INTRODUCTION

This guide identifies critical non-profit capacity areas with

potential resources to for improving capacity-building efforts.
Study have shown that organizational capacity is a strong link to
ORGANIZATIONAL CAPACITY GUIDE FOR
KILIMANJARO WOMEN INFORMATION EXCHANGE AND CONSULTANCY
ORGANIZATION (KWIECO)

cause a weak organizational capacity and eventually impacts the

ability to achieve program desired outcomes.
Non-Profit Organizations tend to do better when they shift focus
from donors to engaging in resource mobilization activities for
their internal development.

WHAT IS ORGANIZATIONAL ASSESSMENT?

ORGANIZATIONAL ASSESSMENT METHODS

INDEX
What is Organizational Assessment?

An organisational assessment is a systematic process for obtaining

valid information about the performance of an organisation and
the factors that affect performance. It differs from other types of
evaluations because the assessment focuses on the organisation as
the primary unit of analysis

Why Organizational Assessments?

Important considerations

Review
, strategy, leadership, work
environment, organizational structure, etc.

Important data points/ inputs

Assessment Models

Critical success factors

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WHY ORGANIZATIONAL ASSESSMENT?

ESSENTIAL CONSIDERATIONS

Proactivity to change: To better understand what they can or should

change to improve their ability to perform
Assessing impact of Interventions

Selecting the appropriate Assessment tool

Determining critical aspects: Automated or Manual, external
consultant involvement, scope of the assessment, etc.

external forces and competition

Provides detailed analysis to potential Investors

assessment
Helps to shape future strategy
Time and resources required, budget, expertise availability to
conduct the assessment

Promote dialog with funders or partners, etc.

Assessments associated with certifications lend credibility to
certified organizations

Need to balance the interests of multiple stakeholders

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VITAL DATA POINTS INPUTS

EFQM/ MALCOLM BALDRIDGE MODEL

Strategic plans, mission statement, goals and objectives

EFQM was set up to stimulate and assist organizations throughout
Europe to participate in improvement activities leading ultimately
to excellence in customer and employee satisfaction, influence
society and business results

Position descriptions, organizational charts, and operating

procedures and their review process
Interviews with staff members and consultations with clients and
departmental service providers, community members, etc.

Performance and

satisfaction data

Has nine criteria and considered as the core of the model and the
evaluating base of an organization
Five of these criteria are called Enablers; the factors strengthen the
organization to reach the excellent results. Four other criteria are
the results which the organization should receive them in different
fields. Results are obtained by enablers and enablers are improved
by the results from the feedback

Industry and competitor analysis

EFQM MODEL

ISO

International Organization for Standardization (ISO) published its

initial set of standards for quality management named ISO 9000
includes of a set of standards and a certification process for
organizations
Applicant organizations indicate that they have complied with the
standards defined by the ISO

7S MODEL

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PEST ANALYSIS

Developed by well-known business consultants Robert H.

Waterman, Jr. and Tom Peters
7 are structure, strategy, systems, skills, style, staff and shared
values
The model is most often used as an organizational analysis tool to
assess and monitor changes in the internal situation of an
organization

PEST is a framework or tool used by evaluators to analyse and

monitor the macro-environmental (external environment) factors
that have an impact on an organisation.

Political, Economic, Social and Technological analysis is used in

the environmental scanning component of strategic management

Based on the theory that, for an organization to perform well, these

seven elements need to be aligned and mutually reinforcing
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ORGANIZATIONAL CAPACITY ASSESSMENT (OCA)

SWOT ANALYSIS
SWOT can be carried out for a particular project or an organization

OCA tool was designed to enable organizations to define a capacitybuilding improvement plan, based on self-assessed need

Used frequently by NGOs

SWOT analysis groups key pieces of information into two main
categories:

The OCA tool assesses technical capacity in seven domains, and

each domain has a number of sub-areas.

Internal factors the strengths and weaknesses internal to the

organization
External factors-the opportunities and threats presented by the
environment external to the organization
May be used in any decision-making situation when a desired endstate (objective) is defined
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CRITICAL SUCCESS FACTORS

The purpose and benefits of the assessment are clear to the
Internal leadership is identified to champion the process and results
of the assessment.
The organisational culture is one that supports use of positive and
negative feedback in planning and managing change
Stakeholders are involved in the assessment process (from the
negotiation and planning stages)
The assessment team is able to communicate the intent of the
assessment, their approach, and the results to senior staff and
board members
The report is timely (i.e., produced at an opportune time within the
planning cycle of the organisation).
There is a process in place and resources allocated to implement
and followRecommendations are realistic and feasible (for example,
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financially)

OCA Domains
1. Governance
2. Administration
3. Human Resources
4. Financial Management
5. Organizational Management
6. Program Management
7. Project Performance Management

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PILLARS OF ORGANIZATIONAL CAPACITY

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CRITICAL AREAS OF CAPACITY BUILDING

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REMEDIES OF EFFECTIVE CAPACITY BUILDING

WHAT IS CAPACITY BUILDING?

Process by which Organizations, Institutions, Societies, Groups
and Individuals engage in activities to increase their abilities
Process to advance to the next level enabling the
programmatic, operational and financial maturity of an
organization
Organizational development, including community
participation of the vulnerable, and women in particular
Development plan to enhance knowledge, skills, output rate
of an organization through incentives, technology or training
Ability of an Organizations, Institutions, Groups and Societies
to change its direction by engaging in functions to achieve
objectives in a sustainable manner
Building blocks in which each block is a vital component that
must be individually addressed
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NONPROFIT ORGANIZATIONAL CAPACITY THEMES

ADAPTIVE CAPACITY:
assess, respond to, and stimulate internal and external
changes
MANAGEMENT CAPACITY:

resources
TECHNICAL CAPACITY:
successfully implement its key functions
LEADERSHIP CAPACITY:
Engagement of organizational leaders in innovation,
empowerment, providing directions and decision making
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CAPACITY BUILDING TOOLKIT

ASSESSMENT & BENCHMARKING:
Allows an organization to conduct an initial assessment of
the organizational capacity by measuring the quality of its
policies, products, programs and strategies
ACTION PLANNING:
Enables an organization to apply the results of its initial CB
assessment and benchmarking to create a plan of action for
the capacity of the organization
ACTIVITY IMPLEMENTATION:
Enables an organization to engage on resource building,
inventory and linkage to support its Capacity Building efforts
REASSESSMENT, EVALUATION & LEARNING:
Enables an organization to utilize the results from the original
Assessment & Benchmarking tool, to evaluate its engagement
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CB NEEDS ASSESSMENT

RESOURCE MOBILIZATION

Need is a necessity and want is a desire. Capacity

building needs is a sign of a GAP between
and what should be and is a required essential
element of change
Want is a recognized element desired in a change process but may
not be necessary for change

WHAT IS BEING ASSESSED

ACCOUNTING SYSTEM
PARTNERSHIP & NETWORKING
LEADERSHIP & MANAGEMENT
CHANGE MANAGEMENT
TECHNOLOGY & SKILLS
RESOURCES
PROGRAMS AND ACTIVITIES
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IMPORTANCE OF RESOURCE MOBILIZATION

WHAT IS RESOURCE MOBILIZATION?

Resource Mobilization is a process that identifies resources
essential for the development, implementation and
continuation of activities of an organization
Resource does not necessarily include only money, but also
PEOPLE, INFORMATION and GOODS & SERVICES
Resources can be can be categorized into three main areas:
HUMAN RESOURCES:- People to cover range of skills to carry
out diverse task
FINANCIAL RESOURCES:- Funds in the form of Government
budget, Development Agencies, NGOs, Communities and
Private sector
GOODS & SERVICES (In Kind):- May include Computers &
Equipment, Vehicles, Office space, Advertising airtime or Space
and Training services
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Diversifies and expand resources

Formulates an independent budget
Breaks the tradition of running specific programs of donor agencies
Decreases or eliminates donor dependency
Sustainability of an organization and programs
Maximum use of domestic capital and skills
Expands deep relations with stakeholders and the local community
Cleans the image of an organization and expand relations
Fulfills responsibilities towards the local community
Run programs based on the genuine needs of the local community
Enhance the dignity of an organization
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DONOR DEPENDENCY

WHAT IS DONOR DEPENDENCY?

Donor Dependency is a notion that an organization or group

cannot survive on its own without an outside resources

If an organization desires a project sustainability, community

members and or beneficiaries must have a sense responsibility
and ownership

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REDUCING DONOR DEPENDENCY

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FEASIBLE FUNDING BASE STRATEGIES

SELF & LOCAL FINANCING FINANCING:- Focuses on income

efforts to bridge a starvation cycle, and can include but not
limited to:

Skills and experience :- marketing

skills
Funds to invest:- for adapting office space to rent
Capacity to respond to requests:- offering consultancy and
training services
Contacts with prominent people:- those who have influence in
business communities
Commitment of supporters:- help with fundraising drives
Credibility of the organization:- as a marketing tool
Time management:- to organize events
Markets:- for your

Incorporate Pro Bono Model with Social Enterprise Model

Membership fees and subscriptions
Consultation fees
Sub Leasing Office Space
Investment Income
Donations and Gifts from Local Supporters
Branding
Fund Raising
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PARTNERSHIP

PARTNERSHIP

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PARTNERSHIP

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POTENTIAL BENEFITS OF PARTNERSHIP

Partnership is an alliance between organizations, and is entirely

based on trust, equality, understanding, with obligations to foster
their mutual interest for success
Partnership presents parties involved with challenges that must be
navigated unto agreement
Overarching goals, levels of give-and-take, areas of responsibility,
lines of authority must be determined

How success and achievement is evaluated must be negotiated

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Access to Human Resources

Access to Technologies
Access to Markets
Access to new Networks
Skills Development
Technical Expertise
Financial resources
New Innovations and Strategy Enhancement
Improved Image

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RESOURCE SHARING

RESOURCE SHARING

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FUNDRAISING

RESOURCE SHARING
Resource sharing is the utilization of partnership resources and
effective management of preparedness for response to a starvation
cycle
Resource sharing may take place in many forms, but generally occurs
between organizations that maintain separate legal and distinctive
identities
Working together to achieve agreed sharing of resources most often
deliver a wide range of benefits of collaboration for organizations.
Resource sharing can be seen as a means to provide
staff and community members quality sustainable activities &
services

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FUNDRAISING

SUSTAINABILITY

Non-Profit Organizations are advised to create fundraising

committees to lead the board in efforts that attracts and generate
funds, and should include:

Planned funding activities for the full board

Review of funding plan to ensure progress toward annual and longrange funding goals
Identify and recruit community leaders to serve with board members
on fundraising committees
Educate the full board on the techniques of branding, seeking grants,
soliciting corporations and individuals
Work with board to identify and solicit funds from external sources of
support
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SUSTAINABILITY CRITERIA
WHAT IS SUSTAINABILTY

Sustainability is self-reliance with the elements necessary to

move forward and constant enhancement of activities in
pursuit of a defined mission
Organizational sustainability represents an ongoing process
rather than a state of perfection, and will only grow if cared
for by all that are involved
Keeping an organization sustainable requires a constant
effort and unity of purpose, focused on one common goal
and mission
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ORGANIZATIONAL COMMUNICATION

EFFECTIVE ORGANIZATIONAL COMMUNICATION

Process of exchanging mutual understanding of ideas, views and

information, using various methods
Encoding and decoding of messages through a medium ensured by a
feedback
Communication can be internal, external and personal
Successful communication plays an integral role in the attainment of
organizational goals
Communication is not complete until feedback is sent, and poor or
lack of communication can lead to conflict
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ORGANIZATIONAL COMMUNICATION

ESSENCE OF ORGANIZATIONAL COMMUNICATION

Organizational objectives and targets are to be clearly communicated to staff and
management at all levels
Classification of roles, responsibilities and task can increase productivity and only
possible when clearly communicated
Clear and smooth information flow at the work place foster environment friendly
and positive reaction among staff
Consistent and effective communication develops and strengthen relationships and
trust with stakeholders
Consistent flow of information between leadership and staff plays a vital role in
the motivation and morale of staff

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TIME WE SPEND COMMUNICATING

FORMS OF ORGANIZATIONAL COMMUNICATION

Formal:
Refers to the official exchange of information regarding organizational
matters
Ensures orderly and systematic information flow
Misrepresented information can be traced back to its source

Informal:
Exchange of Non-Official information, generally in a social interaction
settings
Information is usually distorted while passing through different
channels
Confident information can be leaked without a trace of the source
False rumors are easily spread without accountability

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THE COMMUNICATION PROCESS

WHAT WE REMEMBER

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MISCOMMUNICATION AS A SOURCE OF CONFLICT

COMPONENTS OF COMMUNICATION PROCESS

SENDER: Information conveyor

MESSAGE: Contents of information

ENCODING: Generation of information
MEDIUM: Method information is transmitted
DECODING: Conversion of information
RECEIVER: Information recipient

FEEDBACK: Response from receiver

NOISE: Interruption of flow of information

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CONFLICT MANAGEMENT

ORGANIZATIONAL CONFLICT

Organizational conflict is a state of friction instigated by variance of

needs, breakdown in communication, different values and opinions,
nonetheless, it may be productive or non-productive

PRODUCTIVE CONFLICT: May involve difference in opinion

concerning task, expectations about impact of decisions and
differences in perspectives
NON-PRODUCTIVE CONFLICT: May involved power struggle, personal
issues, ineffective organizational structure, and most importantly,
poor communication

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CONFLICT MANAGEMENT
Conflict management is the process of identifying and effectively
stabilizing conflict by focusing on its positive aspect and coming to a
consensus, and can be managed by formulating some of the
following strategies;
Enhancing the relationship between staff, management and
leadership, through effective and consistent communication
Empower and value staff feedback and opinion on certain decision
makings
Promote and create high level of trust at the workplace
Create an environment that respects diversity and perspective
Establish formal procedures for grievances and disciplinary issues

BASELINE STUDIES OVERVIEW

What is a Baseline Survey?
Essence of Baseline Survey

Why Baseline Survey?

Determining rigour of Baseline Surveys
When to conduct a Baseline Survey?

Planning the Baseline survey

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Elements of a TOR

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WHAT IS A BASELINE SURVEY?

SOCIAL MAPPING: ESSENTIAL TOOL FOR BASELINE STUDIES

Social Mapping:
A graphical method depicting
household locations, usually to
identify pre-determined
indicators based on SocioEconomic factors and ranking
them. If properly conducted,
determination of whether or
not is benefiting from an
assessment and if they belong
to a target group can be
established

Purpose is to provide an information base against which to monitor

implementation and after the activity is completed
Collected at an early point in the project cycle and is utilized as
Benchmarks and Indicator
The baseline data are either collected:
Before the start of the project/program

Immediately after the project/program has started, in order to give

values to the indicators used to document results
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ESSENCE OF A BASELINE SURVEY

WHY BASELINE SURVEY?

Inform project management decision-making, providing a reference point to

determine progress and adjust project implementation to best serve people
in need.
Assess measurability of the selected indicators and fine tune the systems
for future measurement.
Uphold accountability, informing impact evaluation to compare and
measure what difference the project is making.
Promote stakeholder participation, providing a catalyst for discussion and
motivation among community members and project partners on the most
appropriate means of action.
Shape expectations and communication strategies by assisting by
sharpening communication objectives, and focusing content of media
materials.
Convince and provide justification to policy-makers and donors for a project
intervention.
Support resource mobilization for and celebration of accomplished project
results compared to baseline conditions.
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DETERMINING RIGOUR OF BASELINE SURVEYS

Evaluate:
Will help in identifying project-specific benchmarks and indicators
Both are required when evaluating the project in order to measure the
change and identify impact
Monitor:
Can be used during implementation process to assess progress and
necessary adjustments
Helps answer questions like: are activities proceeding according to
work plan?, are the objectives of the project being accomplished?, is
the adopted strategy for change making the necessary impact or do
we need to re-think?, etc.
Plan:
Can help to create concrete objectives and type of support structure
needed e.g.: resources, constraints, etc.
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WHEN TO CONDUCT A BASELINE SURVEY?(BEGINNING OF THE PROJECT)

Will allow the project team to assess pre-project conditions and set
specific targets for the indicators identified to measure the results.

May be required well before a project start to inform project

development (according to donor requirements), providing the basis
for any investment decision.
Recall method of data collection may be used where project may
begin to impact the baseline condition prior to formal project start.
Example:

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Community may start working on an issue much in advance to formal

project implementation and therefore data collected may not provide
the correct picture
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WHEN TO CONDUCT A BASELINE SURVEY? (AFTER COMMENCEMENT)

Not very uncommon

In an emergency operation, it may be necessary to deliver services
prior to conducting a reliable baseline

However, baseline data should be collected reasonably close to the

change in the context. The greater the time lag between the delivery
of project activities and the baseline

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PLANNING STAGES (IDENTIFYING PURPOSE AND SCOPE)

Identify the timing of the study. Important to determine early on when the
study will occur, and when it will need to be repeated for comparison
Identify the geographic and demographic scope of the study. Who and what
localities will be included in the study? This will be related to the specific
sampling methodology. Important consideration to estimate need time and
resources
Identify any critical conditions/assumptions for the study. Eg: Political,
economic, cultural condition; season, etc. that can affect the ability to
conduct the baseline study, as well as the reliability for the measurements
Identify available budget for the study: Is funding provided by the donor,
budgeted into the existing project budget, or does it need to be secured
and approved?
Develop a Terms of Reference (ToR) for the baseline study: Whether the
baseline study will be conducted externally or internally (e.g. by the project
team or consultant), or a combination of both, a ToR plays a critical role
summarizing the key elements of the baseline study. This not only assists in
the planning of the baseline, but in clarifying and communicating with key
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stakeholders to ensure understanding, ownership, and support.

PLANNING STAGES (IDENTIFYING PURPOSE AND SCOPE)

Provide clear justification for the baseline study. Communicate to
other stakeholders the rationale for the study and the required time
and resources.
Identify and consult with the key stakeholders and intended audience
of the study. Determine who to involve early in the planning process
for ownership and to ensure the baseline will ultimately be
conducted and used most effectively.
Partner collaboration multiple projects by different organizations may
be conducting their independent Baseline surveys. It can be

population; this can lead not only to unreliable data, but it can foster
local resentment. Therefore, it is highly recommended to collaborate
and coordinate baseline studies with other implementing projects
when possible.
Identify any baseline requirements/expectations. Find out the
standards and best practices, adherence to which may be required by
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the involved partners or Government/ regulatory authorities.
PLANNING STAGES (DATA COLLECTION AND MANAGEMENT)
Identify what is to exactly be measured. Identify the baseline indicators and
assumptions from the project design, and refer to any other relevant M&E
planning tools and other Industry recognized baseline indicators
Only measure what is necessary and sufficient. Baseline data should provide
the minimum information required to assess the quality of the activity
implementation and measure the development results. Anything more than
this is likely to be a waste of time, effort and resources and risks making
replication of the baseline study difficult
Determine the sampling requirements. Sampling (the process of selecting a
sample) occurs whether the data uses random (probability) samples for
quantitative methods such as a survey, or purposeful (non-random) samples
for qualitative methods, such as interviews or focus groups
Prepare and pilot the data collection tools. carefully prepare data collection
tools and guidance so that baseline indicators will be consistently and
reliable measured among data collectors in different locations and at
different times. pre-test the data collection tools to ensure they are
linguistically and culturally appropriate. Management procedures and
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complexity

PLANNING STAGES (DATA COLLECTION AND MANAGEMENT)

PLANNING STAGES (DATA COLLECTION AND MANAGEMENT)

Prepare for data management. should be timely and secure, and in a

format that is practical and user-friendly. Poorly managed data
wastes time, money and resources; lost or incorrectly recorded data
affects not only the quality and reliability of the data but also all the
time and resources invested in its analysis and use. Data
management includes consideration to data format, organization,
availability, security, technology, and quality control
Prepare the target population. It is necessary to properly inform and
gain permission from the target communities and if required from
Respondents.

Determine the appropriate data sources and methods for the

baseline indicators. Key considerations include the balance of
qualitative and quantitative data, and triangulating data sources and
methods.
Primary data. To what degree does the project team need to collect
baseline data itself, and which qualitative and quantitative methods
are most suited to the baseline study? Involve trade-offs with respect
to cost, precision, credibility, and timeliness. For example,
quantitative methods, such as household surveys tend to be more
precise and objective, but can be costly and time consuming. On the
other hand, qualitative methods, such as individual interviews and
focus group discussions, may be preferable to measure key indicators
that are difficult to quantify, or in situations when a structured survey
is not feasible.

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PLANNING STAGES (DATA COLLECTION AND MANAGEMENT)

Secondary data. Assess the availability of existing baseline data

\already collected by the project team, organization, or other
organizations/agencies: this can safe considerable time and
resources. However, whatever the secondary source, it is critical to
ensure that it is reliable and relevant. Examples of secondary data for
baseline measurements include administrative records, census and
survey data from government agencies, studies from NGOs and
donors, university research studies, media sources, financial market
data, etc.
Triangulate mix methods and sources. It is good practice to
triangulate or mix sources and/or methods of data collection. For
example, secondary and primary data can be used to complement
and confirm data accuracy and precision. Oftentimes a mixed
methods approach combining both qualitative and quantitative
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methods is preferable

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PLANNING STAGES (DATA ANALYSIS)

Identify the purpose for analysis. What and how data is analysed will
be largely determined by the specific project indicators, and
ultimately adequately capturing the pre-project conditions for later
comparison and assessment of the project
Plan for timely data analysis. Timeliness can be largely enhanced with
effective use of data management and analysis technology, such as
digital data collection
Determine the appropriate data collection methods and tools. As
with the data collection, it is important that the data analysis
methods and tools can be replicated in a consistent and reliable
manner by different people and at different times for the
comparability of the data. Therefore, it is useful to clarify this in a
data analysis plan/guidance, which includes data preparation, the
actual analysis, data validation and presentation. It is important to
pre-test the data analysis methods to assess accuracy and amount of
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time needed.

PLANNING STAGES (INFORMATION REPORTING AND UTILIZATION)

It is important to remember that reporting can be done in different
formats according to audience and purpose:
Written baseline report. The format and content will be specific to
the particular project and baseline indicators being reported on.
baseline study does not typically include recommendations; it may
inform recommendation in an evaluative study, but its primary focus
is on findings and conclusions. Following is an example of a written
baseline report format:
1) Title page
2) Acronyms
3) Executive summary
4) Table of contents
5) Introduction and background
6) Methodology (and methodological limitations)
7) Analysis of the findings
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8) Conclusions
PLANNING STAGES (HUMAN RESOURCES AND CAPACITY BUILDING)
Identify the baseline study manager. Identify the person who will take the
lead in managing the baseline study. The manager delegates and ensures
that people follow-through and the study is completed according to the
ToR/schedule.
may requires experience with random sampling, questionnaire
development, data collection, statistical analysis, and report writing, etc.
Determine the extent of local participation. It can be empowering, building
capacity and ownership to support project implementation and
sustainability. On the other hand, the use of local people can require more
time and cost to train and manage them, and it can jeopardize the quality of
data and analysis due to local bias.
Determine the extent of outside expertise. are usually employed for
technical expertise, objectivity and credibility, to save time and/or as a
donor requirement. It is important to anticipate this need early, and to
incorporate it into the baseline study ToR (discussed above) with ample
time to commission external expertise.
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PLANNING STAGES (INFORMATION REPORTING AND UTILIZATION)

Baseline report dissemination. Can help build recognition and

support for the project, and frame expectations among stakeholders.
It may be an ethical responsibility to share critical findings related to
health and other key measures of target population safety and
welfare. Typical outlets for written report dissemination include
email, websites, etc.
Beneficiary communication. It is an ethical responsibility to follow-up
and communicate the baseline findings to the target population,
especially those directly involved in the study. Formats for
communicating the baseline findings should be appropriate to the
target population; examples include community meetings (especially
for illiterate populations), summaries on notice boards using visuals,
information pamphlets or devoted sections in the local newspaper,
radio spots, websites, etc. The communication should also
meaningfully engage them and listen to their responses and
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perspectives.
PLANNING STAGES (BUDGET PREPARATION)

Itemize the baseline study budget. This includes: 1) human resources

such as staffing, any external expertise, training/capacity building,
translation, data entry, etc., and 2) capital costs such as equipment,
ravel and accommodation, computer and software, printing,
publication, dissemination, etc. It is recommended to provide any
narrative necessary to justify each budget items.
Incorporate baseline costs into the project budget. Include baseline
costs as part of the project overall budget, rather than as part of the
project is reflected and secured in the budget.

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PLANNING STAGES (BUDGET PREPARATION)

PLANNING STAGES (ToR -TERMS OF REFERENCE)

Check any donor budget requirements and contributions. If multiple

funding sources are utilized, ensure that the budget is broken down
by donor source, and identify any additional cost not covered.

Whether the baseline study will be conducted externally (e.g. by a

consultancy firm), internally (e.g. by the project team), or a combination of
both, a ToR plays a critical role summarizing the key elements of the
baseline study. This not only assists in the planning of the baseline, but in
clarifying and communicating with key stakeholders to ensure
understanding, ownership, and support.

Plan for contingency costs. Unexpected costs may arise during the
baseline study, such as the need for additional data
collection/analysis to verify findings.

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PLANNING STAGES (ToR -TERMS OF REFERENCE)

WHAT IS A STRATEGIC PLAN

The specific content of the ToR will depend on the project, but key sections
to the ToR format typically include:

STRATEGIC PLAN:
Summary
Background
Purpose and Scope
Specific objectives i.e. particular focus areas/questions for the study
Methodology
Deliverables i.e. the report and potential oral presentation of
findings/conclusions
Timeframe - schedule
Quality and ethical standards
Qualifications or description of the baseline study team
Application procedures for studies for which an external team will be
commissioned.

Systematic management process of an organization, used to set

priorities for defined goals or objectives and a sequence of phases to
achieve them
Envisioning a desired sustainable outcome and translating that
vision into defined goals

Coordinated and systematic procedure, developed to create a sense

of positive direction of an organization
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PRINCIPLES OF STRATEGIC PLAN

PRINCIPLES OF STRATEGIC PLAN

MISSION:
Longits goals, ethics, culture, values and norms

ETHICS:
The adhering to prevailing laws, upholding the dignity of an
organization

VISION:

PRINCIPLES:
Set of rules or code of action governing an organization to preserve its
integrity

and sustainability

VALUES:
Strong convictions an organization adapts, based on believes of what is
desirable, rather than what is right or wrong

GOALS:

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STRATEGIC PLAN CYCLE

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RUDIMENTS OF A SP

DEFINE or REVIEW: Vision, Mission and Values of the organization

SCAN and Analyze: Strengths, Weaknesses, Opportunities & Threats
(SWOT) of the organization
IDENTIFY: Strategic Issues and Develop Strategic Goals and Objectives
CREATE: Plan of implementation, to achieve desired goals
MONITOR & EVALUATE: To, assess performance and if necessary,
develop an intervention strategy

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WHY STRATEGIC PLANS FAIL?

PRE-DETERMINED OUTCOMES: External influence with a readymade plan dictating how your plan should be
Stakeholders are vital in the
development of a Strategic Direction of an organization
LACK OF RESOURCES: Unless implemented, a Strategic Plan is as
good as nothing and very often organizations do abandon a Strategic
Plan, citing limited resources and redirecting the SP allocated budget
to other activities deemed priority
TOO MANY OBJECTIVES & UNREALISTIC GOALS: Objectives and
Goals must be achievable and manageable, by critically evaluating
available financial, human, and technical resources
RESISTANCE TO CHANGE: Organizations must transition from their
primordial mode of operation to current development trends
UNCLEAR ROLES AND RESPONSIBILITIES: Everyone involved in the
project, must be provided with a defined role and responsibility from
the onset of the planning process
LACK OF AN IMPLEMENTATION PLAN: Must implement your plan in
a timely manner according to schedule
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THEORY OF CHANGE

THEORY OF CHANGE
Generally, and as a reminder, the following six questions must always
be answered during the process;

Theory of Change is (ToC) is a tool or approach that maps the root

cause of a social problem and develops solutions.

Who are you seeking to influence or benefit (target population)?

To Apply Theory of Change, the following must take effect;

What benefits are you seeking to achieve (results)?

Identify the drivers of the problem

When will you achieve them (time period)?

What changes need to be made

How will you and others make this happen (activities, strategies,
resources, etc.)?

How to make the change

Where and under what circumstances will you do your work

(context)?

How to sustain the change

Why do you believe your theory will yield (assumptions)?

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THEORY OF CHANGE WORKSHEET

THEORY OF CHANGE WORKSHEET

Project Activities

Goals & Results

Type of change you hope to see in the community or target
group?
What activity of activities will you engage in, to achieve your
goal? (State one project goal)

What are your intentions for the potential beneficiaries?

How do you deliver services to them?

How would you describe the focal point of activities of the major
elements of your program or project?

Target Population
Who are your target population?
Whom do you work with and focus on?
What are their characteristics?
What are the issues you trying to address?

1:

2:
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3:

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THEORY OF CHANGE WORKSHEET

THEORY OF CHANGE WORKSHEET

Short-term Outcomes
What are the short-term and direct outcomes for each of your
program activities?

o Activity #3:

What has changed in the community? (Knowledge, attitude,

behavior, skills etc)

o Activity #4:

Have you seen or do you expect to see any unintended outcomes?

Intermediate Outcomes
If your short-term outcomes were achieved, then what do you
assume will result from it?

o Activity #1:

o Activity #2:
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WHAT DOES ToC MEAN for KWIECO ?

Creates a roadmap for sustainable programs

Tool that can enhance synergy with various partners

Can identifies innovative abilities
Tool to monitor changes and demonstrate success
There must be accountability, when resources required for program
inputs are invested and no output is realized

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LOGIC MODELS AND ORGANOGRAMS

What is a logic model?
Logic Models, Logical Framework, Theory of Change or Program
Matrix are graphical planning and implementation tools used to
effectively evaluate programs

Even though all models intend to achieve the same results, there are
different approaches or strategies to conceptualize the change effort
What is an organogram?

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An Organogram or Organizational Chart, is a graphical diagram that

depicts the relationship and hierarchical authority of an
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organizational structure

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SAMPLE FRAMEWORK TO BE CONSIDERED

SAMPLE FRAMEWORK TO CONSIDER

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SAMPLE FRAMEWORK TO CONSIDER

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CONCLUSION

The
closely related to the type of services it renders to the target
population.
Organizational effectiveness is only possible when organizations are
engaged in sustainable capacity building efforts.
Even though there are several ways to capacitate an organization,
the core focus should still be on strategies, structure, skills and
services.

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