HANDBOOK FOR PROJECTS: DEVELOPMENT MANAGEMENT AND FUNDRAISING Prepared by Dr Anne Touwen Convener IFUW Special Committee on Project Development 2001 Page PLANNING PROJECTS 1 PROJECT PLANNING CYCLE 4 PROJECT IMPLEMENTATION 18 EVALUATION 23 FUNDRAISING IS FRIENDRAISING 26 VARIOUS SOURCES OF FUNDING 31 PROJECT PROPOSAL WRITING 38 International Federation of University Women 8, rue de l’Ancien-Port, 1201 Geneva, Switzerland Tel: (41 22) 731 23 80; Fax: (41 22) 738 04 40 E-mail: ifuw@ifuw.org; internet: http://www.ifuw.org FROM THE IFUW PRESIDENT . . . Project development is an integral part of IFUW’s programme in carrying out its mission to improve the status of women and girls, promote lifelong education and enable graduate women to use their expertise to effect change. Over the years IFUW has promoted and supported project development and training in numerous ways. It was, in 1919, a small group of IFUW members that established the Virginia Gildesleeve International Fund for Women designed to support projects world-wide focusing on women’s educational activities, leadership training and community development. This Fund enabled IFUW to hold special training workshops in conjunction with IFUW Triennial Conferences as well as providing grants for many development projects initiated by IFUW affiliates as well as resources materials such as this handbook. The Counterpart Aid Programme which started in 1978 and which has evolved into the present Bina Roy Partners in Development Programme, has assisted many IFUW affiliates in the development of sustainable community projects as well as enabling affiliates in developing countries and countries in transition to be part of IFUW. In 1980-81 IFUW began its partnership with four other major women’s organizations with the establishment of Project Five-0 dedicated to joint development of projects to provide training in income generation and general welfare of communities. In 1980 IFUW established a Special Committee on Projects to “work with national federations and associations on projects requiring funding from outside agencies” It is interesting to note that this first Committee developed criteria for a “good” project: • A project should arise from a genuine, identified need • A project should usually originate from the grass-roots, and/or be innovative in character • A project should aim to improve the educational, social and economic position of women, girls and children • A project should be within the capability of the affiliate, either alone or in cooperation with other organizations • A project should be managed, implemented, evaluated, and reported on by the affiliate’s members, or, in part, by persons designated to do so by the affiliate and • A project should increase the self-reliance of the recipients and beneficiaries. Since 1980 special workshops on project development have been held in conjunction with a number of IFUW Triennial Conferences and Councils as well as at the regional and national levels. The residential training provided by the “Base Camp” programmes held in conjunction with the IFUW Triennial Conferences in Graz,1997, and in Ottawa, 2001, illustrate IFUW’s continuing emphasis on the importance of training in project development In 1995 a handbook on organizational development was produced "Planning for Change"; it included a section on Project Development. IFUW is grateful to Dr. Anne Touwen for developing and producing this Handbook for Project Development and Management and Fundraising. It builds on previous experience and work while providing a comprehensive resource with concrete examples on project development and fundraising. It is our hope that this resource will assist IFUW members to develop projects that meet community and organizational needs and further the mission of IFUW world-wide. Linda Souter, IFUW President 1998-2001 Introduction Project development always was and still is an important activity for many IFUW affiliates. These projects may vary in content or scope but not in dedication and commitment shown by associations, branches and individual members. To strengthen this activity IFUW organized in 1998 (Graz) and 2001 (Ottawa) at its Triennial Conference a major training event under the name Base Camp. Participants from all affiliates were staying in the same residence and received training in project development and management, proposal writing and fundraising. The training also included a practical work assignment. As Base Camp coordinator and trainer I have been delegated by the IFUW Board of Officers to prepare a handbook in order to consolidate the training and offer a reference book for future project development and management in IFUW’s affiliates. IFUW is grateful to the publishers of the Worldwide Fundraiser’s Handbook (The Directory for Social Change, London) and The International Donor Directory (International Partnership for Human Development, London) for the permission to use materials on fundraising and proposal writing, as indicated in the text. IFUW would also like to express its sincere thanks to UNESCO* for their grant enabling it to publish this handbook. Together with the grant from the Virginia Gildersleeve Fund Inc., and CIDA* the UNESCO money enabled us to partly cover travel costs of Base Camp participants as well. The Handbook provides a comprehensive overview of the project planning procedure with many concrete examples. It also gives an overview of the most important skills for fundraising and describes in detail how proposals should be written. And last but not least, various sources of funding are discussed. I hope that you find it useful. Dr Anne Touwen * UNESCO: United Nations Educational, Scientific and Cultural Organization CIDA: Canadian International Development Agency NB As some of the materials in this Handbook are reproduced from other textbooks, by kind permission of the publishers as indicated in the text, this Handbook is for internal use only. Project Development & Management Project Cycle  Baseline Data and Assessing Needs Evaluation Planning Implementation and Monitoring 1 1 PLANNING PROJECTS 1.1 Introduction Experience shows that when projects are being planned, the task of establishing a sound basis for goals and objectives, and defining them properly, is not given sufficient attention. Yet, these are the most fundamental elements of planning. A good plan alone is no guarantee for a good project. However, a plan which builds on a weak foundation can lead to a good project idea developing into a poor project. Project proposals and plans differ in style and in degree of detail on specific activities. The differences depend on the type of project, but many are also matters of choice. Some prefer a loose framework plan with details to be filled in along the way. Others prefer a more detailed master plan. When one considers applying for donor funding then certainly a well written, detailed project proposal has to be made. Regardless of what is chosen, the essential elements described below will make up the basis for the project document. Important aspects which should be considered in all development-related project proposals are gender, the impact on the environment and sustainability. They ensure greater viability and impact/effect of our efforts. Before describing the various steps in the planning process I first will discuss these issues in some more detail. 1.2 Integrating Gender in Community Related Project Planning The community development approach, designed to create conditions of economic and social progress, emphasises the significance of people's participation, needs orientation, self-reliance, consciousness-raising, bottom-up approach to development, and empowerment of communities, and thus of both women and men. Integration and sustainability are keywords in this approach which is based on the ideal situation that women and men organise themselves in a democratic manner to: (a) define their needs, problems and issues; (b) develop plans and strategies to meet these needs, and (c) implement such plans with maximum community participation to reap the benefits. "Participation" of women and men provides an effective means to mobilise resources, to tap knowledge and energy, and above all provides legitimacy to the project or activity, and promotes commitment and ownership, and thus sustainability. "Empowerment" is a concept that goes beyond participation. It is a process which promotes the sharing of power. Therefore, empowerment helps people to liberate themselves from mental and physical dependence. It is the ability to stand independently, think progressively, plan and implement changes, and accept the outcomes. Empowerment of women is a crucial aspect of any community development programme/project. Gendered community development, therefore, takes women's interests and needs as a starting point as much as those of men. And, consequently, integrates gender in all phases of the project cycle, from planning to implementation to evaluation. 2 Gender-sensitive Project Planning Gender-sensitive planning requires that gender is integrated into all the planning steps, from the collection of data for a situational analysis and needs assessment to the evaluation of the project at the end. In gender-sensitive project planning we, therefore, have to: • Collect gender-sensitive data and do a gender-sensitive situational analysis, • Do a gender sensitive needs assessment, • Develop projects which take into account the different needs and interests of women and men, • Perform gender-sensitive monitoring and evaluation. To involve women in a local planning process a few basic rules apply: • Meet the women where they are, for instance, organise meetings at a time which is convenient to them (not when they are busy harvesting), • Start with issues concerning everyday life (their practical needs), • Underline the "all win" situation of the participation of women, • Recognise the importance of face-to-face contact, • Strengthen the women's confidence in themselves, ensure that their voices are heard and that their input is taken seriously, • Arrange small self-governing groups and provide the necessary skills training, • Stimulate associations or encourage them to join existing organisations that promote the interests of women and open up channels for funding, • Move from dreams to visions to plans to action: make all your planning action-oriented and use strategic alliances to strengthen your position. 1.3 Environmental Considerations By environment is understood the totality of conditions, circumstances and influences surrounding and affecting the development of any organisms. In the case of human individuals, and communities, our environment is made up of both natural and humanly created or built environments. At the global scale, our environment is the planet, at the local level it is the surrounding natural ecosystem. Households in societies in transition to an urban, industrial economy develop adaptive strategies making use of a combination of natural environment resources and income from work to buy the necessities of life. It is women who very often manage this economy, making use of whatever resources are available. Urbanisation places a burden on these already vulnerable households in that the environment in which people live is extremely unhealthy and the possibilities for food production are extremely limited. The fundamental human right to subsistence, therefore, includes the rights of women to use land in order to have a means of livelihood either from natural resources or from income generating activities. This was recognised by the UN when the Women's Action Agenda 21 was drawn up for the UN Conference on Environment and Development in Rio de Janeiro, 1992. The sustainable use of natural resources is impossible without consideration of gender relations and issues. Too often better environmental management does not benefit women, on the contrary, it is sometimes at the expense of women; they provide the labour, without gaining the benefit. Projects should always be screened on possible environmental impacts from a gender-sensitive perspective. 3 Community Project Development Model Baseline Study Needs Assessment Goals and Objectives Feasibility Study (Resources&Constraints) Planning Project Activities Activity Plan Time Frame Responsibilities Facilities, Services and Equipment Budget Implementation Coordination Monitoring Contingency Management Evaluation 4 2 PROJECT PLANNING CYCLE The project cycle consists of five distinct phases: 1. Collecting Baseline data: a situation analysis and resource charting 2. Needs Assessment 3. The Design phase: developing an action plan, a feasibility study 4. Implementation, including monitoring progress 5. Evaluation In this chapter the first three phases are discussed. 2.1 A Baseline Study and Situational Analysis The situation analysis aims at describing problems and needs within an area, and charting the local resources available to do something about them. A good initial situation analysis is necessary for good project implementation. Goals, activities, and resource inputs are all meaningless without understanding the context of the target group: the environment, values, and relationships. All planning must therefore be based upon knowledge of the real situation, and of the various factors which have formed it. The situation analysis is an activity which can firmly link planning to the realities in the field, and thereby to the implementation of the project. The findings should guide and -define the content of the project formulation. If this does not happen, a situation easily develops where what was planned is not implemented, and what is implemented was not planned. Often, an NGO (non-governmental organisation) comes to an area because overwhelming problems have come to the attention of the outside world. It is essential to find out what is perceived as the real problem locally, how problems interrelate, how they have evolved, and which of the problems are considered most urgent. It is important to identify the resources available locally. There is no region or group of people totally devoid of resources. Every group has a history, a way of coexisting with nature, a social structure, equipment, knowledge and skills, traditions, capital etc. An outsider often experiences difficulties in getting a complete picture of such locally available resources. The attitude that everything needs to be supplied from outside should be avoided. Finding ways to use, supplement and complement locally available resources should be a prime concern. Plans and decisions must be based on knowledge. However, not all types of data and information are equally useful. Too much irrelevant information is a common problem. Inaccurate, extraneous, out-dated or distorted information is of limited use. Collecting enough relevant information to shed perfect light on every aspect of a problem is a virtual impossibility. There will always be unclear aspects about which more data can be obtained, and issues that can be assessed differently, in light of new information. The project partners must therefore seek to find a balance between too much and too little information. Research in the traditional sense is not always relevant to planning. Reports often contain too much information or have significantly different objectives and perspectives. Research can be too expensive or take too long to carry out. On the other hand, there are too many projects based solely on information gathered during a short visit by a donor organisation. Sometimes a short conversation is all, and leads to a project plan and a budget. 5 Obtaining just enough balanced and well-founded information always requires careful consideration. When the project idea is formulated by local groups or organisations which themselves are not part of the target group, preconceived "knowledge of local conditions" can be a problem: It can lead to quick and easy conclusions which do not take into account the target group's unique characteristics and possibilities. Where, on the other hand, the target group itself has taken the initiative, it is often necessary to contribute by extending the perspective of the planning process to include regional and national factors. 2.1.1 What Kind of Information? Every analysis is coloured by the conscious and unconscious assumptions and suppositions held by the person who reports, analyses and recommends. The principles, traditions, and attitudes of the initiators influence the choice and use of information from the field. A well- founded situation analysis can make possible a flow of influence in the other direction -from the field to the agency. Factual information from the field can help the organisation correct its perspective, and its attitudes. It is important to clarify what type of external constraints of a more structural character the project must relate to at national, regional and local levels. This type of clarification allows for a more realistic view of what can be expected from a project. Project activities often run into conflict with such constraints, unless the constraints are acknowledged and taken into consideration during planning. If the target group is a local community, it will most often be appropriate to begin the situation analysis right there, and then extend the perspective gradually. If the target group is harder to identify at this early stage in planning, it may be more appropriate to start with a defined administrative or geographical area. The project partners' principal fields of interest greatly influence the choice of issues, relationships, and processes to focus upon (such as children, the handicapped, co-operatives, labour unions, ecology etc.). General information on the local context and the local community as a whole, should always be included. In describing particular problems, links and causal relationships to other problems and issues must be made evident. Several problems may have overlapping causes. Doing something about some causes at one or more levels may be within reach of the planned project. It is therefore important to clarify what causes are within range of the project activities and which ones are not - at least at the outset. 2.1.2 How to Gather Information One must seek to optimise the knowledge and experience gain from the information gathered (its relevance, accuracy and suitability), in relation to the investments made to gather it (the time and money spent). Before beginning, it is therefore important to clarify the following: What information is not needed? Deciding that certain information is neither wanted nor necessary, demands courage. In some investigations, far too much information is gathered just in case it might become useful. The level of ambition (quantity and quality). Certain principles are fundamental: 6 Spending time on the first phase of planning is a good investment. Listen and learn. Allow the local people to express themselves. Consider them teachers and yourself a student. Assume that they possess important information. Combine several approaches. Try to approach each question in many different ways. This tends to correct and enhance the picture. Don't believe that a particular approach is the only right one. Clarify your assumptions. Try to clarify on which assumptions statements are being made, and where possible pitfalls are hidden. How, for instance, is the situation analysis coloured by the sex of team members or of informants, by the route taken by the team, by the time of year the project area was visited, etc. 2.1.3 Methods of Gathering Information The following describes various methods of gathering data and information. The reasonably priced and straight-forward ones should be preferred. In cases where the more complex and expensive methods must be used, one should evaluate critically which one(s) will be most appropriate. The approach taken by an external organisation which is just starting up work in a new partner country will naturally differ from that of a local organisation which is already established and in operation. a) Use of available documentary evidence It is not necessary to re-invent the wheel. In many developing countries, large amounts of research material and lots of reports exist, but are hardly made use of Identifying possible sources of such information is an important task. Good places to look are universities, colleges, research centres, and larger development assistance organisations and multilateral bodies (such as UN organisations, WHO, World Bank). The most relevant statistics can often be found in the appropriate government ministry or planning office, or in an office of national statistics. The quality can vary, and needs to be assessed. Finding specific data relevant to small local areas is often difficult. However, more information is usually available than one expects. b) Observation Observation includes all forms of direct presence in the project area. "Field visits" are most often quick visits to the field by one or more representatives of the project partners (increasingly by consultants as well) with the aim of gaining personal impressions on which to found recommendations. A select few master this form, and can in the course of a brief field visit grasp (and later on express) the essential details in a situation while retaining a clear overall view. For most others, field visits may seem to have been efficient, but the knowledge gained is at best superficial, and sometimes completely wrong. Observation is important and necessary, but not sufficient alone. Observation can be more or less efficient. Observing in an unstructured manner, like when the observer aimlessly wanders round talking with people, or is perhaps just a spectator, is in general far less effective than structured observation. Preparing a checklist of what is important to look into, and then observing the same conditions in, several villages, is an example of a way to structure observation to improve its value. c) Interviews and seminars [...]... addressed and effective working relationships are developed; • to communicate information so that people have the information they need to perform their work effectively and efficiently Project co-ordinators should be flexible and able to adapt to changes within and outside the organisation and manage change to encourage creativity and flexibility in achieving program objectives 19 Project management1 ... as consultants to governments, other NGOs, community groups, and even business Local NGOs often have developed an expertise in certain areas (water development, sanitation, land reform and settlement, small enterprise development, and so on), which are in demand Others hold training seminars, undertake research and evaluations, or provide management skills Contracts are signed with the group requesting... for the project This seems self evident, but is nevertheless often given little attention Finding target groups already organized at the outset, and ready for discussions and negotiations about objectives and the means for self development, happens rarely In many real-life projects, the target group is somewhat diffuse and sometimes seems nearly arbitrary Example definitions are "those who come", and. .. planning session, and field-tested according to the plan Step 5 ANALYSE and ORGANISE the information How is the information to be analysed and by whom? Who will develop the final conclusions and recommendations? Make an outline of the final report Decide how much data will be needed, and what limits of time and other resources affect the work of tabulation Step 6 COMMUNICATING the FINDINGS and MAKING FOLLOW-... group helps focus and concentrate the project effort The choice of target group defines limits, and can in some cases erect new social barriers and improve the situation for some at the expense of others Local society is seldom homogeneous Conflicts, power blocs, and contradictory opinions and needs are part of almost every society Care must therefore be taken in making the choice, and in assessing... Many mothers being responsible for their families alone; unemployment forces the men to leave the area Little opportunity to produce food for yourself; arabIe land is being contracted out for cultivation of cash crops Very few girls attend school long enough or regularly enough to learn to read and write Widespread under nourishment among children and adults Long queues and high prices at the 3 health... document, and thereby help ensure continuity Changes of main strategy along the way must be possible, but should only be made consciously, and should be well founded in relation to the initial terms' reference for the project The project strategies will help bridge the gap between the basic development philosophies and principles of the organisations, and the choice of goals, target groups and inputs for. .. demographic features and population characteristics * economic activities * social stratification and power relations * organisations and their functions and activities * leadership pattern and its influence * cultural facets or traditions * critical issues and problems Sources of information are: * documents or files in government offices/NGOs * reports of surveys * community members * informal leaders... activities and finances; • Monitoring performance to document the way people carry out their responsibilities; • Providing feedback to people on a regular, informal basis, including positive feedback and constructive criticism; • If the project employs staff regular performance appraisals should be organized to formally assess the way people work and extent to which they produce results, and to give... skills and talent that allows the team to work cooperatively together, building interdependence among the members 3 A high degree of tolerance, mutual respect, trust and support which allows individuals to take risks and challenge their abilities 4 An understanding of and commitment to a common purpose and goals Individual goals and objectives align with team goals to ensure balance in meeting team and . Touwen for developing and producing this Handbook for Project Development and Management and Fundraising. It builds on previous experience and work while providing. HANDBOOK FOR PROJECTS: DEVELOPMENT MANAGEMENT AND FUNDRAISING Prepared by Dr Anne Touwen Convener IFUW Special Committee on Project Development