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S.Rengasamy
S.Rengasamy - Participatory Programme Planning & Management
Contents
Syllabus: Introduction to Social Entrepreneurship ....................................................................................... 8
Overview of Participatory Project Planning and Management ..................................................................... 9
Introduction ................................................................................................................................................. 9
Terminologies associated with the concept .................................................................................................. 9
Participation, participatory ..................................................................................................................... 9
Project..................................................................................................................................................... 9
Project management and Participatory development (intro) ......................................................................... 9
Beneficiaries and stakeholders ............................................................................................................... 9
Two main approaches to people‘s participation in projects ................................................................... 9
What do project teams need to have? ..................................................................................................... 9
Project Management methodology ............................................................................................................ 9
Overview of Project Management processes ................................................................................ 9
Overview of Project Management Knowledge areas .................................................................... 9
Overview of Project Life Cycle (PLC) ......................................................................................... 9
Overview of Participatory development philosophies and approaches ................................................. 9
Rapid rural Appraisal (RRA).................................................................................................................. 9
Participatory Rural Appraisal (PRA)...................................................................................................... 9
Asset-based approaches (appreciative inquiry) ...................................................................................... 9
Participatory Action research ................................................................................................................. 9
What are the leanings about participatory approaches? ........................................................................ 9
Unit I ........................................................................................................................................................... 10
Concept, Meaning, Importance of Participation ......................................................................................... 10
Box: Principles of Participation .................................................................................................................. 10
Table: Types of Participation in development (I) ....................................................................................... 11
Table: Types of Participation (2) ................................................................................................................ 12
Box: Types of Participation (3)................................................................................................................... 12
Advantages and disadvantages of participation to different stakeholders. ................................................. 13
Core Values for the Practice of Public Participation .................................................................................. 14
Why participation fails? .............................................................................................................................. 14
Administrators & Citizens –Attitudes that affect participation................................................................... 14
Four requisites to achieve proper citizen participation: .............................................................................. 14
Importance of the role of citizens: .............................................................................................................. 15
Nature of People‘s Participation ................................................................................................................. 15
Participation depends upon ......................................................................................................................... 15
Citizen‘s – Administrator‘s Relationships & Participation ......................................................................... 15
Stages of participatory planning ................................................................................................................. 16
Box: Concept of ―Participation‖ & On Beneficiaries & Stakeholders ....................................................... 17
About Projects and People‘s participation: ................................................................................................. 18
How do we understand Participatory Approach?........................................................................................ 18
Concept, Meaning, Types of development projects. ................................................................................... 19
Definition of a project ................................................................................................................................. 19
Categories of projects ................................................................................................................................. 19
Box: Stages in Participatory Learning (1) & Types of Project Planning (2) .............................................. 20
Unit II .......................................................................................................................................................... 21
Project Management Methodology ............................................................................................................. 21
Where does it come from? .......................................................................................................................... 21
Purpose of participatory planning ............................................................................................................... 22
Salient features ............................................................................................................................................ 22
Defining Terminology: ............................................................................................................................... 22
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Helping: ................................................................................................................................................ 48
Informing: ............................................................................................................................................. 48
Methods of preparing a budget: (Steps) ...................................................................................................... 48
Estimation of Financial Requirement ......................................................................................................... 48
Note on Budget preparation: -..................................................................................................................... 49
Foreign Contribution Regulation Act 1976 ................................................................................................ 49
Charter for NGOs / Associations Applying for Grant of Prior Permission / .............................................. 50
Registration under The Foreign Contribution (Regulation) Act, 1976. ...................................................... 50
Salient features of Foreign Contribution Regulation Act, 1976 ................................................................. 50
Need for Foreign Contribution Regulation Act, 1976 ................................................................................ 51
Foreign Contribution................................................................................................................................... 51
Foreign Source ............................................................................................................................................ 52
Box: Getting Foreign Contribution ............................................................................................................. 52
Who cannot accept Foreign Contribution? ................................................................................................. 52
Types of permission .................................................................................................................................... 53
Registration ................................................................................................................................................. 53
Reasons for rejection of Registration Applications .................................................................................... 53
Must dos for the registered associations ..................................................................................................... 53
Box: Indian Diaspora‘s opinion on FCRA .................................................................................................. 54
Prior Permission when required .................................................................................................................. 54
Essentials of prior permission ..................................................................................................................... 55
Penalties ...................................................................................................................................................... 55
Role of Banks.............................................................................................................................................. 55
Bilateral Development Assistance Preferred Bilateral Partner Countries .................................................. 55
Preferred Areas for Bilateral Development Assistance .............................................................................. 55
Procedure for clearing the proposals ........................................................................................................... 55
Receipt of Foreign Contribution ................................................................................................................. 56
Amount wise break-up of foreign contribution received by reporting associations ................................... 56
Issues in the Functioning of NGO‘s ............................................................................................................ 57
Accountability ............................................................................................................................................. 57
Accountability – Authority – Responsibility: ............................................................................................. 57
Efficient Use of Resources.......................................................................................................................... 57
Administrative Accountability .................................................................................................................... 57
Why accountability? ................................................................................................................................... 58
Administrators are guilty of ........................................................................................................................ 58
Box: Defining Financial Accountability ..................................................................................................... 59
Accountability is achieved through [control mechanisms] ......................................................................... 59
External system controls: (people).............................................................................................................. 59
The key principles of NGO Accountability ................................................................................................ 60
Accountability is determined by ................................................................................................................. 60
Methods to improve the Administrative Accountability ............................................................................. 60
Methods to improve accountability............................................................................................................. 61
Regulatory Authorities ................................................................................................................................ 61
Administrative Accountability .................................................................................................................... 61
Concept of Administrative Accountability is culture oriented ................................................................... 62
Accountability is achieved thro................................................................................................................... 62
Box: NGOs and Financial Accountability .................................................................................................. 62
Responsibility to the Legislature: ............................................................................................................... 62
Conduct & Discipline: ................................................................................................................................ 62
Accountability is established thro‘ conduct rules ....................................................................................... 62
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Box: ............................................................................................................................................................. 63
Unit V ......................................................................................................................................................... 64
Project Monitoring ...................................................................................................................................... 64
Methods and Techniques of monitoring projects / Programs ..................................................................... 64
Purpose of Monitoring: ............................................................................................................................... 64
Steps in Monitoring: ................................................................................................................................... 65
Indicators for Monitoring:........................................................................................................................... 65
Methods / Techniques of monitoring. ......................................................................................................... 65
Evaluation ................................................................................................................................................... 65
Meaning, Objectives, Scope, Principles, Functions, and Methods of Project Evaluation. Types (internal /
external) of Evaluation. A guideline for evaluating Projects ..................................................................... 65
Meaning of evaluation: ............................................................................................................................... 65
Evaluation primarily perceived from three perspectives. ........................................................................... 66
Areas of evaluation: .................................................................................................................................... 66
Purpose: ................................................................................................................................................ 66
Programs:.............................................................................................................................................. 66
Staff: ..................................................................................................................................................... 66
Financial Administration: ..................................................................................................................... 67
Box: Stages in Evaluation. ................................................................................................................... 67
General: ................................................................................................................................................ 67
Purpose of Evaluation: ................................................................................................................................ 67
From an accountability perspective, ........................................................................................................... 67
From a knowledge perspective: .................................................................................................................. 67
Principles of Evaluation: ............................................................................................................................. 67
Stages in Evaluation. ............................................................................................................................ 67
1. Program Planning Stage. ............................................................................................................ 67
Program Monitoring Stage :........................................................................................................... 67
Box: Steps in Evaluation:............................................................................................................................ 68
Types of Evaluation: ................................................................................................................................... 68
Evaluation can be categorized under different headings ...................................................................... 68
A) By timing (when to evaluate) .......................................................................................................... 68
Formative Evaluation ........................................................................................................................... 68
Summative Evaluation ......................................................................................................................... 68
B) By Agency. Who is evaluating? ..................................................................................................... 68
By Stages .............................................................................................................................................. 68
Internal / External Evaluation:.............................................................................................................. 68
Internal Evaluation: (Enterprise Self Audit) ........................................................................................ 68
External / Outside Evaluation: (This is done by outsiders /Certified Management Audit) ................. 68
Box: Five strategic M&E questions to manage for impact .................................................................. 69
Methods of Evaluation: (Tools / techniques) ............................................................................................. 69
First hand Information: ............................................................................................................................... 69
Formal / Informal periodic Reports. ........................................................................................................... 69
Project Status Report: ................................................................................................................................. 69
Project schedule Chart: ............................................................................................................................... 69
1) Project Financial Status Report: ............................................................................................................. 69
2) Informal reports: ..................................................................................................................................... 69
3) Graphic presentations: ............................................................................................................................ 70
4) Standing Evaluation Review Committees: ............................................................................................. 70
5) Project Profiles: ...................................................................................................................................... 70
Participatory Monitoring and Evaluation .................................................................................................... 70
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Unit I
Unit I
Concept, Meaning, Importance, Types of Participation in development. Advantages and disadvantages of
participation to different stakeholders. Role of Government and Non Profit Organizations in promoting
participation. Concept, Meaning, Types of development projects.
Principles of Participation
1. People are experts in their lives, others learn from them.
2. Participatory work tries to include everyone relevant to the activity. It includes include voices and ideas that
may not normally be heard.
3. In good participatory work people take ownership of the process that is developed together with others from
many different backgrounds.
4. Participatory work follows cycles of learning- each step helping to form the next step.
5. Participatory work requires people to be self-reflective. Practitioners continuously examine and develop their
practice.
6. Participatory work is rigorous and ethical. Participants continuously check their work and design ways of testing
the process and the findings.
7. Participatory work should lead to action.
8. Good participatory work should recognize the role of power in relationships and seeks to lead to empowerment
of those disadvantaged by the present situation
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Administrators Citizens
Callousness, aloofness, haughtiness, Ignorance, indifference, Reluctance fear &
Suspicion and resentment of administrators recrimination
towards citizens requests of demands Sympathetic understanding of the limitations
Administrators properly respond to the needs & Low percentage of enlightened citizens
demands of the public High degree of parasitic dependence
Extraneous influences affecting the day to day citizens non- interest in acquiring knowledge
administration about govt.
Delays in the formulation of policies -universality
of low standard of conduct in public life
ability - low prestige brings about subservient administration, high prestige value – result in
despotic administration.
Importance of the role of citizens:
Citizen participation is a slow process: takes time to get consensus – to compromise –
sometimes it may look like incompetence – but it is better to have faith in democracy or
otherwise requirements of speedy development may destroy the democracy.
People‘s participation means politicization- this in the form of organized groups helps in
policy making & implementation
Nature of People’s Participation
CD Program – economic & social regeneration. PR – democratic decentralization
Constitutional Amendment to guarantee participation & representation
Social Auditing – Public hearing – Environmental Impact Analysis – Stakeholders
consultation
Promotion of Promotion of NGO‘s & Civil Society Organizations / Co- operatives
Program of worker‘s education
Creation of a large number of advisory bodies
Participation depends upon
1. Size of the country
2. Political culture and extent of social awareness
Citizen’s – Administrator’s Relationships & Participation
Development process distributes patronage & favors–enlightened approach of co-operation
between politician & administrators is needed
Non interference in day to day administration
Understanding the complex task of resolving conflicts and cooperating whenever necessary
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1 2 3
Stage One Stage Two Stage Three
Understanding Understanding Community policy
among among community updated
members
community Community norms
members converted into
established
community policy
Cohesiveness Local resource
Cohesiveness
Local resource diversification
over individual
identification started
interest
Self-initiated SIA become a part
Local resource
activities (SIA) of community
utilization started
started More activities
SIA regularized
Some activities with community
More activities
The with community
ownership with community
ownership
ownership
Stage Five
Community policy 5 Stage Four
Community policy
established
Strong civil society
refined 4
Feeling of civil
established society consolidated
Local resource base Local resource
established pattern consolidated
SIA sustained SIA replace service
More activities with sectors
Community More activities with
ownership community
ownership
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Methodology Project Life Cycle; RBM, Project Participatory planning, Appreciative inquiry,
management (scope, time, cost, HR, ABCD, PRA, RRA, etc. Interactive
risk, etc). Managerial
Definition of a project
1. Programs / Projects are tools to achieve the plan goals.
E.g. Plan goal – Removal of poverty. Plan tool – IRDP, JRY, TRYSEM etc.
2. A project is an investment of resources in a package of interrelated time found activities. Thus
a project becomes a time found task. A Project should have definite beginning and an end.
3. A project can be defined as a scientifically evolved work plan devised to achieve specific
objectives within a specific period of time.
4. An activity (or, usually, a number of related activities) carried out according to a plan in order
to achieve a definite objective within a certain time and which will cease when the objective is
achieved.
5. A collection of linked activities, carried out in an organized manner, with a clearly defined
start point and end point to achieve some specific results desired to satisfy some clearly defined
objectives.
6. A group of activities that have to be performed in a logical sequence to meet pre-set objectives
outlined by the client.
7. A project is a temporary endeavor involving a connected sequence of activities and a range of
resources, which is designed to achieve a specific and unique outcome and which operates within
time, cost and quality constraints and which is often used to introduce change.
Categories of projects
Categories of projects
Based on levels Based on time Based on the purpose
Centralized Normal Experimental
Decentralized Crash Pilot Production / Service.
Partially decentralized Disaster
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Box: Stages in Participatory Learning (1) & Types of Project Planning (2)
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Unit II
UNIT II
Steps in Participatory Project / Programme Planning. Identification of needs –Determining
priorities – Assessing feasibility – Specifying goals and objectives – Identifying preferred solution –
Preparing Action Plan. Using appropriate PRA/PLA tools in each step.
Project management is a discipline that has evolved into very specific and detailed processes
mostly adopted to meet the systems needs for complex situations, and to integrate multiple
disciplines. Highly technical sectors (Aerospace and Defense) and government sector originally
started using Project management systems systematically in the 1940s. The private sector, in
high technology sub-sectors (construction, engineering, computers and electronics) started
adopting Project Management systems in the 1960s.
The informal sector and social services started later to recognize the value and use Project
management concepts and techniques for project
planning and implementation. Many concepts have Project objectives define target status at
relevance to any sector and are useful to help the end of the project, reaching of which is
organize human activity that aims at creating a considered necessary for the achievement of
product, a service or effecting a change. But the planned benefits. They can be formulated as
―participation‖ notion, earmarked by social S.M.A.R.T.
• Specific,
science, is not mainstreamed in Project
• Measurable (or at least evaluable)
management as we understand it. We will attempt achievement,
to integrate better the notion of participation into • Achievable (recently Acceptable is used
the project management principles and the project regularly as well),
cycle. • Realistic and
• Time terminated (bounded).
Project Management is the application of The evaluation (measurement) occurs at the
project closure.
knowledge, skills, tools, and techniques to project
However a continuous guard on the project
activities to meet the project requirements. progress should be kept by monitoring and
evaluating
It boils down to a set of technical parameters,
clusters of processes and steps in view of achieving a result. It is comprised of tasks and
activities, grouped in phases under what is identified as ―Project Life Cycle‖. Each phase
completion is assessed before moving to the next phase. The project management process
includes properly ‗closing‘ the project.
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Salient features
The planning process should produce two sets of results:
1. In the short term, the tools of participatory planning should generate a two‐way learning
process, which will shape project interventions to local needs, opportunities and constraints.
2. In the long term, this learning process should lead to local empowerment and effective
support at the institutional level.
These are considered preconditions for strengthening both institutional capacity for decentralized
planning and local planning capacity.
Defining Terminology:
Understanding Project vs Program vs Operations
project
One Objective, A wide range of activities Multiple Objectives, regular
Objecti
specific set of limited regrouped under large maintenance and operating activities
activities scale strategies related to core business of the
ves
organization
Aimed at creating a Aimed at creating Aimed at maintaining and growing
Purpose
broader role)
defined, adopts a course ways over time based on changing environment and
until its termination changes in the technology
phase: changes only in environment
project parameters
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Success completion of phases and the long term, on of organization‟s progress, reports on
ent of
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Initiate
Close-
out
Plan
Control Execute
PSA/JGV, 1997.
Processes Dynamics:
Project Management’s Knowledge areas
There are 9 “knowledge areas” recognized in project Management: those areas all integrate in
any project; they all have to be taken into account in the design of the project though they don‘t
necessarily have the same weight in each and every project:
Scope management—―the processes required to ensure that the project includes all the work
required, and only the work required;‖
Time management—―the processes required to ensure timely completion of the project;‖
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cost management—―the processes required to ensure that the project is completed within the
approved budget;‖
Quality management—―the processes required to ensure that the project will satisfy the
needs for which it was undertaken;‖
Human resource management—―the processes required to make the most effective use of
the people involved with the project;‖
Communications management—―the processes required to ensure timely and appropriate
collection, dissemination, and storage of project information;‖
Risk management—―the processes concerned with identifying, analyzing, and responding
to project risk;‖
Procurement management—―the processes required to acquire goods and services for the
project implementation;‖
Integration management—―the processes required to ensure that the various elements of
the project are properly coordinated.‖
INITIATE
PLAN
DESIGN
IMPLEMENT
EVALUATE
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In that context and along that philosophy, ultimately, the agenda for development would be
driven by the people themselves, and the agencies or any outsiders claiming to support the
development process (researchers, NGOs, extension workers, etc) would in fact be acting as
Facilitators of this process in the community.
The concept of participatory research and how it was applied was mostly in a perspective of
social activism and in view of political action to benefit the under privileged, the marginalized
and the poor people.
In the years that followed, the notion that any development and social research process can
benefit from being participatory, came about in the area of Applied Anthropology where research
methods focused on valuing more the local knowledge and culture, the understanding of people‘s
behaviours and attitudes through taking the time to observe, engage and establish a rapport,
rather than acting as ―collectors of information‖.
In the 1970s and 80s, the concept of participatory approaches evolved along those lines, as
approaches to involve communities, create profound links between ―outsiders‖ knowledge and
peoples lived realities , support the need to build awareness on and about the rich indigenous
knowledge and experience, and support the process of analysis by people themselves and self-
driven development action. It moved from the attitude that we need to ―change‖ people, to the
attitude that change can happen without being ―prescribed from the outside‖ but rather,
stimulated within communities through real engagement, conversations, dialogue and
stimulating facilitation.
Principles of Participation
Key principles of participation have been named (Egger and Majeres, 1998) as:
Inclusion; of all people, groups, representative, affected by a project
Equal partnership; everyone brings capacity, equal right, skills to the process
Transparency; climate of open communication and building dialogue
Sharing power; avoid the domination of one group over the other,
Sharing responsibility; all have equal responsibility for outcomes and decision
Empowerment; encouragement of people with skills to apply them, mutual reinforcement and
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RRA means:
Rural people look at and assess their own problems, spell out their own issues;
People themselves set their own goals
They define their plan for action based on their chosen objectives
They monitor their own achievements
RRA has been applied to rural livelihoods, health, nutrition, emergencies and disasters, water,
food production and is used intensely in marketing systems. RRA uses a range of simple
techniques to gather a summary picture of a community‘s situation, issues, problems and path to
improvement. It can be used for research, for project decision, for programming directions, for
needs assessment among others, but mostly as a basis for project planning. It is shorter than
traditional social research methods (weeks instead of months or years), it is cheaper, and targeted
(using sampling that are of high relevance). For instance, relying on multidisciplinary teams
rather than individuals.
RRA techniques
Interview of individual, household, and key informants in and around the community
Methods of cross-checking information from different sources (triangulation)
Sampling techniques that ensure quick access to result and information, adapted to an objective
Group interview techniques, including focus-group interviewing
Collection of quantitative data directly and by many means
Direct observation of physical site, set-up, environment, infrastructure, behaviors, etc.
Chambers cites the main biases of rural development tourism as being: spatial (urban-tarmac-and-roadside
biases, that is going only to easily accessible places), project (neglecting non-project areas), personal
contact (meeting the less poor and more powerful rural people, men rather than women, users of services
rather than non-users, and so on), dry season (travelling in the post-harvest or post-rainy season, when it
is easier) and politeness-and-protocol bias (lack of courtesy and convention, lack of adaptation to local
conditions, shortage of time, etc.). Source: Cited on the FAO website, www.fao.org
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PRA approach is used at multiple stages and for multiple functions, not only for ―needs
assessment‖ of project identification phase. PRA techniques serve well to a wide range of
situations. The main principles are respect, capacity to listen and learn without prejudice,
accepting to step back and work as a catalyst in the facilitators‘ role, letting the people lead and
decide on the directions they want to take. It is also useful as a means for monitoring and
evaluation. The approach started to be used in rural settings but has also been used in urban
settings. It is an approach for shared learning between local people and outsiders. Though there
are many possible tools within PRA, it is recommended to use the more ―neutral‖ tools first,
while working to establish a solid rapport and trust with the community, then to use tools that the
community would have some reluctance in sharing information about, such as wealth ranking,
livelihoods revenues, etc.
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Dia & Box: PRA Tools for various phases & purposes
Experience
Brain storming
Cause effect Diagrams
Mind Mapping
Social & Resource mapping
Experimentation
Seasonal Diagrams
Visioning
mapping
Reflections
Action /Implementing Exploring Semi structured Interviews
Wealth Ranking
Conceptualization
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Asset-based approaches
Appreciative Inquiry
Appreciative Inquiry emerged in 1990 (David Cooperrider, Case Western Reserve University) as
a response to the disempowerment that needs-based approach to communities create. In the years
following the adoption and development of participatory approaches, there had been more and
more attention paid to local knowledge, local strengths, assets, institutions and skills.
Appreciative inquiry turns the lens on valuing the skills that exist in people (helping them to
recognize them); the conditions and factors that trigger success among individuals and groups;
helping identify and build on individual and collective group capacities; and on mobilising
resources from within (harvesting first what is there, before seeking resources outside), to
achieve the ‗dream‖. It leads to the building up of community action plans, through a process of
positive inquiry and stimulus.
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successful community-driven initiatives have taken place with limited outside intervention.
These endogenous activities seem to take place through self-guided leadership, with citizens
rather than institutions at the centre of the development activity, and in communities that
are able to recognize and use their strengths, skills, capacities, social, financial and human
capital, as the building blocks of their own development. They are successful, on their own
merit, and get support from external agencies that play a catalyst and bridging role, helping to
facilitate and resource the community process rather than drive it.
ABCD has been called a philosophy, an approach, a method, a tool, and it is a bit of all but
nothing static. ABCD is grounded on the philosophical principle of communities, groups, people,
being ―in charge‖, making decisions and drawing action plans to improve their life. It uses a
range of methods and tools that are also used in PRA, PLA and CA approaches, and in some
cases, adapts existing tools to better suits the local context. The Coady International Institute
has been an important proponent of ABCD around the world, and has translated it into a
practical experience in Ethiopia, in partnership with Oxfam Canada, since 2003.
The Capability Approach (CA)
The Capability Approach was developed by Amartya Sen (―Development as Freedom, New
York:Knopf, 1999) to help conceive and share the principles of a foundation for human
development that includes ―participation, human well-being and freedom as central features of
development‖
In this approach, Sen clearly spells out that economic growth is the means of human well-
being rather than the end, as the traditional economic growth approach tends to believe and
promote; and that development work should expand people‘s capabilities and freedoms to
achieve what they value.
In this approach as well, people are active participants and agents of their own development. The
approach considers differences of values, positions, in groups. It includes tools to bring
awareness to disparities (race, gender, age, class and others) between people, communities and
nations. It is grounded on the belief that people cannot get to emancipation if subjected to other
external forces to make decisions for them, and that the process of community empowerment
resides with people gaining confidence, capacity and will remove themselves from
“unfreedoms”.
In this approach, participation is put ―at the centre of development‖.
Different twists to the definition of Participation:
Matching the Different PRA Tools for Each Step in the Project Cycle
Matching the Different PRA Tools for Each Step in the Project Cycle 6. Monitoring
& evaluation
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organized by stakeholders
Participatory
themselves. The position of the
Advising
Modeling
techniques as the goals may be
defined differently by different users. Citizen Juries
Participatory
Stakeholders each have different Planning
information and perceptions of an
Consensus
issue. In looking a the impact of Conferences
climate change in an area and how
people might adapt local people
have valuable knowledge about the Reaching Consensus
locality, the history, who are the
most vulnerable and how they have
coped in the past. Scientific knowledge is needed e.g. in the case of arsenic contamination in
Bangladesh. Scientific techniques were required to identify the problems and knowledge of the
geology of the land but it was human factors that made the problem. Understanding these human
factors, and lay people‟s perceptions of the problem, will lead to the solution.
Glicken, identifies 3 types of information:
Cognitive: based on technical expertise, presented by scientists in factual arguments about issues
such as the extent of damage, methodologies
Experiential: based on personal experience and common sense
Values-based: based on perceptions of social value, moral codes, the „goodness‟ of a particular
activity
The process of stakeholder participation does not substitute lay knowledge for scientific knowledge
but uses them differently. Citizens, interest groups and business, for example, are participants who
express values, preferences and contribute to the non-scientific knowledge. Representatives of
governmental institutions and scientific experts are not always actively involved in the process. Their
roles differ according to the techniques used. For example by providing information via a report or
testimony or being actively involved in the discussions as full participants.
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Unit III
Unit III
Administration of the Project. Concept, Professional management Techniques to promote
participation. Stakeholder Analysis - Force field analysis - SWOT Analysis – PERT & CPM, Logical
Framework Analysis
Also relevant to UNIT-II Introduction to Social Entrepreneurship
Professional Management for social enterprises -Meaning, Need and its Importance Approaches to
Professional Management
1. Overlapping, conflicting and competing organizations within the voluntary sector where
system in composed of unrelated and conflicting parts. It is not possible to manage voluntary
organizations program coherently no administrative structure can execute it.
2. Widely scatter funding mechanism with little control over the costs. Many voluntary agencies
have little idea of the true cost of some of their facilities or services.
3. Decision on the mixture of facilities and services without reference to the needs of the people
and with no information about those who use / why do not use the services. Voluntary agency
management thus tends to be based on currently met demand, not on proper planning and need.
Professional management techniques can solve these problems to some extent.
Professional Management is a set of procedural steps, which may be loosely stated as embodying
a multiple idea content and which are either concerned with decision – making in general or with
decisions relating to planning, organizing or controlling of human and / or other resources with a
view to achieve the specified objectives.
Professional management
Professional management has the following features:
1. Professional Management is a set of formal steps. This is basic to any management process.
Procedural or formal steps lead to ―Systematic‖ approach which has been the highlight of any
scientific method. The systematic approach is that of analyzing a problem, evolving alternatives
and selecting one from amongst them, finding the most suitable, after evaluating and studying
the implications of all the alternatives.
2. Professional management has multiple idea content. They do not have a single idea, but a
number of them, through related ones.
3. It helps in decision making in general
4. Professional Management gives the idea of efficiency like
a. Economy of effects in terms of money and other resources
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b. Speed
c. Quality
d. Stability
e. Aesthetic or rhythmical approach.
5. Professional Management in consistent in its results.
1. Detection (to find our discovering something e.g., What is happening or what is wrong?):
We can include such techniques here as Input – Output Analysis, Attitude Survey, Production
Study, Activity Sampling, Critical Examination, Break-even Analysis.
2. Evaluation (to measure or estimate the value of an item): We can include such techniques
here as job Evaluation, work measurement, Work Estimation Performance Appraisal, Cost
Benefit Analysis.
3. Improvement (to improve performance): We can include such techniques here as
management by Objectives Method Study, Value Analysis etc.
4. Optimization (to Optimize Performance): We can include such techniques here as linear
Programming, Ergonomics operation Research etc.
5. Specification (to specify a desired value or situation or action): Here we can include such
techniques as Strategic Planning Office and Plant layout, Designing etc.
6. Control: Here we can include such techniques as Cost control, Credit control, Labor Control,
Inventory Control, Production Control, Budget Control etc.
7. Communication: (to communicate information): Here we can include such techniques as
Incentive Schemes, Visual Aids, Suggestion Schemes, Report Writing, Communication Theory,
Information Theory, Management Information, etc.
8. Demonstration (to demonstrate something): Here we can include such techniques as
Programmed Learning, Job Instruction, Management Development and Training, etc. This
achievements criteria tells us that these techniques can help us in discovering of finding
something is evaluating the performance, in improving the performance, in optimizing the
performance, in specifying a desired value or a situation in controlling a variable, in
communication or in demonstration. The management techniques can also be classified in terms
of the various resources of any organization.
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bodies or in private firms who are asked to advise administrators or managers on the question of
organizations and method so as to increase the efficiency of work for which they are responsible,
either by providing a better service, or a cheaper one or both
5. Performance Budgeting
It is one of the cardinal tools of financial management to facilitate better programming, decision
–making, review and control. It is defined as a comprehensive operational document conceived
presented and implemented in terms of programs, projects and activities, with their financial and
physical aspects closely interwoven.
6. Ratio Analysis Techniques
It is another technique of financial management to serve as a guiding force in determining the
trend of performance over a period of time. Ratio analysis aims at taking intelligent decisions by
comparing and measuring the current and past achievements with regard to profitability,
solvency, effectiveness and efficiency of the organization.
7. Financial Accounting
This technique is used to interpreting the financial conditions and operations of an organization.
In simple words, financial accounting is described as the art of classifying, recording and
reporting significant financial events to facilitate effective economic activities.
8. Cost Benefit Analysis (CBA)
This technique is designed to consider the social costs and benefits attributable to the project.
The benefits are expressed in monetary terms to determine whether a given program is
economically sound, and select the best out of several alternate programs. Its advantage lies not
in making decision making simpler but in its possibilities for systematic examination of each part
of a problem in hand, for putting diverse decisions on a per and following logical sequence.
9. Cost Effective Analysis
It is a more promising tool than Cost – Benefit Analysis. It is similar to do the later except that
benefit instead of being expressed in monetary terms, in expressed in terms of results achieved.
10. Quantitative Techniques
The quantitative techniques are those which are increasingly being used in almost all the areas of
management for studying a wide and varied range of problems. For example linear programming
is used to solve resource allocation problems, decision theory is used to select the best course of
action when information is given is probabilities, games theory determines the optimum strategy
in a competitive situation, simulation is used to initiate an operation or process, and index
numbers facilitate in measurement of fluctuation in prices volume, economic activity or other
variable over a period of time relative to a base.
11. Electronic Data Processing (EDP)
The rationale is using this techniques is to reduce the manpower required, the time taken for a
given process and to reduce the possibility of error.
12. Management Information System (MIS)
This technique is tailored to provide such information to the decision makers which are most
relevant, accurate, complete, concise, timely, economic, reliable and efficient. A good
information system provides data for monitoring and evaluating the programs and gives the
requisite feedback to the administrators and planners at all levels.
13. Program Evaluation and Review Technique (PERT)
It emphasizes the efficient performance of a project. In the simplest form of PERT, a project is
viewed as a total system and consists of setting up a schedule of dates for various stage and
exercise of management control, mainly through project status reports, on its progress.
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UNIT IV
UNIT IV
Financial Management of the Project. Preparation of Budget. Financial Management tools to
improve the transparency and efficient utilization of resources. Statutory rules and regulations
related to Auditing, IT regulations and FCRA procedures.
Also in UNIT-111 of Introduction to Social Entrepreneurship
Mobilizing and managing capital for social enterprises. Aid Agencies –Government, Private, Corporate
and Community Support. Venture capital for social enterprises. Financial Accountability. Methods to enforce
accountability - Auditing and submitting returns. Foreign Contribution Regulation Act and other
relevant procedures.
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Types of Grants:
*One Year Grant *Plan Period Grant *Maintenance Grant*Development Grant*Non recurring /
Capital Grant *Discretionary Grant *Grants for Innovative and Experimental
Projects*Administrative Grant *Grants for Meeting Deficit *Grants for Appointing Staff
Keeping in view the virtues of voluntary agencies (human touch, dedication, flexibility, nearness
to the community) and the problems faced by them in raising enough funds to carry out their
programs, it was decided to support the voluntary organizations with necessary funds in the form
of grants –in – aid. Grants – in – Aid was also not a new concept in the past. It was
discretionary and sporadic in nature. Govt. decided to make it as a permanent feature, that too
not through a govt. department but through an autonomous body.
Fundraising Campaign –I
To collect funds from regular sources such as getting grants from the government, subscriptions,
creating endowments, fees, and interest from endowments one need not resort to campaign
tactics, If the agency wants to tap from sources other than regular, say it form public, it has to
organize a fund raising campaign.
A fund raising campaign is a highly organized undertaking. Fund raising campaign is based on
five general principles.
1. Skilled planning and direction
2. Compilation, efficient distribution and constant control of a sufficient number of prospect
cards (i.e. appeals)
3. Organized use of large number of volunteer solicitors (canvassers)
4. The largest amount of publicity
5. A short and specific period to complete the work.
Planning the Campaign
Preparing the Budget Preparing a list of Forming a fund raising Selecting volunteers
Patrons committee[FRC]
Amount required Enlist their support Prepare a prospect Orientation training
Cost of fund raising Ask them to appeal Determine the strategy Assignment of quotas
campaign [FRC] i.e. Methods & Duration and prospect cards
Campaign supplies
Solicitation of Prospects /Collecting fund
Review meeting /Dealing with Campaign Crises
Big Gifts Receiving / Recording / Auditing Sundry Collection
Campaign mop up / Dinner / Award / Appreciation
Evaluation of the Campaign
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Methods of Collection
Fund raising is not an easy task. It requires the services of trained and experienced personals.
The agency has to spend a lot of time in collecting funds relegating its regular services. Even if
the agency can spare time and personals, there is no guarantee that the public will make positive
response. The prospective donor may also irritated, if too many organizations appeal to them
for funds. At times, the cost of the campaign may exceed the collections made during the
campaign. So, to solve the problems connected with the individual agency‘s attempt to raise
funds, innovative methods are being adopted. These methods are variously called as community
chest / joint budgeting, united fund / federated financial campaign etc. The main feature of these
methods is to raise funds collectively and appropriates it on the basis of already agreed upon
terms and priorities.
Community Chest:
The idea of community chest was first conceived in 1913 in Cleveland USA. A community chest
is a co-operative organization of citizens interested in fund raising for welfare work and
voluntary agencies needing the communities‘ financial support. Its main functions is to raise
money through the community and distribute it according to a systematic budget procedure and
to ensure more co-operative planning, co-ordination and administration of the community‘s
social welfare services. Community chest is not an adhoc organization, but a permanent agency
to raise funds for continuing services.
FUNDRAISING - II
Many community organisations need to raise funds to be able to continue their work in the
community or to carry out special projects. Seeking funding is one of the most important tasks
facing these organisations. For a number of them it‘s also a difficult task.
This material will give some tips on how to go about successfully raising funds, from how to
create a fundraising plan through to completing grant applications. A lot of what is covered can
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Fundraising plan
The most important step in successful fundraising is to have a plan. You need to take time to
think through strategies for achieving that plan. Also set a timeline and break down tasks into
manageable pieces.
Producing a fundraising plan involves the following 3 steps:
1. First Step
• Identify the purpose of obtaining funds.
• Check whether fundraising is really necessary – consider what’s available now and whether there are
other ways of achieving what you want e.g. does another group have the equipment that you could use?
Rather than money, could you get a donation of a service or item instead?
• Think about whom will gain from the fundraising e.g. will your target group benefit?
Once Decided to Raise Funds
• Establish a fundraising committee
• Describe the exact purpose for raising funds
• Set a budget
• Set goals
• Build a fundraising pyramid (see picture)
Fundraising Pyramid
• List the other (non-monetary) resources
needed
• Build a fundraising team
• Consult
• Evaluate (and choose) your funding options
(see ―Funding Options‖ below).
• Know how to account for any funding you
might receive
• Develop your strategies (including a timeline)
to put your final plan into action.
Funding options
Local Fund Raising Activities
• Food and entertainment
• Sales
• Money for labour
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• Sponsored activities
• Exhibitions or demonstrations
• Community services
• Competitions
Donations
Donor-donee relationship
Business sponsorships
Sponsorship Strategy
A sponsorship strategy involves:
• identifying activities suitable for sponsorship
• writing a clear summary of and budget for the proposed activity
• identifying potential benefits for the sponsors
• establishing the value to the sponsor
• identifying potential sponsors and selecting who you will approach
• writing the sponsorship proposal
• approaching the sponsor
• follow up with the sponsor.
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Begetting
BUDGETTING
MEANING
Request
Source / material Assessment
from
for budget
BUDGET Forecasting
various
preparation Guidance
heads Steps PURPOSE
Helping
Informing
Indicates the financial conditions of the agency during the coming year.
Indicates the distribution of funds for certain definite welfare services.
Indicates the proposed expenditure for a specific period, and the purpose and the proposed
means of securing the income required.
Is a basic means of controlling the programs as well as funds
It is the program of work of the agency expressed in rupees and paise.
Definition of a budget:
Budget means formal quantitative statement of resources allotted for planned activities
over a stipulated period of time.
Future plans if it is expressed in quantitative numerical terms are called as budget.
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Receipts Payments
Average of the last 3
current year
Budget Account Head Budget Account Head
Budgeted
Budgeted
Actual
Actual
years
years
Grants Recurring
Donations Salaries of staff
Subscriptions Food & clothing
Sale proceeds Raw material for crafts
Interest Medicines
Rent of building Rent
Fees Light water etc
Value of services Contingencies
Value of donations in kind Non recurring
Balance from the previous Van
year Equipment
To be collected Building / maintenance
Other items Other items
Total Total
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The organizations seeking foreign contributions for definite cultural, social, economic,
educational or religious programs may either obtain registration or prior permission to receive
foreign contribution from Ministry of Home Affairs by making application in the prescribed
format and furnishing details of the activities and audited accounts. The registration is granted
only to such association which has proven track record of functioning in the chosen field of work
during last three years and after registration, such organization is free to receive foreign
contribution from any foreign source for stated objectives. Registration is granted only after
thorough security of the activities and antecedents of the organization and office bearers thereof.
However, such organizations which are newly established and do not have proven track record of
functioning may also receive foreign contribution for specific activities, for a specific purpose
and from a specific source after seeking project based prior permission (PP) from the Ministry
of Home Affairs.
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application for registration/prior permission, etc. In our efforts to bring in further improvements
in the system, the following additional charters/materials are uploaded for information and
guidance of all concerned:
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Indian non-governmental organizations (NGOs) have not only been getting money from big donors
like the US, Germany, the UK, Switzerland and Italy, but are also receiving contributions from
Pakistan. In fact, Islamabad has consistently been donating money to various associations in the
last three years.
Although the amount contributed by Pakistan is quite small when compared to that given by the
bigwigs, it has put Islamabad in the august list of donors. The contributions by Pakistan and the
other big donor countries have gone to NGOs engaged in carrying out cultural, economic,
educational, religious or social programs in different parts of India.
Statistics released by the home ministry regarding 'foreign funds to NGOs' show that India, which
has a total of 33,937 registered associations, received Rs 12,289.63 crore in foreign contributions
during 2006-07 as against Rs 7,877.57 crore in 2005-06, a substantial increase of nearly Rs 4,400
crore (56%) in just one year.
The US, Germany, the UK, Switzerland and Italy were the top five foreign contributors during 2006-
07. These five countries have consistently been the big donors since 2004-05. Spain, the
Netherlands, Belgium, Canada and France are the other countries which figure prominently in the
list of foreign donors.
The US has been the biggest donor to Indian NGOs in the last several years. It contributed over Rs
2,971 crore in 2006-07 alone. As far as Pakistan is concerned, the country contributed Rs 43.28 lakh
in 2004-05, Rs 71.70 lakh in 2005-06 and Rs 21.99 lakh in 2006-07.
In response to a query on whether NGOs getting money from outside had been known to divert the
funds for illegal work or to spread terror activities, the home ministry, in a written reply in the Lok
Sabha on Tuesday, said, "There are no specific inputs to indicate misuse of foreign contribution by
the registered associations (under the Foreign Contribution Regulation Act) for terrorist activities."
The ministry pointed out that no association having a definite cultural, economic, educational,
religious or social program could accept foreign contributions without registration or prior
permission under the Foreign Contribution Regulation Act (FCRA), 1976. "However, as and when
complaints relating to the violation of the provisions of the FCRA against associations come to the
notice of the government, appropriate action is taken," it said.
Such activities may include prohibiting the NGOs from receiving foreign contributions, freezing their
bank accounts and prosecuting them in a court of law. On the basis of various complaints, as many
as 44 NGOs have been prohibited from receiving foreign contributions whereas the bank accounts
of 11 others have been frozen. Besides, the cases of 17 organizations have been referred to the CBI
for detailed investigation.
Among the states, Tamil Nadu has the distinction of having the highest number of registered
associations (3,009) and getting the highest amount of foreign contributions in India. Maharashtra,
Tamil Nadu, Delhi, Andhra Pradesh, Karnataka, Kerala, Jharkhand, West Bengal, Gujarat and
Rajasthan are the top ten states which received major foreign contributions in 2006-07
Foreign Contribution
• Foreign contribution means the donation, delivery or transfer made by any foreign source
of any
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a) article, not given to a person as a gift, for personal use, if the market value in India of such
article exceeds one thousand rupees;
b) Currency, whether Indian or foreign;
c) Foreign security as defined in clause 2(i) of the Foreign Exchange Regulation Act, 1973.
NOTE: Contributions made by a citizen of India living in another country, from his personal
savings, through the normal banking channels, is not treated as foreign contribution. It is
advisable to obtain the passport details of the concerned citizen of India before accepting such
contributions.
Foreign Source
• Government of foreign country or any agency of such government.
• International agencies, not being of
a) United Nations or its specialized agencies
b) World Bank
c) International Monetary Fund
d) Such other agencies as so notified by the Central Government.
• Foreign Company or Corporation incorporated in foreign country
• Trade Union in a foreign country
• Foreign Trust or Foundation or Society or Club formed or registered outside India
• Company where more than half of shareholding held by foreign Govt., foreign citizens,
foreign corporations
• Citizens of foreign countries
Box: Getting Foreign Contribution
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Types of permission
An association having a definite cultural, economic, educational, religious or social program can
receive foreign contribution after it obtains the prior permission of the Central Government, or
gets itself registered with the Central Government.
Registration
• Means permanent permission to accept foreign contribution from any foreign source.
• Granted to associations with proven track record having definite cultural, economic,
educational, religious, social program.
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Top Donors
Foreign Contribution (Rs. in crores
2000-01 2001-02 2002-03
Ford Foundation, USA 41.32 56.05 121.94
World Vision International, 80.43 78.33 90.24
Vicent E Ferrer Spain 63.26 63.06 79.16
Christian Children Fund.USA 43.07 44.27 75.15
Foster Parents Plan International, USA 76.37 72.37 53.73
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Trends
Year Registered Amount of foreign contribution received (in
Associations Crores)
1993-94 15,039 1865
1994-95 15,723 1892
1995-96 16,740 2168
1996-97 17,723 2571
1997-98 18,489 2864
1998-99 19,834 3402
1999-00 21,244 3924
2000-01 22,924 4535
2001-02 24,563 4872
2002-03 26,404 5047
Accountability
Accountability – Authority – Responsibility:
Efficient Use of Resources
Administrative Accountability
A few writers in the field of management indicate that accountability means the managers‘
liability for the proper discharge of the duties use the term accountability by his industries.
Some others conceive that accountability as the requirement of those organization members
to whom responsibility and authority are delegated be held answerable for results.
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Responsibility, authority. accountability are related terms. The purpose of all this is to make
efficient use of resources. Efficient use of resources is again depending on administrative
ability.
Administrative accountability involves the ability to mobilize allocate and combine the
actions that are technically needed to achieve development objectives. -Katz
Administrative accountability involves efficiency related to the conversion of inputs and
outputs, with special attention as to how the inputs are used.
Administrative accountability is the capacity of the administration to achieve the desired
objective of socio –economic progress and nation building.
Accountability means taking responsibility for the omissions & commissions of the
subordinates
related to efficiency
Ability to mobilize, allocate & combine actions that are needed to achieve development.
Box: Accountability
Accountability
People often talk about accountability of NGOs. Sometimes this makes scandalous headlines. Other
times, it may lead to a heated argument in a drawing room.
■What is financial accountability?
■How is it enforced in the context of NGOs?
■How do NGOs look at it?
■What are public expectations in this connection?
■How does the corporate sector deal with this issue?
Perceptions
Different people have widely differing views of financial accountability of NGOs. Some believe them
to be extremely honest; others argue equally vehemently that they are all corrupt. As always, the
truth lies somewhere between these two extreme views.
In our experience, there are some NGOs who may not be doing any real work, but maintain their
accounts very nicely. These NGOs may be primarily vehicles for self-enrichment or for tax evasion.
Then again there are many NGOs whose work is exemplary but the quality of accounting is quite
poor. Sometimes this is due to lack of accounting personnel or skills. Other times, this may be due
to faulty budgeting policies or organizational pressures. There are also some NGOs whose work and
accounts both shine equally well. These can be held up as models to be emulated by all.
Why accountability?
D.A is the arm of the state; they can enact & enforce law. D.A at times regulates the activities of
other administration. Because of these public expect that D.A should rise above the normal
patterns of management in commerce & industry
Accountability is like electricity, is difficult to define, but possess qualities that make its
presence in a system immediately detectable.
Accountability means liability to give a satisfactory account of the exercise of the power, falling
which some kind of evil or punishment may follow.
Hierarchy
Span of control
Unity of command well known accountability facilitating
devices.
Inspection
Supervision
Political
Legislative
Financial, Judicial / normative accountability
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Internal individual controls –administrator‘s values towards law, his moral development,
promise keeping mutual aid, respect for persons / property.
Ombudsman type institutions– Lokpal & Lokayukta
The key principles of NGO Accountability
Accountability is determined by
Nature of political structure.
Nature of social organization
Nature of political culture
Level of popular expectations
Value system of the public
Levels of administrative morality
Power relations.
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6. Top bureaucrats must be taught at responsive to public opinion, which they should be told by
direct & indirect means and methods.
7. Nepotism in making appointments should be ruthlessly crushed.
8. The bureaucracy should be deprived of judicial powers so that people can hope to get justice
against their high handedness. Effective political control, good management, efficient
personal administration, internal review professional moral and non official participation in
administration can go a long way to improve the administrative accountability and there by
removing many of the evils of bureaucracy.
Regulatory Authorities
Regulatory Authorities
Different Government departments approach this issue from different perspectives. For example,
Ministry of Home Affairs is concerned with whether some NPOs, which receive foreign funds, could
use these to influence electoral politics. It is also concerned with whether the funds could be used to
influence media or effect religious conversions. The new FCRA Bill 2006 takes it further to whether
foreign funds could be used for anti-national activities.
The Income Tax Department is focused on whether the tax exemptions granted to NPOs could be
misused as a tax shelter and thus cause the Government to lose revenue. This normally happens
when people set up paper-based NPOs and use these to mask their business activities. Or they could
use these to provide fake tax deductions to taxpayers.
Contrary to general perceptions, the society registrars are normally not concerned with ensuring
accountability of NPOs. They essentially function as a public record office. This role varies from one
state to another
However, in some states, such as Maharashtra and Gujarat, the Charity Commissioner is also
concerned with preventing theft of funds or properties entrusted to trusts and societies. Similarly, the
Companies Registration office also tries to ensure that section 25 companies are not used for personal
enrichment.
Thus, it can be seen that Government authorities are primarily not concerned with financial
accountability of NPOs. They do not see themselves as arbiters of good financial management.
Administrative Accountability
Dovetailing of professional judgment into citizens‘ preferences.
Accountability, like electricity, is difficult to define, but possess qualities that make its
presence in a system immediately detected.
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Financial Accountability
1. An NGO should operate in accordance with an annual budget that has been approved by the
board prior to the beginning of each fiscal year.
2. An NGO should create and maintain financial reports on a timely (at least quarterly) basis,
accurately reflecting the financial activity of the organization, including the comparison of actual to
budgeted revenue and expense.
3. Quarterly financial statements should be provided to the board of directors. The statements should
identify and explain any significant variation between actual and budgeted revenues and expenses.
4. An organization should subject its financial reports to an annual audit by a Chartered Accountant.
5. An NGO should provide employees and volunteers with a confidential means to report suspected
financial impropriety or misuse of organization resources.
6. An NGO should have written financial policies governing the following matters, where appropriate:
(a) investment of the assets of the organization; (b) internal control procedures; (c) purchasing
practices; (d) reserve funds; (e) compensation, including salary and benefits; (f) expense account
reporting; and (g) earned income.
7. The organization should have clear and written policies on loans and staff advances.
8. Wherever possible, the organization should ensure that its funding base is diversified.
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3) Observance of a certain code of ethics in the official, private & public life.
4) Regulation of political activities of the public servants public servant has to forego certain
citizen rights.
5) All India service rules.
Box:
Resources are the inputs that are used in the activities of a program. Broadly speaking, the term
encompasses natural, physical, financial, human, and social resources, but the vast majority of the
resources are financial resources. In kind resources such as the provision of office space, seconded
staff, or partner participation at board meetings are a second level of resources.
Resource mobilization is the process by which resources are solicited by the program and provided
by donors and partners.
The process of mobilizing resources begins with the formulation of a resource mobilization
Strategy, which may include separate strategies for mobilizing financial and in-kind resources.
Carrying out a financial resource mobilization strategy includes the following steps: identifying
potential sources of funds, actively soliciting pledges, following up on pledges to obtain funds,
depositing these funds, and recording the transactions and any restrictions on their use. The process
is generally governed by legal agreements at various stages.
Financial management refers to all the processes that govern the recording and use of funds,
including allocation processes, crediting and debiting of accounts, controls that restrict use, and
accounting and periodic financial reporting systems.
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Unit V
UNIT V
Concept, Meaning and Importance of Monitoring and Evaluation. Components of M&E.-Physical,
Financial, Staff Performance. Technical aspects – Output, Outcome & Impact. Trends in People’s
Participation in M & E. Contribution of Right to Information Act.
Project Monitoring
Methods and Techniques of monitoring projects / Programs
Projects even with a good planning, adequate organizational machinery and sufficient flow of
resources cannot automatically achieve the desired result. There must be some warning
mechanism, which can alert the organization about its possible success and failures, off and on.
Constant watching not only saves wastage of scarce resources but also ensure speedy execution
of the project. Thus monitoring enables a continuing critique of the project implementation.
Purpose of Monitoring:
Project monitoring helps
to provide constructive
suggestions like.
Rescheduling the
project (if the project
run behind the
schedule)
Re budgeting the
project (appropriating
funds from one head
to another; avoiding
expenses under
unnecessary
heading).
Re – assigning the
staff (shifting the
staff from one area to
other; recruiting
temporary staff to meet the time schedule)
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Steps in Monitoring:
1. Identifying the different units involved in planning & implementation
2. Identifying items on which feedback is required.
3. Developing proforma for reporting.
4. Determining the periodicity of reporting.
5. Fixing the responsibility of reporting at different levels.
6. Processing and analyzing the reports.
7. Identifying the critical / unreliable areas in implementation.
8. Providing feedback to corrective measures.
Evaluation
Meaning, Objectives, Scope, Principles, Functions, and Methods of Project Evaluation.
Types (internal / external) of Evaluation. A guideline for evaluating Projects
Evaluation has its origin in the Latin word ―Valupure‖ which means the value of a particular
thing, idea or action. Evaluation, Thus, helps us to understand the worth, quality, significance
amount, degree or condition of any intervention desired to tackle a social problem.
Meaning of evaluation:
Evaluation means finding out the value of something.
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Financial Administration:
The flow of resources and its consumption is a crucial factor in any project / agency. Whether
the project money is rightly consumed any over spending in some headings, appropriation and
misappropriation. These are some of the indicators that reveal the reasons for the success or
failures of any project.
Box: Stages in Evaluation.
Principles of Evaluation:
The following are some of the principles, which should be kept in view in evaluation.
1. Evaluation is a continuous of the process.
2. Evaluation should involve minimum possible costs (inexpensive)
3. Evaluation should be done without prejudice to day to day work (minimum hindrance to day
to day work).
4. Evaluation must be done on a co-operative basis in which the entire staff and the board
members should participate (total participation).
5. As far as possible, the agency should itself evaluate its program but occasionally outside
evaluation machinery should also be made use of (external evaluation).
6. Total overall examination of the agency will reveal strength and weaknesses. (Agency /
program totality).
7. The result of evaluation should be shared with workers of the agency (sharing).
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By Stages
Internal / External Evaluation:
Internal Evaluation: (Enterprise Self Audit)
Internal evaluation (or otherwise monitoring, concurrent evaluation) is a continuous process
which is done at various points and in respect of various aspects of the working of an agency by
the agency staff itself i.e. staff board members and beneficiaries.
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Some donors may send consultants in order to see how far the standards laid down are put
into practice.
Inter agency evaluation. In this type two Five strategic M&E questions to
agencies mutually agree to evaluate their manage for impact
Relevance - Is what we are doing now a
program by the other agency.
good idea in terms of improving the
Inter agency tours. situation at hand? Is it dealing with the
Box: Five strategic M&E questions to manage for impact
priorities of the target groups? Why or why
Methods of Evaluation: (Tools / techniques) not?
Over the years, a variety of the methodologies Effectiveness - Have the plans (purposes,
have been evolved by academicians, practitioners outputs and activities) been achieved? Is the
and professionals for evaluating any program / intervention logic correct? Why or why not?
project. Some of the commonly used practices are Is what we are doing now the best way to
given below. maximise impact?
Efficiency - Are resources used in the best
possible way? Why or why not? What could
First hand Information: we do differently to improve
One of the simplest and easiest methods of implementation, thereby maximising impact,
evaluation by getting first hand information about at an acceptable and sustainable cost?
the progress, performance, problem areas etc,. of Impact - To what extent has the project
project from a host of staff, line officers, field contributed towards poverty reduction (or
personnel, other specialists etc who directly other long-term goals)? Why or why not?
What unanticipated positive or negative
associated with the project. Direct observation
consequences did the project have? Why did
about the performance and pit falls further they arise?
facilitate the chances of an effective evaluation. Sustainability - Will there be continued
positive impacts as a result of the project
after the project funds run out in four or five
Formal / Informal periodic Reports. years? Why or why not?
Evaluation is also carried out through formal and
informal reports.
Formal reports consists of
Project Status Report
Project Schedule chart
Project financial status Report.
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3) Graphic presentations:
Graphic presentations through display of charts, Graphs, Pictures, illustrations etc. in the project
office is yet another instrument for a close evaluation.
4) Standing Evaluation Review Committees:
Some of the organizations have setup standing committees, consisting of a host of experts and
specialists who meet regularly at frequent intervals to discuss about problems and to suggest
remedial measures.
5) Project Profiles:
Preparation of the project profiles by the investigating teams on the basis of standardized
guidelines and models developed for the purpose is also another method of
1
Group identifies and clarifies
objectives, based on its dreams
8
Group uses the information to
make decisions
2
Group identifies and
selects indicators
7
PM&E committee disseminates the
information to the interest group 3
Group identifies activities for
achieving its objectives
6
5 4
PM&E committee systematizes &
analyzes information Tools for recording Group elects a committee
information are to be responsible for PM&E.
designed
&implemented
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Revisit/ Revise
assumptions
Review all relevant
existing information
Replan
Revisit/ Revise
assumptions
Review all relevant
existing information
Replan
Implement
Experimen
t
Reflect, critically
analyze & document
lessons
Implement
Embrace failures
Experiment
State assumptions
Review all relevant
existing information
Conceptualize / Reflect, critically
Plan generally analyze & document
lessons
Embrace failures
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Doing Evaluation information. Systematically generated monitoring
UNFPA Guidelines data is essential for successful evaluations.
What is Program Evaluation? monitoring nor is monitoring a substitute for
Program evaluation is a management tool. It is evaluation. Both use the same steps (see Box 1),
a time-bound exercise that attempts to assess however, they produce different kinds of
systematically and objectively the relevance, information. Systematically generated monitoring
performance and success of ongoing and data is essential for successful evaluations.
completed programs and projects. Evaluation Evaluation Steps
is undertaken selectively to answer specific The evaluation process normally includes the
questions to guide decision-makers and/or program following steps:
managers, and to provide information on whether Defining standards against which
programmes are to be evaluated. In the
underlying theories and assumptions used in
UNFPA logframe matrix, such standards are
program development were valid, what worked and defined by the programme indicators;
what did not work and why. Evaluation commonly Investigating the performance of the
aims to determine the relevance, efficiency, selected activities/processes/products to be
effectiveness, impact and sustainability of a evaluated based on these standards. This is
program or project. done by an analysis of selected qualitative or
Why evaluate? quantitative indicators and the programme
The main objectives of program evaluation are: context;
To inform decisions on operations, policy, Synthesizing the results of this analysis;
Formulating recommendations based on
or strategy related to ongoing or future
the analysis of findings;
program interventions; Feeding recommendations and lessons
To demonstrate accountability to decision- learned back into programme and other
makers (donors and program countries). decision-making processes.
It is expected that improved decision-making and
accountability will lead to better results and more
efficient use of resources. Monitoring continuously tracks performance
Other objectives of program evaluation include: against what was planned by collecting and
To enable corporate learning and contribute to analysing data on the indicators established for
the body of knowledge on what works and what monitoring and evaluation purposes. It provides
does not work and why; continuous information on whether progress is
To verify/improve program quality and being made toward achieving results (outputs,
management; outcomes, goals) through record keeping and
To identify successful strategies for regular reporting systems. Monitoring looks at both
extension/expansion/replication; program processes and changes in conditions of
To modify unsuccessful strategies; target groups and institutions brought about by
To measure effects/benefits of program and program activities. It also identifies strengths and
project interventions; weaknesses in a program. The performance
To give stakeholders the opportunity to information generated from monitoring enhances
have a say in program output and quality; learning from experience and improves decision-
To justify/validate programs to donors, making. Management and program implementers
partners and other constituencies. typically conduct monitoring.
What is the Relationship between
Monitoring and Evaluation? Evaluation is a periodic, in-depth analysis of
Monitoring and evaluation are intimately program performance. It relies on data generated
related. Both are necessary management tools to through monitoring activities as well as information
inform decision-making and demonstrate obtained from other sources (e.g., studies,
accountability. Evaluation is not a substitute for research, in-depth interviews, focus group
discussions, surveys etc.). Evaluations are often
(but not always) conducted with the assistance of
external evaluators.
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