Power in Enterprise 110112

					     Power in Enterprise
Manual to strengthen the internal
 governance of community-based
        enterprise organizations
          Power in Enterprise:
  Manual to strengthen the internal
  governance of community-based
      enterprise organizations




  Authors: Giuseppe Daconto, Straton Habyalimana, Sharad Gurupad Mahajan,
                Helen Ninsiima, Anna Spenceley, Ritah Tusabe.

               Editing and layout: Omeno Suji and Lilian Dhahabu

   Photographs: Anna Behm Masozera, Guiseppe Daconto, Helen Ninsiima and
                         Wellard Makambo Molatu.

                                December 2011

Copyright © 2011, Cooperative for Assistance and Relief Everywhere, Inc. (CARE),
    Oxfam, International Gorilla Conservation Programme • Kigali, Rwanda.
                                           Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




Acknowledgements
The authors acknowledge that this manual would not have been possible without the collaboration
received from many colleagues and partners. SNV (Netherlands Development Organization) in Rwanda
contributed to the initial conceptualization and preparation of trials. The following staff of the three
partner organizations helped to conceptualize the methodology, conducted the trials and reflected on
the outcomes: Beda Mwebesa, Wellard Makambo, Eugene Rurangwa, Benjamin Mugabukomeye, Mark
Mwine (International Gorilla Conservation Programme); Jimm Kava (CARE International); Dieudonne
Rutware (Oxfam); Esther Marijnen. We also thank a large number of colleagues in the administration
services of CARE International in Uganda and Rwanda. The members, managers and directors of the
following partner organizations participated in the trials: the Uganda National Seed Potato Producers
Association, Uganda; Nkuringo Community Conservation and Development Foundation, Uganda;
Sabyinyo Community Lodge Association, Rwanda; Buhoma Tourist Association, Uganda; Agasaro
Cooperative, Rwanda; Duterimbere ASBL Rwanda. We also thank the consultants, Omeno Suji and
Lilian Dhahabu, who supervised the final production process.

Many sources, guidelines and experiences available in literature and reflected in professional practice
have influenced this work. We acknowledge the key references in the Bibliography.

Funding for the preparation and publication of the manual was provided by the Howard G. Buffett
Foundation through the project: “Enterprise, Environment, and Equity in the Virunga Landscape of
the Great Lakes”, implemented by CARE International and the International Gorilla Conservation
Programme.

The opinions expressed in this publication are those of the authors and do not reflect official views of the
partner or funding organizations.

Not-for-profit and governmental organizations supporting humanitarian relief and development may
reproduce this publication, in whole or in part, provided the following notice appears conspicuously
with any such reproduction: “Power in Enterprise: Manual to Strengthen the Internal Governance of
Community-Based Enterprise Organizations - Copyright © 2011, Cooperative for Assistance and Relief
Everywhere, Inc. (CARE), Oxfam, International Gorilla Conservation Programme • Kigali, Rwanda.
Used by permission.”




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     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




     Foreword
     The empowerment of local actors and institutions is a cornerstone of social and economic development.
     Decades of experience have taught us solid lessons. One of these is that if development agendas and
     initiatives are not owned locally, they will not be sustainable and will have little impact. This is becoming
     increasingly relevant especially for international NGOs. Their raison-d’être is closely associated with
     the desire and capacity to nurture people-centered development, rooted in the aspirations and self-
     determination of the poorest in the society. In this perspective, development is no longer just the provision
     of services, resources or skills. It is rather a process of facilitation and dialogue that finds its legitimacy in
     the capacity to provide a channel for the aspiration of its direct beneficiaries.

     In the real world, the path towards this vision is fraught with difficulties: among these, unequal power
     balances are prominent. Power is expressed in many forms, like resources, capacities, influence, cultural
     relations. Power imbalances exist between an international NGO and its local partner organizations,
     between these and the communities they mean to serve, among members of the same community and
     between this and authorities. Therefore, the agenda of transforming power relations takes many forms
     and plays out at several levels.

     This manual concerns itself with a specific domain of changing power relations. It looks at the way
     grassroots organizations involved in economic activities (i.e., agriculture or tourism enterprises) can take
     decisions for the benefit of their members; and the way such organizations hold themselves accountable
     internally and externally for those decisions. Its aim is to provide a practical guidance to development
     staff for the facilitation of partnerships with such organizations, with the ultimate goal of supporting
     their empowerment.

     The manual was developed as a joint effort of CARE International (Country Offices in Rwanda and Uganda),
     the International Gorilla Conservation Programme and Oxfam in Rwanda. SNV in Rwanda also gave us
     an important contribution in the initial conceptualization and preparation of trials. We found ourselves
     sharing similar challenges when developing enterprises in collaboration with agriculture cooperatives,
     farmer and ecotourism associations, or other types of community development associations.

     Several manuals and experiences already provide useful references to assess and develop capacities and
     systems (e.g., financial management or human resource management). On the other hand, empowering
     grassroots enterprises requires going beyond management skills or accounting books. Despite good and
     sustained management and technical support, many grassroots organizations battle to develop genuine
     internal accountability and a responsible leadership. Leadership crises can jeopardize the work of many
     over a long period of time. Furthermore, crises or unresolved latent conflicts can undermine trust in
     partnerships, which is the cornerstone of development endeavors.

     This manual provides enterprise development practitioners with a set of tools and a practical perspective
     on organizational change, focused on internal decision making, accountability and power balance.
     We trust that the approach provided herewith may help others shape their own experiences in similar
     enterprise partnerships.

      Navaraja Gyawali                                                                           James Bot
      Country Director, CARE International in Rwanda                                             Country Director, CARE International in Uganda
      Eugene Rutagarama                                                                          Maggie Carroll
      Director, International Gorilla Conservation                                               Country Director, Oxfam in Rwanda
      Programme




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                                            Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




Preface
This manual is the product of a collaborative effort by teams of CARE International in Uganda and
Rwanda, the International Gorilla Conservation Programme and Oxfam in Rwanda, with the precious
collaboration from SNV Rwanda Office during the initial phase. The teams explored ways to handle
internal governance challenges frequently experienced by small rural enterprise organizations. We
wanted to identify methods that could help these organizations grow their capacity to take decisions
towards meeting often complex bottom-lines (financial, social, environmental).

We studied approaches and experiences available in literature and in the professional practice in relevant
contexts. Among the wealth of organizational development models, we felt the need for a practical
guideline specifically focused on internal governance change in similar contexts as ours.

The partners decided to conceive and test an approach, drawing from experience in literature and our
own practice. We conceptualized a set of approaches and tools to facilitate organizational assessment
and development processes focused on several dimensions of internal governance. We later tested our
concepts by undertaking trials with a number of grassroots enterprise organizations we partner with in
Rwanda and Uganda.

This manual is the product of this process, reflecting our approach to the complex set of governance
challenges typically encountered in similar organizations, and the lessons we have learned though the
trials.

Two broad lessons stand out from our experience. Firstly, strengthening internal governance is more an
art than a science. Practical tools and lessons help, but they are just means. This manual intends to avail a
wide range of tools. At the same time, to avoid transient results, the practice needs to use tools to support
a truly reflective approach to the facilitation of organizational change, adapted to the requirements of
each institution.

Secondly, leadership or governance challenges cannot be easily solved through short term interventions
or consultancy fixes. In reality, we often find the root causes of those challenges in the early history
of an organization. The role played then by supporting organizations can have profound and far
reaching consequences. Undoing entrenched constraints to accountability can be much more costly
with the passing of time; vice versa, a careful attention to governance requirements (and its multiple
dimensions) in the early stages of an enterprise development initiative can pay off in the longer term.
The development of internal governance is a long term undertaking, to be nurtured since the very early
stages of a partnership.

We are confident that further work, applications and inputs will continue enriching this knowledge and
practice. We shall remain interested in receiving feedback from practitioners.

Giuseppe Daconto
Regional Programme Co-ordinator
Enterprise Environment and Equity in the
Virunga Landscape of the Great Lakes

Care International, Rwanda




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     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




     Acronyms
               BDS          Business Development Service
        CBNRM               Community Based Natural Resource Management
              CBO           Community Based Organization
               CSO          Civil society organisation
            ECBO            Enterprise Community Based Organization
          EEEGL             Enterprise, Environment, and Equity In the Virunga Landscape of the Great Lakes
                 GA         General assembly
            HGBF            Howard G. Buffett Foundation
                 HR         Human resources
             IGCP           International Gorilla Conservation Programme
                  LG        Local Government
              M&E           Monitoring and Evaluation
              MoU           Memorandum of Understanding
              NGO           Non governmental organization
             NRM            Natural resource management
              OCA           Organisational capacity assessment
                  PA        Protected Area
               PRA          Participatory Rural Appraisal
               SNV          Netherlands Development Organisation
              TNA           Training Needs Assessment
                ToR         Terms of Reference




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                                                                         Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




CONTENTS
ACKNOWLEDGEMENTS ........................... iii                                                  2.4.2 Resources required for implementation.......15
FOREWORD .................................................iv                                  2.5 Practical tips............................................................16
                                                                                                  2.5.1 Identification of the facilitation team ..........16
PREFACE ........................................................v                                 2.5.2 Tips on key informant interviews.................16
ACRONYMS ..................................................vi                                     2.5.3 Tips on facilitating FGDs and workshops ...17


CHAPTER 1 INTRODUCTION                                                                        CHAPTER 3 TOOLS FOR ASSESSMENT
1.1 Organization of this manual.....................................1                                   AND FACILITATION
1.2 Internal organizational governance as a development                                       Tool #1: Assessment checklist .......................................19
    issue ...........................................................................1        Tool #2: Organizational history ...................................23
1.3 Objectives of this manual .........................................2                      Tool #3: Board and committee members’ profiles .......24
1.4 What do we mean by internal governance? ..............3                                   Tool #4: Profiles of senior management staff
1.5 Scope of application ..................................................4                           of the ECBO ....................................................25
    1.5.1 Target organizations .......................................4                       Tool #5: Membership profiling .....................................26
    1.5.2 Internal governance problems with ECBOs ..4                                         Tool #6: Auditing of financial management capacity...27
    1.5.3 What this manual is for ..................................5                         Tool #7: Assessment of organizational strategies .........30
    1.5.4 What this manual is not for ............................6                           Tool #8: Board performance .........................................31
                                                                                              Tool #9: Management performance ..............................33
                                                                                              Tool #10: Members self-assessment ...............................36
CHAPTER 2 APPROACHES AND PROCESS                                                              Tool # 11: Organizational values....................................37
2.1 Governance factors ...................................................7                   Tool #12: Assessment of stakeholders, external conflicts
2.2 Approach to facilitating internal change..................8                                        and alliances ....................................................38
2.3 Assessment and facilitation process .........................9                            Tool #13: Organizational change ...................................39
     2.3.1 Overview .........................................................9                Tool #14: Analysis of business performance of ECBO ..40
     2.3.2 Step-by-step guideline ..................................10                        Tool #15: Action plan template ......................................41
     2.3.2.1 Preparatory phase .......................................10                      Tool #16: Public private partnerships ............................42
     2.3.2.2 Facilitation team: Establishment
            and briefing of assessment team ..................10                              Figure 1: Dimensions of internal governance..................4
     2.3.2.3 Assessment phase ........................................11                      Figure 2.1. Factors affecting internal governance ...........7
     2.3.2.4 Preliminary assessment report ...................11                              Figure 2.2. Strengths and weaknesses of external and self-
     2.3.2.5 Validation and action planning workshop .12                                                assessment .........................................................8
     2.3.2.6. Assessment report and plan .......................13                            Figure 2.3. Stages in the assessment process ...................9
     2.3.2.7. Monitoring and feedback ...........................14                           Picture 2.1: Keeping it simple and inexpensive .............15
2.4 Planning and logistics ..............................................14
     2.4.1 Indicative time commitments
            for the assessment process ............................14




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                                           Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




1 INTRODUCTION
1.1 Organization of this                                        organization such as supporting NGOs, business
                                                                partners, regulatory authorities, suppliers, buyers
    manual                                                      and competitors.
This manual is organized in 3 chapters:                                A CBO needs to develop its capacity across
                                                                several domains to ensure its success: from
• Chapter 1 introduces the basic concepts of                    the technical capacity required to deliver the
  internal governance, links them to features                   organization’s mission, to the skills and systems
  of ECBOs and explains the purpose of this                     required to manage finances and contracts, interact
  manual.                                                       with stakeholders, negotiate with partners, obtain
                                                                support from public bodies, manage external and
• Chapter 2 describes the approach of the                       internal conflicts, manage staff, expand public
  methodology presented in this manual and                      relations, etc.
  its process of implementation. It contains a                         Among these, the development of robust
  step-by-step guide and a set of guidelines on                 systems of internal governance is often paramount.
  logistics and practical tips.                                 Internal governance refers to those systems
• Chapter 3 consists of a set of tools to be used at            through which a CBO pursues its institutional
  the various steps of the process.                             mission, takes decisions and holds internal bodies
                                                                accountable mutually and towards stakeholders
                                                                (e.g. community members, regulatory authorities,
                                                                etc.).
1.2 Internal organizational                                           This manual is specifically concerned with
                                                                those CBOs that pursue economic or enterprise
    governance as a                                             development objectives for the benefit of their
    development issue                                           members. We shall call them enterprise CBOs
                                                                (ECBOs). These can be in the form of local
       A large proportion of social and economic                cooperatives, farmers or community associations
development actions requires grassroots                         and private companies with shareholders
institutions which are formally constituted.                    membership. Their mission may include
These community based organizations (CBOs)                      improving the welfare of their members; managing
pursue a variety of missions and goals: from                    community-based tourism enterprises, sometimes
income generating activities to trading, service                in partnership with public and/or private actors;
provision, welfare assistance, public awareness,                support members’ skills development and
skill development, etc. They are often supported                agriculture crop trading and input supply, etc.
by NGOs, government agencies and other
                                                                       Unlike other types of community based
development actors with the ultimate goal of
                                                                organizations, ECBOs also pursue specific
becoming protagonists in their arenas.
                                                                economic goals, often with a view of becoming
      In the real world, CBOs are born, grow,                   autonomous economic actors. They often blend
shrink, prosper, change or sometime die. Their                  market oriented strategies with clear social goals
typical trajectory is seldom linear. The managers,              (e.g. the delivery of economic benefits to poor rural
directors and members of these organizations often              communities, the representation of their livelihood
need to learn the basic skills and tools required               interests). In certain cases, they build their business
from their respective roles while steering their                case on advocating and strengthening access
organizations through challenging transitions.                  rights of member communities over the natural
These transitions, from birth onward, happen in                 resource base underpinning the enterprise (e.g.
response to internal conditions. They can also be               agriculture land, resources within national parks,
influenced by a number of actors external to the                tourism concessions and government subsidies).




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    Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




          The impact and sustainability of these                                                   for a long time and across multiple skill areas
    enterprise initiatives depend on a number of                                                   (legal, technical, management, financial, etc.).
    factors, including: the policy framework under                                                 Support actors need acute awareness of power
    which concessions to the ECBO may be allocated;                                                relations within the ECBO and in its operating
    the general regulatory and policy environment;                                                 environment. They need to balance their support
    the availability of core business competence                                                   role with the need to nurture legitimate internal
    within the ECBO; the development of minimum                                                    ECBO decision making.
    internal management capacities; market realities,
    etc. Among these factors, ECBO initiatives                                                           They often need to acknowledge the fact
    frequently face internal governance challenges.                                                that effective ECBO governance processes
    These arise from poor internal and external                                                    can, and at times implicitly or explicitly,
    accountability, elite capture of resources, lack of                                            pursue transformational changes in member
    transparency and internal conflicts. This set of                                               communities. This refers to the way local leaders
    governance challenges is at the centre of attention                                            emerge and relate to other community members
    in this manual.                                                                                and authorities or the way the organization gains
                                                                                                   legitimacy while mediating between public and
          Internal governance problems are not                                                     private interests.
    specific to ECBOs. On the other hand, in the case
    of ECBOs, they may face specific causal links and                                                    Therefore, achieving internal or external
    ramified effects associated with the economic role                                             accountability and transparency in ECBOs is not
    of the organization:                                                                           merely a technical process. Training and planning
                                                                                                   exercises are necessary support actions for the
    • Unaccountable ECBO leaders may take                                                          ECBO. However, they, per se, do not guarantee that
      advantage of resources (financial, natural                                                   the ECBO may achieve legitimacy and fairness in
      and social) accessed via ECBO business                                                       the eyes of its members or stakeholders.
      transactions.
                                                                                                          This manual is specifically designed
    • The ECBOs’ governance system needs to                                                        for actors such as NGOs, business service
      support both the pragmatic and swift decision                                                providers, government services and other public
      making required in business operations and                                                   sector bodies which support the growth and
      the attention to internal processes as well as                                               strengthening of internal governance systems in
      consultations required of membership based                                                   CBOs that pursue enterprise goals. Supporting
      organizations.                                                                               partners need to have a mature understanding of
    • Governance failures, such as lack of                                                         organizational change if they want to be effective.
      transparency or regulatory compliance, can                                                   They need to be perceived as credible facilitators
      rapidly undermine the trust which nurtures                                                   and to draw on technical capacities, management
      enterprise activities and especially partnerships.                                           skills and solid experience which may help them
      Negative effects from such situations may last                                               support resourceful facilitation processes. The
      a long time.                                                                                 methodology described herewith attempts to
                                                                                                   provide a conceptual map and practical tools to
                                                                                                   help supporting organizations become organized
          ECBOs are often recipient of technical                                                   and strategic in facilitating these processes.
    and financial support from their partners.
    Organizational capacity development has been a
    mainstream development agenda for a long time.
    These activities typically include: training courses                                           1.3 Objectives of this
    to develop the skills of managers and directors;                                                   manual
    the writing and adoption of manuals and internal
    procedures; strategic planning exercises designed                                              This manual is designed to support the assessment
    to provide the ECBO with a roadmap to pursue its                                               and to strengthen the internal governance systems
    long term vision and goals.                                                                    of an enterprise CBO (ECBO). It proposes a
          The development and strengthening of                                                     process which merges external facilitation and self-
    internal governance systems generally entail                                                   assessment by ECBO members and bodies of the
    demanding processes. Support may be required                                                   status and evolution of the ECBO governance.




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                                            Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




       The manual is mainly designed for                                    the ECBO’s structures interact among
application with community based organizations                              themselves and with external stakeholders
in the tourism and agricultural sectors. The tools                          to achieve the ECBO mission (e.g. Board’s
facilitate a participatory process of analysis and                          decisions, general membership meetings,
diagnosis of governance problems and challenges.                            management actions, etc.).
It establishes an internal reflection within the
ECBO seeking the root causes of problems and
preventing or solving conflicts. Its ultimate
purpose is to support the ECBO in developing
realistic and practical actions to sustain a positive
evolution of its own governance system.


1.4 What do we mean by
    internal governance?
      The internal governance of an organization
comprises those factors that provide leadership,
direction and legitimacy to the organization, and
determine how decisions within the organization
are taken to define strategies, behaviours, and
allocate and manage resources. These factors can
be presented as follows:
• Leadership: Those factors (structures,
  processes and rules) through which the
  direction of the CBO is set and maintained:
   o Structures: Usually, organizations have
     management bodies (responsible for the
     running of operations) and governing
     bodies (responsible for setting strategies
     and policies and for monitoring their
     execution). These structures are defined
     by the mandate and capacities of their
     respective constituent members.
   o Rules: These are procedures which define
     how the structures of the organization
     function and how the different bodies
     perform their roles and relate to each
     other. Unwritten rules can be as important
     as written rules. Therefore, relevant
     rules encompass all formal, informal or
     customary procedures through which the
     organization live. Among critical and often
     unwritten rules, there is the capacity of the
     leaders to define and represent the values
     that inspire and guide the organization.
   o Processes: Those mechanisms, events
     and courses of actions through which




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    • Direction: It includes the mission, vision                                                   • A business purpose.
      and strategy of the organization. Direction is
                                                                                                   • A mission which also encompasses social
      affected by:
                                                                                                     goals (e.g. sharing of financial benefits among
      o the formal definitions in ECBO documents;                                                    members, uplifting of members’ skills and
         and                                                                                         livelihood, affirmative actions in favour of
      o the effective understanding of these, as                                                     marginalized groups, etc.).
         existing within the ECBO.                                                                 • An established legal persona (the nature
    • Legitimacy: Defines the systems (rules and                                                     of which may vary depending on the legal
      processes) which enable the ECBO to draw                                                       framework in any given country).
      and maintain the support of its membership
      or constituency to achieve its mission.                                                      • Contractual relations across the value chain
                                                                                                     of interest which is with suppliers, buyers
                                                                                                     (e.g. through contract farming agreements,
    Figure 1: Dimensions of internal                                                                 outsourcing contracts, etc.), private partners
    governance                                                                                       (e.g. through public-private partnerships).
                                                                                                   • An urban, or most frequently, a rural setting.
                                                                                                   • They have been established and/or developed
                                          Direction
                                                                                                     with external inputs, from NGOs or
                                                                                                     government services.
                                                                                                   • They have been entitled by government to
                                                                                                     certain privileges (e.g. tax breaks, favourable
                                                                                                     lending terms, etc.) or rights of access to certain
                                      Internal                                                       natural assets (e.g. tourism concessions)
                                     Governance                                                      in view of their constituency and social
                                                                                                     development mission. Therefore, they share
             Leadership:                                                                             certain responsibilities to maintain the said
              Structures                                            Legitimacy                       privileges.
               + Rules
             + Processes
                                                                                                          This manual is meant to support the
                                                                                                   establishment of new ECBOs or the strengthening
                                                                                                   of existing ones. Some of the features of this manual
                                                                                                   may also be applied to other community based
    1.5 Scope of application                                                                       organizations, such as civil society organizations
                                                                                                   that are not pursuing business goals. However,
    1.5.1 Target organizations                                                                     the focus of this manual is on the nexus between
                                                                                                   internal governance and the effective management
    This manual is designed with a certain type                                                    of revenues and business interests deriving from
    of organization in mind - small business                                                       concessions, contractual relations and/or other
    organizations which have a community or social                                                 economic initiatives for the benefit of ECBO
    constituency. These may include agriculture                                                    members.
    cooperatives, community-based associations and
    farmers groups. We have broadly defined these                                                  1.5.2 Internal governance problems
    organizations as community based enterprise                                                    with ECBOs
    organizations (or enterprise CBOs, hereafter
    ECBOs). Specifically, we had in mind organizations                                             Governance problems may manifest themselves
    that share all or most of the following features:                                              in many forms, for example:




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                                           Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




• Conflicts between bodies or members of the                          registered once or twice before they finally get
  ECBO.                                                               it right.
• Unaccountable leadership or management                              Due to these or similar challenges, internal
  which may undertake decisions contrary to                     governance often is the make-or-break factor for
  the organization’s interest or mission, or may                the success of ECBOs, especially considering that
  unlawfully misappropriate organizational                      ECBOs often pursue both economic and social
                                                                goals. Most have histories marked by frequent
  resources or revenues.
                                                                failures and conflicts.
• Leadership inability to mediate among                               Organizational change does not happen at
  conflicting external requirements or to ensure                one point in time. ECBOs go through a trajectory
  compliance with relevant regulations.                         of internal governance changes, with a range of
• Static, never changing or highly centralised                  possible outcomes. Assessment of and support
  leadership (e.g. the syndrome of the founding                 to this change process need to appreciate the past
                                                                trajectory of the organization and produce a vision
  chairperson who may be unwilling to relinquish
                                                                to guide future trajectories of change.
  a tight grip when the ECBO grows).

      These common challenges can be affected by                Case study 1: Board capacity
frequent weaknesses encountered in the history of
grassroots organizations:                                         The Boards of many, especially young ECBOS, are often weak.
                                                                  However, examples of good boards can be found. In one ECBO in
• They are often externally led in the formative                  Rwanda, the Board carries out regular performance appraisals of
  stages by supporting agencies rather than by                    staff members and develops a response plan for weaknesses noted.
  a pre-existing leadership capacity. Therefore,                  The Internal Audit Committee has the responsibility to monitor
  leadership needs to emerge while business is                    whether policies are being followed and checks this out regularly.
  ongoing.                                                        Such capacities should be carefully noted during assessments and
                                                                  recommendations provided to the organization during the feedback
• They often have an inadequate understanding                     workshop.
  of what it takes to develop internal checks and
  balances, leadership and direction.
                                                                1.5.3 What this manual is meant for
• Similar gaps in understanding or capacity may
  sometime also exist within their supporting                         This manual is designed to promote the
  partners. These may provide guidelines,                       growth of sound internal governance through an
  procedural manuals, training sessions etc.,                   exercise of facilitated review and self-assessment.
  often within time and resource constraints                          The manual’s rationale lies in the
  imposed by a project framework. Necessary as                  understanding that internal governance is not only
  these capacity building inputs are, they are often            about how the Board relates to other stakeholders
  not sufficient to bring about change, especially              and fulfils its responsibilities. It also includes how
  in the most critical aspects of leadership and                decisions are arrived at; how power relations
  quality of governance practices.                              within the organization and between these and
                                                                other actors are managed; and how the quality of
• They often fail to link explicitly and carefully              the emerging leadership reflects the mission of
  the development of sound internal governance,                 the ECBO and the aspirations of its members and
  with the design of contractual relations and                  partners. Therefore, the proposed process wants
  institutional mechanism for checks and                        to:
  balances.                                                     • Identify internal accountability and decision
• Their registration and regulation and the                       making problems.
  development of accountability take a long time                • Increase   self-awareness    and     shared
  to establish. Some ECBOs often have to change                   understanding within the ECBO of governance
  their statute or the laws under which they are                  problems and requirements.




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                                                                                                   • Identify and prevent or mitigate internal and
                                                                                                     external conflicts.
                                                                                                   • Produce actionable recommendations to
                                                                                                     inspire ECBO-specific good practice in internal
                                                                                                     governance and accountability.
                                                                                                   • Increase stakeholder awareness of the evolution
                                                                                                     of the ECBO and place the assessment and
                                                                                                     action planning exercise within the context of
                                                                                                     the organizational history.
                                                                                                          The process should ideally start from within
                                                                                                   the organization. However, given limited internal
                                                                                                   capacities of most ECBOs in the real world, we
                                                                                                   foresee that a team of internal and external
                                                                                                   assessors should work together to undertake the
                                                                                                   process. The intention of the process is to establish
                                                                                                   a dialogue within the organization and with its
                                                                                                   key partners, about governance issues and desired
                                                                                                   change. The goal, therefore, is not to carry out an
                                                                                                   “audit” to assess compliance with a good practice
                                                                                                   standard. It is rather to stimulate reflection and
                                                                                                   constructive discussion, taking into consideration
                                                                                                   the history of the organization and the realities
                                                                                                   of its context. The ultimate purpose is to help the
                                                                                                   organization devise its own practical plan to lead
                                                                                                   to the desired internal changes.

                                                                                                   1.5.4 What this manual is not meant
                                                                                                   for
                                                                                                        This manual is not meant to guide other
                                                                                                   complementary and important strategies of
                                                                                                   organization development, such as:
                                                                                                   • Capacity assessment and development of
                                                                                                     technical and general management functions.
                                                                                                   • Business plan assessment and development.
                                                                                                   • Strategy development.
                                                                                                   • Financial auditing.
                                                                                                   • Assessment of sub-granting risk.

                                                                                                        The reader will find a list of manuals and
                                                                                                   guidelines for those other critical organizational
                                                                                                   development processes in the references section.




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                                                          Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




2 APPROACH
  AND PROCESS
2.1 Governance factors
     This manual sees governance as affected by a range of factors that shape the way the organization
governs itself:
• The structure, internal bodies and capacity of the organization.
• The systems to manage income and expenditure and to plan decisions about resources.
• The quality and values of the leadership.
• The past history of change within the organization and the influences on those.
• The role of external stakeholders and the broader operational context.
• The performance of the organization as a business entity and the way it serves the interests of its
  constituency.

Figure 2.1. Factors affecting internal governance
                                                            Internal Governance
                           Governance structure                                                     Management systems
           Organizational design                                                                                         Financial management
         Statutes and procedures                                                                                         Planning and budgeting
     Board and other committees
                   Management
           General membership
                      Strategies
                     External context and relationships                                               Leadership factors
                   Stakeholders                                                                                          Values
                       Contracts                                                                                         Organizational change process
                    Concessions
                   Partnerships
           Business associations
                        Organizational performance
          Business performance
                 Benefit sharing




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    Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




    2.2 Approach to facilitating                                                                   process. This needs to be a pragmatic approach to
                                                                                                   maximise the synergy between self-facilitation and
        internal change                                                                            external facilitation. These two approaches have
    The primary purpose of this guideline is to facilitate                                         their strengths and weaknesses as summarised in
    governance change and development within an                                                    Figure 2.2. The proposed process should combine
    organization. The approach assumes that one or                                                 the strengths of external facilitation, with specific
    two external facilitators will work with an internal                                           regard to independence and conflict prevention,
    team of trusted members of the ECBO to guide the                                               with the desire to enhance the ECBO’s ownership
                                                                                                   over the exercise and its findings.

    Figure 2.2. Strengths and weaknesses of external and self-assessment
           External assessment                Self-assessment
                   •   Brings in specialised skills in facilitation, and governance.                    •   Build reflective practice within the organization.
                   •   Less influenced by interests within the organization.                            •   Can empower through participation and consultation.
                   •   Can produce comparison with other organizations.                                 •   Can seek consensus through an open process.
    STRENGTHS




                   •   Can more easily adopt external standards.                                        •   Can adopt an appreciative enquiry approach.
                   •   Can design capacity building (training) following the                            •   Captures the subtleties of internal dynamics.
                       assessment exercise.
                   • May miss subtle contextual factors.                                                •   Difficult findings can raise controversies and internal conflicts.
                   • Difficult findings can be ignored.                                                 •   Internal problems can be deliberately obscured.
                   • Externally generated recommendations may not be owned or                           •   More powerful stakeholders can prevail and bias the outcomes.
    WEAKNESSES




                     accepted by the organization.                                                      •   Requires skilful facilitation.
                   • May find it difficult to grasp internal dynamics.
                   • Relatively more expensive.

    The manual is inspired by the following principles:

    • A blend of external assessment and facilitated                                               • Governance is first of all a people issue.
      self-assessment, if carefully planned and                                                      Improving       understanding,       expanding
      shaped, can provide an opportunity to balance                                                  perceptions, establishing or strengthening
      internal ownership with independent advice.                                                    dialogue, minimising sensitivities and building
                                                                                                     trust are essential ingredients on which to
    • The process should be cost effective. Small                                                    build sustainable change.
      ECBOs may run relatively small businesses. On
      the other hand, their public sector linkages and                                             • Empowering needs participation. The process
      social context may produce a complex situation                                                 calls for support and opportunities for internal
      of governance that may require skilful and                                                     dialogue and reflection.
      experienced facilitation. At the same time, the                                              • It is essential to build consensus on assessed
      process needs to be kept as simple as possible                                                 problems and desired change. A sense of
      to ensure impact on the internal constituency                                                  appreciation of achievements and of common
      of the organization.                                                                           purpose will thus help reach consensus.
    • Governance development is a complex,                                                         • The process needs to be perceived as having a
      and often long term change process, which                                                      very practical purpose. To maintain motivation
      goes beyond the acquisition of skills and the                                                  and interest, there is a need to deliver tangible
      formulation of rules. It is affected by values,                                                recommendations tailored to the specific
      cultural norms and ideas. It is also affected                                                  case. The organization should feel capable
      sometimes by drivers outside the reach of the                                                  of monitoring and owning the actions and
      organization.                                                                                  expected results.




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                                                       Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




• It is important to build on the past history of                           process of participation and reflection. The
  the organization. Recommended corrective                                  time should also be short enough to maintain
  actions should be seen as a contribution to                               momentum, especially when critical decisions or
  the evolution of the organization. Governance                             changes are recommended.
  change will not succeed just to meet externally                                 The first phase of the process (undertaken
  imposed standards. People need to perceive                                in consultation with the ECBO) will confirm the
  that changes will help them achieve their vision                          need for the process and its specific objectives.
  within a realistic timeframe.                                             A facilitator team (composed ideally of internal
                                                                            and external facilitators) will be assembled and
                                                                            mobilized. They will undertake a preliminary
2.3 Assessment and                                                          assessment by acquiring and reviewing
                                                                            documentation, interviewing key people and
    facilitation process                                                    conducting group discussions with members of
                                                                            the ECBO. This process will enable the team to
2.3.1 Overview                                                              produce a preliminary assessment of the history
                                                                            of the organization and of its governance system
The manual presents a process in seven main steps                           and issues.
as summarized in Figure 2.3 below. This process                                    These findings will be presented at an
is meant to be indicative rather than prescriptive.                         internal workshop which will be a key event to
It refers to a stand-alone process over a short                             validate the findings and produce a change or
timeframe (3-4 weeks). Alternatively, it can also be                        action plan. The plan will be finalized and reported
implemented as part of a longer term partnership                            upon by the team on the basis of the deliberations
support or institutional development project. In                            of the workshop. It will contain measures that
this case, the detailed assessment stages and tools                         can be monitored by the ECBO through future
may be administered over a longer timeframe.                                iterations of the facilitation and review process, or
     The facilitators need to consider that they                            through the normal institutional life and roles of
have sufficient time to allow for a meaningful                              the ECBO.



Figure 2.3. Stages in the assessment process
                             Preparatory phase


                Facilitation Team: establishment and briefing
                                                                                                                   ECBO documentation
                             Assessment phase                                                                    Key informant interviews
                                                                                                                        Focus groups
                       Preliminary assessment report

                                                                                                                          Validation
                 Validation and action planning workshop
                                                                                                                         Action plan

                        Assessment report and plan


                         Monitoring and feedback




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     2.3.2 Step-by-step guideline                                                                   2.3.2.2          Facilitation team:
                                                                                                                     Establishment and briefing of
                                                                                                                     assessment team
     2.3.2.1 Preparatory phase
                                                                                                    • The assessment process should involve one
     • In this phase, the ECBO (managers and
                                                                                                      or two external facilitators working with an
       directors) hold consultations with the
       supporting partner to explain and agree                                                        assessment team selected from among ECBO
       on the purpose of the exercise, interests and                                                  members. These should ideally be members
       expectations.                                                                                  of the Audit Committee or a Supervisory
                                                                                                      Committee. (If an organization has an internal
     • The nature of these consultations will vary from
                                                                                                      audit committee, this assessment should be
       case to case, depending on the circumstances
                                                                                                      included in its mandate). If these structures are
       which trigger the exercise: a governance
       crisis; the exercise may be part of a broader                                                  not available, members may be selected from
       institutional development process; it may be                                                   among respected senior general members.
       suggested when the statute is due for review;                                                • Depending on the capacity of the internal
       it may be expressly requested by the Board,                                                    members, they should at least gain some
       Assembly or Supervisory Committee.
                                                                                                      familiarity with the process, goal, approach and
     • The consultations will review structures and                                                   the roles expected from all concerned parties.
       stakeholders to determine who needs to be                                                      Their involvement is first of all to ensure that
       involved and how, in broad terms. During                                                       the process is transparent.
       this “scout visit”, facilitators should discuss the
       overall assessment schedule with the ECBO                                                    • Once the team is selected or mandated, it
       management, identify the venue for focus                                                       should convene and develop a work plan for
       group discussions, and agree on other planning                                                 the exercise. Specific tasks of the team will be
       issues such as the list of potential participants                                              to:
       and how to access them.
                                                                                                          a. Review the manual and confirm
     • The facilitators will check the logistics and                                                         requirements for any adaptation to the
       assign roles (who will invite the participants,                                                       specific case by selecting the most relevant
       when and how; check on the required                                                                   aspects to be assessed.
       materials, food and drinks where necessary;
       check whether an interpreter is required, etc.).                                                   b. Define the roles to be played by the
                                                                                                             various team members.
     • The overall purpose of this phase is to ensure
       that the ECBO (management, Board, members)                                                         c. Translate tools, if necessary.
       agree on the relevance of and need for the                                                         d. Prepare logistics for the assessment:
       exercise and to tailor this to their expectations.                                                    Travel and accommodation; material
       Ideally, the process should be endorsed by a                                                          and equipments; print forms to be used
       General Assembly meeting where the need,                                                              during the focus groups; prepare a budget
       objectives and benefits of constituting a                                                             plan; arrange for interpretation; check
       facilitation team could be discussed. Should the                                                      on the meeting venue (is it convenient
       organization already have an audit committee,                                                         for participants? Is it conducive to
       this should have a prime role in this phase.
                                                                                                             uninterrupted discussion?)




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                                           Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




2.3.2.3    Assessment phase                                     1) Conduct interviews of key informants. Data
In this phase, the assessment team should:                         collected will be guided by the checklist (Tool
                                                                   #1).
• Collect and review documentation about the
  ECBO. Documents to be reviewed include:                       2) Conduct focus group discussions (FGDs).
  strategic plans, business plans, policies,                       Each of these should involve a representative
  procedures manuals, statutes, internal                           group of internal stakeholders, i.e., senior
                                                                   management, Board members, general
  regulations (règlement d’ordre intérieur),
                                                                   members, etc. Effort must be made to find a fair
  reports (audit reports, financial statements,
                                                                   geographical, gender and social representation
  narrative reports, donor reports, etc.), minutes
                                                                   of members so that the views may not be
  of board meetings, minutes and reports of                        seen as coming from certain sections of the
  internal audit committee, minutes of general                     community or ECBO. External stakeholders
  assemblies, membership registry, contracts,                      may also be targeted. The purpose of the
  certificates of registration, laws and regulations               FGDs is not only to collect facts, but moreover
  governing the type of ECBO. The facilitators                     to start the process of internal dialogue and
  may use these tools:                                             reflection on the governance issues and
   1. Assessment checklist (roadmap).                              factors. The facilitation of the discussions may
                                                                   be structured with the following tools:
   2. Organizational history.
   3. Profile of the members of the board and                         7.      Assessment of the organizational strategy
      internal committees.                                            8.      Assessment of the performance of the
   4. Profiles of members of senior management                                Board.
      staff.                                                          9.      Assessment of the performance of senior
   5. Profile of the memberships.                                             management staff.
   6. Auditing of financial management                                10.     Self-assessment of membership.
      capacity.                                                       11.     Assessment of organizational values.
   7. Assessment of the organizational strategies.                    12.     Assessment of stakeholders’ roles,
                                                                              conflicts and alliances.
•	 Write a preliminary report based on the                            13.     Assessment of the history of change in
   checklist. This report should identify issues                              the organization.
   and areas to clarify information gaps, people
                                                                2.3.2.4             Preliminary assessment report
   to meet (key informants) and to be involved
   in focus group discussions. It is useful to                  The team shall draft a report comprising:
   understand the organizational history before                 • A summary of the key findings of the
   proceeding further. Tool #2 provides a matrix                  assessment of documents and interviews.
   to summarise key events and processes in
   the history of the organization. Fact findings               • The findings and recommendations of the
                                                                  FGDs presented by collating, compiling and
   should be done, mostly through document
                                                                  editing of the FDGS matrices.
   reading and interviews, so that FGDs may
   be used mainly for validation, analysis and
   forward looking.                                                  The key findings should be summarised in a
                                                                form suitable for easy presentation at the
• Contact the support organization (if any),                    workshop. Final matrices compiling the FGDs
  and the leadership of the ECBO to arrange                     outputs may be suitable.
  for meetings, and come up with a tentative
  assessment schedule.




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                                                                Case study 2: Managing possible conflict

                                                                   In one association the founding chairperson had maintained a highly centralising leadership
                                                                   over the organization. He requested to review the assessment report before this would be
                                                                   presented to the workshop. A Board meeting was convened to review the draft. The report
                                                                   did not pinpoint individual members/roles but presented prevailing opinions and alternative
                                                                   viewpoints. This enabled the Board to acknowledge latent conflicts which had been presented
                                                                   in a non confrontational manner. The Board accepted to present the report to the workshop.
                                                                   At the workshop, participants were invited to give examples of Board decisions they disagreed
                                                                   with in a constructive way. The Chairperson eventually accepted the need for specific changes.


                                                                2.3.2.5 Validation and action planning workshop
                                                                      The purpose of the workshop is to validate and consolidate the
                                                                findings from the interviews through constructive dialogue about the
                                                                evidence collected from different sectors of the organization and its
                                                                stakeholders. The workshop should be attended by representatives
                                                                from all the sectors and levels of the organization.
                                                                      Because governance is essentially political, the workshop is likely
                                                                to take a political nature and the facilitators must be aware of these
                                                                dynamics. They should be diplomatic in their approach and seek to
                                                                enhance relations rather than create tensions and enmity through the
                                                                process. They should:
                                                                • Start with positive parts of the assessment and affirm the
                                                                  contributions from the various sections of the organization.
                                                                • Not attack individuals or offices but address issues as they were
                                                                  raised by stakeholders.
                                                                • State what is working well, what is not working well and what can
                                                                  be done to make things work better.
                                                                • Not present own recommendations but wait to hear what the people
                                                                  say about the issues before suggesting recommendations as a way
                                                                  forward.

                                                                Case study 3: Organizational values
                                                                  In assessing organizational values, it is not enough to simply say the values are clear or even to
                                                                  state the values. It is important to have the members and leadership demonstrate how the values
                                                                  are lived out in day-to-day decision making processes within the organization. For example,
                                                                  while it would be difficult to explain a value such as honesty, an example of an occasion when a
                                                                  member of the leadership brought back money when he could have acquired receipts and kept
                                                                  the money or when a member reported being over-paid for goods or services and corrected the
                                                                  anomaly would illustrate how this value is lived out. It may also be important to encourage the
                                                                  organizations to recognize and honour such acts of honesty for the value to percolate in the
                                                                  organization.

                                                                      The two-day workshop should be divided into two main phases.
                                                                Phase 1 (Day 1) will involve presenting the findings, receiving feedback
                                                                from the assessment and discussing the recommended actions. Phase 2
                                                                (Day 2) will involve validation of the recommendation and translating
                                                                them into an action plan. The facilitators should prepare a clear and



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                                                     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




concise presentation on the key findings. The                             • The compilation of findings from the FGDs
presentation should include:                                                of different internal stakeholder groups. The
• A summary of the main findings from the                                   issues identified and the actions recommended
  review of documents and key informant                                     should be compiled using the same FGD tools
  interviews. Tool #1 provides a checklist to                               (Tool #7 - #13).
  structure the presentation (the key issues with
  governance implications should be selected).

BOX 2.1. Indicative agenda for the validation workshop

  Day 1
  •	 Introduction (15 minutes): Introduction and statement of purpose by the chairman of the organization or representative
     from the Board.
  •	 Expectations (30 minutes): Listing and discussing participants’ expectations.
  •	 Setting the stage (60 minutes): This should be a short exercise to build a conducive atmosphere of open dialogue and focus
     on the long term mission and goals of the organization. The participants may be divided in buzz-groups and asked to share
     and discuss their vision for the organization in 3-5 years or topics related to building up the organization. Findings will be
     briefly presented to the plenary.
  •	 Presentation of the assessment (120 minutes): The facilitator shall present the key findings from the assessment,
     starting from the least controversial. The presentation should enable open discussion and comments and should facilitate the
     emergence of consensus on the critical issues.
  •	 Group discussions (120 minutes): The participants shall be organized in groups (across the institutional lines) to discuss the
     findings by area or issue. They should be prodded to be specific and practical in identifying recommendations to address the
     issues raised.
  •   Close for the day.
  Day 2
  •	 Recap of day 1 (30 minutes): Introduction of the purpose of day 2 that is taking the discussions forward and producing a
     tangible actionable plan.
  •	 Group work (90-120 minutes): Divide participants into groups and task each group to develop action plans into a format
     like Tool #15.
  •   Present action plans in plenary for discussion and endorsement.



2.3.2.6. Assessment report and plan
      After the workshop, the facilitation team                           1. Introduction to the assessment process and
should meet and finalize the report within the                               justification.
shortest time possible. The report should be
submitted to the Board of the ECBO and other                              2. A brief summary of the methodology and
relevant bodies. There should be no direct                                   process used.
reference to individuals except where prior                               3. Governance issues emerging from the process
consensus has been reached. The report should                                and reflection on the methods and process.
include the following sections:
                                                                          4. Action plan produced by the workshop.




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     2.3.2.7. Monitoring and feedback                                                               2.4 Planning and logistics
     The action plan will include monitoring tasks
     and milestones to support an effective flow                                                    2.4.1 Indicative time commitments
     of information among the ECBO bodies. The
     action plan should be fed into the cycle of the                                                for the assessment process
     organization by identifying specific events (Board                                             If the process will be undertaken as a stand-alone
     meetings, General Assembly meetings) and                                                       exercise, the inputs required can be indicatively
     specific responsibilities to maintain momentum                                                 estimated as follows:
     and accountability over the actions agreed upon.

     BOX 2.2. Time estimates
      Phases/Tasks                                                     Duration for facilitation team                    Duration for ECBO members
      Preparatory phase                                                2 days                                            1 day (at AGM)
      Review of ECBO documentation                                     1 day
      Key informant interviews                                         2 days                                            2 days
      Process and tool adaptation/translation                          ½ day-1 day
      Focus groups                                                     1 - 3 days                                        1 - 3 days
      Production of draft report                                       2 days
      Validation and action planning workshop                          2 days                                            2 days
      Final reporting                                                  1 day
      TOTAL                                                            10-14 days                                        6-9 days



     However, this may not be a continuous process.                                                 with key informants, convening FGDs and the
     Short pauses may be included between two                                                       workshop. The schedule, therefore, is based on the
     stages, particularly between the assessments and                                               ideal situation where the key informants are in the
     the action planning workshop. Time should be                                                   same locality and available upon request, which is
     allowed to ensure travel by the facilitators, meeting                                          not usually the case in real life.


     Case study 4: Time allocation

       Travel time should be considered when the ECBO is located in a remote rural location, and should be taken into consideration when planning
       for the process. In one case, where an external team was hired to lead the assessment process for an ECBO, the cooperative to be assessed was
       located some eight hours drive from the capital city where the funding agency’s headquarter offices were. Between the assessment and the action
       planning workshop, there was a pause of several days as the facilitators had to come back a second time.




     Case study 5: Flexibility advised
       In one association, members of the Executive Committee were mostly teachers who were only available after working hours. It was not possible
       to interview more than two of them in one evening. Therefore, the facilitators had to stretch the initial plan of interviews by an extra day.




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                                                           Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




Timing of the interviews and FGDs should fit
into the plans of the interviewees. This means that
the assessment team should produce its schedule
of events early so that the ECBO can mobilize
the participants and agree on the dates of the
meetings before the assessment begins. Where
the participants are not available at scheduled
times, the team must negotiate an appropriate
alternative time with them or look for alternative
participants.


2.4.2 Resources required for
implementation
The exercise should be simple and cost-effective to
be attractive to the ECBOs. Interviews and focus
group discussions can be held in open spaces,
available office spaces, or in any place which is
conducive for the activity.

Picture 2.1: Keeping it simple and
inexpensive
Below is an indicative list of resources required
for the process:

• Flipchart (1-2).
• Flipchart stand.
• Notebooks (for all participants at the validation
  and planning workshop).
• Markers (1 packet).
• Printed assessment matrices (enough for the
  process).
• Pens (for all participants at the workshop).
• Beamer/LCD projector (for powerpoint
  presentation during the workshop, when
  electric power allows).



Case study 6: Refreshments
 In some ECBOs, during the assessment, participants were offered refreshments and sometimes lunch. But these are optional, particularly
 during interviews and focus group discussions. However, during the assessment and action planning workshops, participants might be required
 to stay more that 6 hours per day. In this case, it is recommended to cater for their food and drinks, and sometimes, refund their transport costs.
 This depends on applicable arrangements for the ECBO and whether they are consistent with its policies.




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     2.5 Practical tips                                                                             2.5.2 Tips on key informant
                                                                                                    interviews
     2.5.1 Identification of the facilitation                                                       • Test interview questions first, to confirm clarity
     team                                                                                             of meaning and logical flow and to estimate
                                                                                                      the time required.
           The facilitation team should comprise at
     least two external persons who are experts in                                                  • Introduce yourself, the purpose of the
     organizational development and familiar with                                                     interview and what the information will be
     the governance assessment process. Ideally, they                                                 used for. Highlight the confidentiality of the
     should work with an internal team from either                                                    information you will note. Ensure your voice
     the audit committee of the ECBO, or a team
                                                                                                      is friendly, and neutral.
     independent of both the Board and the senior
     management, selected and mandated by the                                                       • Always ask for permission to start the interview,
     General Assembly to oversee the process.                                                         explain how long you expect the interview
           The external facilitators should have the                                                  to last, and check whether the environment
     following qualifications:                                                                        is conducive (away from noise, sunlight,
                                                                                                      distractions, etc.). Ask the interviewee to select
     • Good general facilitation skills: able to clarify                                              the venue him/herself if possible. Explain the
       issues, summarize, keep discussions on track,                                                  purpose of the interview.
       master interview and focus group techniques,
       make people participate, handle conflicts in                                                 • In the case of rural ECBOs, interviewees tend
       the group, manage difficult participants, etc.                                                 to elaborate their answers at length. Take this
                                                                                                      into consideration and start with the most
     • Conversant with organizational development                                                     important questions, gradually moving to
       in general, and internal governance in                                                         the least important. Areas identified during
       particular.                                                                                    the document review should provide insights
     • Experience in facilitating group processes in                                                  on the crucial information to start with or to
       similar contexts.                                                                              focus on. The first questions should be more
                                                                                                      general, to put interviewee at ease, then zoom
     • Fluency in the language used by participants                                                   in on the specific questions gradually.
       (alternatively, an interpreter should be
                                                                                                    • Keep the discussion natural. It is useful to read
       mobilized).
                                                                                                      the question beforehand, note it down, and
     • Good writing skills (to produce useful                                                         stay alert, as what the interviewee says might
       reports).                                                                                      give you an indication of what question to ask
                                                                                                      next. However, make sure all questions have
     • Available during the whole process.
                                                                                                      been asked, before you close the interview.
     • Depending on the specific requirements
                                                                                                    • Dress casually and avoid creating unnecessary
       of each ECBO, the facilitators may need to                                                     social barriers by overdressing. Check on the
       have more specialised expertise, e.g. legal, or                                                appropriate dressing code if necessary, during
       industry-specific (tourism, agriculture, etc.).                                                the “scout” visit, if you are not sure.
     • Experienced with finance and auditing                                                        • Pay attention to non-verbal communication,
       functions as well as business development.                                                     as it may indicate useful information for you
            The external facilitator should not be                                                    (e.g. if the interviewee is tired, bored, angry,
     associated with any key stakeholder to guarantee                                                 etc.).
     his/her independence (perceived and real). He/                                                 • Keep in mind that pacing is important. Don’t
     she may be a local development worker or a                                                       rush, give time for reflection and don’t be
     consultant. The ECBO should be involved in the                                                   afraid of silence and allow the participant to
     facilitator’s selection.                                                                         think if necessary.




16
• If the answer you get is not clear, probe for
  additional information.
                                                                                      At the end of
• Take notes verbatim, paraphrasing should be                                       the discussion,
  avoided as much as possible.                                                            thank the
• Respect the duration agreed with the
  interviewee. Keep an eye on your watch, and                                          participants
  before you close, give the interviewee time to
  ask questions.
                                                                                    and dismiss the
• Thank the interviewee for his/her time and
                                                                                             group.
  explain again how the results will be used.

2.5.3 Tips on facilitating FGDs and
workshops

• Find an appropriate place for the discussion.                         • Introduce yourself and allow group members
  It should be comfortable, easy to reach, with                           to introduce themselves in turn. Agree on
  enough room and seats for everybody.                                    the ground rules (mobile phones, not talking
• In FGDs, check for homogeneity of participants.                         at the same time, mutual respect, etc.) before
  General members should not be mixed                                     you start, and the expected duration for
  with Board members or other stakeholders.                               the discussion. Never exceed two hours per
  Ideally, put board members in the same group,                           group.
  general members in another, staff in their own                        • Have the materials ready (flipcharts and
  group and other stakeholders (local leaders,                            markers, printed matrices, pencils, etc.)
  supporting NGOs, clients, etc.) also in their
  own group.                                                            • Be seated with the participants and be relaxed.
                                                                        • Guide the discussions – ask questions and allow
Case study 7: Some lessons learned                                        participation by all the members in the group.
                                                                          No member should dominate the discussions.
 In young organizations, internal governance is a factor that can
 hinder or slow down an organization’s growth, and external
                                                                        • Take notes and ask clarifying questions as the
 support is needed in this area for some years. The support can be in     discussion is proceeding.
 the form of training, participation in decision-making bodies, and     • Be sensitive to members’ viewpoints.
 regular consultations. Putting in place appropriate systems from
 the outset can protect a young organization from internal conflicts.   • Protect members especially when there is
 However, the capacity for designing such systems is sometimes            serious disagreement on a given point that
 inexistent in such an organization (including those with strong          could create conflict.
 leadership), and external support is therefore required.
                                                                        • Assure members that their points of view are
                                                                          important and do not take sides with one
 In cases where the ECBO is engaged in contracting with other             position or another.
 stakeholders, the partnership contracts should be flexible
 enough to allow timely changes when required, in order to              • At the end of the discussion, thank the
 prevent any conflict between the parties. Honest and transparent         participants and dismiss the group. Some
 communication is a good factor to ensure good relationship               participants may want to linger on after the
 between partners.                                                        discussion and clarify some points that arose
                                                                          during the discussion. Be alert to this and
• Clarify the purpose and objectives of the                               provide them space, but do not open another
  exercise from the outset.                                               discussion.




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     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




     3 TOOLS FOR
       ASSESSMENT AND
       FACILITATION
           The manual presents the following tools to
     support phases of the process and the exploration
     of several key factors affecting internal governance.
     Certain tools are designed for the collection of
     background information through the review of
     documentation and key informant interviews. Other
     tools are designed to support the facilitation of the
     focus group discussions and workshop. The checklist
     included in Tool #1 suggests when to use the tools. A
     short guidance is provided to introduce each tool.
     1.      Assessment checklist (roadmap)
     2.      Organizational history
     3.      Board and committee members’ profiles
     4.      Profiles of senior management staff of the ECBO
     5.      Profiling members
     6.      Auditing of financial management capacity
     7.      Assessment of the organizational strategies
     8.      Board performance
     9.      Management performance
     10. Members’ self-assessment
     11. Assessment of organizational values
     12. Assessment of stakeholders’ roles, conflicts and
         alliances
     13. Organizational change
     14. Analysis of business performance of ECBO
     15. Action plan template
     16. Public private partnerships




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                                                               Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



Tool #1: Assessment checklist
      This checklist presents the complete range of factors proposed for assessment. Not all factors will be
relevant to each ECBO. The assessors should select the important factors during the preparatory phase.
The list suggests how each factor may be assessed, i.e. through review of documents (D), key informant
interviews (I) or focus group discussions (FGDs). The list, once adapted to a specific ECBO, may be used
to structure the reporting. The column “Tools” identifies where additional tools in this manual may be
used during the process. The tools for the facilitation of FGDs will also be used at the final workshop to
present and validate the analysis.

                                                                                                        Tools              D           I        FGDs          Notes

 A. GOVERNANCE STRUCTURE AND CAPACITIES
 A1. Statute / Constitution / Procedures
 1. Is there a statute/constitution or article of association? Obtain it.                                                  X
 2. Describe nature of legal persona (cooperative, association, etc.).                                                     X           X
 3. Does it comply with applicable legal framework?                                                                        X           X
 4. If not, how does it diverge from it?                                                                                   X           X
 5. Level of registration: national / district / sector.                                                                   X           X
 A2. History of the organization
 1. Organizational history - summary chart.                                                            Tool #2             X           X           X
 A3. Board
 1. Board members’ profile.                                                                            Tool #3             X           X
 2. What is the role of the Board as defined in the Statute? (Setting strategies
    and policies? Overseeing and supporting management? Overseeing financial
                                                                                                                           X
    performance? Overseeing business relations? Ensuring benefit distribution?
    Relations with authorities?)
 3. How are the Board members selected? (criteria and process)                                                             X           X           X
 4. How often are elections held?                                                                                          X           X           X
 5. What is the process of replacing Board members? (Under what circumstances?)                                            X           X           X
 6. What are the motivations for Board members? Are they paid? How? What other
                                                                                                                           X           X           X
    incentives do they have?
 7. Who decides on Board’s incentives and how? Are these policies accountable to
                                                                                                                           X           X           X
    general membership?
 8. Are there written minutes of Board meetings? Obtain and describe how they are
                                                                                                                           X
    maintained.
 9. How frequently does the Board meet?                                                                                    X           X           X
 10. What is the agenda of Board meetings? (minutes).                                                                      X           X           X
 11. Availability and completeness of records of Board meetings.                                                           X
 12. Board performance assessment.                                                                     Tool #8             X           X           X
 A4. Organizational chart
 1. Is there an organizational chart? Obtain.                                                                              X
 2. Is it up-to-date?                                                                                                      X
 3. Who prepared it?                                                                                                       X           X           X
 4. Who has authority to change it?                                                                                        X           X           X
 5. Does the present structure comply with the applicable legal requirements?                                              X           X           X
 6. If not, how does it diverge from it?                                                                                   X           X           X




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     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




                                                                                                                      Tools     D   I   FGDs   Notes

      A5. Management
      1. What are the profiles of senior management staff?                                                           Tool #4
      2. Are the Board members and top management and staff different or is there an
                                                                                                                                X   X    X
         overlap?
      3. Who decides on managers and staff compensation and how?                                                                X   X    X
      4. Management performance.                                                                                     Tool #9    X
      A6. Other internal control bodies
      1. Members profile.                                                                                            Tool #5    X   X
      2. Formal role of members as defined in the statute.                                                                      X
      3. Mode of selection of organization’s members (criteria and process).                                                    X   X    X
      4. What are the motivations for members? Are they paid? How? What other
                                                                                                                                X   X    X
         incentives do they have?
      5. Who decides on members’ incentives and how? Are these policies accountable to
                                                                                                                                X   X    X
         general membership?
      6. Are there written minutes of meetings? Obtain and describe how they are
                                                                                                                                X
         maintained.
      7. Frequency of meetings.                                                                                                 X   X    X
      8. Agenda of meetings.                                                                                                    X   X    X
      9. Availability and completeness of records of meetings.                                                                  X
                                                                                                                     Tool #8
      10. Performance assessment.                                                                                                   X
                                                                                                                     (adapt)
      A7. General membership
      1. Who are the members?                                                                                                   X   X    X
      2. [Who is eligible for membership / criteria by statute].                                                                X   X    X
      3. Who approves membership access?                                                                                        X   X    X
      4. Who approves membership exclusion?                                                                                     X   X    X
      5. How and where are records of membership kept?                                                                          X
      6. Role and responsibilities of the General Assembly.                                                                     X   X    X
      7. Membership profile -use existing records to provide statistical description - is a
                                                                                                                     Tool #5    X   X    X
         survey already available? Gender, average education, how do they participate?
      8. Are there written minutes of meetings? Obtain and describe how they are
                                                                                                                                X
         maintained.
      9. Frequency of meetings.                                                                                                 X   X    X
      10. Agenda of meetings.                                                                                                   X
      11. Availability and completeness of records of meetings.                                                                 X
      12. Membership self assessment.                                                                                Tool #10            X
      A8. Strategies
      1. What is the mission or strategy of the organization?                                                                   X   X    X
      2. What are the key policies?                                                                                             X   X    X
      3. By what process is mission, strategies, policies defined?                                                              X   X    X
      4. Are there administrative, financial, governance manuals and procedures?
                                                                                                                                X
         Describe.
      5. Is there a business plan to implement the CBO strategy?                                                                X
      6. Strategy assessment.                                                                                        Tool #7    X   X    X




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                                                            Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




                                                                                                     Tools              D           I        FGDs          Notes

B. KEY MANAGEMENT SYSTEMS AND CAPACITIES
B1. Financial management
1. Has a financial audit been carried out? Regularly? What were the findings and
                                                                                                                        X           X           X
   recommendations? What are the corrective measures put in place?
2. Is the organization required by law, statute or other to carry out regular audits?                                   X
3. Are privileges and access rights / concession entitlement affected by audit
                                                                                                                        X           X           X
   findings?
4. Does the organization have a properly functioning accounting system?                             Tool #6             X           X
5. Does the organization use internal controls and report regularly on income and
                                                                                                                        X           X           X
   expenditure?
6. What are the internal control mechanisms and reporting channels for financial
                                                                                                                        X           X           X
   information and annual statements?
7. Does the organization have formal policies with regard to expenditure (e.g. travel
   and subsistence, staff compensation and benefits, Board allowances)? How well                                        X           X           X
   are these policies adhered to?
B2. Planning and budgeting
1. Does the ECBO have a regular planning/ budget cycle?                                                                 X           X
2. What is involved in the planning/budget process?                                                                     X           X           X
3. Are there such medium/long term plans/budgets? Obtain.                                                               X           X
C. LEADERSHIP FACTORS AND CAPACITIES
C1. Organizational values
1. What are the values that the organization wants to reflect in its life? To what
                                                                                                   Tool #11                         X           X
   extent do real behaviours conform to those values?
C2. Change management and institutional learning
2. Organizational change.                                                                          Tool # 13            X           X           X
D. EXTERNAL CONTEXT AND RELATIONSHIPS
D1. Stakeholder, conflict and alliances
1. What are the key stakeholders, their conflicts and alliances?                                   Tool #12             X           X           X
D2. External contractual relationships
1. Describe how the enterprise is linked to local supply chains.                                                        X           X           X
2. Describe local goods and services that are purchased.                                                                X           X           X
3. Quantify the annual expenditure on local goods and services.                                                         X           X           X
4. Are there formal (written) or informal (verbal) arrangements with suppliers?                                         X           X
5. Are there formal or informal B2B contracts? (e.g. with tour operators,
                                                                                                                        X           X
   intermediaries?).
6. Describe history of value chain linkages and contractual arrangements and past
                                                                                                                        X           X           X
   role of stakeholders in shaping them.
7. Timeframe for the partnerships (e.g. 10 years?).                                                                     X           X
8. Financial conditions (e.g. expenses paid by each partner; % of turnover, annual
                                                                                                                        X           X
   fees, etc.).
9. Flexibility of contracts, and option to revise.                                                                      X           X          X
10. Roles, responsibility and accountability of partners?                                                               X           X
11. Conditions at the end of the contract.                                                                              X           X




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                                                                                                                        Tools         D   I   FGDs   Notes

      D3. Concessions
      1. Is the ECBO granted privileges/special access rights by government? By which
                                                                                                                                      X   X
         terms?
      2. Applicable conditionalities for maintaining rights and privileges                                                            X   X
      D4. Private sector - public partnerships
      1. Is there a contractual partnership with one or more external partners?                                                       X   X

      2. Are they private sector/government or other?                                                                                 X   X
                                                                                                                     See example
      3. What category of PPP is it?                                                                                 of definitions   X   X
                                                                                                                      in Tool #16
      4. How it was developed/negotiated (e.g. participatory, open tender or negotiated
                                                                                                                                      X   X    X
         contract)?
      5. Timeframe for the partnerships (e.g. 10 years?)                                                                              X   X
      6. Financial conditions (e.g. expenses paid by each partner, percentage of turnover,
                                                                                                                                      X   X
         annual fees, etc.).
      7. Flexibility of contract, and option to revise.                                                                               X   X

      8. Roles, responsibility and accountability of partners.                                                                        X   X

      9. What inputs does each partner make (e.g. land area, capital, skills, etc.)?                                                  X   X

      10. What does each partner get out of the contract?                                                                             X   X
      11. Conditions at the end of the contract (e.g. build, operate, transfer. First right of
                                                                                                                                      X   X
          refusal on new contract, etc.).
      D5. Business associations and certifications
      1. Is the ECBO member of business / national associations? What are the terms and
                                                                                                                                      X   X
         responsibilities?
      2. Has the ECBO received certifications with implications for internal governance?
                                                                                                                                      X   X
         Describe.
      E. KEY ORGANIZATIONAL PERFORMANCE
      E1. Business performance
      1. Business performance ratios over time.                                                                        Tool #14       X
      2. Has the organization received grant support? From whom? Period? Amount?
                                                                                                                                      X
         Purpose?
      3. Does the organization maintain separate records of business income and grant
                                                                                                                                      X
         support received?
      4. The extent to which the business income generated meet the organization’s
                                                                                                                                      X
         expenditures for its essential functions – trends over time.
      5. The extent to which trends in business income support business growth through
                                                                                                                                      X
         investments.
      E2. Benefit sharing with membership
      1. Records of benefits accruing to members (financial or otherwise).                                                            X
      2. Do benefit allocation principles conform to mission, statute and applicable legal
                                                                                                                                      X   X    X
         requirements?




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                                                               Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



Tool #2: Organizational history
      This tool should be used in light of literature review data collected and should be administered
to older members of the organization and Board members who have been in the organization since
inception or have a history with the organization. Their answers should be gauged against the written
records. Describe, in the table below, the main phases of the organizational history by identifying the key
changes in the factors listed in the first column. Interviews may help, not only to gauge facts, but also to
capture critically the changes the organization has gone through.

 Changes/events in                                                             (Example)                      2003-2005                       2005-2010
                                                                               2001-2003
 Preparatory phase
 1. Review of legal options / by whom?
 2. Discussion of pros and cons.
 Statute/Constitution/Articles
 1. Formulation, revision.

 Registration
 1. Application, obtained screening, revisions, withdrawals.
 2. From statutory bodies, business associations.
 Board
 1. Members, participation, training, meetings, events.

 Members
 1. Composition, GA events, training, consultations.

 Top management
 1. Turnover, organizational chart, roles, training, crises, etc.

 Strategies
 1. Formulation, revision.

 Business relationships / contracts
 1. Suppliers / buyers.
 2. BDS providers.
 2. PPPs.
 Financial performance
 1. Turnover, income.
 2. Audits.
 Organizational capacity
 1. Staff size and capacity.
 2. How were staff hired.
 External inputs received
 1. Technical assistance.
 2. Training.
 3. Lobby support.
 4. Brokerage.
 Roles played by external stakeholders
 1. Supporting organizations.
 2. Business partners.
 3. Regulatory and oversight bodies.
 4. Trade associations.
 Conflicts
 1. Internal.
 2. External.




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     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



     Tool #3: Board and committee members’ profiles
           Purpose: The Boards and internal control committees are often sources of good and accountable
     governance if these positions are occupied by individuals who are competent and accountable to the
     membership. The purpose of this tool is to establish if members of these crucial bodies are qualified and
     in good standing with the communities they lead. The audience of this tool are members of the Boards of
     the ECBOs and audit and tender committees, and any others in charge of compliance.

      Name                        Gender            Age            Education (indicate Profession                    Institutional   What is their   Additional
                                                                   highest class       (e.g. teacher,                affiliation     experience in   role: internal
                                                                   completed)          doctor, nurse,                (who does       governance?     (staff,
                                                                                       etc.)                         respondent      [Describe]      manager,
                                                                                                                     work for or                     member
                                                                                                                     represent?)                     of ECBO) or
                                                                                                                                                     external to
                                                                                                                                                     CBO?
      Board of directors
      1.
      2.
      3.
      4.
      5.
      6.
      Supervisory or
      Audit Committee
      1.
      2.
      3.
      4.
      Tender Committee
      1.
      2.
      3.
      4.




                                                    The Boards and
                                                  internal control
                                                committees are often
                                                   sources of good
                                                   and accountable
                                                      governance

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                                               Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



Tool #4: Profiles of senior management staff of the ECBO
      Purpose: This tool is used to assess the qualifications of the senior management staff members to
confirm their strengths and priorities for further strengthening to ensure that they may perform their
duties effectively and maintain good standing with the communities they serve. The audience of this tool
are senior management staff, e.g. CEO, chief accountant, administration manager, etc.
Name    Gender   Age     Education (indicate        Professional                       What is the experience Recommended
                         highest academic           qualification                      in managing similar      action to strengthen
                         qualification)                                                institutions? [Describe] capacities
1.
2.
3.
4.
5.
6.




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     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



     Tool #5: Membership profiling
           Purpose: This tool should be used by the ECBO to develop a members’ register that has useful
     information and should be presented during a governance assessment to provide information on
     members. It is not an assessment tool. Where the information is already available, this form may be used
     in sampling out members to be interviewed or engaged in FGDs during the assessment.
      Characteristic            Proportion of members having the following sub-characteristics

      Age                       18-25                     26-35                      36-50                     50+


      Gender                    Female                    Male

      Marital status            Single                    Married                    Divorced/                 Widowed
                                                                                     Separated

      Education                 Illiterate                Primary                    Secondary                 Graduate   Post-graduate

      Profession                Farmers                   Employed in public Employed in                       Artisans   Self-employed   Other (specify)
                                                          sector             private sector                               entrepreneurs

      Location                  Sector 1                  Sector 2                   Etc.




26
     Tool #6: Auditing of financial management capacity
          Purpose: A full financial audit of the ECBO is outside the scope of this manual. However, financial management systems are the cornerstone of internal
     and external accountability. Therefore, the assessment should take stock of the key capacities and constraints. Information required should be acquired from the
     documentation and interviews from management staff.
          Scoring: 1: Seriously weak systems that need urgent attention and major improvements; 2: Some improvements must be made urgently; 3: Some minor
     improvements are necessary; 4: No improvements are necessary.
            Adapted from CARE International - Rwanda, Sub-grant Assessment Manual.
     Ideal situation policy and procedures: The organization has developed a financial management                                Description of actual situation (“as SCORE            Recommended action
     description (“should be” situation)                                                                                         is” situation)                       1    2   3   4

     Policy and appropriate procedures which are available to all staff.

     Budgeting: All available fund balances are included in the budget; comparisons of budget to actual expenses are
     regularly undertaken and reviewed by appropriate staff; comparisons of actual expenses to the budget line items
     imposed by donors are performed and reviewed by appropriate staff; revisions of grant/contract budget line items are
     prepared if budgets overrun; account codes are consistently grouped to conform to donor budget line items; written
     budget guidelines are available.
     Contracts: Complete copies of agreements are maintained in separate files for each fund code; subsidiary ledgers
     for each fund code are maintained and updated on a monthly basis; gains/losses are calculated for all non-hard
     currency contract receipts; the subsidiary ledger is reviewed by another employee; contract balances are reviewed to
     ensure inclusion of all available fund balances; contracts which do not allow cost extensions are reviewed to ensure
     that all funds are used before the expiry date; all financial reports of donors and final accounting reports of expired
     contracts are prepared; independent audits are performed for donors; matching requirements are reviewed; revolving
     funds are accounted for in a separate fund code; a sub-ledger is maintained to track the principal and repayments;
     appropriate asset accounts (e.g. loans receivable) are recognized in the balance sheet; the value ‘Contributions in Kind’
     are appropriately documented.

     Cash receipts: A cashier is responsible for handling all cash; clients are clearly instructed to ask for receipts; pre-
     numbered official receipts are available and advertised and their use is controlled and monitored; cash received is
     promptly deposited in a bank or lodged separately and stored in a locked safe with limited access; the cashier cannot
     approve transactions, change accounting records or reconcile bank statements.
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27
28
     Ideal situation policy and procedures: The organization has developed a financial management                              Description of actual situation (“as SCORE            Recommended action
     description (“should be” situation)                                                                                       is” situation)                       1    2   3   4

     Cash maintenance: Cash is deposited in recognized and insured banks; authorised signatories are approved by the
     board; cash can be withdrawn by cheques or equivalent only; the bank is responsible for withdrawals on unauthorised
     signatures; Bank reconciliation reports are prepared for all accounts and un-reconciled items are reported to senior
     management; all cheques are pre-numbered and accounted for; staff are bonded?; bank charges are reviewed.


     Petty cash: Petty cash (pc) accounts and maximum balances are established; pc and receipts totals are at a fixed
     amount (imprest); a pc count is regularly made and recorded by other staff; pc documents are reviewed before
     replenishment; a maximum limit for each pc disbursement is established; pc disbursements are documented with
     vouchers which confirm receipt of cash; pc is managed by one individual who has the authorization list; pc custodian
     confirms authorization before payment, and reviews and records the payment.

     Cash disbursement: Blank checks are maintained securely, with access by a custodian; accounting changes are
     restricted to responsible accountants only, with no access to cheques or cash; two signatures are required for checks
     over $5,000; bank signatories have no access to cheques or cash; checks are prepared on properly approved cash
     disbursement vouchers; “PAID” or similar is stamped on all supporting documentation; payment vouchers include
     “received by”; reviews of accounting entries are periodically made and documented; management given monthly
     reports of all charges; cash transfers to sub-offices are made via a bank; no checks are made to “cash”; checks are not
     sent via mail or pouch to the sub-offices.
                                                                                                                                                                                                          Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




     Payroll: Payroll payments by direct deposit or cheque are preferred; changes to the payroll database must be
     authorised and approved; changes are restricted to certain personnel; payroll information is compared with previous
     payrolls; terminating employees are deleted from the payroll at the appropriate time; accurate attendance list of all
     staff is maintained, signed by direct supervisors and submitted to HR; leave records for each employee are established
     annually and monitored and employees are informed of their entitlement; Leave Approval Forms document
     supervisors’ prior approval of leave; signed payroll checks are directly submitted to the appropriate department/
     unit heads for them to hand deliver to the payees in their departments; not received or undelivered payroll cheques
     are stored securely; for cash payroll, the approved and authorised payroll register authorising payment of payroll to
     employees is the basis for distribution; the cashier receives the register and disburses cash to employees after they
     sign the register and show proper identification; employees who authorise payment to casual labourers do not have
     custody of the cash to be used to pay the labourers; an appropriate employee is assigned the periodical review of tax
     calculations or selects a sample to determine whether the amounts are correctly calculated in accordance with current
     tax law; a competent tax advisor has reviewed the payroll and personnel policies.
     Ideal situation policy and procedures: The organization has developed a financial management                            Description of actual situation (“as SCORE            Recommended action
     description (“should be” situation)                                                                                     is” situation)                       1    2   3   4

     Procurement: The ECBO has a procurement policy, procedures and a procurement committee. Internal and external
     audits check whether the procedures, policy and recommendations are followed up for implementation.


     Audits: The ECBO regularly carries out external audits by competent audit firms. Results are discussed in the General
     Assembly and recommendations implemented. The external auditor is independent and the ECBO use different
     auditors from time to time. Internal audits are carried out regularly and are well documented. Internal auditors have
     been trained on how to do internal audits. There are mechanisms of following up on recommendations made by the
     Internal Audit Committee. The committee reports to the General Assembly.
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     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



     Tool #7: Assessment of organizational strategies
           Purpose: This tool is to assess not just the quality of the strategy or business plan of the organization,
     but rather the extent to which this has been developed with participation and is known to and owned by
     the ECBO. The description of actual conditions should identify both the strengths and weaknesses of the
     ECBO in this regard. The tool is designed for use in FGDs with members, Board and staff to stimulate
     discussion and reflection on achievements and aspects to be strengthened.
          Ranking: 1: Needs overhaul; 2: Needs major improvement; 3: Needs some improvement; 4:
     Acceptable; 5: Good.


      Issues                                Descriptions of situation                                                Ranking           Recommended
                                                                                                                                       action
                                            Description of desirable               Description of actual       1          2    3   4
                                            (should be) situation                  (as is) situation – include
                                                                                   strengths and weaknesses
      1. Knowledge of ECBO                  All members, Board, staff
         strategy and mission by            and stakeholders are able
         staff, board, members              to explain the mission
         and key stakeholders.              and strategies of the
                                            organization.
      2. Awareness of                       All members, Board
         organization’s business            members, staff and
         plan by staff, members,            stakeholders can explain the
         board and key                      business plan.
         stakeholders.
                                Business plan is updated
      3. Regularity of updates of
         the business plan and  regularly as aspects of it are
         ECBO strategies.       implemented.
      4. Strategy/business plan Members’ concerns are
         responsiveness to the  incorporated into the
         needs of members.      business plan regularly as
                                needs arise.
      5. Members’ awareness     Members are aware of the
         and participation in   schedule of planning and
         planning and budgeting budgeting of the ECBO and
         processes of the ECBO. are invited to participate as
                                necessary.




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                                                     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



Tool #8: Board performance
      Purpose: The purpose of this tool is to facilitate critical discussions with Board and members of the
organization about the roles and responsibilities of the Board of Directors following what emerges from
the constitution’s provisions. The description of actual conditions should identify both the strengths and
weaknesses of the ECBO in this regard. Examples are more useful than judgements. The tool is designed
for use in FGDs with members, Board and staff to stimulate discussion and reflection on achievements
and aspects to be strengthened.
     Ranking: 1. Needs overhaul; 2. Needs major improvement; 3. Needs some improvement; 4.
Acceptable; 5. Good.
Component                Desirable situation        Current               Score                            Recommended
                         (should be)                situation (as         1 2          3      4      5     action
                                                    is).
                                                    Describe
                                                    (noting
                                                    strengths and
                                                    weaknesses)
1. Representativeness Board characterization
                       is representative of the
                       organization’s entire
                       constituency and
                       statutes /constitution
                       provides for this diverse
                       representation.
2. Roles and           Roles and responsibilities
   responsibilities of clearly defined in
   Board               a document that is
                       available and signed by
                       all board members. Board
                       members understand and
                       can explain the values of
                       the organization.
3. Board               There are clear provisions
   accountability      on the statutes/Board
                       rules to ensure that Board
                       members account for
                       actions taken on behalf of
                       the organization.
4. Board functioning Minutes of the Board are
                       well maintained and all
                       Board members attend
                       the meetings regularly.
                       Board members are
                       protected from legal
                       action for decisions
                       made on behalf of the
                       organization.




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     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



      Component                          Desirable situation                Current                Score                     Recommended
                                         (should be)                        situation (as          1 2           3   4   5   action
                                                                            is).
                                                                            Describe
                                                                            (noting
                                                                            strengths and
                                                                            weaknesses)
      5. Board                A schedule exists for
         effectiveness in     the Board to check
         monitoring policies  compliance with legal
         and strategies       regulations, e.g. annual
                              financial audits, returns
                              to registering bodies,
                              etc. There is reference
                              to organization’s
                              constitution and laws
                              regulating organization
                              in Board decisions as
                              evidenced by minutes of
                              Board.
      6. Board effectiveness There are scheduled
         in supervising       performance appraisals
         management           for senior staff of the
                              organization and regular
                              feedback is provided on
                              the appraisals. (Obtain).
                              The Board is responsive to
                              management requests.
      7. Access to            There is a well-
         information for      functioning system of
         performing duty      information flow to
                              and from all members
                              of the Board. The chair
                              or secretary sends out
                              messages and minutes
                              for meetings in good
                              time.
      8. Conflict of interest Board members are not
                              staff or suppliers to the
                              organization. Wherever
                              there is possible conflict
                              of interest, Board
                              members declare such
                              interest without coercion.




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                                                       Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



Tool #9: Management performance
      Purpose: The purpose of this tool is to facilitate critical discussions about the effectiveness, roles
and responsibilities of the senior managers, e.g. CEO, chief accountant, and administration manager
(following what emerges from the constitution’s provisions). The description of actual conditions should
identify both the strengths and weaknesses of the ECBO in this regard. Examples are more useful than
judgements. The tool is designed for use in FGDs with members, Board and staff to stimulate discussion
and reflection on achievements and aspects to be strengthened.
     Ranking: 1. Need overhaul; 2. Need major improvement; 3. Need some improvement; 4. Acceptable;
5. Good.
Component                 Suggested questions         Desirable situation              Current       Score                                 Recommended
                                                      (should be)                      situation     1 2                  3     4    5     action
                                                                                       (as is)
                                                                                       describe
                                                                                       (noting
                                                                                       strengths and
                                                                                       weaknesses)
1. Definition of roles Do statues, manual,            Roles and responsibilities
   and responsibilities organizational chart and      of senior staff are
   of senior staff      job description contain       clearly stated in the job
                        conflicting descriptions of   descriptions and policy
                        staff roles?                  documents.
2. Understanding        Explain what you              Senior management
   of these roles       understand to be your         can clearly explain their
   by senior            role. What are the limits     roles, reporting and
   management           of your decision-making       levels of authority and
                        in the organization?          responsibility.
3. Vision, mission and Do senior staff members        Senior management
   core values of ECBO understand and conform         fully understands the
                        to stated vision, mission     vision, mission and values
                        and values of the ECBO?       of the organization;
                                                      have clear channels
                                                      of communicating
                                                      these to staff and other
                                                      stakeholders; their daily
                                                      actions are consistent
                                                      with those.
4. Enhanced               How do you encourage        The managers have
   participation          the involvement of other    clearly defined points
                          staff and members of the    of interaction with the
                          ECBO in the life of their   various stakeholders,
                          organization?               e.g. AGMs, open days,
                                                      education days, visits to
                                                      the office by members,
                                                      etc. They support
                                                      participation tangibly.




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     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



      Component                          Suggested questions                Desirable situation                Current       Score               Recommended
                                                                            (should be)                        situation     1 2     3   4   5   action
                                                                                                               (as is)
                                                                                                               describe
                                                                                                               (noting
                                                                                                               strengths and
                                                                                                               weaknesses)
      5. Accountability to               When there is a conflict           Accountability and
         members and the                 between what members               reporting lines are clearly
         Board                           want and what the                  spelt out for senior staff.
                                         board wants, how do                The organization has
                                         you follow as senior staff         regular staff performance
                                         and why? At what point             appraisal on which
                                         does senior management             promotions are based.
                                         interact with members              Senior staff knows how to
                                         of the organization?               manage internal conflict
                                         How regular are these              and are accountable to
                                         interactions?                      the various constituencies
                                                                            and clients.
      6. Information                     How well and frequently            Senior managers support
         sharing                         does management share              frequent and good
                                         information with the               quality information flow
                                         Board and members of               about the organization’s
                                         the ECBO?                          activities.




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Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




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     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



     Tool #10: Members self-assessment
           Purpose: This tool is designed to facilitate discussion and reflection with members in FGDs
     to enable them to gauge their level of participation in the life of the ECBO. The description of actual
     conditions should identify both the strengths and weaknesses of the ECBO in this regard.
          Ranking: 1: Need overhaul; 2: Need major improvement; 3: Need some improvement; 4: Acceptable;
     5: Good.
      Component                          Questions                          Desirable situation                Actual situation SCORE           Recommended
                                                                                                               (Describe        1 2     3   4   action
                                                                                                               noting
                                                                                                               strengths and
                                                                                                               weaknesses)
      1. Knowledge                       What steps has the                 Members are aware
         of rights and                   organization taken to              of their rights and
         responsibility                  avail the constitution/            responsibilities and are
         as provided for                 statutes to members?               well acquainted with
         in governance                   Has there been member              the statute and policies
         document(s)                     education on the                   governing the ECBO.
                                         document?
      2. Information flow                What systems are in                Members receive
                                         place for communication            regular and adequate
                                         to members about the               information about the
                                         organization’s activities?         ECBO performance and
                                                                            activities.
      3. Accessing the        What avenues exist for                        General members have
         leadership           members to interact                           tangible opportunities
                              with Board of Directors?                      to interact with Board
                              How regular are the                           Members and senior
                              interactions / meetings?                      managers.
                              What forums exist for
                              members to meet with
                              management?
      4. Member               How do members                                Strategy development
         participation in the participate in setting                        and review and business
         governance of the the CBO mission and                              performance and review
         CBO                  strategies and review                         involve the members
                              performance and benefit                       through adequate process
                              sharing?                                      of participation.

      5. General Assembly                Are General Assemblies             GA meetings are held
                                         held according to the              regularly and with
                                         constitution?                      adequate participation.
                                                                            Agenda covers the key
                                                                            requirements of ECBOs
                                                                            review as in the statute.
                                                                            Minutes taken capture
                                                                            members’ feedback.
      6. Decision making at How do members                                  GA meetings are
         General Assembly participate in decision-                          organized regularly
                            making at the GA?                               and in an open and
                            Have voting rules been                          transparent manner.
                            adopted and complied                            Members can participate.
                            with?                                           Meetings are properly
                                                                            and openly facilitated. GA
                                                                            votes on Board proposals.




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                                                       Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



Tool # 11: Organizational values
     Audience: FGD with members and interview with Board and staff.
      Note: It is important before administering this tool to explain clearly to the audience what is meant
by ‘values’. Some example of values include honesty; transparency meaning the Board, management and
members are open about ALL dealings and declare whenever there is likely to be conflict of interest;
respect; cooperation; accountability – members account accurately and honestly for use of organizational
assets. Another way to explain values is what you believe that controls action and relations among
members and leadership of the ECBO.


 Organizational values                   Description                                                     Ranking                            Recommended
                                                                                                                                            action
 Component        Suggested              Desirable situation             Actual situation                1      2      3      4      5
                  questions                                              “as is”
 Understanding    What do you            Can explain what the
 the concept of   understand by the      term means using
 values.          term “values”?         examples that are
                                         clearly.
                  Of the values you      Respondent is able
                  have described,        to describe situations
                  which ones would       in the life of the
                  you say inspire your   organization when
                  organization?          a certain value was
                                         displayed.
 Communication    Are the values         The organization
 of the           formally expressed     has devised ways
 organization’s   (in writing song or    of communicating
 values.          creed)? Where?         the values so that all
                                         members, staff and
                                         Board members can see
                                         them.
 Regular          Do the members,        Staff, members and
 demonstrable     Board and              Board can state
 practice of      management             how the values are
 organizational   respect the core       demonstrated in
 values by        values? Can you give   everyday life of the
 members of the   examples?              organization.
 organization.
 RANKING 1: Need overhaul; 2: Need major improvement; 3: Need some improvement; 4: Acceptable;
 5: Good.




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     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



     Tool #12: Assessment of stakeholders, external conflicts and alliances
            Purpose: The tool is intended not just to identify stakeholders, but to facilitate an internal discussion
     and reflection on interests of external stakeholders that may have impacts (positive or negative) on the
     governance of the ECBO. Stakeholders’ interests and agendas may influence the life of the organization,
     e.g., through the decisions of some members of the Boards. The facilitation should also bring out
     discussions of stakeholders with conflicting or converging goals and interests; conflicts and alliances
     may be open or latent. The overall purpose of the discussion is to increase the awareness among ECBO
     members, directors and general members about the nature and effects of these influences and to facilitate
     the emergence of organizational choices and strategies on how to deal with those. The tool should be
     used to guide discussions in FGDs with general members, Board, staff and stakeholder representatives.
     Key stakeholders should be identified from among partners, support agencies, regulatory authorities,
     government agencies, business partners, etc.

      Probing questions                               Stakeholder 1:             Stakeholder 2:              Stakeholder 3:   Stakeholder 4   Stakeholder 5
                                                      (NGO Partner)              (Regulatory                 (Business
                                                                                 authority)                  partner)
      1. What is the stakeholder’s
         interest (agenda) in the
         ECBO? Is it clear? Is it
         genuine? Is it fair? Is it
         advantageous to the ECBO?
      2. How much influence does
         the stakeholder have on
         the ECBO, in the sectors
         we operate in or seek
         to operate in, with our
         competitors?
      3. Which of our stakeholders
         has conflicting goals and
         agenda with the ECBO or
         with other stakeholders?
         What are the sources of
         conflict?
      4. Which of our stakeholders
         have alliances or converging
         interests and agendas with
         the ECBO or with other
         stakeholders? What are the
         sources of the shared goals
         and interests?
      5. What action can be
         proposed to foster dialogue
         with those stakeholders
         with whom the organization
         has a potential or open
         conflict?
      6. What action can be
         proposed to strengthen
         the alliance with those
         stakeholders with whom the
         organization has converging
         interests?
      7. Who would you propose
         to initiate the proposed
         actions?




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                                                     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



Tool #13: Organizational change
       Purpose: The purpose of the tool is to facilitate a reflection on what and who has driven change
in the organization. The discussions should be focussed on changes in governance, such as change
of constitution, registration status, procedures for the Board, holding of AGMs, restructuring, major
changes in strategies and business plans, etc. The facilitators may identify 2-3 critical changes from the
review of the organizational history and agree on them with participants. Small ECBOs, especially during
their initial life, are often driven by external factors and the influence of key stakeholders. The ECBO may
gradually gain more autonomy and capacity in shaping its own internal governance. The tool is designed
to facilitate discussion in FGDs with general members, Board members and managers. The discussion
is meant to support an increased and shared awareness of the influences and processes that have shaped
the internal governance; and to identify actions that may increase the capacity of the ECBO in adapting
its own governance in the future.


                                  Who has played which role in the key governance changes?
                  Internal ECBO     Stakeholder 1          Stakeholder 2             Stakeholder 3             What                       Implications
                  actors            (Write name of         (Write name of            (Write name of            significant                and
                                    stakeholder)           stakeholder)              stakeholder)              contribution               recommended
                                                                                                               did the                    action towards
                                                                                                               change make                future changes
                                                                                                               towards better             in governance
                                                                                                               governance                 (if any)
                                                                                                               and decision
                                                                                                               making in the
                                                                                                               organization?
 Change 1:                          Explanation and                                                            Strengths and
 (Write in                          discussion of                                                              weaknesses
 identified key                     specific change                                                            brought about by
 changes in                         in the life of the                                                         the change.
 governance).                       organization.

 Change 2:




 Change 3:




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     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



     Tool #14: Analysis of business performance of ECBO
           Purpose. This tool is designed to support the production of key indicators of business performance
     by the assessors. In order to enable this assessment, the ECBO must have two critical business statements
     – 1. Balance sheet and 2. Income statement. Based on these statements, the financial performance of the
     ECBO can be assessed in terms of its ability to manage liabilities (in short and long run); its efficiency
     in using the assets; and the returns it can provide to its members. The tool suggests these analyses to
     understand the health of the ECBO: liquidity ratio; debt ratio; asset turnover rate and profitability.
     The overall purpose here is not to conduct a detailed financial performance of the ECBO. It is rather
     to generate key indicators of business performance which enable the assessment of aspects of key
     organizational performance (section #E of Tool#1). The facilitators can present the findings to the final
     validation workshop. This information can help assess whether internal governance systems are leading
     the organization towards positive performance.


      Essential                Balance sheet                                                          Income statement
      statements
      Key parameters Current assets (CA),                          Total assets (TA),                 Net sales (NS),
      available through Current liabilities (CL),                  Total debt (TD),                   Cost of goods sold (CG).
      the statements. Inventories (I).                             Member equity (E).

      Area of analysis Liquidity ratio (LR)                        Debt Ratio (DR)                    Turnover (TR) Profitability (P)
      Specific analysis.       Current ratio Quick ratio           Debt to           Debt to      Total assets          Gross profit    Return on total Return on
                               (LRC).        (LRQ).                asset ratio       equity ratio turnover rate.        margin (%.)     assets (RoR). equity (RoE).
                                                                   (DAR).            (DER).
                                = CA/CL           = (CA-I)/CL =TD/TA                 =TD/E            = NS / TA         = (NS -CG)/NS = (NS -CG)/TA    =(NS-CG)/E
      Recommendation. If <= 1 then               If < 1 then Higher ratio shows ECBOs Better the ratio,
                      very poor.                 very poor. difficulties in managing better the asset
                      If ~ 1.5 then              If =1 then the obligations.          use.
                      sufficient.                sufficient.
                      If >1.5 then               If >1 then
                      good.                      good.




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                                             Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



Tool #15: Action plan template
      Purpose: This is a template for the final action plan to be developed during the validation workshop.
The facilitators should list the actions agreed in the course of the workshop and help the participants
develop a plan to deliver and monitor them.

 Actions     What will      Resources   Where will          When will the action be done?                   Who will do             Who will they
             success look   required    the resources                                                       it?                     report to?
                                                            Start                   End
             like?                      come from?


 1. Action
 2. Action
 3. Action
 4. Action
 5. Action
 6. Action




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     Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations



     Tool #16: Public private partnerships
                                            Joint venture between private and public institutions. PPPs may take several forms. A useful classifica-
                                            tion (Canadian Council for Public-Private Partnerships) includes:

                                            Operation & Maintenance Contract (O & M): A private operator, under contract, operates a publicly-
                                            owned asset for a specified term. Ownership of the asset remains with the public entity.

                                            Design-Build-Finance-Operate (DBFO): The private sector designs, finances and constructs a new fa-
         Private public partnership (PPP)




                                            cility under a long-term lease, and operates the facility during the term of the lease. The private partner
                                            transfers the new facility to the public sector at the end of the lease term.

                                            Build-Own-Operate (BOO): The private sector finances, builds, owns and operates a facility or service
                                            in perpetuity. The public constraints are stated in the original agreement and through on-going regula-
                                            tory authority.

                                            Build-Own-Operate-Transfer (BOOT): A private entity receives a franchise to finance, design, build
                                            and operate a facility (and to charge user fees) for a specified period, after which ownership is trans-
                                            ferred back to the public sector.

                                            Buy-Build-Operate (BBO): Transfer of a public asset to a private or quasi-public entity usually under
                                            contract that the assets are to be upgraded and operated for a specified period of time. Public control is
                                            exercised through the contract at the time of transfer.

                                            Operation License: A private operator receives a license or rights to operate a public service, usually
                                            for a specified term. This is often used in IT projects.

                                            Finance Only: A private entity, usually a financial services company, funds a project directly or uses
                                            various mechanisms such as a long-term lease or bond issue.




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                                               Power in Enterprise: Manual to strengthen the internal governance of community-based enterprise organizations




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Description: manual to strengthen the internal governance and management of small enterprises