - TASK J.
Objectives
To enable PO management to practice and acquire program budgeting skills.
To increase among trainees skills in methods of enabling PO management
to practice and acquire budgeting skills.
Field Guidelines
1.
The PO Planning Team will assume the responsibility of estimating the
costs of carrying out the project action plan.
2.
To begin, the Planning Team must examine closely all of the activities
included in the action plan. This will include the job and resource
requirements of each activity.
3.
The Planning Team will estimate financial costs for the activity or parts
of the activity. The Team may estimate in-kind costs where desirable. Inkind costs include contributed work, facilities, and other non-financial
inputs to which a financial value can be attributed.
4.
Once the
cost of each activity is estimated, the Planning Team must
allocate these costs to financial sources which will cover the costs. The
cost of an activity as well as the cost of a total project can be
distributed among several sources.
5.
The budget format will provide a picture of all budget item costs and the
sources which will cover these costs. (See Workgroup Output below)
72
Training Guidelines
The Workshop Facilitator will organize the participants into the usual
1.
workgroups.
2.
Each workgroup will review the manual case problem action plan - Sequence
of activities to achieve legislative reform. ( It should be remembered that
this action plan is incomplete).
3.
The Workgroups will each estimate what will be the costs of the activities
as presented. Activity costs will depend on required jobs and resources
for each activity. When all activity costs are totalled, this will provide
the total budget for the project.
4.
Each workgroup will construct a budget format presenting cost estimates
and allocation of them to sources. This format should be presented on
newsprint for delivery to plenary session of the workshop.
Workgroup Output ( Sample of Partial Budget)
LEGISLATIVE REFORM BUDGET
Total Cost
PO Account
IO Fund
Public
Subsidy
3 planning
meetings
2,000
1,000
500
500
Lawyers’ Fees
5,000
1,000
3,000
1,000
Travel costs
1,000
1,000
-
Total
8,000
3,000
3,500
Cost Item
1,500
Time Frame
Facilitator’s Explanation
Plenary Session Reports
Materials -
-
15 min.; Workgroup Exercises
- 15 min @ workgroup
Manual, newsprint, markers, etc,
73
- 60 min.
TASK JI
CONTROLLING METHODS: PROGRAM BASELINES
Rationale
The controlling function of management involves four evaluation designs -
baseline measurement, feasibility assessment, program monitoring and terminal
evaluation. Task JI will focus
*
baseline measurement. In program planning, the
first step consists of definition of the problem to be solved. For evaluation
purposes, the first step consists of establishing baseline measures of the
problem. The baseline measure enables the planner to measure change in the status
of a problem , that is, frcm "before program" to "after program" status.
Objectives
To enable PO management to establish baseline measures of problems to be solved.
To increase skills among trainees in methods of establishing baseline measures.
Field Guidelines
1.
The Project Planning Team of the PO should
, begin by examining the
problem addressed at the project planning stage. This problem was " lack
of legal rights to ownership of property among female entrepreneurs".
2.
The planning team must now define this problem as a variable.
This
definition should enable the research to determine whether there is more
or less of the problem. For this particular problem it is not easy to
define it as variable. Perhaps, we can give a variable definition to
property.
Lets
equipment,
and personal
entrepreneur
assume
can
property
that
belongings.
have
properties,independently of
a
can
include
Lets
assume
legal
her spouse,
right
land,
a
female
all
of
these
full
rights
that
to
s/he enjoys
buildings,
if
to
property. However, if s/he enjoys legal rights only to moveable property,
e.g., equipment and personal belongings, then she enjoys only partial
legal rights. If she enjoy no legal rights to any property independently
of her spouse, then she enjoys no legal rights to property.
74
2.
The next step for the planning team is to establish firm observable
indicators of property. As we have already noted, property consists of the
following observable indicators - land, buildings, equipment, vehicle,
furniture and clothes. Other concrete indicators might be identified.
3.
The next step for the planning team is to identify the target or research
population which is to be studied. For the manual, the research population
is the 2,000 female entrepreneurs. The planning team must decide whether
it is going to survey the 2000 entrepreneurs or a randan sample of it. It
could decide to collect data fran every 20th female entrepreneur selected
from a list which would provide a sample of 100 entrepreneurs.
4.
The next step is to construct a data collection instrunent. The instrument
should enable the researcher to discover how many entrepreneurs enjoy
legal rights to the different types of property. A simple interview form
will be best for this purpose. It will consist of simple questions to
determine the legal status if the 100 entrepreneurs.
5.
The next step is to collect the data and arrange it into categories of the
variable. The survey data might be presented as follows:
TABLE: PERCENTAGE OF FEMALE ENTREPRENEURS ENJOYING THE LEGAL RIGHT TO TYPES
OF PROPERTY.
PROPERTY
NO LEGAL RIGHT
LEGAL RIGHT
TOTAL NUMBER
Land
10%
90%
100
Buildings
15%
85%
100
Equipment
85%
15%
100
Personal Items
95%
5%
100
6.
The data
in the
table
entrepreneurs do not
show that
enjoy
the
the
legal
largest percentage
right
to
of
female
immoveable property
independently of their spouses. The remainder consists of widows, single
women, and others who have no living spouse. The reason given for this is
that the human rights legislation of the country does not recognize the
wife independently of her husband (s).
7.
The data in the table constitute a measure of the baseline status of
female entrepreneurs with respect to legal ownership of property. From
this baseline, future change can be determined.
75
Training Guidelines
1.
The workshop facilitator will organize trainees into research groups of 6
- 7 persons.
2.
The research group can choose the particular problem which they have been
dealing with at the project planning stage.
3.
The research groups will have to engage in the research operations
specified in the Field Guidelines:
* define the problem to be solved as a variable.
* identify concrete or observable indicators of the variable.
* determine the source frcm which data should be collected.
* construct an appropriate data collection instrument.
* collect the data
* present the data in a systematic manner.
4
The research groups might report outcomes to plenary for each operation in
order to avoid'getting off the track.
5.
The research group should clearly identify the baseline status of the
problem.
Timeframe
Presentation by the Facilitator
30 min
Workgroup exercises
120 min.
Plenary presentations
20 min @ group
Materials
Newsprint or transparencies, markers, posting stations.
76.
a
I U. (
Wlq T
‘
-
TASK K
CONTROLLING METHODS:FEASIBILITY ASSESSMENT
Rationale
Once a project action plan is developed and estimates are made of the required
financial, skill and other resources, it is necessary for the Planning Team to
conduct a feasibility
assessment of the plan to determine its practicability.
Estimates to determine practicability can be based on determining the adequacy
of certain conditions of project implementation. These will include: the adequacy
of
the
method
enployed,
the
time
allocated,
the
allocated. Along with these will be more general
expertise
and
questions such as
resources
cultural
legitimacy, political acceptability and organization sustainability. Where any
of these are deficient or negative, effective implementation of the project will
be at risk.
Objectives.
To enable PO management to conduct feasibility assessment of action plans.
To increase among trainees skills in methods of enabling PO management to conduct
feasibility assessment of action plans.
Field Level Guidelines
1.
The Planning Team should review its action plan focusing on the activities of
the plan as well as on the total plan.
2.
The first set of feasibility questions which the Planning Team should
address is the adequacy of the planned conditions associated with each
activity. These will include:
* The method of carrying out the activity - Is it adequate?
* The agents or the responsible persons - Are they sufficiently carpet ent?
* The time allocation - Is it enough?
* Target group participation - Is it sufficient?
i
3. A second set of questions which the Planning Team should address to the plan
77
includes the following:
* Will the project be politically acceptable?
* Is the project culturally legitimate?
* Does the project recognize the needs and rights of women?
* Can the project be iirplemented without depleting non-renewable resources?
* Is the project organizationally sustainable?
4.
In order to arrive at correct estimates, the Planning Team may have to engage
in data gathering. These data may be collected through observation,
key informant interviews or group discussions.
5.
As a result of the feasibility exercise the Planning Team may have to make
modifications in the action plan to ensure its effectiveness.
Training Guidelines
1.
The Training Facilitator can organize the workshop participants in workgroups
as usual.
2.
S/he will request each workgroup to review the action plan to obtain
legislative reform.
3.
Each workgroup will focus first on the activities of the action plan . Here
the questions will be as in Field Guideline #2 above.
4.
Each workgroup will then focus on the broader questions of legitimacy,
acceptability and sustainability. Here the questions will be as in Field
Guideline #3 above.
5.
For each question seeking data, the workgroup should suggest the possible
sources of data and the methods of data collection.
6.
Each workgroup can record on newsprint the questions it would
sources of data and the method of data collection.
78
ask, its
Workgroup Output (Selected feasibility method).
Objective: To assess the practicability of an action plan for achieving
Legislative Reform.
ASSESSMENT METHOD
Activity
Question
Data Source
Data Method.
Appointment of 3
member project
cannit tee
Do members
possess the
needed skills
Committee members
themselves
Interview method
Study of Existing
Rights
Will discussion
with lawyers be
sufficient
Experienced
project planner
Consultation
Meeting of Female
Entrepreneurs
Can all women
participate?
Key informant
Interview
The overall
project for
reform
Is it politically
acceptable
Civic authorities
Interview
Do
Is it culturally
legitimate
Teachers and
traditional
1eaders
Informal
Discussion
Is it socially
sustainable
Legal Advisor
Consultation
Is it
economically
sustainable
Economic advisor
Consultation
Expected Project
Outcome
Do
Timeframe
Facilitator’s Explanation
15 min.
Workgroup Exercises
60 min.
Plenary Reports
15 min. (@ Workgroup)
Materials
Manual, newsprint, markers, etc.
79
TASK L
CONTROLLING METHODS: PROGRAM MONITORING
Rationale
It is assumed that once an action plan is developed, it is now simply a matter
of implementing it to complete the project. Unfortunately, several problems can
arise during implementation. First, the expected outcome might not be achieved
in whole or in part due to improper implementation of one or more activities of
the plan. For instance, at a mass meeting, an autocratic chair may have replace
a planned for democratic chair resulting in less satisfaction among the member
participants.
Secondly, an expected outcome might not be achieved in whole or
in part due the fact that the activities as planned were deficient to begin with.
Monitoring methodology enables a monitor to observe whether expected outcomes
have been partly or fully achieved during implementation, and if any failure
appears, is it due to a faulty plan or to faulty implementation of the plan.
Objectives
To enable PO management
to
conduct
monitoring procedures
during
program
implementation.
To develop among trainees skills in methods of enabling PO management to conduct
program monitoring procedures.
Field Guidelines
1. The PO management can appoint one or more persons as a monitoring team which
will be responsible for monitoring implementation of the action plan. The
appointees might come from the planning team or they might be independent of
the planning team.
2. The Monitoring Team will review the sequence of activities included in the
action plan and the characteristics of each e.g., method, agent, timing, etc.
80
particular activities will be selected for monitoring if all activities are
not to be monitored.
4. The monitoring team will then construct the monitoring method for the
activities to be monitored. Basically, the monitoring method observes the
extent to which actual outcomes fulfil expected outcomes, and the extent to
which the actual implementation of activities compares with the planned
implementation of activities.
5. If a systematic action plan exists, it is relatively easy to construct a
monitoring form for the activities to be monitored. Actually, the form follows
the structure of the action plan. For each activity and its corresponding
characteristics, blank cells can be constructed. In monitoring, , the monitor
records in each cell a note on the actual implementation of the activity and
its characteristics.
6. The monitoring team can report its findings to the immediate PO supervisor
or to the planning team for any necessary follow-up action.
Training Guidelines
1. The Workshop Facilitator can arrange the participants in the usual workgroups
2. Each group will review the sequence of activities in the action plan designed
to achieve legislative reform.
3. Each workgroup can select one of the activities of the action plan for
monitoring practice. For example, it can select the third activity in the plan
- Planning Committee Study Meeting to Analyze Methods of Achieving Legislative
Reform.
4. Once the workgroup has made the selection of the activity, it can construct
a form with empty cells corresponding to the planned activity, method, agent,
timeframe and outcome of the planned activity. In these blank cells can be
recorded observations on the status of the implemented activity.
5. Each workgroup can record its monitoring design on newsprint for presentation
to plenary session.
81
Workgroup Output
MONT TOR I IMG
DESIGN
SELECTED ACTIVITY FROM ACTION PLAN FOR LEGISLATIVE REFORM
Status
Activity
Purpose
Method
Agent
Time
Outcome
Planned
Activity
P.C
Study
Meeting
To ID
Reform
Methods.
Discuss
ion with
lawyers
Planning
Conrnittee
May 20.
1993
List of
Reform
Methods
Actual
Activity
z
7
7
7
7
7
Timeframe
Facilitator's Explanation
15 min.
Workgroup Exercises
60 min.
Plenary Presentation
15 min (@ workgroup)
Materials
Manual, Newsprint, Markers, Posting Location, etc.
82
TASK M
CONTROLLING 33ETHODS: TERHBWL EVALUATION
tat.hoyia.'l®
s a general practice, upon completion of a project, an assessment is carried out
hich attempts to measure the actual outcome of the project. If the actual
utcone equals the expected outcome (as defined in the project objective), the
reject is considered successful.
This is the basic rationale of terminal
valuation. ’deque te terminal evaluation requires the establishment of pre-
reject baseline measurement of the problem to be changed. Baseline or benchmark
assures provide observable points from which change starts and can be measured.
bjectives
d
enable FO management to acquire the skills of terminal assessment.
3 develop among trainees skills in methods of enabling FO Management tto acquire
cills of monitoring.
ield Guidelines
. The Planning Team should consider what was the expected outcane stated in the
project objectives. (If written correctly, the project objective should
specify the outcore, it amount/extent, its beneficiaries and timeframe.)
The Planning Team can check to determine whether a baseline measurement
exists.,e.g.Out of 200 children under 5 yrs , 95 percent are malnourished.
If a baseline measure exists, the Planning Team can simply survey the target
population of 200 children'to determine change in the percentage of them
suffering from malnutrition. The survey method can consist of simple
observation for signs of rash, distended stomach, hair discoloration and /or
lethargic behaviour. (Hopefully this method would have used at the baseline
measurement stage.)
33
Training Guidelines
1.
The Training Facilitator can organize the workshop participants in workgroups
as usual.
2.
The Training Facilitator can request the workgroups to review the statement
of the project objective - To obtain legislative reform entitling women to
own property within two years.
3.
The workgroup will check the pre-project baseline status of the legislation -
lack of legislation entitling women to own property.
4.
The workgroup will assume that the project objective has been achieved if new
legislation enactment
entitles women to own property independently of their
spouses.
5.
The workgroups can
report their findings on newsprint for presentation
to plenary session.
Workgroup Output
PROJECT OBJECTIVE: Within two years, the project will achieve legislation reform
entitling women to own property independently of their spouses.
BASELINE STATOS OF LEGISLATION: No legislation exists entitling women to own
property independently of their spouses.
PROJECT ODTCCME: Legislation exists enabling women to own property
legally
independently of their spouses.
Timeframe
Facilitator’s Explanation
15 min.
Workgroup Exercise
60 min.
Plenary Session
15 min (@ workgroup)
Materials
Manual, newsprint, markers, post location, etc.
84
TASK N
METHODS OF LEADING: OVERCOMING IMMOBILITY OF
LEADERS
Rationale
The fate of many Ngos, both PCs and I Os, has been linked closely with the
founding leadership of the organization. The ccmmon pattern is that a charismatic
or dynamic person originally forms the organization. The task demands much effort
and dedication on the part of the founding leader. Unfortunately, the founding
leadership believes that this type of dedication is necessary for the maintenance
of the organization over time. For the founding leader, the emerging leadership
of the organization is never considered ready to assume a significant leadership
role.
As a result, a leadership cadre does not grow within the organization.
Organization sustainability depends on the personal leadership of a founder who
continues to run the organization as a one-person show. Obviously, a people’s
organization cannot remain effective under these conditions.
Innovation and
adaptation appear necessary.
Objectives.
To enable POs to overcome leadership immobility and rigidity.
To increase among trainees skills in methods of enabling FOs
to overcome
leadership immobility and rigidity.
Field Guidelines
1. Where a problem of leadership immobility and rigidity exists within a FO, and
where an IO - PO partnership exists, the 10 Planning Team should take the lead
in initiating a process of change.
2. The 10 Planning Team cannot simply appear on the scene with an 10 mandate to
initiate change within the PO. The 10 Planning Team must await an appropriate
opportunity to legitimize
its entry to the problem situation.
opportunity might consist of
The
an invitation from a support donor for the
85
PO to undertake an expanded role, or it might consist of a request from an
external donor or public agency for the PO to review its development policies,
programs and practices ,
or it might be precipitated by the expressed desire
of the PO leadership to become involved in a new development project.
3. When an appropriate opportunity presents itself, the 10 Team should offer
assistance and request the PO leadership to appoint a PO Planning Team which
will work with the 10 Team.
4.
The joint team should plan to develop an incremental strategy for irrproving
the capacity of the PO to respond to the expectations of its external
constituencies and to take advantage of new opportunities.
5. The Joint Team should begin to develop its organization innovation
strategy
by examining structural deficiencies which retard the organization.
These
structural features might include the following:
* The relationship between policy level decision making and management level
decision making. Are both levels, for instance , dominated by the same
1eaders.
* Are there functions within the organization which call for specific skills
and capabilities but are not distributed within the organization’s
1eadership.
* Are there clearly defined performance criteria for organization members and
staff?
* Is there a written constitution which specifies bye-laws for the election
and rotation of leadership within the organization?
* Do external support institutions specify adherence to accountability
procedures for resources granted to
the PO .
* Are there provisions or precedents for joint consultations with donors and
responsible public agencies.
5. In addition to examining structural features, the Joint Team should consider
the commitment, satisfaction and solidarity of the PO members and staff. Here
it will be important to note:
* staff seniority/expertise and job responsibilities
* interpersonal ccrrmunication among staff, management and members.
* satisfaction of staff with their position.
6. The Team should attempt to discover the effect of leadership immobility on
86
perceptions of decision making opportunities within the organization.
7. Finally, the Joint Team should examine the symbolic value which the PC members
attach to the continued presence of the founding leader in the organization.
8. In all of its activities, the Joint Team should practice transparency so that
no accusation can be brought subsequently of treachery or disloyalty.
Training Guidelines
1. The workshop Facilitator can organize the participants in workgroups.
2. Each workgroup can review Composite Case #2 - Leadership Immobility and
Rigidity... .
3. Each workgroup can assume responsibility for developing an organizational
change strategy for overcoming immobility and rigidity.
4. The organizational change strategy should possess the following features:
* it should be participatory and incremental.
* it should emphasize the development of organizational opportunities.
* it should have built-in provisions for structural modifications especially
with respect to leadership, decision making and the leadership turnover.
* It should include provisions for improving staff, management, and member
solidarity.
* It should take note of sources of potential conflict and suggest means for
eliminating these sources.
Workgroup Output
The workgroups can focus on Composite Case 2 - "Leadership Immobility in a
ganization. The solution to the case problem should include'the following:
The change objectives.
he methods for achieving the objectives
* The responsible actors.
* The expected outcome.
Timeframe
Facilitator’s Explanation - 15 min.; Workgroup Exercises
Plenary session - 15 min. (^workgroup report)
Materials Manual, Newsprint, Markers, Composite Case 2.
87
- 60 min.;
LEADERSHIP
IMMOBILITY
IN
AN
ORGANIZATION
COMPOSITE CASE #2
The Award Women’s Development Association (AWDA) is located in a rural area
of South Africa. It was founded 20 years ago by Mrs. S. Zwane. For these 20
years AWDA has been effective in planning and implementing projects for the
benefit of its 300 members. These projects included nutrition , literacy
and handicraft training projects. Mrs Zwane as the president of the
organization has been successful in obtaining external donor support for
these projects. An intermediary organization, the Council of Rural
Organizations (CORU) has assisted AWDA access donor support. It has done so
through the preparation of project proposals and through training of AWDA
members.
In recent years, the AWDA members have become interested in projects which
will generate economic benefits for them. These include micro-enterprise
development, savings and credit systems and cooperatives. There is also a
concern among the members with gender equity in the economic sphere. For
some reason , Mrs. Zwane has developed no interest in these new areas of
development. As a result, she has provided no leadership in accessing these
new project areas.
When AWDA was formed 20 years ago, Mrs. Zwane played a key role in
establishing the organization. She became leader automatically. There was
no election or formal method of appointment.
She co-opted three prominent
members of the organization to work with her and to act as her advisors.
Unfortunately, today, these women has passed their prime as has Mrs. Zwane.
The AWDA members, especially the younger ones recognize that new leadership
is required. Unfortunately, there are no formally recognized rules or
procedures for electing new leadership. AWDA has never had a written
constitution or bye-laws. Because of consistent donor support,
no
membership dues or entry criteria were established. Because, Mrs. Zwane and
her support group of three made all relevant decisions, no alternative or
new leadership development within the organization.
OORU, the intermediary organization has the staff capability to assist AWDA
adapt to modem circumstances, but it will not intervene without a
legitimate request from AWDA. How can necessary change in AWDA be promoted?
8
'8
Task 0
Methods of Leading: Facilitating Communications
Rationale
In 10 - PO partnerships, good conrnuni cat ions is essential to the relationship.
Good conrnunication skills on the part of both the receiver and the transmitter
of a cormiunication is necessary. These skills do not come naturally, usuallyz
these types of skills require practice and experience. The method of practice and
experience is through structured experiences (games/exercises) organized for this
purpose. Task 0 employs the Hollow Square experiment for this purpose.
(See
footnote at end of Task below)
Objective
To increase among POs capabilities for planning and implementing effective
conrnuni cations.
Field Guidelines
1. The experiential exercise requires that an 10 Facilitator take the lead in
organizing the structured experience. The exercise involves two groups. One
plays the role of the conrnunicator and the other plays the role of the
receiver of the conrnunication. The task involves the assembling of a 16 piece
puzzle. The learning for the conrnunicators comes from the experience of
preparing a message (instructions for solving the puzzle) and transmitting it
to the receivers. The learning for the receivers comes from receiving the
instructions
and implementing them for constructing the puzzle effectively.
2. The Facilitator will take aside the 10 planning group and give it instructions
on its role . The instructions will be as follows:
a) The Facilitator will present the 10 Planning Group with 16 pieces of
cardboard required to construct a square with a hollow square in the
centre.
89
b) The Facilitator will also present the IO group with a map of the puzzle
which will make it easier to assemble the puzzle.
c) Once the Planning Group has assembled the puzzle, the Facilitator will
request it to prepare a set of written or oral instructions which can be
used by the receivers to. assemble the puzzle without the benefit of the
map.
3. The Facilitator will now take aside the Receiver group and prepare it for its
task. S/he will inform the group that in a few moments it will receive from
the 10 Planning Group 16 pieces of a puzzle along with written/oral
instructions on how to assemble the puzzle. The receivers should be vigilant
in obtaining as much clarification as possible from the presenters during the
presentation.
4. During the presentation by the planners, the following conditions will
prevail:
a) The pieces of the puzzle must remain untouched in a pile on the table.
b) The presenters may not refer directly to any piece of the puzzle during
presentation.
c) The receivers may ask the presenters any number of questions; however, they
may not ask the presenter to draw a picture of the puzzle.
5. Once the instructions are presented to the Receivers, the Receivers can begin
to assemble the puzzle. From this point on, the presenters cannot make any
intervention.
6. For the proper conduct of the exercise, it will be useful to appoint observer
participants who will monitor procedures.
7. The Facilitator will allow the Receivers a reasonable amount of time to
assemble the puzzle. At a given point in time, s/he should terminate the
exercise even if the Receivers have not successfully completed the task.
3. The next and very important part of the exercise is debriefing on what
happened at different stages in the exercise. From this exercise, both the 10
and the PO members will learn what was done correctly and what was done
incorrectly^
90
Debriefing Exercise
A. ANALYZING THE PROCESS OF PLANNING THE COMMUNICATION
1. How did the Planning Team organize itself for planning the communication?
2. Was the objective of the planning clear to all members of the group.
3. Did the planners consider the characteristics of the receivers in preparing
the communications.
4. Did the Planners use words and concepts familiar to the Receivers.
5. Did the planners use analogies to help the receiver corrprehend the
instructions.
B. ANALYZING THE PROCESS OF TRANSMITTING THE INSTRUCTIONS.
1. Did the planners organize themselves for effective presentation of the
instructions?
2. Were the instructions comprehensive and complete?
3. Did the Planners
allow for adequate feedback and questions from the
receivers?
4. Were the descriptions of the pieces meaningful? Was the relation among the
pieces clearly presented?
C. ANALYZING THE PROCESS OF RECEIVING THE INSTRUCTIONS.
1. Did the Receivers pay attention to the Planning Group during the
transmission phase.
2. Did the Receivers, ask questions and negotiate the meaning of terms and
concepts during the transmission.
3/Did all members of the Receiver group pay attention and show interest
during the transmission of the instructions.
D. ANALYZING THE PROCESS OF ASSEMBLING THE PUZZLE BY THE RECEIVERS.
1. Did the Receivers organize themselves for systematic problem-solving.
2. Did the Receivers follow the instructions as given to them?
3. Did all members of the Receiver Group participate in the problem-solving
task?
91
Training Guidelines
Because of the nature of the exercise, the training guidelines will parallel the
field guidelines. As usual, the Workshop Facilitator will organize the workshop
participants
in
workgroups.
One
workgroup
can
assume
the
role
of
the
canmuni cators and one group can assume the role of the receivers. As usual, the
workgroups will present their report in plenary session. Following the plenary
presentation, a debriefing session should be held. The debriefing will.follow
the debriefing guideline as presented above.
N.B. The pieces of the hollow square puzzle and the map are not included in the
manual because some of the trainees
participating in the experiment cannot have
previous knowledge of the design. The pieces of the puzzle and the map accompany
the manual under separate cover.
Timeframe.
Facilitator’s Explanation
15 min.
Planning the communication by the Presenters
30 min.
Transmitting and Receiving the Communication
15 min.
Implementing the communication by the Receivers
30 min.
Debriefing
30 min.
Materials
Puzzle of 16 pieces. Map of puzzle, newsprint, markers, and posting location.
Reference Note - Hollow Square. A Communications Experiment. Adapted from:
Pfeiffer, J. William and John E. Jone. Strutured Experiences
For Human Relations Training. Calif., University Associates.
1974
92
Task P
Methods of Leading: Resolving Conflict
RATIONALE
Conflict within an organization can reduce the solidarity and effectiveness of
an organization. In fact, significant conflict can render an organization
incapable of achieving its goals or fulfilling its intended functions, in a
conflict situation, the options are to disband or to attempt to resolve the
conflict, ideally, the most effective conflict resolution strategy
consists of
preventative measures. Nevertheless, the reality is that conflict does occur
within organizations, groups and communities and attempts must be made to
resolve this conflict.
OBJECTIVES
To increase among organization leaders skills in methods of resolving
organization conflict.
To increase among trainees skills in methods of teaching conflict resolution
strategies.
GUIDELINES FOR THE ANALYSIS OF ORGANIZATION CONFLICT
A. The Nature of Conflict
Conflict within an organization is reflected in attitudes and behavior which
interfere with organizational effectiveness and solidarity. Organization conflict
can be hidden (latent) or open. Hidden conflict is reflected in passive
rejection, non-support and non-cooperation among organization members . Open
conflict is reflected in habitual disagreement, personal animosity, caustic
comments, behavioral friction and open confrontation among organization
members. Organization conflict can vary in extent and intensity. Low levels of
conflict may not interfere with the functioning of an organization. High levels
of conflict can stymie any effective organization functioning.
93
B. The Sources of Conflict
Conflict can arise from many and different sources. The following is an
attempt to classify the alternative sources of organization conflict:
1. Lack of awareness, misinformation, communication blocks, misinterpretation.
misleading directions and rumours.
2. Incompatible member needs, beliefs, values, aspirations, traditions, and
ideologies.
3. Mutual mistrust, suspicion, scepticism
confidence and
stereotyping, lack of mutual
perceived threat.
4. Inappropriate organization structures assigning overlapping or inconsistent
member responsibilities, unclear decision-making authority, over-centralized
decision making, and unstructured organization decision making.
5. Formation within the organization of vested interests, cliques, and in
groups for the purpose of gaining control over organization directions
and
activities.
6. Competition among members for scarce organization resources resulting in
inequitable distribution of status, privilege, power, opportunities and
benefits within the organization.
This classification does not exhaust the alternative sources of conflict.
The purpose here is to sensitize the learner to the reality of conflict and its
sources.
C. Alternative Conflict Resolution Strategies.
To some extent, the source of conflict predetermines the strategy which must
be adopted in attempting to solve an organization conflict.The following is an
attempt to classify the alternative conflict resolution strategies according the
source of conflict. Again, the purpose is create sensitivity among learners to
alternatives.
We will designate each source of conflict with the descriptive words used in
the preceding source list.
1. Lack of Awareness and Misinformation
* A One-Way Communication Strategy in which organization information is
transmitted with transparency. and objectivity to members by decision
makers.
* A Two-Way Information Strategy in which organization information is
shared among decision-makers and members through group process ,
94
collegial decision -
making and group problem solving.
2. Incompatible Needs and Beliefs
* A Human Relations Strategy in which members are enabled to express
personal and group needs which might call for modification of
organizational structures and procedures.
* An Integrative Strategy in which higher level beliefs and values are
which supersede the conflicting values and beliefs.
introduced
* A Pre-emptive (preventative ) Strategy in which organization bye-Taws or
authority proscribe the questioning of essential tenets of the organization
such as
religious freedom, ethnic equality, basic philosophical
principles, gender equity or
other.
3. Mutual Mistrust and Suspicion
* A Sensitivity Creating Strategy in which conflicting parties agree to
engage in structured experiences which will generate understanding the
causes of the type
of conflict in question. These experience-exercises do
not address the concrete
problem directly. The primary purpose is the
therapeutic effect on the parties.
* An Awareness Creating Strategy in which the parties are exposed to role
play or socio-drama enactments of the type of conflict in question and its
causes. The enactments do not focus on the concrete problem but on
analogous situations.
4. Inappropriate Organization Structures
* An Organization Innovation Strategy which enables the organization to
define the needs of its constituency or beneficiaries (external or
internal), formulate its
mission, goals and objectives, develop appropriate
strategies and programs and finally, adapt its structures for effective
performance of its organization functions.
5. Formation of Cliques and In-Groups
* A co-optation Strategy in which the leaders of cliques and in-groups are
include in the formal decision-making structures of the organization. The
structure and functions of the formal bodies should be clearly specified.
Moreover, they should represent proportionally the different interests
within the organization. Decision-making must be democratic and
transparent.
95
6. Competition For Scarce Organization Resources
* A Negotiative Strategy
is one in which competing parties attempt to
arrive at a appropriate sharing of resources. The negotiative process is
conducted within an established set of laws or rules which create a so-
called level playing field for the competing parties. In the negotiative
process one or both parties to the conflict
enter into negotiations with
either a problem -solving approach or a win-lose approach. The problem
solving approach is objective and rational. It does not have an
agenda. It defines the conflict problem clearly
hidden
and attempts a mutually
satisfactory solution. The Win-Lose approach, on the other hand, assumes
that one party is going to gain at the expense of the other. If the
parties to the conflict
possess differential power, the stronger party will
probably use his/her power to
gain more. In special circumstances, the
fear of alienating the weaker party to the extent that he/she withdraws
from the overall relationship can dampen the greed of the stronger
party. Because of the possible misuse of power or the creation of a
stalemate, the negotiative strategy involves third-party elements of
mediation, conciliation and arbitration. Arbitration imposes a resolution on
the competing
parties. By previous agreement the competing parties
agree to accept the imposed solution.
*
The Pressure Strategy
is one in which the weaker party to a conflict
is able to generate third party pressure on the stronger party to
achieve more equitable sharing of resources. The pressure strategy takes
the place of the negotiative
strategy where there are no established
rules creating a level playing among the
competing parties. Third party
pressure can come from many sources - from government, public
institutions , the general public and respected leaders depends on how
effective the weaker party is in raising third party awareness and
concern. Generally, the weaker party does this by creating awareness
among the
public concerning the unfairness of the situation, by
participating in sacrificial activities which generate sympathy from
observers, by causing inconvenience for the public which is ultimately
blamed on the stronger party. The stronger party is made to appear
selfish, unjust, and exploitative. This will presumably cause
96
him/her embarrassment and social discomfort. Eventually, the stronger
party will yield.
GUIDELINES FOR RESOLVING CONFLICT
1. Define the nature of the conflict - its extent and intensity.
2. identify the sources of the conflict.
3. Choose one conflict resolution strategy or a combination of several.
4. Define the steps to be followed in planning and implementing the chosen
strategy.
1
WORKSHOP TRAINING GUIDELINES
1. Review the concept of conflict - its nature, causes and effects.
2. Organize participants into workgroups.
3. Instruct the workgroups to solve composite case #3 - Resolving Organization
Conflict.
4. Have each group plan a conflict resolution strategy.
5. Have the workgroups report their strategies on newsprint or transparencies
to the plenary session.
TIMEFRAME
Facilitator's Explanation
15 min.
Workgroup Exercises
60 min.
Plenary Reports
@ 15 min
MATERIALS
Flip charts or transparencies. Screen or posting stations. Markers. Composite
Case 3.
97
RESOLVING
CONFLICT
WITH IN
COMPOSITE
AH
CASE
OROAHIZATIOH
#3
In 1975, a group of 200 Indian farmers in Tamil Nadu state formed a
producers’ cooperative. In total, they own 1,000 acres of land. Ten (10)
farmers own an average of 20 acres, fifty (50) farmers own an average of 10
acres while the remaining 140 farmers own an average of 2.1 acres.
The objectives of the coop were stated as: (1) to increase access to
government programs for land development; (2) to increase access to market
opportunities; and (3) to increase the earnings of the coop members.
The members agreed that the coop would adhere strictly to cooperative
principles. These specify that coop membership is based on ownership of
shares in the coop, that voting is based on ’’one person - one vote” , that
earnings of the coop will be distributed among members on the basis of
amount of business done through the coop with the exception of a limited
amount of earnings allocated to interest on shares, that there will be no
discrimination based on religion, ethnicity, gender, or economic status.
The 10 member board of directors is elected democratically at the annual
general meeting. All members have the right to stand for election. The
board elects it own chair. The board appoints or hires the manager who in
turn hires two part-time staff.
In 1985, the Ministry of Agriculture implemented an agricultural
productivity policy which consisted of production grants to farmers’
cooperatives. In 1986, the Tamil Nadu coop applied for a grant of
Rs.200,000 which it received. The government specified no criteria
governing how the grant would be distributed among the farmers. The coop
appointed a four- member committee which included the coop manager and the
agricultural extension agent to take applications from the members. All but
a few members applied. Approximately 200 grants were made to the members in
equal amounts, that is, larger farmers, median farmers and smaller farmers
received the same amount.
In 1987, the coop applied again and received Rs.200,000. However, for this
year, the comnittee under the influence of the extension agent and one of
the larger farmers on the comnittee, decided that the size of each grant
should be based on the amount of land held by the farmer member. This meant
that each large farmer received Rs.4,000, each median farmer received
Rs.2000, and each small farmer received Rs.450. The smaller farmers protest
but could not reverse the decision.
In 1988, Rs.200,000 was received by the coop again. Because their grant was
so small, many smaller farmers did not bother to apply. This meant the
larger and median farmers received even larger grants.
As a result of this inequitable situation, many smaller farmers dropped out
of the coop. Nevertheless, a smaller group of them decided to remain in the
coop and to resolve the conflict of interest within the coop.
Which conflict resolution strategy would you recommend and how would you
organize it.
.9 8
CHAPTER VI
CAPACITIES OF IOs
ASSESSING AND STRENGTHENING
Up to this point in the manual, the focus has been on forming and
maintaining People’s Organizations. In this chapter, the manual begins to focus
on intermediary organizations
and their capacities
to work with people's
organizations.
According to David Korten (1980), organizations must dynamically
adjust
their programs and structures to the evolving needs of their constituency if they
are to remain effective. His "Best Fit " model calls for a complementarity fit
among an organization's structures, its programs and the needs of it target
constituency. Organizations which succeed in making this dynamic adjustment are
designated as "learning organizations".
In order
to
achieve
the
status
of
a
"learning
organization",
an
intermediary organization must possess the management capacities of planning,
organizing, controlling and leading.
This chapter
will
focus
on the
following methods
of assessing
the
capacities of an IO and methods of strengthening particular management capacities
of IOs:
1. Method of Assessing IO Structural and Program Capacities.
2. Method of Re-Structuring An 10's Program Planning Procedures.
3. Method of Improving an 10’s Staff Coordination Procedures
Other methods of achieving management capacities within IOs will be added
to this chapter. As well, the reader/leamer can re-examine the controlling and
leading functions treated under the Management of POs. They apply equally to
management of
99
Task Q
ASSESSING 10 STRUCTURE AND FUNCTIONS
Rationale
If 10s are expected to enable disadvantaged groups of people to form andmaintain sustainable people’s organizations, it is only reasonable to expect that
10s possess the requisite capacities to achieve this carplex task. The old latin
nostrum is relevant here - ” Nemo dabet quod non habet”.The first step, then, is
to assess the capacities of 10s which are engaged in this process. For this
purpose an assessment method is required.
Objectives
To enable 10 staff to assess the capacities of their own organization.
To develop among trainees skills in methods of assessing 10 capacities.
Methodol ooXca.1
1.
Guidelxnea
Seme member or group within the 10 must take the initiative to have the 10
authority approve an assessment procedure. A research cormittee should be
appointed to head up the assessment.
2.
The research cormittee must decide on which will be the source of data for
the assessment. Preferably, it should be the membership of the 10.
3.
The research cormittee can construct a structured data instrument which
will be employed to collect information from the membership.
4.
The research cormittee can decide on the method of administering the
instrument. It can be self administered by the 10 members, or it can be
administered to individuals by an interviewer or a group interview method
can be used.
5.
Once the data are collected, the research cormittee can organize it for
presentation to the 10. The report can be presented to the senior policy
makers and / or to the general membership. See workgroup output below.
6.
The method for follow-up planning can be the focus of a subsequent task.
100
DATA. INSlW^r G& 10 STiWWRE AND F3CGRAHS
1.
Dees the constitution of the 10 contain stated
following development concepts:
Yes
Yes
Yes
Yes
Focus on disadvantaged groups
Preferential option for women
People’s Participatory Planning
Forming People’s Organizations
ccarmitirents to the
No
No
No
No
D.K.(circle)
D.K (circle)
D.K (circle)
D.K (circle)
2. Dees the 10’s programs actually focus on the following:
Yes
Yes
Yes
Disadvantaged groups
Disadvantaged women
People’s Organizations
3.
Very strong
Very strong
Very strong
Very Strong
Strong
Strong
Strong
Strang
Weak(circle)
Weak(circle)
Weak(circle)
Weak(circle)
Within the 10, is there any separation of decision-making authority
between policy makers and managers?
Yes
5.
D.K. (circle)
D.K (circle)
D.K. (circle)
How strong are the following capacities of the 10 in working with
disadvantaged groups and people’s organizations:
Participatory Program Planning
Organizing Program Implementation
Participatory Program Evaluation
Staff Coordination and Planning
4.
No
No
No
Are there any problems with this arrangement?
No
How is decision-making authority distributed in the 10?
Centralized with the Executive
Decentralized to organization levels/divisions.
Distributed among the general membership
Are there any problems with this arrangement?
6.
How effective are the 10’s ccmrnuni cat ions, internally and externally?
Internal 1 y
____ ________________________
_
Externally______________________________________ ____________________
101
Data Instrument (Continued)
7.
Does the Leadership of the 10 turn over regularly or is it immobile?
Regular turnover
8.
Irnnobile
Problems?
How effective is the 10 in resolving internal and external
conflict?
Internal Conflict
External Conflict
9.
Does your IO use a transparent system of accounting for the use of
organization resources?
Yes
Problems
10
Any
D.K
.........
Are job responsbilities of the 10 staff clearly specified and staff
efforts coordinated for program effectivenes?
Yes.
11.
No
No
Problems?
What is the sustainability record of projects organized by your IO?
100% sustainable;
None sustainable
Training Guidelines
1.
The workgroup participants can be organized as workgroups.
2.
Each workgroup will select an 10 as a case problem. One or more of the
participants should possess directly information on the case.
3.
Each workgroup can develop a set of structural and program criteria for
assessing the capacities of the case IO.
4.
Each workgroup will specify the necessary research operations such as
102
,50% su
5.
Each workgroup can make a summary of problems identified and the provide
and appropriate recommendation.
Workgroup Output (Selected)
Assessment of IO Structure and Programs
Structural Features
Strength/Weakness
Reccmmendaticn
Authority structure
Overcent ra1i z ed
Revise constitution
Transparency in
Accounting
Infrequent and secret
reports
External financial
audit
Leadership mobility
No turnover of leaders
Reform election bye
laws
___
Practice of involving
constituency in
planning programs
Target constituency
excluded from
decision-making re.
planning.
Re-structure program
pl arming procedures
with the 10
Separation of
authority between
policy makers and
senior managers.
Policy making and
management dominated
by IO CEO
Re-define positions of
policy makers and
managers.
Sustainability of 10
programs over 10 years
Only 25 % of the 10’s
programs have
sustained themselves
Increase level of
planning by the target
constituency.
Program evaluation
procedures
Failure to detect
implementation problems
Training of IO staff in
program monitoring
Staff Coordination
Staff roles unclearly
defined and conflicting
Work planning session
within the organization
Timeframe
Facilitator’s explanation
30 min.
Workgroups exercises
90 min.
Plenary presentations
15 min @ workgroup
Materials
Newsprint or transparencies, markers, posting locations.
103
Task R
REFORMING IO STRUCTURES
'.ationale
A basic assumption of this manual is that IOs must possess particular
capacities if they are to be involved in developing corrp lenient ary capacities of
Nemo dabet quod non habet”.
POs. The old latin saying is appropriate here
It
is also assumed that organizations including IOs can initiate, plan and implement
structural and functional changes fran within.
Objectives
To increase among IOs skills in methods of reforming their own structures
for effectiveness.
To increase among trainees skills in methods of enabling IOs to achieve
structural reform.
Field Guidelines
1.
The
first
step
in
initiating reform within an
organization is
the
legitimizing of the change initiative with the senior decision-making body
of the organization.
This can be achieved in the following manner:
* A middle level management staff person takes note of the fact that many
of the projects implemented by the 10 have not survived. On the basis of
this observation,
s/he first
conducts a preliminary appraisal of
situation. Secondly, s/he examines the files on each project.
s/he
interviews
seme
10
staff
who
were
involved
in
the
Thirdly,
planning
and
implementing the projects. Finally, s/he interviews several key informants
in the ccnnunities where the projects were implemented.
* Let us assume that the preliminary information shows that less than 10
percent of the projects have survived over the 10 year period.
* The IO change agent brings this information to the attention of senior
104
decision-makers informally at first. Then s/he writes and presents
a
report to the senior deci si on-making body and reccnrnends that a more
thorough study of the problem be conducted by an internal corrmittee.
* Let us assume that the senior decision-makers agree that a research
project should be carried out. It appoints a research ccmmittee for this
purpose.
2.
The next major step is for the research ccmmittee to organize the research
design and process. This can take the following form:
* The research ccmmittee
can implement a rapid appraisal
survey and
through it identify the target beneficiaries of the projects in questions.
The preliminary data should show the level of failure and seme possible
reasons for the failure.
*
The
research
ccnmittee
can
then
organize
seme
of
the
project
beneficiaries for analysis of the failed as well as successful projects.
Analysis can focus on the causes of the failure and reasons for success.
The study groups can be requested to help with the conduct of a more
systematic investigation.
* The research ccnmittee can then construct a data collection instrument
which will be administered to a sanple of beneficiaries.
3.
The next step is to conduct the research and prepare a report on the
findings. During the conduct of the research, the ccmmittee should inform
institutions and influential who may be interested in the welfare of the
beneficiaries
4.
regarding the research project.
The next step is for the research ccnmittee to present the report to the
senior decision making body for consideration and action. However, before
making the presentation, the ccnmittee should do the following:
* release information beforehand on the findings to sympathetic members of
the decision-making
body so
that
they
will
be
prepared to
respond
positively.
* practice the method of presenting the findings to the decision-makers.
* prepare seme proposed courses of action which the decision makers can
consider.
5.
During the presentation to the decision-makers, the research ccnmittee
should adhere to the following:
105
* the data on the non-sustainability of the projects should be presented
first since this is what precipitated the research.
* the data on the causes of non-sustainability should be presented next
followed by data on associated problems.
* the presenters should answer all question for which they have data.
Where they have no data, they should acknowledge this.
* the presenters should not become involved in arguments with decision
makers who are obviously opposed to change.
* the research team should keep the focus of discussion on possible
solutions for the problem
6.
Let us assume that the senior decision-makers approve constructive action
to resolve the problem of non-sustainability.
The solution might be a
training program for field staff in participatory planning methods.
Training Guidelines
1.
Workshop participants can be organized in workgroups
2.
Each workgroup can choose a known organization as a case study.
3.
For each organization, workgroups can identify a structural problem which
is interfering with the effective performance of the organization.
4.
Each workgroup can develop a change strategy to solve the problem. The
strategy should suggest a sequence of activities which can be planned and
implemented by the IO staff.
Work Group Output
Work group output should specify the following dimensions of the change
strategy:
1.
The organization problem to be solved.
2.
The change objective.
3.
The sequence of activities required to solve the problem
4.
The pros and cons of particular change activities, e.g., releasing
information selectively to sympathetic decision makers before
presentation of the official report.
106
Time Frame
Facilitator’s explanation
20 mins.
Work group exercises
60 mins.
Plenary presentations
15 mins. @ workgroup
Materials
Newsprint, markers, posting locations, writing tables.
107
Task S
A TRAINING PROGRAM IN PARTICIPATORY METHODS
Rationale
When organization decision makers agree to implementing structural
refonn for greater effectiveness, the task now becomes one of developing a
solution for the problem at hand. Hopefully, the decision-makers will give
sufficient freedom to those responsible for selecting the solution and
planning it. As well, we must acknowledge that the creation of skills at the
operational levels of the organization will call for training of the staff
operating at that level.
The alternative to training would be learning by
doing which would require a fair amount of hands on supervision of operation
staff. For instance, the planning and implementing of projects would have to
be supervised and monitored to ensure adherence to correct methodolog.
Objectives
To develop capabilities of IO project staff in methods of people’s
participatory planning and people’s organization.
To increase among trainers skills in training staff in methods of PPP and POs.
Field Guidelines
1. The 10 Board should establish a training unit with responsibility for
organizing and implementing a training program for 10 project staff. The
Training Unit should include should include members of the senior and
middle level management staff.
2. The training unit should obtain the services of an advisor or consultant on
training methods related to the subject in question.
3. The training unit can conduct a preliminary appraisal of the training needs
of the project staff. This can be achieved by reviewing the report of the
Research Corrmittee, by interviewing selected project staff, and by
consulting with selected members of the target constituency.
4. For a more in-depth analysis, the training unit should organize project
staff to obtain their insights with respect to problems encountered in
mobilizing people for project participation. Discussions should focus on
problems experienced in assisting disadvantaged groups to define relevant
108
problems, to choose priority and manageable problems, to form objectives and
expected outcomes, to design action plans and to implement monitoring and
evaluation criteria.
5. When sufficient time has been allocated to general study, the participants should
be asked to rank the problems encountered according to significance. The next
step is to conduct an analysis of each of the more significant problems. This will
involve identifying the negative forces (including lack of skills) which will prevent
solution of the problem. These forces can ranked according to manageability.
Presumable the first negative force to be overcome will be "lack of skills". It will
also be useful to rank the positive forces which will facilitate solution of the
problem in question. This method is called force field analysis. It appears in other
parts of this manual.
6. On the basis of the manageable forces chosen for action, training objectives can
be formulated. The training objectives should specify the skill or skills to be
acquired, the level of achievement, the timeframe and the learners.
7. The training unit can the develop the training schedule. A schedule specifies
timing, content training method and responsible agent. Actually, the schedule can
extend over a 10 day period. It can detail the daily sessions with content and
method.
8. When the workshop plan or schedule is completed, provisions for implementation
must be attended to. This will involve:
* hiring or acquiring training expertise.
* arranging for training facilities.
* recruitment and selection of trainees
* provision for budget.
9. It will be useful for the training unit to do a feasibility assessment of its overall
training plan. This will involve addressing to the plan questions regarding the
adequacy of:
* available training expertise.
* time allotted.
109
* available finances
* predisposition of candidates.
* other necessary resources.
10. The training unit should also establish a monitoring system. This can involve the
appointment of one or more persons not engaged in the training to a monitoring
unit. Basically, the monitoring unit must observe two features of the training
program as it is being implemented. First, are the planned activities of the training
schedule being implemented as planned. Secondly, are the outcomes expected
from each activity being realized. If deficiencies appear either in implementation or
outcome , the monitoring unit must report to the training unit or to the designated
authority for follow-up action
11. Upon completion of the training, the training unit should conduct a terminal
evaluation of training outcomes. Outcomes can be determined in relation to
baselines established at the beginning of the course. For instance, if the training
team determines at the pre-training phases that participants possess no
knowledge of the techniques used in conducting a raped appraisal , this can be
considered as a baseline measure of the skill in question. If at the post training
phase, participants indicate knowledge of these skills, it can be concluded that
they acquired these skills during the training sessions. This constitutes terminal
evaluation in it most simple form.
Training Guidelines
In the case of training trainers of IO project workers, the trainers will have to practice
the procedures necessary to plan and conduct training courses. Guidelines for this
purpose will probably parallel the field guidelines to some extent. Nevertheless, it will b
useful to review some of the relevant methods. These will include:
a) organizing participants in workgroups for practice purposes.
b) selecting trainee candidates from the constituency.
c) formulating training objectives.
d) designing training schedule.
e) organizing implementation of the plan.
no
f) designing monitoring and evaluation methods.
Workgroup Output (selected)
TRAINING SCHEDULE
Day 1. Methods of Assessing Constituency Training Needs
Sessions
Content
Method
Resources
9:00 - 10:30
Construct
Appraisal Method.
Workgroup
Exercise and
Plenary Report
Workshop
Facilitator
11:00 - 12:30
Design Survey
Action Plan
Workgroup
Exercise
Facilitator
2:30 - 4:00
Design Method of
Data Collection
Plenary Group led
by Facilitator
Flip Chart &
Facilitator
4:30 - 6:00
Identify Selection
Criteria
Workgroup
Exercises
Statistical
Advisor
7:30 - 9:00
Workshop
Monitoring
Daily
Management
Team
Flip chart and
markers
Time frame
Facilitator Input
Workgroup Exercises
Plenary Session
15 min.
60 min.
15 min. @ workgroup
Resources
Newsprint, markers, manual, and stand.
in
Task T
STAFF COORDINATION WITHIN AN IO
Rationale
Oie of the four management functions required within an organization is the
coordination of staff effort. The effective inpiementation of a program pl arm
depends on effective performance of staff. Effective staff performance depends
on clear specification of responsibilities for individuals and groups within the
organization. This in turn requires work planning for individuals and groups or
cannittees. Work planning within the organization enables an organization to
prioritize its functions. When accomplished on a collegial basis, it results in
\
mutual awareness and coordination of rstaff functions.
i
Objectives
To
enable an
10
to
achieve
coordination
of
staff
performance
for
organizational effectiveness.
To develop among trainees skills in methods of enabling organizations to
achieve coordination of staff for 10 effectiveness.
Management Guidelines
Work planning and specification can become highly
technical and detailed.
Too many details, however, can lead to lack of focus and difficultieis of
prioritization. For the purposes of this manual, we will try to keep the work
planning guidelines simple and practicaal.
1.
As the first step in work planning, it is necessary to clearly identify
the programs which
the organization is
implementing or intends
to
implement.
2.
Once programs are identified, it will be necessary to consider each one in
terms of its essential elements . These can include the following:
* constituent parts or performance areas.
* activities necessary to implement the performance areas. Activities
should be described in terms of the action to be carried out, the sequence
112
of the activities, the person(s) responsible, the expected outcome, the
timeframe, and target group participation in the activity if this is
#
relevant.
3.
A program may be simple or complex. If it is complex, it will include
several constituent parts or performance areas. For instance, a literacy
program may include several
performance areas:
(1)
training of
the
literacy instructors; (2) the instructional program; and (3) a follow-up
library reading program. Similarly, a micro-enterprise development program
may include the following parts: (1) training of potential entrepreneurs
in micro-enterprise analysis; (2) organization of the entrepreneurs for
project planning and implementation; and (3) program support for existing
enterprises. Finally, a people’s organization program might involve
the
following performance areas:
for
(1) mobilizing disadvantaged peoples
social analysis and selection of manageable problems; (2) forming people’s
organization;
and (3)
strengthening the managment capacities of
new
organizations.
4.
As noted previously, performance areas can be specified in terms of the
activities to be carried out. These can be arranged in chronological
sequence. For instance, the training of literacy instructors can include
recruitment and selection, planning the curriculum, arranging necessary
resources and actual instruction. The organization of micro-enterpreneurs
may involve selection of entrepreneurs, organization of the enterprise,
obtaining input resources, and organizing the market function. It will not
be useful to over-specify the number of activities.
5.
For each activity , it will be necessary to identify the persons or groups
who will be responsible for implementing the activity. These are referred
to as agents. Seme persons and groups can be responsible for several
activities.
6.
Once the responsible agents are selected, a timeframe should be set
for
implementing each activity. The timeframe may be a specific date or a
timespan.
7.
The description of each activity should include seme specification of the
expected outcome. Without becoming too technical, it will be sufficient to
identify observable indicators of the expected activity outcome. For the
I
113
literacy instructor training activity, it will be sufficient to identify
the nirnber of trainees produced.
8.
One final consideration in the organization of an activity is the level of
target group participation in the activity. The agent responsible for the
activity must ensure the desireable level of target group participation.
9.
This type of action plan analysis
of an
organization’s programs
can
contribute to the development, of workplans for individuals, ccnmittees and
the organization as a whole.
several
programs,
their
Because some staff will be involved
workplans
should
reflect
this
in
greater
responsbility. Again, it should be emphasized that too many details should
be avoided. It is even possible that the present guidelines will result in
over-specification.
10.
To achieve a coordinated workplan for the organization as a whole, it will
be necessary for staff to develop workplans on a collegial basis for a
given period of time, e.g., six months. This sharing will provide the
occasion for identifying gaps and overlaps in staff workplans.
Training Guidelines for Work Planning Skills
1.
For
the
purposes
of
practising
work
planning
skills,
the
workshop
participants can be organized in workgroups.
2.
Each workgroup can choose a case-study organization for practice purposes.
3.
The workgroups can identify the programs of the organization, specify the
performance
4.
areas, and identify the necessary activities.
The identified activities can then be described in terms of responsbile
persons, timeframe, outcome expected, etc.
5.
From this review, each persons or group (carmittee) can derive its own
workplan. Integrated work planning can be achieved through sharing of work
plan information
Workgroup Output (See next page)
114
Timeframe
Facilitator’s explanation
Workgroup exercises
Plenary reports
20 min.
60 min.
15 min. @ workgroup
Materials
Tables,
newsprint, markers, etc.
Workgroup Output (Illustration)
Work Plan of Micro-Enterprise Promoter, E. Mamba
Jan 1 - May 31, 1995 ( 100 work days)
MICRO-ENTERPRISE DEVELOPMENT PROGRAM
Timeframe
Performance Areas
Activities
Training Courses (3)
Recruitment
Selection
Curriculum design
Instruction
Outcomes
30 days
60
instructors
Forming the Enterprise
Study alternatives
Draft regulations
Arrange capital
Study market
40 days
Three
enterprises
Advising Existing
Enterprises
Consultations (5)
Travel
20 days
Consultation
reports
Policy and planning
meetings
One per month
4 days
Minutes
Micro-enterprise
conference
Presentati on
Discussion groups
Chair one session
6 days
Conference
proceedings
115
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