REPUBLIC OF KENYA

LEARNING GUIDE

FOR

SOCIAL WORK

LEVEL 5

TVET CDACC
P.O. BOX 15745-00100
NAIROBI
First published 2021
©Copyright TVET CDACC

All rights reserved. No part of this learning guide may be reproduced, distributed, or
transmitted in any form or by any means, including photocopying, recording, or other
electronic or mechanical methods without the prior written permission of the TVET
CDACC, except in the case of brief quotations embodied in critical reviews and certain
other non-commercial uses permitted by copyright law. For permission requests, write to
the Council Secretary/CEO, at the address below:

Council Secretary/CEO
TVET Curriculum Development, Assessment and Certification Council
P.O. Box 15745–00100
Nairobi, Kenya
Email: [email protected]
Website: www.tvetcdacc.go.ke

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 FOREWORD

The provision of quality education and training is fundamental to the Government’s

overall strategy for social economic development. Quality education and training will
contribute to achievement of Kenya’s development blue print and sustainable
development goals. Reforms in education are necessary to align the sector to the
provisions of the Constitution of Kenya 2010. This triggered the formulation of the
Policy Framework on “Reforming Education and Training in Kenya” (Sessional Paper
No. 1 of 2019). A key provision of this policy is the radical change in the design,
development and delivery of Technical and Vocational Education and Training (TVET)
which is the key to unlocking the country’s potential for industrialization. This policy
requires that training in TVET be Competency Based, Curriculum development be
industry led, certification be based on demonstration of competence and that mode of
delivery allows for multiple entry and exit in TVET programs.

The State Department for Vocational and Technical Training (VTT) has a responsibility
of facilitating the process of inculcating knowledge, skills and attitudes necessary for
catapulting the nation to a globally competitive country, hence the paradigm shift to
embrace Competency Based Education and Training (CBET) to address the mismatch
between skills acquired through training and skills needed by industry as well as increase
the global competitiveness of Kenyan labor force. The Technical and Vocational
Education and Training Act No. 29 of 2013 and the Sessional Paper No. 1 of 2019 on
Reforming Education and Training in Kenya, emphasizes the need to reform curriculum
development, assessment and certification to respond to the unique needs of the industry.

This learning guide has been developed to support the implementation of CBET
curriculum in Social Work Level 5 and is intended to guide the trainee through the
learning process. It is my conviction that this learning guide will play a critical role
towards supporting the development of competent human resource for Social Work
sector’s growth and sustainable development.

PRINCIPAL SECRETARY, VOCATIONAL AND TECHNICAL TRAINING

MINISTRY OF EDUCATION

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iv
 PREFACE
Kenya Vision 2030 is anticipated to transform the country into a newly industrializing, “middle-
income country providing a high-quality life to all its citizens by the year 2030”. The
Sustainable Development Goals (SDGs) number four that focuses on inclusive and equitable
quality education and promotion of lifelong learning for all, further affirm that education and
training is an important driver to economic development for any country. Kenya intends to
create a globally competitive and adaptive human resource base to meet the requirements of a
rapidly industrializing economy.

TVET CDACC has a responsibility of facilitating the process of inculcating knowledge, skills
and attitudes necessary for catapulting the nation to a globally competitive country, hence the
paradigm shift to embrace Competency Based Education and Training (CBET) to address the
mismatch between skills acquired through training and skills needed by industry as well as
increase the global competitiveness of Kenyan labor force. The Technical and Vocational
Education and Training Act No. 29 of 2013 and the Sessional Paper No. 1 of 2019 on
Reforming Education and Training in Kenya, emphasizes the need to reform curriculum
development, assessment and certification to respond to the unique needs of the industry.

To effectively implement CBET curriculum in Social Work Level 5, this learning guide has
been designed and organized with clear interactive learning activities for each learning outcome
of every unit of learning. The guide further provides information sheet, self-assessment items,
tools, equipment, supplies, and materials necessary for the particular learning outcome. This is
aimed at imparting the relevant knowledge, requisite skills and the right attitude for work.

I am grateful to the trainers involved in the development of this learning guide.

Prof. CHARLES M. M. ONDIEKI, PhD, FIET (K), Con. Eng Tech.

ACKNOWLEDGEMENT

This learning guide has been designed and developed to support the implementation of
Competency Based Education and Training (CBET) curricula in Kenya. The learning
guide is intended to support learning by providing practical and theoretical learning
activities, simplified content and self-assessment items to guide the trainee in the learning
process.

I recognize with appreciation the critical role of trainers in developing this learning guide
and ensuring its alignment with National Occupational Standards (OS) and CBET

v
curriculum. I am convinced that this learning guide will support trainees’ acquisition of
knowledge, skills and right attitude needed for work in the Social Work sector.

COUNCIL SECRETARY/CEO
TVET CDACC

ACRONYMS AND ABBREVIATION

CBET Competency Based Education and Training

CBET Competency Based Education and Training

CBO

CDACC: Curriculum Development, Assessment and Certification Council

CDACC: Curriculum Development, Assessment and Certification Council

CEO Chief Executive Officer

CEO Chief Executive Officer

Community health workers (CHW)

CPM Critical Path Method

CSA: Canadian Standards Association

CSA: Canadian Standards Association

DLSM : Department Laboratory Safety Manual

DLSM : Department Laboratory Safety Manual

EF Earliest Finish time

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ES Earliest Start time

HBC

HIV/AIDS

HSW Health Care worker

LF Latest Finish time

LS Latest Start time

MoH Ministry of Health

OS Occupational Standards

OS Occupational Standards

OS Occupational Standards

OSH: Occupational safety and health

OSH: Occupational safety and health

PERT Program Evaluation Review Technique

PLWHA

PPE: Personal protection equipment

PPE: Personal protection equipment

PSS Psychosocial Support

SDGs Sustainable Development Goals

SDGs Sustainable Development Goals

SDGs Sustainable Development Goals

SOPs Standard Operating Procedures

SOPs: Standard Operating Procedures

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SOPs: Standard Operating Procedures

TLV: Threshold Limit Values

TLV: Threshold Limit Values

TVET: Technical and Vocational Education and Training

TVET: Technical and Vocational Education and Training

TVET: Technical and Vocational Education and Training

UV: Ultraviolet

UV: Ultraviolet

VTT Vocational and Technical Training

VTT Vocational and Technical Training

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LIST OF TABLES
Table 1: Core Units of Learning ……………………………………………………….…9
Figure 3: Gantt chart..............................................................................................................
Figure 4: Engagement meeting process.................................................................................
Figure 1.1: Conjoint counselling room ……………………………….....13

LIST OF FIGURES
Figure 1: Example of a Critical Path Nodal Diagram..............................................................
Figure 2: Critical path method.................................................................................................

LIST OF TABLES

Table 1: Example of the three time estimates..........................................................................

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Background Information

This learning guide will enable the trainee to acquire competencies to provide needed
services in Social Work. It provides practical and theoretical learning activities,
simplified content, illustrations and self-assessment items to guide the trainee in the
learning process. It also provides links and references for further reading.
This learning guide will provide competencies in providing needed services in Social
Work and to addresses the challenges created by todays evolving technological
advances. In the wake of challenging social environment, relational dynamics and need
to improve intra-relational and inter-relational patterns of transactions, this learning
guide will meet the competencies in conducting psychosocial support intake session,
carrying out psychosocial support problem exploration, analyzing psychosocial support
problems, carrying out referral and carry out documentation.

Layout of the Trainee Guide

Performance standards: These are obtained from the performance criteria statements in
the related unit of competency of the Occupational Standards (OS)
Information Sheet: This section covers information relating to the specific learning
outcome. This information should include but not limited to meaning of terms, methods,
processes/ procedures/ guidelines, Illustrations (photographs, pictures, videos, charts,
plans, digital content links, simulations links) and case studies. This section also provides
additional information sources relevant to the learning outcome e.g. books, web links
Learning activities: This section covers practical activities related to the Performance
Criteria statements, Knowledge in relation to Performance Criteria as given under
content in the curriculum and any Special instructions related to learning activities
Self-Assessment: This section must be related to the Performance Criteria, Required
Knowledge and Skills in the Occupational Standards. This section requires the trainee to
evaluate their acquisition of skills, knowledge and attitude in relation to the learning
outcome. A variety of assessment items such as written and practical tests which
emphasizes on the application of knowledge, skills and attitude is recommended
The self-assessment items should be valid, relevant and comprehensive to the level of
qualification in the learning outcome
Tools, equipment, materials and supplies: This section should provide for the
requirements of the learning outcome in terms of tools, equipment, supplies and
materials. The section should be adequate, relevant and comprehensive for the learning
outcome.

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References: Information sources should be quoted and presented as required in the APA
format
The units of learning covered in this learning guide are as presented in the table below:

Table 1: Core Units of Learning

Unit of Learning Code Unit of Learning Title

COD/CU/SW/CR/01/5 conduct of social research works

COD/CU/SW/CR/02/5 psycho social support
COD/CU/SW/CR/03/5 conduct of social policy formulation and public
administration
COD/CU/SW/CR/04/5 management of project resources
COD/CU/SW/CR/05/5 conduct of community awareness activities
COD/CU/SW/CR/06/5 advocacy and lobbying activities
COD/CU/SW/CR/07/5 conflict resolution and management
COD/CU/SW/CR/08/5 performance of home-based care and support
COD/CU/SW/CR/09/5 child welfare programmes
management of community-based groups
COD/CU/SW/CR/10/5

COD/CU/SW/CR/11/5 Conduct of community crisis and disaster

sensitization programmes

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CHAPTER ONE; CONDUCT OF SOCIAL RESEARCH WORKS

2.1. Introduction

Conduct social work is one of the eleven core competencies unit of learning/unit of competency
offered Social Work level 5 qualification. This unit cover the competencies required to identify
research problem, formulate research plan, develop research tools, carry out data collection, analyze
collected data and prepare research report.

The significance of conduct social research works to TVET level 5 qualification is to enable
learners to diagnose and facilitate interventional programmes in order to solve the society’s
social problem.
The critical competency to be covered includes professional skills in basic research as the
foundation to gathering information and reporting, which are the core functions of a social
worker. Each of the learning outcomes presents; learning activities that cover
performance criteria statements, thus creating an opportunity for the trainee to demonstrate
knowledge and skills in the occupational standards and content in curriculum. Information
sheet provides; definition of key terms, content and illustration to guide in training. The
competency may be assessed through written test, demonstration, practical assignment,
interview/oral questioning and case study. Self-assessment is provided at the end of each
learning outcome. Holistic assessment with other units relevant to the industry sector
workplace and job role is recommended
2.2 Performance Standard

Meets needs societies and organizations through proper identifications of problems, coming
up with solutions and implementing the solutions appropriately.
2.3 Learning Outcomes

2.3.1 List of learning outcomes

a. Identify research problem,

b. Formulate research plan,
c. Develop research tools,
d. Carry out data collection,
e. Analyze collected data and
f. Prepare research report.

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2.3.2 Learning Outcome No 1: Identify Research Problem
2.3.2.1 Learning Activities

Learning Outcome No 1: Identify research problem

Learning Activities Special Instructions

1.1 Literature review is conducted as per SOPs Role play research

1.2 Literature review analysis is conducted as per SOPs problem identification
1.3 Research problem is identified based on the analysis
Simulate the review of
various literatures

2.3.2.2 Information Sheet No 1/LO1: Identify Research Problem

Introduction
This unit involves identification of research problems in communities through literature
reviewing.

Definition of key terms

Research problem: an issue that exists in the literature, theory or in arts that leads to a need
for research study
Hypothesis: it is a tentative explanation for certain behaviour patterns, phenomenon and
events that have occurred or will occur
Objectives: specific activities that the researcher aims to carry out in order to answer
questions addressed by the study
Data: all the information a researcher gathers for his/her study

Contents/procedures/ methods/illustration

Literature review conduction

Literature review is a summary of theoretical and empirical sources to generate a picture of what is
known and not known about a particular problem’.
Literature review involves more than reading through articles in a journal or research paper.
It entails the systematic identification, location and analysis of documents containing information
related to the research problem being investigated. In fact, the process of literature review should
start with identifying and locating the library, identifying sources and locating the sources.

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 The main purposes of literature review should be to:
• Determine what has been done already as regards the research problem under
investigation.
• Identify strategies, procedures and measuring instruments that have been found
useful in the investigation of the research problem.
• Help make the researcher familiar with previous studies and thus facilitate the
interpretation of the study.
• Help the researcher to narrow the research topic.
• Help determine new approaches and stimulate new ideas.
When reviewing any literature, the researcher needs to:
• Assess the strengths and weaknesses of past work on the subject
• Report any inconsistent findings
• Identify gaps in the knowledge
• Determine the contribution of proposed study
• Consider the possibility of unintentional duplication
In the search for literature, there are two major sources of information where the investigator
can get relevant literature. These are known as primary and secondary sources.
You shall cover each of these sources individually.

Primary Source
This is the work written by the person who is actually involved in, or is responsible for, the
generation of the idea published. It can also be information from a person who actually
observed or witnessed the occurrence under investigation. The person who conducts
empirical research and publishes it in a journal is usually regarded as the primary source of
information. When searching for literature, it is important to rely more on primary sources as
these give firsthand information.

Secondary Source
A secondary source involves summaries or quoted content from a primary source. This type
of work is usually a paraphrase of the primary source. Often, it does not give the correct
interpretation of the primary sources. It is usually information given by someone who was
not a direct observer or participant of the events described.

When conducting a literature search, the researcher has to be aware that there are certain
sources where relevant information on a research topic could be found.

Scholarly Journals
These are very crucial documents and are available in all libraries. However, some are more
recent than others.

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At the same time, there are more scholarly journals on the internet (web), which researchers
can access.

Theses and Dissertations

These are research projects written by Masters and
PhD students. They are quite important, as they are valuable primary sources of information.
They are also the original work of the authors.

Government Documents
These include policy papers, research reports owned by the government, annual reports of
hospitals and government ministries and so on.

Papers Presented at Conferences

These are research papers presented at conferences and symposia and are a good source of
primary literature.

Books
These are available in most libraries and most researchers or even non-researchers are quite
familiar with them. Where the investigator is unable to locate the required textbook, it is
important to seek the assistance of the librarian.

Computers
With current technological advances, researchers doing a literature search can access recent
information through the internet. Many of the world's refereed journals are online and
investigators can always access these, provided they have access to computers and are able
to download information. Computers also have databases prepared for literature search.
These are some of the sources of information that social workers doing a literature search
need to be aware of. It is important to mention that the above sources of information are not
only useful to those undertaking research but also to non-researchers aiming to update their
professional knowledge and skills.

Literature review analysis

The researcher could refer to existing theories, existing literature like articles, textbooks,
internet, discussion with experts on general topics, previous research studies, replication like
carrying out a research project that has been done previously, the media and personal
experiences in identifying a research problem. It is only when a problem has been carefully
and precisely defined that research can be undertaken to provide the required information.
The researcher should read widely to be familiar with what has been done and also ensure
that the research chosen is worthwhile and has benefits to the society
Research problem identification
A research problem is an issue that exists in literature, theory or in arts that leads to a need
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for a research study. It could, for instance, involve looking at why certain things are done the
way they are done and not the other way round. In actual fact, a research problem endeavors
to answer or address a specific problem or situation.
In social work research the issue that needs to be addressed should be one related to the
social work profession.
There are certain characteristics or criteria that a good research topic in social work should
possess to ensure that the study is relevant:
• Improve services by contributing to more knowledge and better skills.
• Enhance existing knowledge by filling in gaps that exist.
• Encourage more research on already existing theories.
• Address current concerns or priority areas in social work.
• Pay more attention to ethical issues.
In addition to this, the researcher undertaking the study should have the necessary
knowledge and skills. They should also be accorded the necessary resources such as money,
manpower, materials and access to the research subjects.
These characteristics are of great significance to the researcher because when adhered to,
they ensure that the study is well defined and hence feasible to undertake. It is important to
point out that this list is not exhaustive and, as you progress with your research readings, you
will learn to identify other important characteristics that a good research topic should have.
a) Identify the broad area that the researcher is interested in
The area should be related to the professional interests and goals of the researcher
b) Identify a specific problem within the broad area
The area should be one that will form the basis of the research study.
It implies that the researcher should narrow down from the broad area to a specific problem.
This becomes the research title or topic
In selecting a specific problem, the researcher should consider the key factors that help in
identifying a researchable problem and first the research problem should be an important
research problem is one that leads to findings that have widespread implications in a
particular area.
Interestingly, among all researchers there is no way to find a researchable topic without
having experienced the problem or read about it. It is obvious that, one way or the other,
there must be a need/problem that the researcher has experienced and hence feels the need to
seek a solution to. It is also possible that research topics are usually derived from problems,
but at times, point the way towards making certain changes or modifications from an
existing situation.
Problem statement
Describes the gap in the research project
Formulation of Research Objectives, Hypothesis and Questions
In this step, you shall learn how to formulate research objectives and research questions. So
far you have learnt how to identify a researchable topic. You have also learnt about the
different methods of research and their divisions. In this section of the research process you

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are aiming to ‘describe the formulation of research objectives and research questions’. A
research objective is a clear, concise, declarative, statement expressed to direct a study.
It focuses on identification and description of variables and/or determination of the
relationships among variables. Research objectives and questions are important for several
reasons.
Research objectives help to:
• Bridge the gap between the research purpose and the study design.
• Guide on planning for data collection and analysis.
• Summarise what is to be achieved by the study.
• Build a close link with the statement of the problem.
• Keep the researcher within the scope of study by defining the area of focus.
Research objectives are sub-divided into broad and specific objectives.
When formulating good research objectives, the objectives should have the following
characteristics, using the acronym ‘SMART’.

What do you understand by the acronym ‘SMART’?

The acronym SMART stands for:
S - Specific
M - Measurable
A - Achievable
R - Realistic
T - Time bound

Example of a SMART Objective

To establish the number of adolescents counselled at home within the last two years in
Ganga village.
Specific – Establishing prevalence of home counsels in Ganga village
Measurable – Number of adolescents
Achievable – The task is achievable
Realistic – The task is realistic
Time bound – In the last two years
This means the research objective should be specific, in that, it clearly identifies the item at
hand for investigation. The objective should also be ‘measurable’ by being quantifiable. A
good objective should be ‘achievable’ and ‘realistic’ so that the researcher is able to acquire
the set objectives on time (time bound) in form of human, financial and material resources.
Once the researcher has formulated appropriate objectives, the next move is to formulate
relevant research question(s). It is important to understand that without a clearly and well-
defined research question, it will be difficult to complete the research process. Sometimes
inexperienced researchers find it difficult to formulate questions. Questions can be derived
from:

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 • Your working experience (professional experience).
• Literature search you are undertaking.
• Theoretical frameworks on nursing.
It is important to ensure that the research questions are ‘good research questions’. One way
of doing this is to use the acronym ‘FINER’.
The acronym ‘FINER’ stands for the following:

F - Feasible, allowing one to appreciate the practical limitations.

I - Interesting, sustaining the research process.

N - Novel, able to provide new findings

.
E - Ethical.

R - Relevant, advancing science or influencing social work.

In general, the formulation of a research question assists the researcher to:

• Focus on the study by narrowing it down to the essentials
• Avoid collection of data that are not necessary
• Organise the study in clearly defined parts or phases

Hypothesis of the Study

Having defined and understood the research objectives and research questions, the other
concept that you may need to develop during your research is the research hypothesis
because not all research is tenable to hypothesis testing, hence some research may include
hypotheses while others will not.

Most of the descriptive studies do not have a hypothesis to test but they generate hypothesis.
Experimental studies have hypothesis to test.
What is a hypothesis?
Hypothesis is ‘the formulation of the expected relationship between two or more variables in
a specific population’. It is the researcher’s prediction or explanation of the relationships
between two variables. For example:
Persons with Type II diabetes mellitus who have greater knowledge of their diseases will
have a higher rate of adherence to treatment regimen than those with less knowledge.
In the example given, the predicted relationship is between ‘knowledge’ and ‘adherence to
treatment regimen’. Hypotheses are applied in quantitative studies in order to guide the
study, for example, quasi-experimental and experimental studies. A hypothesis is usually
tested and, subsequently either rejected or fail to be rejected by the researcher. The

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hypothesis helps the study in suggesting prediction, explaining outcome and in guiding the
investigation to provide a focus.

What are some of the types of hypotheses?

There are various types of hypotheses.

Directional Hypothesis

A directional hypothesis predicts an outcome in a specific direction.

One example is the hypothesis given, which stated that:
Persons with drug addiction and have greater knowledge of their condition will have a higher
rate of adherence to treatment regimen than those with less knowledge.

Non Directional Hypothesis

This indicates there is a difference or correlation but does not specify which. For example:
Persons with drug addiction who follow a structured programme on their condition have a
higher rate of adherence to treatment.
This does not indicate a directional relationship.

Null Hypothesis and Alternative Hypothesis

1) Null hypothesis (denoted as H0)

The null (statistical) hypothesis is used for statistical testing and interpretation. It states no
difference exists between groups or no correlations between variables.
2) Alternative hypothesis (denoted as H1)
This is the alternate hypothesis. It states that there is a difference or correlation.
Conclusion
This learning outcomes has covered identification of research problems in communities
through literature reviewing.

Self-Assessment

Written Assessment
1. What is an issue that exists in the literature, theory or in arts that leads to a need for
research study?
a) Research problem
b) Hypotheses
c) Research question
d) Objectives

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 2. Which of the following is a priority in carrying out a research project?
a) Developing a research design
b) Formulating a research question
c) Formulating research hypothesis
d) Deciding about data analysis procedure
3. Which of the following options are the main tasks of research in modern society?
a) To learn new things
b) To keep pace with advancement in knowledge
c) To systematically examine and critically analyze investigations/information
sources
d) All of the above
4. Which of the following can be used to judge the depth of a research?
a) Research title
b) Research duration
c) Research objectives
d) Research total expenditure
5. Who can conduct a research successfully?
a) Someone who is a hard worker
b) Someone who is admitted in a College
c) Someone who has successfully studied research methodology
d) Someone who possesses thinking and creative skills

Oral assessment
What are the two major sources of literature review? Give 2 examples for each source
What are the various types of hypotheses?
What are the characteristics of research objectives?

Tools, Equipment, Supplies and Materials

 Desktop Computers/Laptops
 Internet Connections
 Projectors
 Recorders
 Video cameras
 Smart phones
 Information manuals like textbooks, articles, e.t.c
References

Bless C. Craig Higson Smith, Ashraf Kagee (2007) Fundamentals of social Research,
Lusaka: Juta and Company
Kothari C.R (2004), Research methodology; Methods and Techniques: Bangalore: New

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International Publishers
Mugenda, O.M and Mugenda, A.G (2003) Research Methods: Nairobi
Orodho A.J (2003), Essentials of educational social science, Research Methods, Nairobi:
Mozola Publishers
Single ton R.A (1998) Approaches to social research, London: Oxford University Press

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2.3.3 Learning Outcome No. 2: Formulate research plan
2.3.3.1 Learning Activities

Learning Outcome No 2: Formulate research plan

Learning Activities Special
Instructions

2.1 Scope of study is established as per the set objectives Supervise

2.2 Timeframe is established as per the scope of the study sample
2.3 Budget is prepared as per organization policy study time
2.4 Samples size is established as per the scope of the study and budget
planning

Simulate
sample size
determinati
on

2.3.3.2 Information Sheet No 2/LO2: Formulate research plan

Introduction
This unit indicates the research coverage, timeframe the research should be carried out and
budgetary allocation for the whole project. It also useful in establishment of a sample size.

Definition of terms
Scope of research: The scope of a study explains the extent to which the research area will
be explored in the work and specifies the parameters within the study will be operating.
Basically, this means that you will have to define what the study is going to cover and what
it is focusing on.
Research budget: is a detailed statement outlining estimated project costs that support a
sponsored project. It should include all Direct Costs, as well as the calculated Facilities and
Administrative (F&A) costs required to carry out the project objectives
Timeframe/timeline: is a very important part of a project proposal. It basically shows the
chronological order of events that you plan to do in your project. It is supposed to give
the reader a broad overview of the project at a glance.
Depending on the length of the project, these might be days, weeks, months, or even
years.
Sample: is a group of people, objects, or items that are taken from a larger population for
measurement. The sample should be representative of the population to ensure that we
can generalize the findings from the research sample to the population as a whole.

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Content/Procedures/Methods/Illustrations
The Scope of the Study
The scope indicates the coverage of the research according to the set objectives
Therefore the research topic should cover a reasonable scope as follows;
• The title should be short and simple yet informative
• The title gives the reader some initial information about the area of research the
report has covered and hence it’s a pointer to the content of the report.
• The title should also give an indication of the major variables of research, the target
population and if possible the geographical location of the research. It is used for
indexing once the document becomes official and also used by other researchers
interested in reading your research report who may use the title to search for the report in
the library, database or documentation center.
• The research title should be executed with due consideration to the researcher’s
capacity e.g. finances, time, capacity etc. the selection of the research title can be guided
by the researcher’s training or personal interests
The limitation describe the potential challenges in terms of research design, sample size, data
collection procedures and analytical techniques
Time Line or Time Schedule
One of the items you will need to include in your proposal is a schedule for
your study. The activities you intend to undertake during the process of your study are
summarised in a table format.
The time lines, activity schedule or Ghent chart are some of the names used to refer to this
kind of a table. It has the activities on the first column and on the first row is the duration of
time that is required to complete the tasks. The researcher should clearly write the details of
the activities which will then be summarised in the time line or Ghent chart.

Study Budget
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Another item that you are expected to have in your proposal is a proposed budget. You must
be careful to include all expenses that you are likely to incur during the research otherwise,
you may find yourself unable to complete your research due to lack of funds.
From the following illustration of a proposed budget, note the budget items that you need to
include. The amount indicated in the right hand column may vary depending on the
quantities you need.

Study Budget
Cost per Total
Budget item Quantity item (in amount (in
Kshs) Kshs)
Stationery - - 1,000
Photocopying 100pages 3 3,000
Typing 300pages 10 3,000
Binding 10 copies 50 500
Research
5 for 3 days 100 per day 1,500
assistant
Travelling 1 person
100 per day 2,500
allowance for 25 days
Books,
journals and
Estimate Estimate 5,000
internet
services
Computer or
1 set 70,000 70,000
printer
Total - - 86,500

Sampling Strategies
The process of identifying the appropriate sampling techniques is very important in the
research process. However, it is impossible to collect data from the whole population that a
researcher may be interested in or intends to investigate. Since the essence of any research is
to investigate a particular population, the selection of a representative sample from the
specific population is vital. The type of sampling method a researcher uses will depend
mainly on the type of research one intends to undertake, the methodology to be applied and
the time available for the tasks. Sampling pertains to the identification of the study subjects
from the general population a researcher is interested in. A researcher uses a specific
sampling strategy because it is the most ‘feasible and logical way of making a statement
about a larger group.
Before discussing the type of sampling strategies available, one needs to define certain

13
important terms that are associated with sampling methods.

Population
Population is defined as the entire group of persons or set of objects and events the
researcher wants to study. It is also referred to as all the possible entities or individuals
that have the characteristic(s) of interest to the study. The most important aspect is that
the population must possess all the characteristics the researcher is interested in.

Sample
A sample is a group of people, or records or a number of observations from a larger
population. It is a representative group of individuals selected form
a population. A sample aids the researcher to get access to the general population. A
sample that is selected appropriately generates data that reflects the true status of the
population in relation to the characteristic(s) or variables under study.

Sampling Frame
Sampling frame is a comprehensive list of all the sampling elements in the target
population, for example, the list of nurses working in a particular district, the number of
under five children in a village or all the households in a village. An important point to
note is that it is not always possible to get a sampling frame. In this case it becomes
incumbent on the researcher to prepare their own sampling frame.

Representative Sample
A representative sample means that the sample resembles the population from which it is
drawn in all aspects. It should possess all the variables a researcher is interested in, for
example, educational level, socioeconomic factors, exposure to certain illness and so on.

Sampling Bias
Sampling bias occurs when the researcher has not carefully selected the samples that are
expected to represent the general target population. It is usually the fault of the researcher
and can have a negative impact on the entire findings of the research. Causes of sampling
bias could arise from the data collection process, for example, what time of the day the
data was collected, languages of communication or how the data was collected.

Sampling Error
Sampling error refers to the difference between population parameters (for example, the
average age of the population) and the sample statistics (for example, the average age of
the sample group). It is the degree of deviation of the sample from the population from
which it was drawn.

Sampling Techniques

14
 There are two basic sampling techniques:
 Probability or random sampling
 Non probability sampling

Probability Sampling
Probability sampling allows for a much more a representative sample of the population and
enables the estimation of sampling error. It also enables the calculation of differential
statistics and allows the study to be generalised to other areas.
Random sampling should take into account knowledge of every element of the population
and the availability of a list of all those eligible to make a random selection.
Probability sampling involves a random selection procedure to ensure that each unit of the
sample is chosen on the basis of chance. All units of the study population have an equal or at
least a known chance of being included in the sample from list provided. The following
include some of the commonly used probability sampling techniques.

Simple Random Sampling

Simple Random Sampling is one of the commonest and the simplest methods
of sampling. In simple random sampling, each unit (subject) has the chance to
be selected. It involves one stage selection. It also allows the researcher access to the study
population. Various ways of selecting the subjects exist among which are:
 Identifying the specific target population.
 Formulating an appropriate sampling frame.
 Determining the sample size for the study.
 Adapting a consecutive identification number for each unit in the sampling frame.
• Selecting the desired subjects using a randomised technique.
There are several ways of selecting a random sample using this technique. These include, the
lottery method, use of random tables, or tossing a coin to help you decide where and how to
start.
For example, if you need to select 30 subjects from a sampling frame of 100, you get 100
pieces of papers and write 'Yes' on 30 of them and 'No' on the rest. You then ask all the 100
subjects to pick a piece of paper each. Those who pick ‘Yes’ are included in the study.
Systematic or Interval Sampling
Systematic sampling is the selection of every nth element from a sampling frame, where n,
the sampling interval, is calculated as:
n = number in population or number in sample
Using this procedure each element in the population has a known and equal probability of
selection. This makes systematic sampling functionally similar to simple random sampling.
It is however, much more efficient and much less expensive to do.
Stratified Random Sampling
When sub-populations vary considerably, it is advantageous to sample each subpopulation
(stratum) independently. Stratification is the process of grouping members of the population
15
into relatively homogeneous subgroups, for example, by education level, socioeconomic
structure and so on before sampling. The strata should be mutually exclusive, that is, every
element in the population must be assigned to only one stratum. The strata should also be
collectively exhaustive, that is, no population element can be excluded. Random sampling is
then applied within each stratum. This often improves the representativeness of the sample
by reducing sampling error.
Cluster Sampling
Cluster sampling is a sampling technique used when 'natural' groupings are evident in the
population. The total population is divided into these groups (or clusters), and a sample of
the groups is selected. The required information is then collected from the elements within
each selected group. This may be done for every element in these groups, or a subsample of
elements may be selected within each of these groups.
Elements within a cluster should ideally be as homogeneous as possible. However, there
should be heterogeneity between clusters. Each cluster should be a small scale version of the
total population. The clusters should be mutually exclusive and collectively exhaustive. A
random sampling technique is then used on any relevant clusters to choose which clusters to
include in the study.
Non Probability Sampling
There are two principle methods of non-probability sampling. These are known as purposive
or judgmental sampling and quota sampling.
Purposive or Judgmental Sampling
Purposive or judgmental sampling is where the researcher selects a particular group or
groups based on certain criteria. In this method the researcher determines who should be
included in the study. It is, in fact, the researcher’s opinion that the sample is representative
of the target population.
Purposive sampling is commonly used in qualitative studies. The main advantage of this
method of sampling is that it gives the researcher a free hand to respond according to their
judgment. Disadvantages include sampling biases, the possibility of unrepresentative
samples and lack of generalizations of the study findings.
Quota Sampling
In quota sampling, the population is first segmented into mutually exclusive sub-groups, just
as in stratified sampling. Then judgement is used to select the subjects or units from each
segment based on a specified proportion. For example, an interviewer may be told to sample
200 females and 300 males between the age of 45 and 60.
Convenience or Accidental Sampling
Convenience sampling is also referred to as accidental or availability sampling.
In convenience sampling the researcher is unable to control bias at all. This is a method in
which, for convenience sake, the study units that happen to be available at the time of data
collection are selected and used as a sample. This type of sampling allows the utilisation of
any available target population.
Snow Ball Sampling
In social science research, snowball sampling is a technique for developing a research
16
sample where existing study subjects recruit future subjects from among their acquaintances.
Thus the sample group appears to grow like a rolling snowball. This sampling technique is
often used in hidden populations which are difficult for researchers to access. Example
populations include drug users and commercial sex workers.
Sample members are not selected from a sampling frame, therefore, snowball samples are
subject to numerous biases.
For example, people who have many friends are more likely to be recruited into the sample.
Conclusion
This learning outcome has covered the scope of a research, timeline, budget planning and sampling
techniques.

Self-Assessment
Written Assessment
2. Which one is a non-probability technique
a) Quota sampling
b) Cluster sampling
c) Systematic sampling
d) Stratified random sampling
3. Which statement best describes ‘sampling cases’
a) Sampling using a sampling frame
b) Identifying people who are suitable for research
c) Literally, the researcher’s brief case
d) A sampling of people, newspapers, television program

4. What are the 2 basic types of research sampling?

5. What is a sampling frame?

Oral assessment
What does the scope of a research entail?
What is the timeline in a research project?

Practical assessment
Using a diagram illustrate the formulation of a sample proposed budget

Tools, Equipment, Supplies and Materials

 Desktop computers/laptops
 Internet Connection
 Projectors,
 Smart phones,
 Recorders,
 Video cameras

References

Bless C. Craig Higson Smith, Ashraf Kagee (2007) Fundamentals of social Research, Lusaka: Juta
and Company
17
Kothari C.R (2004), Research methodology; Methods and Techniques: Bangalore: New International
Publishers
Mugenda, O.M and Mugenda, A.G (2003) Research Methods: Nairobi
Orodho A.J (2003), Essentials of educational social science, Research Methods, Nairobi: Mozola
Publishers
Single ton R.A (1998) Approaches to social research, London: Oxford University Press

18
2.3.4 Learning Outcome No 3: Develop research tools
2.3.4.1 Learning Activities
Learning Outcome No 3: Develop research tools
Learning Activities Special Instructions

3.1 Required tools are identified as per SOPs Role play research
3.2 Required tools are designed as per SOPs tools validation and
3.3 Selected tools are tested as per SOPs testing
3.4 Research tools are validated as per SOPs

2.3.4.2 Information Sheet No3/LO3. Develop research tools

Introduction
This unit examines the various methods/tools that are used to collect data from the
respondents.
Definition of terms
Questionnaire: a list of structured questions used by a researcher as a tool for collection of
data
Interview: It is a face-to-face encounter or telephone conversation with the respondent, for
data
Interview schedule: it is a set of questions written down, that the interviewer asks during
the interview
Content/Procedures/Methods/Illustrations
Required tools identification
The research instrument or a tool is described as a device used to collect the data. It
facilitates variable observation and measurement. The type of instrument suitable for use by
the researcher depends on the data collection method selected. Instrument selection and or
development require a high degree of research expertise because the instrument must be
reliable and valid.
Ways of searching for Research Instrument
1. Read professional journals so as to learn (i) what kind of instruments are being used for
similar studies (ii) their format (iii) their style (iv)how they are used by the writers.
2. Read books that provide a description or an actual copy of various instruments for the
reader.
3. Talk with other researchers who may know of certain tools they have developed for
themselves or who may have used tools developed by others.
4. Combine or adapt one or more tools used by other researchers.
5. Develop his/her own instrument to fulfil a specific need
19
Guidelines for developing an instrument
1. The instrument must be suitable for its function
2. The research tool will only be effective only as it relates to its particular purpose.
3. The instrument must be based on the theoretical framework selected for the study.
4. The instrument must be valid
5. The content of the instrument must be appropriate to test the hypothesis or answer the
question being studied.
6. The instrument should be reliable
7. The devised research tool should provide comparable data every time the subject uses
the instrument.
8. An instrument should include an item that directly asks questions on the hypothesis.
9. The research tool should be designed and constructed in such a way that cheating is
minimized.
10. The instrument should be free of bias
11. A good instrument is free of build-in clues.
12. The instrument should not contain measures that function as hints for desired
responses.
13. The researcher may need to read extensively to identify which aspects of the theory
are appropriate for investigation.
14. The researcher through the instrument must be able to gather data that are appropriate
in order to test the hypothesis or to answer the question under investigation.
15. The researcher should gather a group of items from such sources such as persons
knowledgeable in the field, accepted theories or hypothesis, personal experience, or
materials from studies reported in books and professional journals.
16. The response given by the respondent in the research study should solely be his/her
own. There should be no contamination through outside influences such as someone
else’s ideas or products. Therefore the respondent who agrees to participate in a study is
responsible for supplying information or for exhibiting behavior that is truly his/her own.
Types of Research Instruments
1. Questionnaire
2. Check list
3. Interview
5. Observation
6. Records
Questionnaire
Questionnaire is a series of questions designed to elicit information which is filled in by all
participants in the sample. This can be gathered either by oral interview or by written
questionnaire.
Questionnaire is the most common type of research instrument. Paper-pencil-questionnaires
can be sent to a large number of people and saves the researcher time and money.

20
People are more truthful while responding to the questionnaires regarding controversial
issues in particular due to the fact that their responses are anonymous. But they also have
drawbacks. Majority of the people who receive questionnaires don't return them and those
who do might not be representative of the originally selected sample
Web based questionnaires: A new and inevitably growing methodology is the use of
Internet based research. This would mean receiving an e-mail on which you would click on
an address that would take you to a secure web-site to fill in a questionnaire. This type of
research is often quicker and less detailed. Some disadvantages of this method include the
exclusion of people who do not have a computer or are unable to access a computer. Also the
validity of such surveys are in question as people might be in a hurry to complete it and so
might not give accurate responses.
Questionnaires often make use of Checklist and rating scales. These devices help simplify
and quantify people's behaviors and attitudes.
A checklist is a list of behaviors, characteristics, or other entities that the researcher is
looking for. Either the researcher or survey participant simply checks whether each item on
the list is observed, present or true or vice versa.
A rating scale is more useful when a behavior needs to be evaluated on a continuum. They
are also known as Likert scales.
Advantages of Questionnaire
1. Relatively simple methods of collecting or obtaining data.
2. Consumes less time
3. Allows researcher to collect data from a widely scattered sample.
Disadvantages of Questionnaire
1. Responses to a Questionnaire lack depth.
2. Respondent may omit or disregard any item he/she chooses.
3. Some items may force the respondent to select responses that are not his/her actual
choice.
4. Length of the questionnaire is limited according to the respondent’s interest. 5. Printing
may be costly especially if it is lengthy.
6. Data are limited to the information that is voluntarily supplied by the respondents.
7. Some items may be misunderstood.
8. The sample is limited to those who are literate.
Techniques for developing Questionnaires
1. Researcher may read literature about the topic, look through available questionnaire or
obtain help from experts.
2. Open ended questions are preferable than closed ended questions since they reflect
respondent’s attitudes and feelings which are expressed in his own words.
3. If yes – no questions are used, additional information may be gained by leaving space
for respondent’s own ideas.
4. The possibility of a middle ground statement is also important.
5. Every item on the questionnaire should relate to the topic under study.
21
Criteria of a good Questionnaire
1. Clarity of Language. It must meet the level of understanding of the respondents in
order to generate needed responses.
2. Singleness of objective. An item must have one and only one answer.
3. One-to-One correspondence. The questionnaire as a whole must correspond with the
objectives of the study.
4. Correct Grammar, Spelling and Construction. The questionnaire must be constructed
by observing grammatically correct sentences, correctly spelled words, coherence in
construction of sentences, etc.
Characteristics of a good Questionnaire.
1. It has a well stated title.
2. It has a statement of purpose
3. It assures the respondents about the confidentiality of responses.
4. It is designed to achieve the objective of the study.
5. It has a clear direction
6. There are no double-negative questions.
7. It avoids double-barrels questions.
8. The design corresponds to an easy tabulation of data.
Degree of structure questions
1. Open-Ended Questions: This gives the respondents the ability to respond to the
questions in their own words.
2. Closed-Ended Questions: This allows the subject to choose one of the given
alternatives.
Specific types of Closed ended questions.
1. Dichotomous questions. This requires the respondents to make a choice between two
responses such as yes/no, male/female, married or unmarried, etc.
Example
(i) Have you travelled outside Nigeria (a) yes (b) No
2. Multiple questions. This offers the respondents more than one choice.
Example
(i) How favourable is it to you to become pregnant at this time? (a) Very favourable (b)
favourable (c) Not sure (d) unfavourable (e) Very unfavourable.
3. Cafeteria Questions. This is a special type of multiple choice question where the
respondents are required to select a response according to their own point of view.
Example
People have different views on ―family planning. Which of the following best represents
your view?
(a) Family planning is necessary to quality life.
(b) Family planning is immoral and should be totally banned.
(c) Family planning has undesirable side effects that suggest need for caution.

22
 (d) Family planning has beneficial effects that merit its practice.
(e) Family planning is moral and should be practiced.
4. Rank-Order Questions. The respondents are asked to choose a response from the
―most‖ to the ―least‖.
Example
Why must family planning be practiced? Rank your answer from the 1-most reasonable to
5-least reasonable?
(a) It limits maternal disabilities.
(b) Gives parents more time to meet family needs.
(c) Helps maintain financial viability of the family.
(d) Afford more working hours for couples.
(e) Ensures family capabilities to educate all the children in the future.
5. Rating Questions. The respondents are asked to judge something along an ordered
dimension. This is typically bipolar in nature with the end points specifying the opposite
extremes of a continuum.
Example:
On the scale of 1-5 where 1 means strongly disagree and 5 means strongly agree, the
health centre in Landmark University provides you with the best of health services. Scale
5. Strongly agree 4. Agree. 3. Uncertain. 2. Disagree 1. Strongly disagree.
Checklist
Check list are items that comprise several questions on a topic and require the same
response format. Example: here are some characteristics of birth control devices that are
of varying important are these in choosing a birth control method?
Characteri Of very Of great Of Of no
stics of great importa some importa
birth importa nce importa nce
control nce nce
devices
Comfort
Cost
Ease of
use
Effectiven
ess
Non
interferenc
e of
sponteinity
Safety

Interview
23
This involves either structured or unstructured verbal communication between the
researcher and the subject during which information is obtained for a study. In
Quantitative research (survey research), interviews are more structured than in Qualitative
research.
Types of Interviews
1. Unstructured Interviews. These are more conversational, very long (sometimes hours)
and are conducted in a usual situation. It allows the researcher flexibility in questioning
the subject.
2. Structured Interviews. These always operate within formal written instrument referred
to as interview schedule. The researcher designed the questions to be asked and their
order prior to the interview. The questions are asked orally either face-to-face or
telephone format.
In a structured interview, the researcher asks a standard set of questions and nothing more
Face -to -face interviews have a distinct advantage of enabling the researcher to establish
rapport with potential participants and therefor gain their cooperation. These interviews
yield highest response rates in survey research. They also allow the researcher to clarify
ambiguous answers and when appropriate, seek follow-up information. Disadvantages
include impractical when large samples are involved time consuming and expensive.
Telephone interviews are less time consuming and less expensive and the researcher has
ready access to anyone on the planet who has a telephone. Disadvantages are that the
response rate is not as high as the face-to- face interview but considerably higher than the
mailed questionnaire. The sample may be biased to the extent that people without phones
are part of the population about whom the researcher wants to draw inferences.
Computer Assisted Personal Interviewing (CAPI): is a form of personal interviewing, but
instead of completing a questionnaire, the interviewer brings along a laptop or hand-held
computer to enter the information directly into the database. This method saves time
involved in processing the data, as well as saving the interviewer from carrying around
hundreds of questionnaires. However, this type of data collection method can be
expensive to set up and requires that interviewers have computer and typing skills.
Advantages of Interview
1. Data from interview are usable.
2. Depth of response can be assured.
3. In an exploratory study, the interview technique provides basis for the formation of
questionnaire.
4. Clarification is possible.
5. No items are overlooked.
6. Higher proportion of responses is obtained.
7. Greater amount of flexibility is allowed.
Disadvantages of Interview
1. It consumes time
2. Biases may result

24
 3. It is usually costly
Observation
Observation is most commonly used in qualitative research. In observation the researcher
usually has some prior knowledge about the behaviour or occurrence of interest.
Types of Observation:
1. Unstructured Observation. This is a method of collecting research data that has both
opponents and proponents.
2. Structured Observation. This involves preparation of record keeping forms such as
category systems, check lists and rating scales. Advantages of observation.
1. Produces large quantities of data with relative ease.
2. All data obtained from observation are usable.
3. Relatively inexpensive.
4. All subjects are potential respondents.
5. Subjects are usually available.
6. The observation technique can be stopped or begun at any time.
7. Observations may be recorded at the time they occur thus eliminating the possibility of
bias due to recall.
Disadvantages of observation.
1. Accurate prediction of a situation or event to be observed is unlikely to occur.
2. Interviewing selected subjects may provide more information, economically than
waiting for the spontaneous occurrence of the situation.
3. The presence of an observer gives the subject a quality normally absent. 4. Observed
events are subject to biases. 5. Extensive training is usually needed.
RECORDS
A record refers to all the numbers and statistics that institutions, organizations and people
keep as a record of their activities.
Sources of records include:
1. Census data
2. Educational data or records
3. Hospital/Clinic records.
Advantages of Records
1. Records are unbiased
2. Records often cover a long period of time.
3. Records are inexpensive.
Disadvantages of Records
1. All the researcher can have is what has been recorded. If the record is incomplete, there
is no way it can be completed.
2. No one can be sure of the conditions under which the records were collected.
3. There is no assurance of the accuracy of the records.
Research design
25
Every researcher has to identify an appropriate research design for use in the study. However, the
selection or identification of a specific study design will depend on several factors. These, according
to Harden et al (1995), include the following:
•Available information (state of knowledge) about the problem.
• The nature of the problem and its environment.
• The availability of resources for the study.
• The skills and creativity of the researchers.
It is, therefore, the responsibility of the researcher to make the appropriate research design choice,
paying particular attention to its suitability to your research and the available budget for the study.
There are several types of common research designs that you may come across.
• Experimental Design: Experimental and Quasi-experimental.
• Survey Design: Comparative and Correlation.
• Descriptive Design: Descriptive and Explorative.
• Case Study Design.

Experimental Research Design

This is one of the most complex and important research designs. It is also commonly used in clinical
settings because of its accuracy and reliability. Experimental research design could be subdivided
into true experimental and quasi-experimental.
Experimental research designs are concerned with testing hypotheses and establishing causality. This
design tests the hypothesis of relationships, that is, attempts to make predictions of future outcomes
based on a causal model implementing strategies to control the predicted outcome. If 'X' occurs 'Y'
follows and so on.
Experimental designs try to establish causal links between several factors. In an experimental
research design, the researcher controls or manipulates the action of the independent or causal
variable(s) and observes and measures the action or outcome on the dependant variable. This is the
major difference between experimental and non-experimental designs where no control or
manipulation is required.
Experimental nursing research is the most logically applicable to clinical nursing practice
What are some of the characteristics of an experimental research design?
An experimental design has certain important characteristics, which you as a research student should
be aware of.

Manipulation
This is where the researcher controls the independent variable, which can be an event, intervention or
treatment that is expected to have some effect on the dependant variable.

Control
The researcher exercises control over the experimental situation by eliminating the actions of other
possible variables beyond the
independent variable. This is achieved through manipulating, randomizing and careful preparations
of experimental protocols and the use of control groups.

Randomising
This is where every subject is given an equal chance to participate in the study. The researcher
assigns the subjects to the experimental or control groups on a random basis. To achieve
randomization, you have to first identify the respondents and then place them into groups using
random tables, coin tossing or other techniques.
In a quasi-experimental design, some of the above rules are relaxed. For example, there might be no
need for having a control group or at times randomisation may not be included. The quasi-
26
experimental design enables the search for knowledge and examination of causality in situations
where complete control is not possible.
It is important to appreciate that while experimental research designs are quite useful and commonly
used in clinical settings, such as clinical nursing practice, there are certain strengths and weaknesses
associated with the design.
Advantages
 Most powerful design for testing the hypothesis of cause-effect relationships between
variables.
 It is practical, feasible and can be generalized to some extent. This type of design introduces
some control over certain extraneous variables
Disadvantages
 In most real situations, it is difficult to conduct a true experimental design, since some of the
variables cannot be manipulated or controlled.
 At times it becomes quite difficult to get randomised research subjects or even a control
group. This is to some extent why nurse researchers are not very interested in experimental
research designs.
 As a result of the need for randomisation, control and manipulation with the aim of
establishing cause-effect relationships, the design becomes very expensive, both in terms of
time and money
Survey Research Design
The second common research design that you may come across is the survey research design. Survey
research design is ‘the systematic gathering of information’ Survey studies are concerned with
gathering information from a sample of population.
The purpose of the study is usually to identify general trends or patterns in the collected data, for
example, ‘nurses attitudes towards smoking’.
A survey is designed to obtain information from the population regarding the prevalence,
distribution, and interrelations of variables within those populations, for example, using a census,
political opinion polls, immunisation sample surveys and so on.
Survey studies primarily yield quantitative data. They are mainly
cross sectional in design. They mainly deal with (investigate) what people do, for example, how or
what they eat, how they meet their health needs, what kind of family planning behaviour they engage
in and so on.
Survey data is collected in number of ways.
 Questionnaires, which are mainly self-administered.
 Telephone interviews, which involves phoning people and seeking their opinions.
 Personal interviews, also known as face-to-face interviews, where the interviewers meet
with the interviewee to seek certain information.

There are several advantages to the survey design. These include:

 It is flexible and broad in scope
 It can be applied to many people
 It can focus on wide range of topics
Information generated by the survey method is often superficial as the survey rarely probes deeply.
The survey design is better suited for extensive rather than intensive analysis of a situation. It is
usually descriptive and specific based on the situation that needs intervention, for planning purposes,
monitoring and evaluation of services.
An example of a survey is the Kenya Demographic and Health Survey (KDHS) carried out every five
years.
In a survey the researcher designs the phenomenon and study but does not manipulate any variables
nor do they make any efforts to determine the relationships between variables. However, a
27
comparative descriptive survey is designed to be a comparison between two or more groups to see
how they differ on some variables.
In the correlation survey meanwhile, the researcher attempts to determine and describe what
relationship exists between variables. For example, the study of the relationship between maternal
‘age’ and reports of nausea would then be determined statistically through the use of a statistical test
known as the correlation coefficient. One independent variable is correlated with one or more
dependent variables. Then statistical methods are applied to describe if the variables relate at all and
what kind of relationship they have, that is, positive correlation or, negative correlation.
Descriptive or Explorative Research Design
A descriptive study is the systematic collection and presentation of data to give clear picture of a
particular situation.
It can also be defined as descriptive research as research, which involves the systematic collection of
information and aims to discover and describe new facts about a situation, people, activities, or
events. The descriptive research design is grouped as a non-experimental research design. Its main
purposes include observing, describing and documenting all aspects of a situation as it naturally
occurs. At times, descriptive deigns are used as a starting point for hypothesis generation or theory
testing. The descriptive study attempts 'to obtain complete and accurate information about a
phenomenon through observation, description and classification'. Examples of questions in this line
of study include:
 How prevalent is the measles disease in this district?
 What are the characteristics of the district's population?
 When are measles outbreaks experienced?
In the exploratory descriptive design, the main purpose is to explore the dimensions of a phenomenon
(problem) as well as the major characteristics or facts that influence the phenomenon. Questions to be
asked include:
 What is the nature of the problem?
 What factors are related to the problem?
A descriptive study is designed to gain more information about characteristics within a particular
field of study. It aims to provide a picture of a situation as it naturally happens. Descriptive study
design may be used for developing a theory, identifying problems within the current practice,
justifying current practices or making judgments determining what others in similar situations are
doing.
In descriptive design, no manipulation of variables is involved as opposed to experimental design.
Similarly, no dependent or independent variables are used within a descriptive study design because
no attempt is made to
establish causality. The overall purpose of descriptive research is to provide a picture of a
phenomenon as it naturally occurs, as opposed to studying the impacts of the phenomenon or
intervention.
Descriptive research designs vary in their level of complexity. Some contain only two variables while
others may include multiple variables. A variety of labels are used to describe descriptive research
design. These include:
 Explanatory when the researcher’s focus is to generate ideas and work on a field of inquiry
that is relatively unknown.
 Epidemiologic, which is a form of descriptive research that is designed to provide information
on the independence, prevalence, incidence and correlates of a disease or medical condition in
a population, for instance, incidence or prevalence of AIDS in specific high risk populations,
for example commercial sex workers in Nairobi’s Majengo estate, or truck drivers along the
Nairobi-Mombasa high way).
The emphasis of a descriptive research design is on maximising the study’s credibility, usefulness
and feasibility. Comparatively, descriptive studies are relatively cheaper than randomised
28
experimental designs. However, certain types of descriptive studies can be very expensive, both in
terms of money and time, for example large scale studies. A descriptive research design could be
divided into the following categories:
Explorative Descriptive Design
In the explorative descriptive design, the researcher explores a particular problem to discover what is
there and if it could be solved. The study focuses on new events, evidence,
or practices.
Simple Design
The simple design is mainly a follow up of an
exploratory design. The variable of interest has already
been identified. This design is used when the researcher intends to examine only a single problem.
Comparative Descriptive Design
The comparative descriptive design is mainly used when the researcher intends to examine and
describe particular variables in two or more groups. The concept here is to compare the groups and
how they differ or how similar they are in relation to the variable of interest.
Time Dimensional Designs
Time dimensional designs are used in epidemiological studies and are further sub-divided into
longitudinal that is when it examines changes in a group for a long period and it is cross-sectional
where the data is collected at one point in time.
Retrospective Study Design
The retrospective study design is also known as 'export facts'.
It is a study design aimed at a looking back in order to link the present with the past or what
happened in the past.
People having an outcome of interest, for example skin disease, are interviewed to establish whether
or not they have had contact with an exposure of interest in the past, for example spraying of
agrochemicals.
Prospective Study Design
The prospective study design is similar to the longitudinal study as it starts from the present and ends
by looking into the future. It is further divided into two categories: descriptive
and explanatory. The subjects for the study are recruited based on presence or absence of an exposure
of interest and followed up over many years to establish if they will develop outcomes of interest.
There are very few features that can be used to differentiate the various types of descriptive research
designs. These include:
 Representativeness of the study data sources, for example, whether random, stratified, non-
probability.
 Time frame of measurement, that is, whether short, cross sectional or longitudinal.
 Whether the study involves any comparisons, for example, with another group.
 Whether the design is focused on a simple descriptive question or more complex, correlative
questions.
Descriptive research designs are commonly used when the researcher is attempting to answer ‘what
is’ or ‘what was’ questions, normative questions and/or correlative questions.
Case Study Research Design
The other common type of research design is the case study design. A case study is 'an in depth study
of one individual, a group of individuals or an institution. It is a detailed account of a particular
experience event or situation. It is meant to provide a description of people’s thoughts, feelings and
perceptions.
A case study research design does not aim at providing a causal relationship. Neither does it attempt
to test a hypothesis. Case studies describe the characteristics of one or a limited number of cases
extensively. The subject of the case study could be, a village or a specific individual
An example of a case study that a social researcher would like to investigate could be an adolescent
29
with poor school attendance to determine their knowledge, feelings and perceptions of their condition
(situation), or a case study on why in a certain patients mothers are not able to cover their hospital
bills.
Such studies could provide significant insight into why things happen as they do.
While the case study design gives significant information, it has certain limitations, which you should
be aware of as a researcher.
 They require plenty of time.
 They are costly.
 Have high possibility of subject drop out.
 Data analysis also calls for skills and experience, particularly if the study is carried over a
long period of time.
In a case study design, the number of subjects might be very few but the study should be able to
address all the interest variables.

When are case study designs used?

Case study designs are used when:
 There is a need to demonstrate the effectiveness of a specific therapeutic technique
 Generating and testing hypotheses
 There is need to generate knowledge on a particular issue or situation that has not been
adequately researched on

Testing of research tools

Before you carry out the full scale data collection process, it is important to conduct a trial to
see whether the instruments that you will use for data collection are actually appropriate for
the study and whether you are collecting the information you need. To achieve this, you have
to carry out a pilot study or pre-test.
Researchers have given various definitions to these two terms.
A pilot study may be defined as ‘a small version of a proposed study conducted to refine the
methodology. 'It is developed and conducted in a manner similar to the proposed study,
using similar research respondents and the same setting. A pilot study may also be defined as
‘the process of carrying out a preliminary study going through the entire research procedure
with a small sample’.
A pre-test usually refers to a small scale trial of a particular research component.
Why do you need to carry out a pre-test?
The following are some of the purposes of a pre-test or pilot study:
• To determine whether the proposed study is feasible
• Identify any problems with the research design
• To ensure that items in the data collection instrument are stated clearly and have the
same meaning to all research respondents
• To assess the time taken to administer the research instrument
• Determine whether the sample is representative of the population
• To determine the effectiveness of the sampling technique used
• Give the researcher the real experience in the field
• Determine the human and financial resources requirement for the study

30
 • Determine the effectiveness of the training given to research assistants where
necessary
• Evaluate the procedure for data processing and analysis
When is the appropriate time to conduct a pre-test?
Ideally, a pre-test of data collection and data analysis procedures should be made before the
actual full scale study. The advantages of conducting the pre-test before you finalise your
proposal is that you can draft the work plan and budget based on realistic estimates, as well
as revise the data collection tools before you submit your proposal for approval. The pre-test
of the data collection instruments could be done either before training your research
assistants or immediately after.
However, if this is not possible, for example, if the proposal is drafted far from the field, and
there are no similar research settings available close to the drafting site, the field test may be
done after finishing the proposal. However, it should be carried out long enough before the
actual field work to allow for a thorough revision of data collection tools and procedures.
Research tools validation
It is important that you, as a researcher, utilize appropriately the lessons learnt from the pre-
test or pilot study. For instance:
• Identify any sensitive or irrelevant items in the instruments and rectify them.
• If there was any question that the interviewers had to repeat and explain several times
for the respondents, this needs to be rectified.
• Analyse the results of the pre-test or pilot study as it helps to develop dummy tables.
Conclusion
This unit has covered the various research tools, research design and testing of the research
tools.

Self-Assessment

Written Assessment
1. Which process is not required in experimental research?
a) Controlling
b) Observation
c) Reference collection
d) Manipulation and replication
2. Which of the following statements best describe a pilot study
a) It is a small version of a proposed study conducted to refine the methodology.
b) It is the actual big version study conducted to refine the methodology
c) It is carried out after data collection process
d) It is carried out after data analysis process
3. One of the following is an advantage of interviews as a research tool
a) It is time saving
b) No biases may result
31
 c) No items are overlooked
d) It is usually cost effective
4. What are the sources of records?
5. Identify the types of observation that can be used in research project
Oral assessment
What is a research tools
What are the various types of research designs?
Practical assessment
Develop a sample closed ended/open ended research questionnaire
Using a diagram, illustrate checklist formulation as one of the research tools

Tools, Equipment, Supplies and Materials

 Desktop computers/laptops
 Internet Connection
 Smart phones
 Recorders
 Video cameras
 Projectors

References

Brink, (1996) Fundamentals of research methodology, cape town. Juta and company
Harden et al, (1999)from competency to metacompetency: A model for specification of
learning outcomes

32
2.3.5 Learning Outcome No 4: Carry out data collection

2.3.5.1 Learning Activities

Learning Outcome No 4: Carry out data collection

Learning Activities Special Instructions

4.1 Data collection team is established as per organization policy Simulate

4.2 Data collection team is trained as per organization policy administration of data
4.3 Research tools are administered as per organization policy collection tools

2.3.5.2 Information Sheet No4/LO4. Carry out data collection

Introduction
This unit involves collections of data through administration of research tools
Definition of terms
Data collection: the process of gathering and measuring information on variables of interest,
in an established systematic way that enables one to answer stated research questions, test
hypotheses and evaluate outcomes
Quantitative data: information about quantities; numbers are used
Qualitative data: is descriptive and regards phenomenon which can be observed but not
measured, such as language
Content/Procedures/Methods/Illustrations
Data collection team is establishment
When allocating tasks for data collection, it is recommended that you first list the tasks. You
can then identify who could best implement each of the tasks. If it is clear beforehand that
your research team will not be able to carry out the entire study by itself, you may look for
research assistants to assist in relatively simple but time consuming tasks.
Allocating Tasks for Data Collection
Task To be carried out by
Record study Research team
Focus group discussion with health staff
Research team
before and after individual staff interviews
Individual health staff interviews Research team
33
 Participant observation in clinic Principal investigator
Research assistants, under
Interview with mothers (community based)
supervision of research team

Data collection team is training

Training of Interviewers
During the fieldwork, interviews or research assistants may work independently or with one
of the researchers. If research assistants are to go out independently, they may have to carry
out the following tasks:
• Do sampling in the field, for example, sampling households.
• Give clear introductions to the interviewee concerning the purpose and procedures of
the interview.
• Perform the interview. It is important to give interviewers a standard questionnaire to
administer. However, it is not wise to assign difficult tasks, like Focus Group Discussions
(FGDs), to research assistants.
It is, therefore, imperative that you properly train interviewers so that they can carry out
their tasks accurately and correctly, according to the procedures you have developed.
They should never be left to develop their own procedures as this could potentially lead
Data Collection is an important aspect of any type of research study. Inaccurate data
collection can impact the results of a study and ultimately lead to invalid results. Data
collection is the process of gathering and measuring information on variables of interest,
in an established systematic fashion that enables one to answer stated research questions,
test hypotheses, and evaluate outcomes. The data collection component of research is
common to all fields of study including physical and social sciences, humanities,
business, etc.
While methods vary by discipline, the emphasis on ensuring accurate and honest
collection remains the same.
Theoretical Training
Research assistants or interviewers must be thoroughly familiar with the research
objectives and the methodology. They should, therefore, be provided with a copy of the
research protocol. You, as the principle researcher, should discuss important sections of
the protocol with them.
• Statement of the problem
• Objectives
• Data collection tools to be used
• Sampling procedure
• Plan for data collection
• Plan for data analysis
4.3 Research tools administration

34
 Data collection methods for impact evaluation vary along a continuum. At one end of this
continuum are quantitative methods and at the other end of the continuum are Qualitative
methods for data collection.
In collecting the data, the researcher must decide:
1. Which data to collect
2. How to collect the data
3. Who will collect the data
4. When to collect the data
The selection of the chosen data collection method should be based on the following:
1. The identified hypothesis or research problem.
2. The research design
3. The information gathered about the variables being studied.
The methods of data collection vary according to:
1. The degree of structure
2. Degree of quantifiability
3. Degree of obtrusive (conspicuousness, un-mistakeableness)
4. Degree of objectivity
Different ways of collecting evaluation data are useful for different purposes, and each
has advantages and disadvantages. Various factors will influence your choice of a data
collection method: the questions you want to investigate, resources available to you, your
timeline, among others
The Quantitative data collection methods,
They rely on random sampling and structured data collection instruments that fit diverse
experiences into predetermined response categories. They produce results that are easy to
summarize, compare, and generalize.
Quantitative research is concerned with testing hypotheses derived from theory and/or
being able to estimate the size of a phenomenon of interest. Depending on the research
question, participants may be randomly assigned to different treatments. If this is not
feasible, the researcher may collect data on participant and situational characteristics in
order to statistically control for their influence on the dependent, or outcome, variable. If
the intent is to generalize from the research participants to a larger population, the
researcher will employ probability sampling to select participants.
Typical quantitative data gathering strategies include:
 Experiments/clinical trials.
 Observing and recording well-defined events (e.g., counting the number of patients
waiting in emergency at specified times of the day).
 Obtaining relevant data from management information systems.
 Administering surveys with closed-ended questions (e.g., face-to face and telephone
interviews, questionnaires etc.).
Qualitative data collection methods
They play an important role in impact evaluation by providing information useful to
35
 understand the processes behind observed results and assess changes in people’s
perceptions of their well-being. Furthermore qualitative methods can beused to improve
the quality of survey-based quantitative evaluations by helping generate evaluation
hypothesis; strengthening the design of survey questionnaires and expanding or clarifying
quantitative evaluation findings. These methods are characterized by the following
attributes: they tend to be open-ended and have less structured protocols (i.e., researchers
may change the data collection strategy by adding, refining, or dropping techniques or
informants) they rely more heavily on interactive interviews; respondents may be
interviewed several times to follow up on a particular issue, clarify concepts or check the
reliability of data they use triangulation to increase the credibility of their findings (i.e.,
researchers rely on multiple data collection methods to check the authenticity of their
results) generally their findings are not generalizable to any specific population, rather
each case study produces a single piece of evidence that can be used to seek general
patterns among different studies of the same issue
Regardless of the kinds of data involved, data collection in a qualitative study takes a
great deal of time. The researcher needs to record any potentially useful data thoroughly,
accurately, and systematically, using field notes, sketches, audiotapes, photographs and
other suitable means. The data collection methods must observe the ethical principles of
research.
The qualitative methods most commonly used in evaluation can be classified in three
broad categories:
 In depth interview
 observation methods
 document review
Conclusion
This learning outcome has covered collections of data through administration of research
tools

Self-Assessment
Written Assessment
1. What should be considered when choosing a data collection method
a) The identified hypothesis or research problem.
b) The research design
c) The information gathered about the variables being studied
d) All of the above
2. Who is responsible for administration of research tools?
a) Trained research assistants
b) Community health workers
c) Individuals in the community
d) Community legal administrative officers
3. When should data collection be carried out?

36
 a) Before pretesting of research tools
b) After pretesting of research tools
c) During pretesting of research tools
d) After carrying out research data analysis

Oral assessment
What are the differences between quantitative and qualitative data collection methods
Practical assessment
With the aid of a diagram illustrate a sample task allocation to the research team

Tools, Equipment, Supplies and Materials

 Desktop computers/laptops
 Internet Connection
 Video cameras
 Smart phones
 Recorders
 Projectors

References

Bless C. Craig Higson Smith, Ashraf Kagee (2007) Fundamentals of social Research,
Lusaka: Juta and Company
Kothari C.R (2004), Research methodology; Methods and Techniques: Bangalore: New
International Publishers

Mugenda, O.M and Mugenda, A.G (2003) Research Methods: Nairobi

Orodho A.J (2003), Essentials of educational social science, Research Methods, Nairobi:
Mozola Publishers

Single ton R.A (1998) Approaches to social research, London: Oxford University Press

37
2.3.6 Learning Outcome No 5: Analyze collected data

2.3.6.1 Learning Activities

Learning Outcome No 5: Analyze collected data

Learning Activities Special Instructions

5.1 Data analysis tool is prepared as per organization policy Carry out sample
5.2 Data analysis is conducted as per organization policy conduction of data analysis

2.3.6.2 Information Sheet No5/LO5. Analyze collected data

Introduction
This unit exposes the trainee on data analysis, interpretation and presentation.

Definition of terms
Data analysis: it involves summarizing and organizing data collected in a manner that they answer
the research questions
Tabulation: it is the process of summarizing raw data and displaying it in a compact form of
statistical tables, for further analysis.

Content/Procedures/Methods/Illustrations

Data analysis tool is preparation

Once you have collected the data according to the planned research design, it is important to put the
data in a format that will enable you to make sense of it. This entails preparation of Excel
spreadsheets, Graphs and Charts which are useful for data analysis

Data analysis conduction

Data analysis principles
a) Describe the sample population by providing a description of the age, sex, occupation, educational
background and so on
b) Order, reduce and/or code the data (data processing).
c) Display the summaries of data for interpretation.
d) Draw conclusions.
e) Develop strategies for testing or confirming the findings to prove their validity.

Qualitative Data Presentation and Analysis

38
The data presentation and analysis of qualitative research is quite different from that of presenting
data collected when using the quantitative research method. This is because qualitative research uses
words while quantitative uses numbers (numerical).

The following steps can be used when presenting and analyzing qualitative data:

Organizing the Data

The data collected through qualitative techniques is usually quite large, therefore, the researcher will
need to put all this information in a simple format that can be understood. This is known as ‘cleaning’
the data.

Creating Categories, Themes and Patterns

Since the notes from interviews and focus group discussions are not well organized and tend to be
fragmented, there is need to put them into categories, themes and patterns. The researcher needs to be
very familiar with the data so as to establish relationships among these categories. One way to
achieve this is using the research questions or discussion topics. The researcher may need to put this
into matrix form on which the data can be displayed.

Analysing and Interpreting the Data

Once themes, categories and patterns have been identified, the researcher then evaluates the data to
determine its usefulness and accuracy. It is important to note that there are nowadays computer
programs that can be used to generate themes and categories. You have to follow the set research
objectives when analysing and evaluating the data.

It is important to appreciate that unlike the quantitative research where the report writing is done after
analysing the data, in qualitative research techniques, the writing and the analysis go hand in hand.

Quantitative data analysis and presentation

The process of organizing, summarising and visualising quantitative data is referred to as ‘descriptive
statistics’.

The purpose of descriptive statistics is to help the researcher to visualise and identify the pattern may
that may emerge from the data collected.

This will, in turn, assist the researcher in making meaningful conclusions from the results of the
study. The main types of descriptive statistics are mode, median, mean and measures of central
tendency among others

In presenting data you can use statistical techniques e.g., descriptive statistics (mean, mode, median),
graphical techniques or a combination of both:

Tabular Method

As the name suggests, this is where data is presented in tables. Depending on your skills in research
and the type of study you have carried out.
39
Graphic Method

Another format for presenting research data is the graphic method. In this method graphs are used to
organise and describe data. This enables the reader to see at a glance the trend of distribution of the
data. Graphs have two axes: vertical and horizontal. Scores are usually presented along the horizontal
axis, while the frequency is placed along the vertical axis. They include;

• Bar Charts

• Histograms

• Frequency Polygons

Charts Method

Another way to present your data is to place it on a chart. One of the commonest types of charts used
is the pie chart. Pie charts are relatively easy to interpret. Each portion represents a variable.

Conclusion

This learning outcome has covered data analysis, interpretation and presentation.

Self-Assessment
Written assessment

1. Mean, median and mode are

a) Frequency polygons
b) Descriptive statistics
c) Descriptive research designs
d) Histograms
2. In qualitative research;
a) Report writing is done after data analysis
b) Report writing is done before data analysis
c) Report writing and analysis go hand in hand
d) Report writing and analysis are omitted
3. What are the various tools that can be used for data analysis?
4. What are the principle of data analysis
5. Who is responsible for data analysis

Oral assessment

What is data analysis in research?

Practical assessment

With that aid of diagrams illustrate 2 ways through which data can be presented

40
Tools, Equipment, Supplies and Materials
 Desktop computers/laptops
 Internet Connection
 Smart phones
 Video cameras
 Recorders
 Projectors

References
Bless C. Craig Higson Smith, Ashraf Kagee (2007) Fundamentals of social Research, Lusaka: Juta
and Company

Kothari C.R (2004), Research methodology; Methods and Techniques: Bangalore: New International
Publishers

Mugenda, O.M and Mugenda, A.G (2003) Research Methods: Nairobi

Orodho A.J (2003), Essentials of educational social science, Research Methods, Nairobi: Mozola
Publishers

2.3.7 Learning Outcome No 6: Research report writing

2.3.7.1 Learning Activities

Learning Outcome No 6: Research report writing

Learning Activities Special Instructions

6.1 Report is compiled as per organization policy Supervise research

compilation
6.2 Report is shared or disseminated as per organization policy

6.3 Research findings are implemented as per organization policy

Role play report
dissemination

41
2.3.7.2 Information Sheet No6/LO6. Research report writing
Introduction

Research is not complete without a report. It is written to highlight all issues undertaken during the
research and the data findings

Definition of terms

Abstract: summary of the research report

Research report: a document communicating to others the generalization and findings of the
research study

Appendices: contains information that the researcher does not deem necessary to include in the body
of the report

Title: a short and simple yet informative statement that indicates the major variables of the research,
the target population, and if possible the geographical location of the research

Declaration: involves declaring that the report is one’s own work

Dedication: a statement in recognition of a person or persons deemed special in the life of the
researcher

Acknowledgement: the page where a researcher mentions and acknowledges the contribution or help
of other people in his research.

Literature review: it is a researcher’s critique of finding s from other studies done in related areas

Methodology: gives details of the procedures used in conducting the study

Content/Procedures/Methods/Illustrations

Compiling a research report

Contents of a research report

The Title

 The title should be an accurate reflection of the research carried out

 It needs to be both meaningful and brief

 It should not exceed fifteen words

Abstract

42
The abstract is a very brief summary of the study that includes the purpose of the study, methodology
and the major research findings. It should not be longer than one page.

Introduction

In the introduction you need to:

 Introduce the reader to the problem to be dealt with.

 Briefly, but clearly, explain the purpose of the study.

 Emphasise the importance of the study.

 Introduce the key concepts.

 State clearly the hypothesis as well as the objectives or research questions of the study.

 Describe the nature of the research study and the context within which the study has been
carried out.

Background Information

Here you have to explain where the study took place and expound on any special circumstances of
the study and study area.

Literature Review

The literature review provides an overview of current knowledge of the problem under research. The
researcher should be able to show a grasp of the theory applications and apply the knowledge to the
research.

The Methodology

Here, you provide information on how the research was

carried out. Include enough details to enable another researcher to replicate your research. The
methods section incorporates the following aspects:

(i) Subjects, respondents or participants

(ii) The task and the material or instruments used. This should include:

 Description of all types of activities that the participants were asked to perform, for example,
filling in a questionnaire, participating in a focus group discussion.

 A list of materials and/or instruments used. Give the main characteristics of the questionnaire,
for example open-ended, closed questions and so on.

 Description of the considerations, which led to this choice and how validity and reliability
were ensured.
43
  All questionnaires or interview schedules should be included in an appendix.

(iii) The research design and strategy. Here you have to:

 Specify the chosen design.

 Outline and explain choices which lay behind strategy decisions.

 Analyse the data obtained.

 Give an account of the methods used to analyse data.

 If a statistical design was used, discuss the statistical tests applied to the obtained data to test
the various hypotheses.

 Explain procedures for handling missing data.

 Justify the validity and reliability of the scores.

 Outline the reasons why specific statistical tests were used.

Results

The results section presents the findings and involves the following:

 The main results from the data analysis.

 If a quantitative study was done, tables, graphs and diagrams and the outcomes of statistical
tests. In a qualitative study, findings are usually presented in terms of the themes, which
emerged from the data and, by way of substantiation and illustration, examples of raw data
will be given.

 In quantitative studies you must also give the name of any statistical test used as well as the
value of the calculated statistics and its significance. Accuracy and conciseness must be
adhered to throughout.

Discussion

The discussion of the study incorporates the following elements:

 An interpretation of the findings, with specific reference to validity and reliability. A well-
developed discussion makes sense of the research results, and must be presented in precise
and concise language. In the discussion section, you have to re-state the research questions
and hypotheses, and discuss the results with reference to these questions or hypotheses in the
order they were posed.
44
  Conclusions related to questions raised in the introduction of the study.

 Study limitations. Here the limitations of the study should be identified and you should
defend the validity of the findings in the light of these limitations. Limitations include factors
such as the inherent weakness in the sampling method, faulty designs and controls,
weaknesses in the methods used to collect data and so forth. Here you have the opportunity to
recommend ways to minimise or eliminate the limitations of the current study and to offer
alternative methodology or improvements of the methods of the study presented.

 Generalizations of the research findings. Indicate whether you found what you had expected
and how the present results relate to previous research. Suggestions and recommendations.
Here you have to relate your findings to the questions raised in the introduction. In addition, if
you came up with any recommendations as a result of your study, this is the place to state
them. You may also give some suggestions concerning further research

References and Bibliography

Present your references and bibliography in the standard manner.

Check that the names of authors included in your reference list, are actually mentioned within the
text.

Sharing or disseminating research findings

The significance of conducting research is to communicate and share the research findings. If you do
not disseminate the findings of your study, then nobody will know what the outcome of the study
was. There are various ways of communicating the research findings. They include:

 A written report for academic purposes, for example, a dissertation or a thesis, which are a
requirement in the obtaining of a certain academic level.
 A written report prepared for managers and policy implementers (some of whom have no
knowledge of research methodology). In such reports you need to have a very clear and
succinct report without the academic jargons.
 A written report sent as an article for publication in refereed journals.
 Presentations of the research findings in workshops, seminars and conferences.

Implementation of research findings

These involves putting into practice the potential solution according to the research findings. The key
implementers include governmental organization, non-governmental organization, individual,
communities and policy implementers

Self-Assessment
Written Assessment

1. In referencing, the author name

a) Must be within the text
45
 b) Must not appear in the text
c) Must be out text citation
d) None of the above
2. Which of the following statements is correct about a research abstract?
a) A short and simple yet informative statement
b) Involves declaring that the report is one’s own work
c) Generalisations of the research findings
d) Summary of the research report

3. Who are the implementers of research findings?

Oral assessment

What are the various ways of sharing research findings?

Practical assessment

Using a flow chart, outline the research report contents systematically

Tools, Equipment, Supplies and Materials

 Desktop computers/laptops
 Internet Connection
 Video cameras
 Recorders
 Smart phones
 Projector

References
Bless C. Craig Higson Smith, Ashraf Kagee (2007) Fundamentals of social Research, Lusaka: Juta
and Company

Kothari C.R (2004), Research methodology; Methods and Techniques: Bangalore: New International
Publishers

Mugenda, O.M and Mugenda, A.G (2003) Research Methods: Nairobi

Orodho A.J (2003), Essentials of educational social science, Research Methods, Nairobi: Mozola
Publishers

46
 CHAPTER TWO: PSYCHOSOCIAL SUPPORT

Unit of learning code COD/CU/SW/CR/02/5/A

Related Unit of Competency in Occupational Standard Perform psychosocial support

Introduction to the unit of learning

This unit covers the competencies required to conduct psycho social support in take session, carry out
psycho social support problem exploration, analyze psycho social support problem, conduct referral
and carry out documentation

1.1 Summary of Learning Outcomes

1. Conduct psycho social support intake session.

2. Carry out psycho social support problem exploration
3. Analyze psychosocial support problem.
4. Carry out referral
5. Carry out documentation

1.2. Learning Outcome 1: Conduct psycho social support intake session

1.2.1 Introduction to the learning outcome

This learning outcome specifies the content of competencies required to conduct psychosocial
support intake session. It includes meaning and importance of psychosocial support, basic
counselling skills, psychosocial support process, professional and ethical issues in psychosocial
support, establishing a healthy working relationship, intake session and preparation of the
psychosocial support contract
1.2.2 Performance Standard

1.2.1.2.1 Healthy working relationship is established as per organizational policy

1.2.1.2.2 The psychosocial support contract is prepared as per organization policy

1.2.3 Information Sheet

1.2.3.1 Meaning and importance of psychosocial support

The term “psychosocial” refers to the dynamic relationship between psychological aspects of our
experience (that is, our thoughts, emotions, and behaviors) and our wider social experience (that is,
our relationships, family and community networks, social values, and cultural practices), where one
influences the other.

The term “psychosocial support” is based on the idea that a combination of factors is responsible for
people’s psychosocial well-being, and that these biological, emotional, spiritual, cultural, social,
mental, and material aspects of experience cannot be separated from one another. Therefore, instead
of focusing exclusively on the physical or psychological aspects of health and well-being, the term
47
emphasizes the totality of people’s experience and underlines the need to view these issues within the
context of the wider family and community networks in which they occur.

Psychosocial support can be described as "a process of facilitating resilience within individuals,
families and communities. By respecting the independence, dignity and coping mechanisms of
individuals and communities, psychosocial support promotes the restoration of social cohesion and
infrastructure”

PSS aims to help individuals recover after a crisis has disrupted their lives, and to enhance their
ability to bounce back and return to normality after experiencing adverse events. The term refers to
the actions that address both the social and psychological needs of individuals, families, and
communities.

Psychosocial support helps maintain a continuum of family and community-based care and support
during and after an emergency and prevents immediate or long-term mental health disorders.

Psychosocial support involves a range of care and support interventions. It includes care and support
offered by caregivers, family members, friends, neighbours, teachers, healthworkers, and community
members on a daily basis. It also extends includes care and support offered by specialised
psychological and social services.

Early and adequate psychosocial support can:

 prevent distress and suffering developing into something more severe

 help people cope better and become reconciled to everyday life

 help beneficiaries to resume their normal lives

 meet community-identified needs

1.2.3.2 Basic Counselling Skills

Counselling refers to a form of confidential helping which values and seeks to elicit each client’s
innate internal resources, coping abilities and strengths. Counsellors may help clients with specific
problems in the present, but they may also support clients with long-term problems stemming from
the past too.
Rapport building is at the root of effective communication. Especially when providing psychosocial
support, knowing how to develop rapport is key to the success of the therapeutic process.
When offering psychosocial support, counselling skills come into play as a way of the care giver to
create and maintain rapport with the client. Some of the counselling skills include:
Listening and attending: Active listening is a term commonly used in relation to counselling.
Several factors that are necessary for complete listening, and these include the observation of clients’
non-verbal behaviour, as well as understanding verbal content and meaning. It goes without saying
that the ‘way’ something is said is just as important as the actual words spoken. This last point is
especially relevant in the counselling context, for clients often have difficulty in finding exactly the
right words to express the way they feel. In these circumstances, accompanying non-verbal cues
sometimes speak much more eloquently than words. Listening and attending are, therefore, skills that
48
always go together in counselling. This is because it is not possible for counsellors to give clients
their full attention without actively listening to them.
Paraphrasing: The word ‘paraphrasing’ refers to the rewording of the content of what clients say.
Reflection and paraphrasing are very similar; the difference between them being that the former is
generally used to describe a rewording of the emotional content, while the latter is mainly concerned
with the factual.
Summarising: The skill of summarising is used when a helper wishes to respond to a series of
statements or, in the case of counselling, to a whole session. Clients often talk at random, and they
are frequently side-tracked into other related (and sometimes unrelated) issues. This can make it
difficult to monitor everything they say, and formulating an accurate summary also requires active
listening and an ability to draw all the random threads together into a more coherent framework.
Asking questions: One of the difficulties you may find in listening to others is that your curiosity is
aroused, and you are tempted to ask questions in order to get the detail clear in your own head. Most
of us probably ask too many questions in our communications with other people, and active listening
is often diminished as a result. Questions can be especially problematic in counselling because
counsellors sometimes ask questions in order to get the facts straight for themselves, rather than from
a desire to understand the client’s subjective experience of things.
Other skills include:
 Encouraging clients to be specific
 Reflecting their feelings
 Helping them to clarify their thoughts
 Encouraging them to focus on key issues
 Offering forms of challenge when needed
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Preparing a good counselling environment lays the necessary foundation for forming an
alliance and building trust.
The counselling environment should be:
a) welcoming (e.g. greet clients appropriately, show them where to sit)
b) comfortable (e.g. have comfortable seats, try to sit at the same level)
c) a place with few distractions (e.g. no telephone, or interruptions from other staff or family
members)
d) somewhere where privacy and confidentiality can be maintained (e.g. somewhere away from
other people)
e) non-threatening (e.g. a place where people can feel relaxed and comfortable).
Some factors to consider when creating or redesigning a counselling room include the
following:
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 a) Color: Many therapists may not be able to control the type of paint or wallpaper that
goes on the walls, but if they are able to choose colors, it is generally advisable to use
light and soothing ones, such as shades of green or blue.
b) Seating: Dr Liddicoat-Ocampo noted, “It is important to ensure that the seating area
for therapist and service user is non-confrontational and conducive to dialogue and
supporting service user empowerment and agency in the space.” It is also essential that
chairs have ample back support, be adjustable or easily moved around, and be heavy
enough not to be picked up in cases when a client may have a history of violence. It
may also be beneficial to place the client’s chair in a spot where they can see the door
to add to their sense of free will and safety.
c) Nature: Research suggests that the presence of even small components of nature may
be associated with better mental health. Keeping a few plants in the office, having
views of serene landscapes, or having access to a nearby garden can add to a positive
therapeutic experience.
d) Materials: Research shows that for reasons that are not entirely clear, people prefer
natural-colored wood with a grain rather than surfaces without a grain. They also feel
more comfortable with wood than with sleeker options such as chrome or glass.
However, when natural wood surfaces such as floors and walls take up more than 45%
of the surface of a room, it starts to lose its stress-relieving effects. People also do not
want surfaces to leave traces of people in the room before them, such as fingerprints.
e) Windows: Whenever possible, keep windows open to let sunlight in. This helps
ensure the space looks and feels bright, open, and warm.
f) Adjustable Lighting: One way to empower clients is to give them the option to make
light fixtures or lamps inside the clinic as dim or as bright as they please. Adjust the
light to a level that is most comfortable for the client. This also demonstrates the
importance of their needs and strengthens their ability to express those needs.
g) Privacy: Ensure that conversations are not audible outside the room. Entrances and
exits must also be as private as possible to make clients feel protected
h) Age-Appropriate Furniture: If families, children, or the elderly are among the
clients, it is essential to provide chairs or couches that are comfortable for all. If desks
are used during sessions, round tables may facilitate more interactive communication.
i) Soft Furnishings: Using soft furnishings and flooring materials (like rugs or carpets)
provides a soothing feel to a room and creates a sense of comfort.
j) Positive Distractions: Some good “distractions” can help a client by allowing him or
her to rest from discussing some emotionally uncomfortable topics. They can shift
their focus to a piece of serene artwork, a soothing tabletop fountain, a calm spot away
from the therapy space, or even comforting toys. Talking about weighty matters can
bring about feelings of vulnerability, and it may be beneficial for clients to take a
break every now and then.
k) Personalization: A few personal elements, such as small mementos or the therapist’s
credentials, can be reassuring to the client. However, it is best to keep personalization
to a minimum, to help the client feel “at home” within the space, and not like a visitor.
Some things to avoid when designing the therapeutic space include the following:

50
 a) Closed-in Spaces: Refrain from using “prison-like” spaces with hard surfaces and no
windows. Rooms like these can imply punishment or make clients feel they are unable
to escape.
b) Clutter: Keeping the therapeutic space tidy and neat helps maintain a sense of calm
and orderliness.
c) Potential Triggers: Artwork that inadvertently depicts sadness, violence, or death may
contribute to feelings of vulnerability or trigger other mental health issues the client is
experiencing.
d) Fixed Seating: Allow the client to adjust the seating arrangement to give him or her a
sense of agency. Clients may also be uncomfortable if the therapist’s chair seems to be
made from better materials or is built to be higher than their own chair. This can make
the client feel inferior and the therapist seem unapproachable.
e) Neglected Waiting Rooms: Dr Liddicoat-Ocampo noted that waiting room layouts are
also significant. Poorly designed ones may increase client anxiety and can give the
worrying impression that the individual will not get inadequate level of care.
Administrative areas like reception and record keeping must also be incorporated in a
way that does not affect the client’s waiting period negatively.

Figure 1.1 Conjoint counselling room

1.2.3.3 Psychosocial support process

The Counseling process is broken down into three basic stages.
1. Initial stage or the initial disclosure stage
The first step focuses on building a relationship with the client. So in simple words, it is
relationship building with the client. For this stage to be successful, the Counselor should be
able to empathize with the client so that the client is engaged to explore the issues affecting
him. The Counselor should win over the client with his strategic convincing communication
skills. Communication skills play a vital role in this initial disclosure stage. Skills for
relationship building with the client can be summarized as follows:

51
  Start with an introduction.
 Make the client comfortable by making him sit down.
 Address the client with his name.
 If the Counseling is for addressing health issues engage the client in some social
conversations to make him/her anxiety free.
 If it is for addressing professional problems let the client talk about his problems
affecting him.
 The Client should get a vibe that the Counselor is interested in his talk. Be genuine
2. Middle stage or in-depth exploration stage
This stage is the stage of assessment of the problem the client is facing either professional or
personal interfering with their daily life or professional targets causing despair. Assessment
should attempt to recognize the importance and uniqueness of the client. The key is to extract
all possible information and knowledge about the client’s grievances or problems and ensure
nothing is left out. Any missing link can disastrously affect the whole counseling process.
Counselors who do not assess the problems presented by their clients are more likely to
formulate wrong conclusions and non-workable counseling strategies and conclusions,
resulting in hit and miss counseling. The Client may leave with the same set of problems
brought to the first session sans any solution.

3. Last stage or commitment to action stage

This stage is the goal-setting stage, wherein the client with the help of the counselor identifies
specific ways of problem-solving getting in the way to achieve the target. Goals are the results
and outcomes the client wants to achieve at the end of the counseling sessions. Without the
achievement of goals, the whole process of counseling goes down the drain. Some of the
guidelines for goal selection are summarized as follows:
 Goals should relate to the desired end sought by the client.
 Goals should be well defined in explicit and measurable terms.
 Most importantly they should be in the range of the Counselors’ knowledge and skills.
 They should be feasible.
They should also be consistent with the client’s mission and policies (if the client is an
organization).

1.2.3.4 Professional and ethical issues in psycho social support

Professional values are an important way of living out an ethical commitment. The following are
core professional values:
1. Enhancing human development throughout the life span;
2. Honoring diversity and embracing a multicultural approach in support of the worth, dignity,
potential, and uniqueness of people within their social and cultural contexts;
3. Promoting social justice;
4. Safeguarding the integrity of the counselor–client relationship; and
5. Practicing in a competent and ethical manner.
These professional values provide a conceptual basis for the ethical principles enumerated below.
These principles are the foundation for ethical behavior and decision making. The fundamental

52
principles of professional ethical behavior are:
 Autonomy, or fostering the right to control the direction of one’s life;
 Non-maleficence, or avoiding actions that cause harm;
 Beneficence, or working for the good of the individual and society by promoting mental
health and well-being;
 Justice, or treating individuals equitably and fostering fairness and equality;
 Fidelity, or honoring commitments and keeping promises, including fulfilling one’s
responsibilities of trust in professional relationships; and
 Veracity or dealing truthfully with individuals with whom counselors come into professional
contact.

1.2.3.5 Establishing a healthy working relationship

The following summary highlights the basic effective counseling skills useful for establishing a
healthy working relationship
1. Listening –The act of listening is further delineated into the following two components;
a) Attending -Orienting oneself physically to the patient to indicate one is aware of the patient,
and, in fact, that the client has your full, undivided attention and that you care. Methods
include eye contact; nods; not moving around, being distracted, eye contact, encouraging
verbalizations; mirroring body postures and language; leaning forward, etc. Researchers
estimate that about 80 percent of communication takes place non-verbally.
b) Listening/observing -Capturing and understanding the verbal and non-verbal information
communicated by that patient.
2. Empathy -The ability to perceive another's experience and then to communicate that perception
back to the individual to clarify and amplify their own experiencing and meaning. It is not identifying
with the patient or sharing similar experiences, not "I know how you feel"!
3. Genuineness-Ability of counselor to be freely themselves. Includes congruence between outer
words/behaviors and inner feelings; non-defensiveness; non-role-playing; and being unpretentious.
For example, if the helper claims that they are comfortable helping a client explore a drug or sexual
issue, but their behavior (verbally and nonverbally) shows signs of discomfort with the topic this will
become an obstacle to progress and often lead to client confusion about and mistrust of the helper.
4. Unconditional positive regard - An expression of caring and nurturance as well as acceptance. It
includes:
 Conveying warmth
 Conveying acceptance by responding to the patient’s messages (verbal and non-verbal) with
nonjudgmental or noncritical verbal & non-verbal reactions.
 Respect -Ability to communicate to the patient the counselor's sincere belief that every person
possesses the inherent strength and capacity to make it in life, and that each person has the
right to choose his own alternatives and make his own decisions.

53
5. Concreteness -Keeping communications specific and focused on facts and feelings of relevant
concerns, while avoiding tangents, generalizations, abstract discussions, or talking about counselor
rather than the client. This includes the following functions:
a) Assisting client to identify and work on a specific problem from the various ones presented.
b) Reminding the client of the task and re-describing intent and structure of the session.
c) Using questions and suggestions to help the client clarify facts, terms, feelings, and goals.
d) Use a here-and-now focus to emphasize process and content occurring in current session,
which may of help to elucidate the problem being worked on or improving the problem-
solving process.
6. Open Questions -A questioning process to assist the client in clarifying or exploring thoughts or
feelings. Here, the counselor is not requesting specific information and not purposively limiting the
nature of the response to only a yes or no or very brief answer.
7. Counselor Self-Disclosure - The counselor shares personal feelings, experiences, or reactions to
the client. Should include relevant content intended to help them. As a rule, it is better to not self-
disclose unless there is a pressing clinical need which cannot be met in any other way. Remember
empathy is not sharing similar experiences but conveying in a caring and understanding manner what
the client is feeling and thinking
8. Interpretation-Any statement to the client which goes beyond what they have said or are aware of.
In interpretation the counselor is providing new meaning, reason, or explanation for behaviors,
thoughts, or feelings so that patient can see problems in a new way. Interpretations can help the client
make connections between seemingly isolated statements of events, can point out themes or patterns,
or can offer a new framework for understanding. An interpretation may be used to help a patient
focus on a specific aspect of their problem, or provide a goal.
9. Information Giving and Removing Obstacles to Change - Supplying data, opinions, facts,
resources or answers to questions. Explore with client possible problems which may delay or prevent
their change process. In collaboration with the client identify possible solutions and alternatives.

1.2.3.5 Intake session

Intake session also known as intake interview, is part of the assessment phase of counseling. Some of
the reasons for conducting an intake session are:
 Gather information about the client's reasons for seeking counseling
 Know current and past functioning of the client
 Obtain the client's social history and interpersonal style
 Agree on the goals for counseling
 Develop a framework in which to understand the clinical issues presented (diagnosis)
 Collaboratively plan the counseling experience with the client (treatment plan)
 Developing rapport with the client
 Attention to cultural considerations

1.2.3.6 Preparation of the psychosocial support contract

A ‘counselling contract’ (or a ‘counselling agreement’) is a mutual agreement between the counsellor
and the client in which the outline of the therapeutic working alliance is presented.

54
A counselling contract ensures that the counselling process will be performed in a good, safe and
professional manner and highlights the responsibilities of the counsellor towards clients, as well as
the responsibilities of the client towards the counsellor. A counselling contract is also a transparent
basis for informed consent.
It is suggested that counselling contracts are, where appropriate, presented in writing in order to
ensure clarity Presented as a written document can also provide the necessary space for legal
intervention should the terms not be met.
Usually, a counsellor will verbally present the major points of the counselling contract before
sessions commence to ensure their client is happy with the terms of the work that is be carried out.
This initial verbal presentation enables the clients to ask questions and clarify any points within the
contract on which they are not clear. The counsellor may then present the discussed details via a
written document that will be signed by both the counsellor and client.
The counselling contract does not need to be a lengthy document. It is usually a single page
(maximum two pages) in length and contains a list of items that are important for creating a safe,
confidential and professional counselling service.
There are no set requirements for a counselling contract but a good ‘rule of thumb’ is to include
details about the following:
a. Nature of counselling work – this is a very brief (one small introductory paragraph about way
you work. (i.e. – note any particular modalities used; that you hold regular progression
reviews; that you work to an agreed ending to counseling work; that client ‘may feel worse
before feel better’ etc.…)
b. Number of sessions initially agreed to undertake.
c. Where and when sessions will be held (e.g. weekly intervals at ‘address’)
d. Session fees and payment terms

55
Figure 1.2: Counselling Contract

1.2.1.2 Learning Activities

1.2.1.4.1 Practical activities

56
Task 1: Develop a counselling contract for an adolescent aged 16 years suffering from alcohol
addiction.
1.2.1.4.2 Role Play Activity
Task 2: Mr. and Mrs. Mponda are having marital problems which have led them to seek help from
you. In groups of 3, orient them to the counselling process
1.2.1.4.3 Self-Assessment
You are provided with the following questions for self -assessment, attempt them and check your
responses

1. Who is in charge of selecting assessment tools?

2. What is a counselling contract?
3. While preparing counselling room what factors would you consider as important in rapport
building with the client?
4. When designing a counselling room, what are some of the things you need to avoid?
5. What major details are included in a counselling contract?

1.2.1.5 Tools, Equipment, Supplies and Materials

The following resources are provided:
a. A counseling room with seats, a desk and tissues
b. Assessment documents
c. Computers
d. Stationery
e. Note book

1.2.1.6 REFERENCES
Corey, G. (2012). Theory and Practice of Counseling,8th Edition: Cengage Learning, USA

Myers, D. (2014). Psychology of Everyday Life. Worth Publisher, New York

https://nationalcounsellingsociety.org/blog/posts/the-importance-of-a-counselling-contract

https://croswaitecounselingpllc.com/blog/2018/7/9/6-steps-to-engage-new-clients-in-the-first-session

1.2.1.7 Responses

1. Who is in charge of selecting assessment tools?

The counselor is incharge of selecting the assessment tools

2. What is a counselling contract?

It is a mutual agreement between the counsellor and the client in which the outline of the
therapeutic working alliance is presented.

3. While preparing counselling room what factors would you consider as important in rapport
building with the client?
Color
Seating
Nature
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 Materials
Windows
Adjustable Lighting
Privacy
Age-Appropriate Furniture
Soft Furnishings
Positive Distractions
Personalization
4. When designing a counselling room, what are some of the things you need to avoid?
Closed-in Spaces
Clutter
Potential Triggers
Fixed Seating
Neglected Waiting Rooms

5. What major details are included in a counselling contract?

Nature of counselling work – this is a very brief (one small introductory paragraph about way you
work. (i.e. – note any particular modalities used; that you hold regular progression reviews; that
you work to an agreed ending to counseling work; that client ‘may feel worse before feel better’
etc.…)
Number of sessions initially agreed to undertake.
Where and when sessions will be held (e.g. weekly intervals at ‘address’)
Session fees and payment terms

Learning Outcome 2: Psychosocial support problem exploration

1.3.1 Introduction to the learning outcome

This learning outcome specifies the content of competencies required to conduct Psycho social
support problem exploration. It includes Clients experiences are explored as per SOPs,
Challenges facing the client are identified based on the experience, Session notes are taken based
on the client experience.
1.3.2 Performance Standard
2.1 Clients experiences are explored as per SOPs
2.2 Challenges facing the client are identified based on the experience
2.3 Session notes are taken based on the client experience

1.3.3 Information Sheet

1.3.3.1 Exploration of client’s experiences

The goal for the Exploration stage in counseling is to build rapport with your client, gather
information about the problem at hand and the background of your client, and experience emotion.
What we as a counselor hope to accomplish in this stage is to basically build a relationship and trust
58
with our client. Our goals as a counselor in the insight stage is to get our client to see themselves
objectively, helping them see the pattern and why they respond to it in a certain way, and make
discoveries about yourself. What we hope to accomplish is simply getting the client to the point
where they see their problem, why it’s a problem, and that they can change it. In our last stage, the
action stage, our goal is to come up with solutions with the client and walk them through the different
solutions, and then get them to choose the best outcome for them and put into their daily life.

Exploration begins with noting down the client’s personal data, like name, age, address, marital
status, occupation. This should be followed by the problems affecting the client’s professional or
personal life. Also making a note of the duration of the problem, his family history, personal history
is a must. This helps in joining the dots. That is to form a connection between the problems of the
client and other information collected and grasped. This gives a rough idea of how much counseling
might be required and to which particular counselor the client needs to be assigned.

The counsellor strives to allow the client to express feelings, to vent and heal, and to explain her or
his story about the current crisis situation through "active listening" skills like paraphrasing,
reflecting feelings, and probing. Very cautiously, the counsellor must eventually work challenging
responses into the crisis-counselling dialogue. Challenging responses, if appropriately applied, help
to loosen clients' maladaptive beliefs and to consider other behavioural options.

1.3.3.2 Identification clients challenges

The following important components of identifying the challenges a client is facing:
 Identifying Data:
o Name, address, phone number (to enable the counsellor to contact and gives an
indication of the conditions under which the client lives)
o Age, gender, marital status, occupation (gives an indication of the age of the
client and some background about marital status)
 Problems Presented
Present the problem exactly the way the client reports them and the following questions
might reveal additional information:
o How does the problem interfere with the client’s daily life?
o What are the behaviours, thoughts and feeling associated with the problem?
o How often and how long has the problem existed?
o Is it a pattern of events? e.g., when? With whom? Is it predictable?

 Client’s Current Life Style

o How does the client spend a typical day?
o What social, religious and recreational activities is the client involved in?
o What is the nature of the client’s educational situation?
o What special characteristics about the client? e.g. age, physical, cultural, etc.

 Family History
o Father and mother: age, occupation, personalities, roles, relationship with client
o Siblings: age, present life and relationship with client
o Family stability: jobs held, family moves and reasons.

 Personal History
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 o Medical history: illness, injury
o Education history: academic performance, extra-curricular activities, hobbies and
interests, relationships with peers
o Career: jobs held, types of jobs, relationships with colleagues and fellow workers
o Client’s personal goals in life

 Description of the Client during the Interview

 Physical appearance : posture, dress, gestures, facial expression
 How client related to counsellor in the session?
 Client’s warmth, readiness, motivation, passivity, etc.
 Were the client’s remarks logical? Connected to another.

 Summary and Recommendations

o Connection between problem stated by the client and other information collected.
o Should the client be assigned to a particular counsellor?
o Are the goals for counselling stated by the client realistic?
o How much counselling might be required?

1.3.3.3 Session notes

Session notes should be taken as a way to document the assessment to assist the therapist as a
memory aid and for collaboration and consultation with other therapists. The notes should follow the
SOAP standard.
 S: Subjective: How does the client describe their problem? This is usually a quote or
statement from the client describing their subjective description of the problem.
 O: Objective: What did you observe about this client? These are written as factual notations.
 A: Assessment: What is your impression about/of this client?
 P: Plan: What is your plan with this client?
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1.4. Learning Outcome 3:

Analyze psychosocial support problem

1.4.1 Introduction to the learning outcome

This learning outcome specifies the content of competencies required to Analyze psychosocial
support problem. It includes Problem exploration, Identification of presenting and underlying
psychosocial problems, Session notes
.
1.4.2 Performance Standard
3.1 Problems facing the client are explored as per SOPs
3.2 Presenting and underlying psychosocial support issues are identified based on the problems
facing the client
3.3 Session notes are taken based on real and underlying issues

1.4.3 Information Sheet

1.4.3.1 Problem exploration
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Steps involved in problem exploration are:
 Identify and Define the Problem
 Generate Possible Solutions
 Evaluate Options/Pick One or Two
 Implement and Follow Through (Make a Plan and Do It)
 Evaluate the Effectiveness of the Solution

1.4.3.2 Identification of presenting and underlying psychosocial problems

The clinical presenting issue is the brief description clients use to describe their reasons for seeking
help when seeking psychological services. It is the initial clue encountered by psychologists in their
efforts to help clients solve the problems that have brought them to therapy. The presenting issue may
be complete and focused on the primary issue of concern to the client, vague and largely unrelated to
the most pressing concerns of the client, or somewhere in between those extremes. Presenting issues
tend to vary as a function of the:
 Helping professional being addressed (e.g., psychologist, counselor, psychiatrist, clinical
social worker, or vocational counselor)
 Setting in which services are sought (e.g., college counseling center, community health
center, or hospital)
 Client’s characteristics/ help seekers (e.g., mandated client or child, teen, or adult voluntarily
seeking services).

Helping Professional
The name by which the “helper” is known influences the likelihood an individual will seek assistance
from that person. People seeking help do not always understand (or may not be ready to admit) the
true nature of their concerns. For this reason, helping professionals must be broadly trained and stand
ready to refer clients when they conclude that another helper is better prepared to help the client.

Setting
Community mental health centers often see the broadest range of presenting problems, since these
centers tend to be both the initial point of contact for the community, particularly those with few
resources, and the safety net or service provider of last resort. As a result, they deal with mental
health matters ranging from the crises of suicidal behavior to the chronic problems of schizophrenia
and bipolar disorder.

Help Seekers
Children and Adolescents: In general, parents initiate mental health services for their children.
However, the agreement between parent and child identifications of the presenting problem is quite
low. In one recent study more than 60% of the parent-child pairs failed to agree on a single problem
for which the child needed help. In general, parents initiate mental health services for their children.
However, the agreement between parent and child identifications of the presenting problem is quite
low. In one recent study more than 60% of the parent-child pairs failed to agree on a single problem
for which the child needed help.
Adults: The clinical presenting issues of adults are as broad as the DSM-IV. Depression (e.g.,
suicidal ideation) and anxiety (e.g., panic attacks) are often identified by screening instruments, but
other presenting issues are more difficult to diagnose.

1.4.3.3 Session notes

Session notes here will help to distinguish between facts, observations, hard data and opinions. They
should provide relevant information with the appropriate details. The notes should be organized,
concise and reflect the application of professional knowledge; following the SOAP standard.
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 1.5. Learning Outcome 4:Carry out referral
1.5.1 Introduction to the learning outcome

This learning outcome specifies the content of competencies required to Carry out referral. It includes
Meaning and importance of client referral, Preparation of client for referral, Obtaining client’s
consent for referral, Preparation of referral notes, Selection of appropriate referral institution

.
1.5.2 Performance Standard
4.1 Client is prepared as per SOPs
4.2 Referral notes are prepared as per SOPS
4.3 Client consent is established.
4.4 Appropriate referral to personnel or institution is selected as per the client’s needs

1.5.3 Information Sheet

1.5.3.1 Meaning and importance of client referral
Client referral refers to the practice of helping clients find needed expert assistance that referring
counselor cannot provide. It is to direct the client to another counselor with a higher level of training
or special expertise related to the clients need. This may happen if counselors cannot accept the client
for some (appropriate) reason or, if after some treatment has occurred, the client’s needs have
changed. Counselors do not refer simply because they don’t “like” a client or disagree with a client.
Client referral is done when:
 The client asks you to
 The counsellor feels that, for whatever reason, the client is not benefiting from counseling.
 Mismatch in personalities
 Uncovering of a different need in treatment
 Client not being actively engaged in counseling
 Counselors encounter issues that they do not have training to treat
 Counselors may find themselves in situations in which there are multiple relationships with
clients or clients’ family members, or they may receive requests to treat multiple individuals
who all know one another
 There are personal reasons, such as retirement, illness, impairment, relocation, entering a new
practice or death.

1.5.3.2 Preparation of client for referral

The following list of things to remember should help you when you are making referrals for a client:

 Make sure you know what policies and procedures your agency has for making referrals.
 Always know the agency or person to whom you make the referral. Don’t send a client off to
someone or some organisation you know nothing about. Remember, your clients will
probably already be feeling anxious about seeking help, so to send them on to an ‘unknown’
will no doubt increase their unease.
 Contact the agency or worker you are thinking about referring your client to and see who their
target group is, what services they provide and what their criteria for access is (that is, who
they will accept and what information they need). Don’t give out any identifying details about
your client at this stage.

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  Explore the readiness of your client to be referred. Open and honest discussion about referral
and the reason for it will enable your client to feel more in control of the situation. If there is a
choice of services available, make sure your client has information about each service and can
make an informed choice for themself.
 Discuss the possibility of referral with the other organisation or person before suggesting it to
your client. Of course, you need to do this without breaching confidentiality. If you don’t
check out the possibility of referral, you may have encouraged your client to move on, only to
discover this is not possible.
 Explore with your client where she or he may have already sought help. It’s no use referring
on a client who has already been on the ‘merry-go-round’ of agencies. This would be
extremely disempowering.
 Talk with your client about the fact that you want to refer them to another worker or agency
and why. Give them some information about the new agency or worker and give them time to
ask questions and talk through the referral process.
 Be very aware of confidentiality issues. Get your client’s consent for you to contact the
agency or worker and give their details to the new worker. Remember that they must give
informed consent (know what it is that they are consenting to and the consequences of giving
such consent).
 Let your client make the appointment, rather than making it for them. Again, this is more
empowering.
 Help prepare your client for their first appointment—talk through with them what information
they will have to provide, how to get to the appointment and what they will have to take (if
appropriate). Some clients may want you to go with them as an advocate or as support.
 Maintain your relationship with your client until the referral process is complete. It’s no use,
for example, referring a client to an organisation for an appointment in six weeks time and
then leaving them without support in the interim. Sometimes, it’s useful to continue support
work with a client even though they may be receiving other services. This type of
collaborative work is often useful in community services work as each worker has different
areas of expertise that they can offer a client.

1.5.3.3 Obtaining client’s consent for referral

Informed consent is a legal and ethical term defined as the consent by a client to a proposed medical
or psychotherapeutic procedure, or for participation in a research project or clinical study. In order
for the consent to be informed the client must first achieve a clear understanding of the relevant facts,
risks and benefits, and available alternatives involved. Informed consent not only protects the client
but also protects the therapist.
The process of securing informed consent has three phases, all of which involve the exchange of
information between therapist and client. Many scholars emphasize that informed consent is not just
signed documents. It often involves a process, dialogue or discussion between a therapist and a client.
The three phases are:
1. Providing the client with information
The therapist must communicate the nature, risks and benefits of the procedure, treatment, research
or any other eventuality that the client is consenting to. This also includes authorizing the therapist to
release information, communicate by email, record a session, etc. At this phase the client gets to ask
questions and be engaged in a dialogue or discussion with the therapist. The therapist should also
outline feasible alternatives to the treatment (if there are any) and emphasize the element of choice (if
there is any), so the client is clear on all options. The client should also be presented with information
about the most likely outcomes of the treatment, release of information, etc. It is very important that
information be presented so that the client can comprehend it clearly and rationally.
2. Evaluating the client’s capacity to understand the information
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The therapist must evaluate whether or not the person has the capacity to understand the information
and is competent to make an informed decision regarding his/her healthcare and treatment or other
occurrences. Once this has been determined, and the therapist has provided the necessary
information, the therapist must determine whether or not the information provided was understood.
The therapist must be able to ensure that the client clearly understands and accepts the risks inherent
in the procedure, release, or treatment. When appropriate and possible, the therapist may verify that
the individual is proceeding with the identified option with clear knowledge and forethought about its
risks and benefits.
3. Obtaining consent from the client
Finally, the client must acknowledge the s/he has been informed and expresses their consent in some
way. The most common and general standard way to document that clients received, read and agreed
to the terms of the informed consent prior to the beginning of treatment is by having the client sign
that he or she read, understood and agreed to the terms of the informed consent. As will be discussed
later on in this paper, there are several ways that a client may acknowledge that s/he has been
informed and that consent is given.

1.5.3.4 Preparation of referral notes

Referral notes may never be shared without prior authorization from the patient. Also, they may not
be shared with patients or other staff, since they are the counselor’s private notes. Last, but certainly
not least, because they contain highly sensitive information. A stronger focus on the on-going and
planned care should be included, so that specialised mental health care has a greater understanding of
its role, and more emphasis on the patient’s assessment and preferences.
Referral notes should include:
 Personal information and contact information.
 Important introductory information (check-off points).
 Case history and social situation.
 Present state and results.
 Past and on-going treatment efforts, involved professional network.
 The patient’s assessment.
 Reason for the referral.

1.5.3.5 Selection of appropriate referral institution

Things to consider when selecting an appropriate referral institution:

Clients should be given a minimum of three referrals to select from.

Look for referral institutions which are located within a reasonable distance.
These referrals should be based on the client’s needs.
Referrals should not be because the counselor has some relationship with the other providers.

1.6. Learning Outcome 4: Carry out documentation of counselling coded records

1.6.1 Introduction to the learning outcome

This learning outcome specifies the content of competencies required to Carry out documentation of
counselling coded records. It includes Establishment of a coding system for psych social support
records, Record management procedure for psycho socio support clients, Documentation plan for
psycho social support activities, Documentation tools, Documentation methods, Implementation of
the documentation plan, Analysis of the documentation plan for social policy activities.
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1.6.2 Performance Standard

5.1 Client confidentiality of counselling records is maintained as per SOPs

5.2 Documentation tools are prepared as per organization policy
5.3 Documentation plan is identified as per the organization policy.
5.4 Documentation procedures are identified as per SOPs
5.5 Documentation analysis is conducted as per the organization policy
5.6 Documents are stored as per organisation policy

1.6.3 Information Sheet

1.6.3.1 Establishment of a coding system for psychsocial support records,

Coding is the process of marking the filing segment (name, subject or number) used for filing a
document. Colors and bar codes also can be used as codes. File codes must be accompanied by an
index that details the meaning of each code.
During the coding process, keywords in the document are marked by underlining or circling names or
subjects. A subject title, name or numeric code also may be written at the top of the document to
indicate where it should be filed.

Record management procedure for psycho socio support clients

Records used in provision of psychosocial support include:

 Client intake form

 Counselling notes
 Review report
 Referral notes
 Follow up plan
Once it has been decided to keep records, knowledge of their existence and the level of security with
which they are kept become an aspect of the client’s informed consent. There is a strong ethical
argument that clients need to know these facts in order to be in control of the information that they
decide to disclose to the psychosocial health care giver. This represents an optimal standard. The
minimum standard suggests that if clients are not informed about the security of records, they should
be entitled to assume that records are kept with sufficient security to prevent them becoming known
to people other than those authorized by the client. Psychosocial health care givers who have taken
this into account have adopted different kinds of procedures according to their circumstances.

The first line of defence against unauthorized disclosure is the physical security of the records. This
would normally match the anticipated risks to the records. Locking records in a desk or filing cabinet
will prevent casual inspection by anyone with access to the room in which they are kept, but this is
inadequate against someone willing to force an entry as most desks and filing cabinets are easily
broken into. Where forced entry is reasonably foreseeable, it may be more appropriate to keep the

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records in a safe. Keeping records in a physically secure container for hard copies and as
electronically secure files on computers is a basic ethical requirement.

In addition to the physical security of the records, or sometimes as an alternative to it, some
psychosocial health care givers have adopted systems that ensure the anonymity of records. Four
methods are frequently used:

1. The health care worker uses codes to identify records known exclusively by them self. The code
might be in the form of numbers or initials. No information is included within the records that could
identify clients. This may be practical with small numbers of records but is usually impractical with
larger quantities.

2. An alternative method is a split system of record-keeping. For example, personally identifiable

information (e.g. name, address, contact numbers, names of significant others mentioned by the
client) is kept on small file cards which can be readily removed from the premises by the health care
worker, and especially overnight, from where the lengthier records of sessions may be kept. As each
of these cards is numbered or coded and this is the only identification on the records someone will
need access to both the card and the record to obtain significant information about the counselling.
The cards on their own only indicate who is receiving counselling but not the issues raised in that
counselling. The records on their own merely contain the contents of the sessions but cannot easily be
linked to identifiable people. Splitting records is only necessary where there are concerns about how
securely records can be kept from unauthorized access. A single record system that is kept securely is
much more efficient and accessible for routine use.

3. Some health care worker, work in settings where they are expected to make entries on agency
records which are available to all authorized personnel within the agency, and may even be passed on
to another agency if the client seeks their services subsequently. For example, health care worker in
medical settings may be expected to make an entry on a patient’s health record or, in social services,
on a client’s case file. Best practice in these circumstances usually involves the health care worker in
negotiating an agreement with both the agency and their clients. Ideally, the agreement will permit
the health care worker to make brief entries on the agency files and to keep separately more detailed
records of the counselling process and any information which is personally sensitive to the client.
These latter records would usually be treated as highly confidential and therefore access to them may
be restricted to the counsellor and/or the client in routine situations.

4. Increasing numbers of counsellors keep their records on computer. Such records can be protected
by passwords which control different levels of access.

While disseminating progress reports on psychosocial health care services, a health care worker
ought to:
a. maintain confidentiality in creating, storing, accessing, transferring, and disposing of records
under their control, whether these are written, automated, or in any other medium.
b. If confidential information concerning recipients of psychosocial services is entered into
databases or systems of records available to persons whose access has not been consented to by
the recipient, healthcare workers use coding or other techniques to avoid the inclusion of personal
identifiers.
c. make plans in advance to facilitate the appropriate transfer and to protect the confidentiality of
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 records and data in the event of the HCW’s withdrawal from positions or practice.

Mercy; NO REFERENCES, SELF ASSESSMENT

CHAPTER THREE; CONDUCT OF SOCIAL POLICY FORMULATION AND PUBLIC

ADMINISTRATION

CHAPTER FOUR; MANAGEMENT OF PROJECT RESOURCES

MANAGEMENT OF PROJECT RESOURCES

UNIT CODE: COD/CU/SW/CR/04/5/A

Relationship to Occupational Standards: Manage project resources

Introduction to the unit of learning

This unit describes the competencies required to identify project resources, track available resources,
identify project resource gaps and document project resources.

Summary of Learning Outcomes

1. Identify project resources

2. Track available resources

3. Identify project resource gaps

4. Document project resources

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68
1.1 Learning Outcome 1: Identify project resources
1.2 Introduction to the learning outcome
This learning outcome specifies the content of competencies required to identify project
resources. It comprises meaning of community, meaning of project, characteristics and types of
community projects, meaning of community resources and community needs, types of
community resources, importance of community resources, formulation of assessment tools and
methods for community project identification (questionnaires, interview guides, observation),
advantages and disadvantages of each assessment tool, content of a community resource register,
learning activities, self-assessment questions and answers, learning activities, tools, equipment,
supplies and materials and references.

1.3. Performance Standard

1.1 Community needs are identified as per the organization policy
1.2 project needs are identified as per the organization policy
1.3 Assessment tools are developed as per the SOPs
1.4 Data collection methods are devised as per the organization policy
1.5 Community needs and resource register is created as per SOPs

1.4 Information Sheet

Definition of terms

Meaning of community:

A group of people living in the same place or having a particular characteristic in common.

The condition of sharing or having certain attitudes and interests in common.

A social group of any size whose members reside in a specific locality, share government, and
often have a common cultural and historical heritage.

A locality inhabited by such a group.

A social, religious, occupational, or other group sharing common characteristics or interests and
perceived or perceiving itself as distinct in some respect from the larger society within which it
exists: the business community; the community of scholars; diversity within a college
community; and muslim communities.

A group of associated nations sharing common interests or a common heritage

A project is an individual or collaborative enterprise that is carefully planned to achieve a

particular aim.

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Resources include programs, services, outside agencies, space, people, equipment, materials,
supplies, technology, infrastructure mechanisms, and more. Resources are not only for students
—your map may also include resources for families as well as staff!

Characteristics and types of community projects

Community project

A community project is a term applied to any community-based project. This covers a wide
variety of different areas within a community or a group of networking entities. Projects can
cover almost anything, including the most obvious section of concern to any community, the
welfare element. Welfare community projects would for example be, a locally run and locally
funded orphanage; a Christmas dinner kitchen for the homeless. Another important sector of
importance to the community would be charity. Charitable projects in the community can
include, but are not limited to, ecological charities concerned with either the maintenance of
green spaces, or in some cases, the prevention of the reduction/removal of green spaces. An old
clothes collection service would also be a community-based charity project. One important
subdivision of community projects, and at times overlooked, is those of an economic nature such
as LETS. Most economic community projects are designed at creating some sort of economic
autonomy.

It begins when a small collection of motivated individuals within a community come together
with a shared concern: how can our community respond to the challenges, and opportunities.

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Figure 1: Characteristics community projects
Community development projects are a means of strengthening a local region in one of many
different ways. There are several types of community development projects, including those
aimed at helping specific segments of the community, improving safety conditions, and
enhancing social and cultural pursuits throughout the region. By financing targeted community
development projects, foundations and local governments can spur their towns and cities toward
future growth and sustainability.

Types of community projects

A. Food-Related Projects

The poor and the elderly who may have money but lack transportation to stores offer
communities a focus for volunteer projects. Community food banks, food cooperatives and
programs, such as the Meals on Wheels Association of America, use volunteers to provide meals
to seniors and shut-ins. Food programs may also involve animal care. Community outreach
programs, sometimes associated with senior centers, provide a chance for volunteers to deliver
pet food directly to the pet owner, when transportation is unavailable to the pet caregiver.
Neighborhood programs at local churches, branches of the Salvation Army, and outreach
programs that feed the poor at local cafeterias also use volunteers.

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 B. Tutoring & Education Projects

Tutoring and education provide the focus areas for other community projects. A program might
help at schools during lunch or snack time or assist the school librarian or computer-room
technician. Community assistance projects also provide subject-area tutoring or mentor
volunteering for young children without a parent to influence them. Local branches of Big
Brothers and Sisters provide mentoring services in communities. Local library programs assist in
reading programs or helping to re-shelve books. Community library volunteers may also tutor
after school at library branches. Adult volunteers with computer skills may be organized into
groups to volunteer at local schools to train students in one-on-one programs to learn to research
using the Internet. Community health and fitness programs also work at schools to improve
children's diet choices, encourage formal exercise and provide supervision for students to
exercise at recess time or in after-school sports and recreation activities.

C. Safety Projects

Community safety projects work to assist local law enforcement, fire fighters or the community
Federal Emergency Management Agency in efforts to coordinate branches of the Community
Emergency Response Teams. These groups help prepare the community for natural disasters,
including floods or extreme summer or winter temperatures, and respond in actual disasters.
Other community safety projects include working as a coordinator for the Red Cross or
American Heart Association to train community members in first aid, CPR or the use of
defibrillators.

D. Beautification Projects

Beautification projects provide a focused community effort to complete a single project in a

specified period of time. You might paint park structures and bandstands, plant and weed public
gardens and beautify road medians—all projects that use a large number of volunteers in a
concentrated effort focusing on a single goal. The Arbor Day Foundation helps communities
organize projects around the April day that focuses on planting trees. Other community groups,
including Key Club International programs at local schools, develop projects to help with
neighborhood improvement. These groups organize paint and cleaning projects for seniors
unable to care for residences.

E. Domestic Violence

Domestic violence community projects provide relief to survivors of abuse. The program offers a
safe haven for survivors and their children to heal. These community development programs are
led by people who support and encourage survivors of domestic abuse. A survivor of domestic
violence may also learn the tools to take legal action against the abuser. Community
organizations provide lawyers to assist in keeping the families safe. A domestic violence
community program positively impacts the town by lowering the rates of abuse and loss of life.

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Meaning of community resources and community needs.

 Community resources are assets in a community that help meet certain needs for those
around them. These assets can be people, places or structures, and community services.
These resources can be essential in developing skills post-discharge by helping the client
diversify their range of outlets of support, expression and natural self-development.
 Typically, when someone refers to a community resource, they mean an organization that
serves a particular geographical area or group of people by providing tools to help that
community grow in positive ways and improve the quality of life for the people of that
community. As such, community resources can be run or funded by the government,
businesses, non-profit groups, or even individuals and serve the community in a variety
of ways.
 Community needs are gaps between what services currently exist in a community and
what should exist.

It may be helpful to categorize gaps based on these four types of community needs: —

a. Perceived needs,
b. Expressed needs,
c. Absolute needs, and
d. Relative needs.
 Perceived needs are based on what individuals feel their needs are. Perceived needs are very
subjective, and the standard may change based on each point of view. However, it’s
important not to dismiss perceived needs as just opinion. Taking into account the feelings
and concerns of community members is an essential component of your assessment.
 Expressed needs are defined by what individuals have already voiced as a need. For
instance, community members may have complained to local officials about broken street
lights. These complaints are expressed needs and can help guide you to what needs to be
accomplished. However, make sure you’re mindful of the false assumption that all people
with needs seek help.
 Absolute needs are deemed universal, including those for survival (i.e., food, water, safety,
and clothing). If community members don’t even have clean, running water, this absolute
need should be a top priority to consider.
 Relative needs are rendered necessary based on equity and depend on current circumstances
and the norm. The standard may also vary based on population differences and social
context. For instance, providing students with access to computers isn’t necessary. But with
digital literacy now so important to education, the lack of computers might be deemed a
relative need.

Types of community resources

i. Financial Assistance Organizations

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Many communities have at least one organization that offers some form of financial assistance to
individuals and families who meet certain income guidelines. For example, county Human
Services offices operate the government-funded TANF program, the food stamp program, and
Medicaid program. Food banks provide food to those who cannot afford it or who may be
homeless. Private charitable organizations often offer one-time assistance to help low-income
individuals pay utility bills.

ii. Educational Organizations

While many people may overlook them when considering examples of community resources,
schools, colleges and other educational institutions are funded by local communities through tax
revenue and run by groups of individuals elected by the community. In addition to providing
education to community members, many educational organizations provide opportunities for
socialization among community members through sports, theater, and music programs.

iii. Health Care Organizations

Hospitals, community clinics, and public health organizations are all considered community
resources, whether they are funded by private non-profit groups or local, state, or Federal
government sources. Health care organizations are essential community resources, particularly
for individuals who are disabled, chronically ill, or do not have the financial resources to access
private health care providers.

iv. Religious and Cultural Organizations

Although they serve the community in very different ways than most other community resources,
religious and cultural organizations, including but not limited to churches, synagogues, ethnic
leagues, or veterans associations, are important to the overall functioning and health of the
community as well. They provide for community members' more abstract needs, such as the need
to belong and to feel meaningful connections with other individuals.

v. Information and referral services

Provides people with current information on and links them to opportunities and services
available within their communities.

Volunteer and intergenerational programs

 Uses and develops the volunteer capacity of the older adult to provide services to age
peers
 Examples of volunteer programs: retired senior volunteer program (rsvp), senior
companion program; foster grandparent program; senior corps of retired executives;
shepherd centers

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  Intergenerational programs bring together agencies or organizations that serve different
client populations (for example, children and older adults)
vi. Senior centers

Community facilities that provide broad spectrum of services, including health and mental health
services; social, nutritional, and educational services; and facilities for recreational activities

vii. Employment programs

 Programs that help with displaced older workers (federal; private sector)
 May help reorient employers to using older workers
viii. Income support programs
 Help older people know where to turn when living in financially precarious situations
 Some focus especially on people who fall through the cracks of other programs
ix. Nutrition programs
 Federally sponsored programs (through the Older Americans Act) aim to provide
nutritionally sound meals in strategically located centers; to promote better health
through improved nutrition; to reduce social isolation; and to provide opportunities to live
out remaining years in dignity
 Other programs: meals for homeless; food banks; brown bag programs; shopping
assistance; adult daycare meals; home delivered meals
x. Health promotion programs
 Health education and related interventions that facilitate behavioral and environmental
changes which prevent, delay the occurrence, or minimize the impact of disease or
disability while promoting independence and well-being of older adults
 Examples of health promotion activities: health risk assessments; screenings; programs
relating to management of chronic conditions; fitness programs; programs relating to
alcohol and substance abuse, smoking cessation, weight loss, etc.; home injury control
(e.g., preventing falls); mental health; medication management; counseling
xi. Legal services programs and assistance
 Common legal problems for older adults: divorce; grandparent visitation; estate planning;
issues of “spending down” assets to qualify for Medicaid; advance directives for health
care; consumer fraud; substitute decision making; elder abuse
 Legal assistance programs include: hotlines; bar association services; dispute resolution
programs; money management programs
xii. Transportation programs
 Includes public systems along with programs provided by nonprofit organizations, human
service agencies, caregivers, and communities of faith
 Federal sources of transportation support through department of health and human
services (title iii; title vi; community services block grant; title xx social services block
grant; medicaid)
xiii. Housing programs

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  Includes programs that help people stay in their own homes (home equity conversion;
home repair; home sharing); federal housing programs that assist people with low
incomes; planned and naturally occurring retirement communities
 Supportive living environments include: echo housing; congregate housing; continuing
care retirement communities; assisted living; personal care boarding homes; long-term
care facilities
xiv. Case management programs
 Case managers serve as navigators who guide older person in their pursuit of services that
will foster their independence
 Case management involves “coordinating services that helps frail elders and others with
functional impairments and their families identify and secure cost effectively
administered services appropriate to the consumers’ needs” (national advisory committee
of long-term care case management)
 Involves intake and prescreening, comprehensive client assessment, development of a
care plan, acquisition and implementation of services, monitoring of services, and
ongoing reassessment of the care plan
xv. Home care services
 Continuum of comprehensive care, providing individuals services that allow for
maximum health, comfort, function, and independence in a home setting
 Includes: home health agencies; hospice
xvi. Respite services
 Refers to temporary, short-term supervisory, personal, and nursing care to older adults
with physical and mental impairments
 Services can be provided in the home or at a specific site in the community
 Examples: in-home respite; institutional; adult day care

Importance of community resources

 Community resources are part of instructional media which can be used in teaching.
When well used community resources can enliven a class, encourage student
participation and help students grasp difficult concepts. The outdoors can be an effective
avenue for learners to develop an understanding for basic concepts.
 The use of community resources localizes the instruction and enables the teacher use
pupil experiences to give relevant education.
 The use of community resources enables the learners to translate theory into practice.
 The use of community resources can enable the teacher to give concrete assignment or
project at a very low cost.

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  Providing learning opportunities that develop both academic and non-academic
competencies.
 Building social capital—the value attached to the social networks and relationships that
support learning and create opportunities for young people while strengthening their
communities
 Garnering additional resources that directly support schools’ teaching and learning goals
while reducing demands on school staff
 Community resources are used during treatment because it introduces the client to typical
and new experiences. Clients break out of their comfort zones through exposure to new
routines, engaging their talents and exploring previously suppressed social, cultural, and
intellectual pursuits.

Formulation of assessment tools and methods for community project identification

(questionnaires, interview guides, observation)

How to develop an interview guide

First, researchers need to identify the members of populations who can provide rich, descriptive
accounts of the topic of exploration. Clearly, if interviews are going to be a primary method in an
investigation, it will be important to identify people who:

(1) can provide in-depth descriptions about the topic; and

(2) are willing to take the time to talk to a researcher about those topics.

There is a rich body of methodological literature that examines the relationships between
interviewers and interviewees, and discusses the challenges faced in interviews when people use
talk to learn about a particular phenomenon. For example, interviews with children and
adolescents are not always straightforward. Thus, adults wanting to examine children’s and
adolescents’ experiences via interviews may have to develop specific strategies to facilitate
conversations in meaningful ways.

Consideration of the relationships between interviewers and interviewees will assist researchers
to make informed decisions about the kinds of interview strategies that may be necessary to talk
with a particular population. Since interviewers and interviewees bring a multitude of subject
positions (e.g., race, class, gender, ethnicity, language, sexual orientation, age, education,
professional status and so forth), interviewers may need to think about the kinds of interview
format that will work best for a particular study.

Selecting an interview format

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Second, methodological literature on qualitative interview abounds with a myriad of terminology
to describe different interview forms, including unstructured and semi-structured interviews, in
addition to theoretical conceptualizations of interviews, including phenomenological interviews,
feminist interviews, epistemic interviews, postmodern interviewing, and intraviews. Then there
are forms of interviewing that make use of other data sources such as photos or using drawing
and other forms of elicitation. I have discussed a variety of theorizations of interviews elsewhere.

Developing interview questions

A semi-structured interview guide. A “semi-structured” interview — in which an interviewer

asks open questions of multiple participants in ways that allow participants to generate
descriptions in their own words. Interviews are “semi-structured” in that the same topics are
discussed with multiple interviewees, but the ways in which interviews unfold will differ. This is
because the interviewer formulates follow-up questions based on what a participant has said.

Table 1: Examples of question types

Focus of questions Example of an interview question

Experiences and behaviors Tell me how you came to be involved in learning
music/taking music lessons.
Describe a typical music lesson.
Opinions and values Tell me what you see as the role of your teacher.
What else do you think would be helpful?
Feelings Tell me about the feelings you experience when you perform.
Knowledge Tell me about how the Community Band is organized.
Sensory observations Describe what you hear and see when you are performing in
the ensemble.
Source: (Roulston, 2014, adapted from Patton, 2002)

Patton also suggests that questions might be formulated to generate accounts related to an
interviewee’s past, current, and future. If one were to generate questions to do with the topic of
recreational reading, one could begin by brainstorming a list of potential topics and then
interview questions that relate to each topic. It is also a useful step to write down what one hopes
to learn from a question.

Tips for formulating interview questions

 Pose open, rather than closed questions.

 Sequence interview questions from broad to narrow.
 Avoid the inclusion of possible responses in questions.
 Pose one question at a time.
 Avoid posing multi-part questions.

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Questionnaire Design

The qualities of a good questionnaire

The design of a questionnaire will depend on whether the researcher wishes to collect
exploratory information (i.e. qualitative information for the purposes of better understanding or
the generation of hypotheses on a subject) or quantitative information (to test specific hypotheses
that have previously been generated).

Exploratory questionnaires: If the data to be collected is qualitative or is not to be statistically

evaluated, it may be that no formal questionnaire is needed. For example, in interviewing the
female head of the household to find out how decisions are made within the family when
purchasing breakfast foodstuffs, a formal questionnaire may restrict the discussion and prevent a
full exploration of the woman's views and processes. Instead one might prepare a brief guide,
listing perhaps ten major open-ended questions, with appropriate probes/prompts listed under
each.

Formal standardised questionnaires: If the researcher is looking to test and quantify

hypotheses and the data is to be analysed statistically, a formal standardised questionnaire is
designed. Such questionnaires are generally characterised by:

 prescribed wording and order of questions, to ensure that each respondent receives the same
stimuli

 prescribed definitions or explanations for each question, to ensure interviewers handle

questions consistently and can answer respondents' requests for clarification if they occur

 prescribed response format, to enable rapid completion of the questionnaire during the
interviewing process.

Given the same task and the same hypotheses, six different people will probably come up with
six different questionnaires that differ widely in their choice of questions, line of questioning, use
of open-ended questions and length. There are no hard-and-fast rules about how to design a
questionnaire, but there are a number of points that can be borne in mind:

1. A well-designed questionnaire should meet the research objectives. This may seem obvious,
but many research surveys omit important aspects due to inadequate preparatory work, and do
not adequately probe particular issues due to poor understanding. To a certain degree some of
this is inevitable. Every survey is bound to leave some questions unanswered and provide a need
for further research but the objective of good questionnaire design is to 'minimise' these
problems.

2. It should obtain the most complete and accurate information possible. The questionnaire
designer needs to ensure that respondents fully understand the questions and are not likely to

79
refuse to answer, lie to the interviewer or try to conceal their attitudes. A good questionnaire is
organised and worded to encourage respondents to provide accurate, unbiased and complete
information.

3. A well-designed questionnaire should make it easy for respondents to give the necessary
information and for the interviewer to record the answer, and it should be arranged so that sound
analysis and interpretation are possible.

4. It would keep the interview brief and to the point and be so arranged that the respondent(s)
remain interested throughout the interview.

Each of these points will be further discussed throughout the following sections. Figure 4.1
shows how questionnaire design fits into the overall process of research design that was
described in chapter 1 of this textbook. It emphasises that writing of the questionnaire proper
should not begin before an exploratory research phase has been completed.

The steps preceding questionnaire design

Even after the exploratory phase, two key steps remain to be completed before the task of
designing the questionnaire should commence. The first of these is to articulate the questions that
research is intended to address. The second step is to determine the hypotheses around which the
questionnaire is to be designed.

It is possible for the piloting exercise to be used to make necessary adjustments to administrative
aspects of the study. This would include, for example, an assessment of the length of time an
interview actually takes, in comparison to the planned length of the interview; or, in the same
way, the time needed to complete questionnaires. Moreover, checks can be made on the
appropriateness of the timing of the study in relation to contemporary events such as avoiding
farm visits during busy harvesting periods.

Preliminary decisions in questionnaire design

There are nine steps involved in the development of a questionnaire:

1. Decide the information required.
2. Define the target respondents.
3. Choose the method(s) of reaching your target respondents.
4. Decide on question content.
5. Develop the question wording.
6. Put questions into a meaningful order and format.
7. Check the length of the questionnaire.
8. Pre-test the questionnaire.
9. Develop the final survey form.

Deciding on the information required

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It should be noted that one does not start by writing questions. The first step is to decide 'what
are the things one needs to know from the respondent in order to meet the survey's objectives?'
These, as has been indicated in the opening chapter of this textbook, should appear in the
research brief and the research proposal.

One may already have an idea about the kind of information to be collected, but additional help
can be obtained from secondary data, previous rapid rural appraisals and exploratory research. In
respect of secondary data, the researcher should be aware of what work has been done on the
same or similar problems in the past, what factors have not yet been examined, and how the
present survey questionnaire can build on what has already been discovered. Further, a small
number of preliminary informal interviews with target respondents will give a glimpse of reality
that may help clarify ideas about what information is required.

Define the target respondents

At the outset, the researcher must define the population about which he/she wishes to generalise
from the sample data to be collected. For example, in marketing research, researchers often have
to decide whether they should cover only existing users of the generic product type or whether to
also include non-users. Secondly, researchers have to draw up a sampling frame. Thirdly, in
designing the questionnaire we must take into account factors such as the age, education, etc. of
the target respondents.

Choose the method(s) of reaching target respondents

It may seem strange to be suggesting that the method of reaching the intended respondents
should constitute part of the questionnaire design process. However, a moment's reflection is
sufficient to conclude that the method of contact will influence not only the questions the
researcher is able to ask but the phrasing of those questions. The main methods available in
survey research are:

 Personal interviews
 Group or focus interviews
 Mailed questionnaires
 Telephone interviews.

Within this region the first two mentioned are used much more extensively than the second pair.
However, each has its advantages and disadvantages. A general rule is that the more sensitive or
personal the information, the more personal the form of data collection should be.

Decide on question content

Researchers must always be prepared to ask, "Is this question really needed?" The temptation to
include questions without critically evaluating their contribution towards the achievement of the
research objectives, as they are specified in the research proposal, is surprisingly strong. No

81
question should be included unless the data it gives rise to is directly of use in testing one or
more of the hypotheses established during the research design.

There are only two occasions when seemingly "redundant" questions might be included:

 Opening questions that are easy to answer and which are not perceived as being
"threatening", and/or are perceived as being interesting, can greatly assist in gaining the
respondent's involvement in the survey and help to establish a rapport. This, however,
should not be an approach that should be overly used. It is almost always the case that
questions which are of use in testing hypotheses can also serve the same functions.
 "Dummy" questions can disguise the purpose of the survey and/or the sponsorship of a
study. For example, if a manufacturer wanted to find out whether its distributors were
giving the consumers or end-users of its products a reasonable level of service, the
researcher would want to disguise the fact that the distributors' service level was being
investigated. If he/she did not, then rumours would abound that there was something
wrong with the distributor.

Develop the question wording

Survey questions can be classified into three forms, i.e. closed, open-ended and open response-
option questions. So far only the first of these, i.e. closed questions has been discussed. This type
of questioning has a number of important advantages;

 It provides the respondent with an easy method of indicating his answer - he does not
have to think about how to articulate his answer.
 It 'prompts' the respondent so that the respondent has to rely less on memory in answering
a question.
 Responses can be easily classified, making analysis very straightforward.
 It permits the respondent to specify the answer categories most suitable for their
purposes. http://www.fao.org/3/w3241e/w3241e05.htm

Advantages and disadvantages of each assessment tool

Observation

Advantages

 Non-responsive sample subjects are a non-issue when you’re simply making direct
observation.
 If the observation is simple and doesn’t require interpretation (e.g. the number of cars
driving through an intersection per hour), this model doesn’t require a very extensive and
well-tailored training regime for the survey workforce.
 Infrastructure requirement and preparation time are minimal for simple observations.

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Disadvantages

 More complex observations that ask observers to interpret something (e.g. how many cars
are driving dangerously) require more complex training and are prone to bias.
 Analysis may rely heavily on experts who must know what to observe and how to
interpret the observations once the data collection is done.
 There is the possibility of missing out on the complete picture due to the lack of direct
interaction with sample subjects.

Making direct observations can be a good way of collecting simple information about
mechanical, orderly tasks, like checking the number of manual interventions required in a day to
keep an assembly line functioning smoothly.

Questionnaires

Advantages

 Questionnaires give the researchers an opportunity to carefully structure and formulate

the data collection plan with precision.
 Respondents can take these questionnaires at a convenient time and think about the
answers at their own pace.
 The reach is theoretically limitless. The questionnaire can reach every corner of the globe
if the medium allows for it.

Disadvantages

 Questionnaires without human intervention (as we have taken them here) can be quite
passive and miss out on some of the finer nuances, leaving the responses open to
interpretation. Interviews and focus group discussions, as we shall see later, are
instrumental in overcoming this shortfall of questionnaires.
 Response rates can be quite low. Questionnaires can be designed well by choosing the
right questions types to optimize response rates, but very little can be done to encourage
the respondents without directly conversing with them.

The survey can be carried out through directly-administered questionnaires when the sample
subjects are relatively well-versed with the ideas being discussed and comfortable at making the
right responses without assistance. A survey about newspaper reading habits, for example, would
be perfect for this mode.

Interviews

Advantages

 Interviews help the researchers uncover rich, deep insight and learn information that they
may have missed otherwise.
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  The presence of an interviewer can give the respondents additional comfort while
answering the questionnaire and ensure correct interpretation of the questions.
 The physical presence of a persistent, well-trained interviewer can significantly improve
the response rate.

Disadvantages

 Reaching out to all respondents to conduct interviews is a massive, time-consuming

exercise that leads to a major increase in the cost of conducting a survey.
 To ensure the effectiveness of the whole exercise, the interviewers must be well-trained
in the necessary soft skills and the relevant subject matter.

Interviews are the most suitable technique for surveys that touch upon complex issues like
healthcare and family welfare. The presence of an interviewer to help respondents interpret and
understand the questions can be critical to the success of the survey.

Focus Group Discussions

Advantages

 The presence of several relevant people together at the same time can encourage them to
engage in a healthy discussion and help researchers uncover information that they may
not have envisaged.
 It helps the researchers corroborate the facts instantly; any inaccurate response will most
likely be countered by other members of the focus group.
 It gives the researchers a chance to view both sides of the coin and build a balanced
perspective on the matter.

Disadvantages

 Finding groups of people who are relevant to the survey and persuading them to come
together for the session at the same time can be a difficult task.
 The presence of excessively loud members in the focus group can subdue the opinions of
those who are less vocal.
 The members of a focus group can often fall prey to group-think if one of them turns out
to be remarkably persuasive and influential. This will bury the diversity of opinion that
may have otherwise emerged. The moderator of a focus group discussion must be on
guard to prevent this from happening.

Content of a community resource register

Resource mapping (also known as asset mapping) is the process of identifying what is valuable
in your community and developing strategies for mobilizing those resources. Regardless of the

84
nature of your program, resource mapping can support a variety of efforts, from identifying
potential partners to finding meeting space and speakers.

Some examples of resources you may need and ways you can develop and/or obtain those
resources for your projects include:

Table 2: Resource Mapping List

Resource Mapping List

Individuals People and their time and energy are vital resources.
By working with others, you can benefit from a
multitude of relationships, experience, resources, and
skills.
Examples include relatives, friends, neighborhoods,
coworkers, associates, and “labeled citizens” (such as
seniors, disabled, youth, etc.).
Associations An association is a group of people who share
common interests and come together to solve
problems. Associations are often less formal, less
dependent on paid staff, and have less structure (and
bureaucracy).
Examples include neighborhood associations, walking
clubs, mediation groups, professional organizations,
and fraternity and sorority groups.
Institutions Institutions are formal organizations of people who
are usually paid for their work. Institutions often have
more structure and bureaucracy, but are often the most
visible and formal parts of a community.
Examples include schools and school boards,
businesses, government agencies, nonprofits,
churches, news stations, and newspapers.
Corporations Corporations often fund, host, sponsor, and/or provide
volunteers for service throughout nearby
communities. Corporations are an excellent
community resource in that they provide community
organizations the opportunity to participate in
changing the community while forming lasting
partnerships and/or sponsorships.
Money / You may choose to access foundations, charitable
organizations, corporations, governmental entities,
individuals, and nonprofit organizations that provide
financial support, products, or services for
community-based projects.
In-kind Donations
Physical Space Land, buildings, and other spaces are also important
resources that can support projects and programs.

85
 Examples include parks, shopping malls, meeting
halls, and libraries.

1.5 Learning Activities

1.5.1 Practical activity

Develop a community resource register and use it to characterize community projects in your
village.

1.5.2 Self-Assessment Questions

1. Describe categories of community needs.
2. List advantages and disadvantages of questionnaires

1.5.3 Answers to Self-Assessment questions

1) Describe categories of community needs.
 Perceived needs are based on what individuals feel their needs are. Perceived needs are very
subjective, and the standard may change based on each point of view. However, it’s
important not to dismiss perceived needs as just opinion. Taking into account the feelings
and concerns of community members is an essential component of your assessment.
 Expressed needs are defined by what individuals have already voiced as a need. For instance,
community members may have complained to local officials about broken street lights.
These complaints are expressed needs and can help guide you to what needs to be
accomplished. However, make sure you’re mindful of the false assumption that all people
with needs seek help.
 Absolute needs are deemed universal, including those for survival (i.e., food, water, safety,
and clothing). If community members don’t even have clean, running water, this absolute
need should be a top priority to consider.
 Relative needs are rendered necessary based on equity and depend on current circumstances
and the norm. The standard may also vary based on population differences and social
context. For instance, providing students with access to computers isn’t necessary. But with
digital literacy now so important to education, the lack of computers might be deemed a
relative need.

2) List advantages and disadvantages of questionnaires

Advantages

 Questionnaires give the researchers an opportunity to carefully structure and formulate

the data collection plan with precision.

86
  Respondents can take these questionnaires at a convenient time and think about the
answers at their own pace.
 The reach is theoretically limitless. The questionnaire can reach every corner of the globe
if the medium allows for it.

Disadvantages

 Questionnaires without human intervention (as we have taken them here) can be quite
passive and miss out on some of the finer nuances, leaving the responses open to
interpretation. Interviews and focus group discussions, as we shall see later, are
instrumental in overcoming this shortfall of questionnaires.
 Response rates can be quite low. Questionnaires can be designed well by choosing the
right questions types to optimize response rates, but very little can be done to encourage
the respondents without directly conversing with them.

1.6 Tools, Equipment, Supplies and Materials

The following resources are provided:
 Video cameras
 Tablets
 Smart phones
 SD cards and card readers
 TFT screen
 Recorders
 Stationery

1.7 References
Bagnoli, A. (2009). Beyond the standard interview: the use of graphic elicitation and arts-based
methods. Qualitative Research, 9(5), 547-570. doi:10.1177/1468794109343625

Brinkmann, S. (2007). Could interviews be epistemic? An alternative to qualitative opinion

polling. Qualitative Inquiry, 13(8), 1116-1138.

Cappello, M. (2005). Photo Interviews: Eliciting Data through Conversations with Children.
Field Methods, 17(2), 170-182.

Clark-Ibanez, M. (2004). Framing the Social World With Photo-Elicitation Interviews.

AMERICAN BEHAVIORAL SCIENTIST., 47, 1507-1527.

Denzin, N. K. (2001). The reflexive interview and a performative social science. Qualitative
Research, 1(1), 23-46. doi:10.1177/146879410100100102

Simmel, G. (1950). The stranger. The Sociology of Georg Simmel, 402, 408.

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88
2.1 Learning outcome 2: Track available resources
2.2 Introduction to the learning outcome
This learning outcome specifies the content of competencies required to track available
resources. It comprises identification of a resource mapping team, development of data collection
tools, mapping exercise, data collection, report compilation, learning activities, self-assessment
questions and answers, learning activities, tools, equipment, supplies and materials and
references.

2.3. Performance Standard

2.3.1 A community resources committee is established as per SOPs
2.3.2 Resource mapping is carried out as per the organization policy
2.3.3 Resource register is created as per organization guidelines
2.3.4 A work plan is identified as per the project needs.
2.3.5 Work plan is implemented as per organisation policy.
2.3.6 A reporting mechanism to the community is established as per organisation policy.
2.4 Information Sheet
Identification of a resource mapping team

Identify a resource mapping team and schedule a meeting time. It is beneficial to include a
variety of individuals who have different roles throughout the community and represent the
range of diversity within the community. This group can consist entirely of members of the
community, but ideally includes majorly adults.

Development of data collection tools

Surveys

Surveys are a commonly used method to gather quantitative data on the target population and
outcomes.
There are strengths and limitations of collecting data with surveys.

Types of surveys

A researcher may wish to ask participants to complete surveys before and after the program
(pre/post) or only after program participation (post-program). Each approach has pros and cons.

Administering surveys

 Surveys may be filled out by participants or administered by an interviewer.

Choosing or creating a survey

89
  Although commonly used, surveys can be very difficult to design well. To avoid common
survey design pitfalls:
 Work with an evaluation professional to choose or create your survey
 If choosing an existing survey: Use a survey that has been previously tested and has
known reliability and validity
 If creating or adapting a survey: Use the suggestions in this toolkit to design your own
survey or tailor an existing survey to your program and target population, including the
resources below

Developing Strong Survey Questions

 Ensure that your questions are as clear and concise as possible:

 Use simple language. If you need to use a term that is unique to your program or
otherwise less commonly used, provide a short definition.
 Avoid asking more than one question at a time. Avoid using “and” and “or” in
constructing survey questions. Even if two ideas seem very related, make them into two
questions. This makes the survey easier to fill out, and prevents you from wondering later
what the respondent meant in their answer.
 Avoid leading questions. Consider the question: How have family members responded to
your increased commitment to conservation? This presupposes the participant has an
increased commitment to conservation, which is an assumption that may not be true.
Leading questions bias your results.
 Make your survey accessible and appropriate.
 Age: If you are surveying young children, make sure that your language is simple and
short. Consider surveys that use pictures or smiley faces to indicate satisfaction.
 Education and/or English ability: For participants with limited English ability or literacy,
make sure the language is appropriate. If possible, offer the survey in the language most
commonly spoken by participants.
 Sensitive topics: If a topic you are asking about is sensitive to your audience, take extra
care with question phrasing and response options. Include an “Additional
Response/Other” option with a “Please Specify” open-ended space to make sure
respondents are able to answer in their own words.
 Make the survey easy to understand and complete
 Keep the survey as short as possible. This will help keep respondents engaged and more
likely to complete the whole survey.
 Pilot test. Test your survey with a few participants to make sure all questions and
response options are clear. Revise confusing or difficult questions before you administer
the survey to all program participants.
 If the survey is self-administered, provide clear instructions. Tell participants how to
complete the survey. Explain the survey scale(s), how the data you are collecting will be

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 used, and how information will be handled (these points should also be well articulated in
interviewer-administered surveys).
 If the survey is self-administered, use attractive fonts, colorful paper, and pay attention to
layout. Surveys printed on brightly colored paper generate higher responses. Use fun font
types or colors for young people, and make sure that content is not too crowded on each
page. Font color, spacing, and formatting changes are options available on many online
survey platforms as well.

Connecting survey questions to your measurement plan

Make sure each question you include in your survey addresses a specific aspect of your Learning
Questions and Theory of Change. Review your Theory of Change, worksheets, and
Measurement Plan to craft questions that can be directly tied back to your process and outcome
metrics.
Interviews

 Interviews with program participants or other key stakeholders provide the opportunity to
collect data on complex experiences, behaviors, and opinions.
 Provide an opportunity for in-depth probing on experiences and perspectives in a more
personalized atmosphere.
 Are ideal for avoiding group influences on responses (as compared to focus groups).
 Generally consist of open-ended questions (although can include related closed-ended
questions).
 There are advantages and disadvantages to one-on-one interviews.

Considerations

 When recruiting participants for interviews, and at the start of the interview, be clear
about what you are trying to learn.
 Ensure you include a range of participant perspectives. Include participants who are
highly engaged in the program as well as some who have lesser or different types of
involvement in the program. Include a set of people that reflect the diversity of your
target population’s demographic profile.
 If you plan to record an interview, first ask the participant’s permission to do so.
 Consider the location of your interview. If you are discussing sensitive topics, select a
private location.
 If discussing sensitive topics, ensure that interviewers are properly trained to be
empathic, and if appropriate that they are able to provide referral to relevant support
services.

Focus Groups

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Focus groups are similar to interviews, but are conducted in a group setting with multiple people
who share a common experience.

Focus Groups:

 Bring people together with a facilitator to discuss open-ended questions.

 Use topics and questions that are generally broader than those asked in one-on-one
interviews. The facilitator then probes and pursues lines of inquiry as group participants
engage in the conversation.
 There are advantages and disadvantages to focus groups.

Considerations

 Focus groups typically include 8 to 12 people who are knowledgeable about the topic at
hand (typically target population program participants).
 Focus groups should include participants who share a common experience yet represent
diverse perspectives, unless the focus group is specifically for one demographic or
participant type. It is also valuable to include participants who have different lengths of
experience with your program(s).
 Facilitators should be familiar with group facilitation techniques to ensure that all
participants have a chance to contribute.
 The group setting may not be conducive to discussing sensitive or emotional experiences.
Consider content before choosing the group setting over one-on-one interviews.
 Being prepared and understanding how to conduct a one-on-one or group conversation is
vital to collecting useful qualitative data. Be sure to review all of the links included in
these sections including.

Connecting interview and focus group protocol questions to your measurement plan

 Generally, create “how” and “why” questions that lend themselves to qualitative data
collection through interviews and focus groups. Make sure each question you include in
your interview/focus group protocol addresses a specific aspect of your learning
questions and Theory of Change. Review your Theory of Change, worksheets, and
Measurement Plan to craft questions that can be directly tied back to your process and
outcome metrics.
 Start with questions that relate to the process components of your Measurement Plan, and
specifically, to your program participation metrics.
 Now build questions that relate to your outcomes, and specifically, to your outcome
metrics.

Mapping exercise

Resource mapping

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Community resource mapping is not a new strategy or process. It has been in use for many years
in varying forms. Community resource mapping is sometimes referred to as asset mapping or
environmental scanning. Community resource mapping is best noted as a system-building
process used by many different groups at many different stages in order to align resources and
policies in relation to specific system goals, strategies, and expected outcomes.

Mapping of youth services, supports, and programs within a community can have essentially
three outcomes:

1. The identification of resources available to individual youth in a particular community—

often referred to as “youth mapping,”
2. The identification of new or additional resources to sustain existing specific youth
activities or initiatives within a community, and/or
3. The identification of resources to assist in creating and building capacity to support a
more comprehensive community system for serving youth. The first outcome typically
occurs at the local level while the second and third outcome can happen at any level—
local, state, or federal.

Resource mapping (also known as asset mapping) is the process of identifying what is valuable
in your community and developing strategies for mobilizing those resources. Regardless of the
nature of your program, resource mapping can support a variety of efforts, from identifying
potential partners to finding meeting space and speakers.

Some examples of resources you may need and ways you can develop and/or obtain those
resources for your projects include:

Resource Mapping
List
Individuals People and their time and energy are vital resources. By working with
others, you can benefit from a multitude of relationships, experience,
resources, and skills.
Examples include relatives, friends, neighborhoods, coworkers,
associates, and “labeled citizens” (such as seniors, disabled, youth, etc.).
Associations An association is a group of people who share common interests and
come together to solve problems. Associations are often less formal,
less dependent on paid staff, and have less structure (and bureaucracy).
Examples include neighborhood associations, walking clubs, mediation
groups, professional organizations, and fraternity and sorority groups.
Institutions Institutions are formal organizations of people who are usually paid for
their work. Institutions often have more structure and bureaucracy, but
are often the most visible and formal parts of a community.
Examples include schools and school boards, businesses, government

93
 agencies, nonprofits, churches, news stations, and newspapers.
Corporations Corporations often fund, host, sponsor, and/or provide volunteers for
service throughout nearby communities. Corporations are an excellent
community resource in that they provide community organizations the
opportunity to participate in changing the community while forming
lasting partnerships and/or sponsorships.
Money / You may choose to access foundations, charitable organizations,
corporations, governmental entities, individuals, and nonprofit
organizations that provide financial support, products, or services for
community-based projects.
In-kind Donations
Physical Space Land, buildings, and other spaces are also important resources that can
support projects and programs.
Examples include parks, shopping malls, meeting halls, and libraries.

Significance of resource mapping in community transformation

The community resource mapping process acknowledges that individuals, organizations, and
local institutions all have the capacity to create real change in their communities, but that no
agency can do it alone. With increased accountability, tight budgets, resource shortages, and
fragmented services, it is a sound decision for communities to encourage cross-agency and cross-
systems coordination. Insight into a community’s existing partnerships and programs, resource
allocations and policies, and priorities and assets can contribute to its ability to evaluate its
overall effectiveness in serving its youth with disabilities. It can also support the creation of a
strategic plan to improve the alignment, coordination, and, ultimately, delivery of services. When
combined with this community information, resource maps can provide a comprehensive picture
of a community’s vision, goals, projects, and infrastructure.

In short, community resource mapping can help communities to accomplish a number of goals,
including:
 Identifying new resources;
 Insuring that all youth have access to the resources they need;
 Avoiding duplication of services and resources;
 Cultivating new partnerships and relationships;
 Providing information across agencies that work with youth; and
 Encouraging collaboration.

The Mapping Process

There are four steps to the community resource mapping process:

1. Pre-mapping;
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 2. Mapping;
3. Taking action; and
4. Maintaining, sustaining, and evaluating mapping efforts.

The pre-mapping step allows stakeholders to lay the foundation for productive collaboration and
to establish a clear vision and goals for building a system.

The second step, mapping, determines which resources to map and how to best map them. The
collection and analysis of data at this time helps stakeholders to identify strengths and
challenges.

The next step, taking action, allows stakeholders to determine the most useful plan of action for
effectively addressing the data findings and established goals. Communicating and disseminating
information are key throughout the implementation step.

The final step involves maintaining, sustaining, and evaluating the efforts outlined in the map by
continuously evaluating progress, making necessary changes to the plan, and learning from
experiences.

Step 2: Mapping

At this point, you will have identified the key stakeholders to engage in the mapping process and
created a common vision and set of goals. During the next stage—the mapping stage—vision
statements and goals are used to identify and evaluate the usefulness of current and potential
resources. The mapping process begins by selecting one goal or high priority to map. The
usefulness of resources is determined by evaluating the extent to which they assist in meeting
strategic goals and objectives. This stage involves selecting a focus, identifying and collecting
data or resources, and analyzing the data or resources collected. While the mapping step can be
time-consuming, efficient organization can make it one of the simplest steps.

Mapping Steps

1. Reach consensus on the parameters of the map—select a goal to map.

2. Select the data to be collected based on these parameters—determine what types of
resources you would like to collect.
3. Develop tools to collect your data.
4. Collect data with help from stakeholders.
5. Conduct a community (or environmental) scan.
6. Synthesize, analyze, and interpret your data.
7. Communicate your findings.
8. Set priorities.
9. Reach consensus on the parameters of the map—select a goal to map.

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 10. Select the data to be collected based on these parameters—determine what types of
resources you would like to collect.
11. Develop tools to collect your data.
12. Collect data with help from stakeholders.
13. Conduct a community (or environmental) scan.
14. Synthesize, analyze, and interpret your data.
15. Communicate your findings.
16. Set priorities.

Identifying Resources

The first step in the mapping phase is to determine what resources need to be collected in order
to provide the information necessary for making informed decisions about change. You can
collect outcomes data, process data, or both. The type of information you choose to collect
depends largely on the goal you select to map. Sources of information extend far beyond those
traditionally assessed. There is a tendency to view resource mapping as a way to find more
money to meet an organization’s goals and objectives. Resource identification should not be
limited to dollars; the identification of resources needs to be expanded to include human
resources, technical assistance, in-kind resources, academic and technical standards,
organizations that share similar goals and objectives, youth and adult services, and supportive
policies. Not only are new resources identified during the mapping process, but utilization of
current resources is examined. The primary question is whether current resources can be used
differently to help meet your goal or whether new resources are critically needed.

The amount of data collected during the mapping process can often be overwhelming. It is
essential to select only what is needed to get the reporting job done. Prioritize your resource
mapping goals based on your overall vision, and then map around each of the goals. Strive to
organize the information in a manner that is comprehensive, responsive, and meaningful to
stakeholders.

Consider the following questions when selecting a focus for collecting data:

1. What do you want to map—fiscal resources, services, personnel?

2. How will certain resources help meet your goal?
3. How easy will certain data be to collect? Consider that certain data can be collected at
any time with ease, while other data are time-specific and more difficult to obtain.
4. How often does certain data need to be collected or updated in order for decisions based
on this information to be timely and accurate?
5. Which specific audiences or stakeholders may use this data?

Keep in mind that resources vary across systems—public and private programs, grant-funded
programs, school-based resources, faith-based organizations, etc.

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Developing mapping tools and strategies

Depending on the focus of your resource mapping efforts, you need to obtain or develop
appropriate data collection tools. Uniform tools for collecting data will help make sense of
information from different sources. The task force can select standard instruments, develop its
own, or tailor standard instruments to meet its unique needs. Tools should be selected or
developed that allow you to report your findings with clarity, reliability, timeliness, and impact.
When deciding to use an existing or standardized tool or instrument, first assess the adequacy
and appropriateness of this tool for your unique purpose(s).

Gathering Information

Different methods can be used to gather information. The information collection methods you
select depend on the type of information you want and the stakeholders who are sharing the
information. Possible methods include questionnaires, surveys, interviews (both telephone and
personal interviews), focus groups, roundtable discussions, and written or oral public testimony,
to name a few. Look beyond traditional sources when collecting information about resources,
including those sources that serve all youth, including youth with disabilities. No single
collection method can provide all the necessary information to support good decisions.
Remember, much data already exists within your community and is available for your use, such
as state plans and priorities, state and local outcomes data, local university studies, and school-
level surveys.

A significant first step in the resource mapping data collection process is to scan your
community for existing and potential resources. An environmental scan includes an analysis of
both the external and internal issues that are likely to affect resources for your organization,
agency, or program. Specifically, you need to determine what your community has to offer that
will assist you in meeting your goals. For example, a community issue may be insufficient
resources to effectively address technology and training needs, or perhaps, not maximizing your
community resources due to lack of interagency cooperation. The scan is not meant to be all-
inclusive, but rather to stimulate thought on emerging issues and trends and, in turn, to stimulate
discussion about future strategic directions and planning concerning resource provision, use,
alignment, and maintenance.

Environmental scans can:

 Enrich the strategic planning process with provocative ideas;

 Energize people to take action;
 Encourage public and frank discussion of organizational issues;
 Contribute to regular, ongoing monitoring efforts;
 Identify new resources and potential threats to existing resources; and
 Help organizations to avoid unwanted surprises.

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The information collected through community scanning can encourage the development of new
partnerships within the community in an effort to reduce duplication of services and resource
use, minimize gaps in services and resources, and expand a community’s services/resources to
meet the needs of more of its members. The findings from the community scan can help to
determine next steps in the collection process as well as focus the analysis of the collected
information. Remember, focusing the analysis plan is most often a progressive process that needs
to accommodate changes in vision, goals, programming, funding, and personnel.

It is also important, as part of the information collection process, to engage your task force
members both as sources of information and researchers in the resource identification task. These
individuals are integrally involved in the community and will be rich with ideas. Also involve
individuals or groups (e.g., families, youth, and educators) who use or may potentially use the
resources being mapped. These stakeholders are invaluable in so many ways because of their
commitment to and desire for an improved system. Stakeholders can help to identify other
partners in the process, provide a unique perspective about the mapping process and product(s),
generate questions for collection purposes, serve as sources of information, and participate in the
actual data collection process.

It is very helpful to assign task force members specific responsibilities for each component of the
data collection process. These individuals may not necessarily collect the information themselves
but are responsible for overseeing the process by setting timelines, training staff when needed,
and developing additional procedures to govern data collection for their area. Procedures to
guide “collectors” should be developed to address some common problems such as re-contacting
individuals/organizations for missing information or approaching organizations that choose not
to provide information.

Consider the following questions when developing the information collection plan:
1. What kinds of information should be collected?
2. How much relevant information already exists, and how can you access it?
3. How will information be collected?
4. Will you select or develop collection instruments?
5. What is your timeline for collection?
6. How much should collection cost?
7. How will collection responsibilities be determined?
8. How will the information be organized and analyzed?
9. How will you handle missing information?
10. How will the information be shared with stakeholders?
11. What kinds of problems can be expected?

Ways to Collect Information

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Keep in mind that there are many suitable ways to collect information. No single collection
process is perfect. Some, but not all, options for collecting useful information are listed below.

 Environmental or community scans;

 Interviews, surveys, or public hearings with key audiences (e.g., formal/informal leaders,
program advocates, service providers to targeted audiences, and end-users);
 Interviews with specialists (e.g., legislators, administrative consultants, and
internal/external evaluators);
 Site visits or observation of a setting (e.g., climate, attitudes of specific personnel,
professional practices, resources and support services, facilities, and budget allocations);
 Analysis of written and online documents (e.g., organizational charts, management plans,
budgets, proposals, training materials and curricula, and minutes of meetings);
 Interaction with existing groups (e.g., policy makers, advisors, clients, management
teams, and staff);
 Case studies and success stories;
 Training evaluations; and
 Questionnaires, rating scales, and inventories.

In order to choose one collection method or design over another, you must consider your goals.
What do you want to learn, and from whom do you want to learn it? It is recommended that you
use multiple methods to collect information. Very often the most informative method is not the
most sophisticated—simple and direct methods are the best. Set solid timelines for data
collection as the process can be time-consuming. Be prepared for the data collection process to
take longer than expected.

There are a number of considerations when selecting information to collect and study. It is up to
you to determine the criteria that your collection method must meet. To help with those
decisions, some criteria for selecting the most appropriate data are listed below.

 Credibility—information that is accurate and relevant to your audiences;

 Practicality—information collected without too much disruption;
 Timeliness—information produced in time to meet stakeholder needs;
 Accuracy—information that is relevant and trustworthy;
 Ease—information that is easily analyzed;
 Objectivity—information collected by objective personnel;
 Clarity—information that is clear and understandable to numerous audiences;
 Scope—information that provides answers without unnecessary detail;
 Availability—information that is easily accessible (i.e., existing data);
 Usefulness—information that addresses current stakeholder concerns;
 Balance—information that represents a multitude of perspectives and values; and
 Cost effectiveness—information worth the expense to collect.

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Determining the Meaning of the Information

Once the collection process is completed, information must be analyzed, synthesized, and
interpreted for stakeholders. Analysis is the process of finding out what the information collected
means. It is often the most difficult and time-consuming step in the mapping process. Analysis
typically occurs in stages. First, information is organized based on your vision statement and
identified goals. In other words, those resources and policies that are most supportive of your
organizational or programmatic goals are identified.

Then the search for meaning begins. You will need to follow a four-step process in examining
your information: 1) review the original purposes for information collection; 2) describe the
information in a narrative or using tables; 3) examine your information for trends or patterns
(e.g., gaps and overlaps in resources) that may point to untapped resources or new ways to align
current resources for improved outcomes; and 4) assess the comprehensiveness of the
information in light of your goals. You may recognize a gap in your collection process and need
to repeat the process for more targeted information.

Finally, organizations should consider developing a process for verifying and validating the
accuracy of their information. Find ways to lend credibility to your findings by verifying them
with stakeholders and target audiences. Look for confirmation and consistency of information
across multiple sources. Often, single-data sources can sway the analysis of the “big picture.”
Seek out the interpretations of different audiences, since they can often shed some light on what
your findings mean to them. Your organization should set deadlines for when it expects to
receive comments on the accuracy of the information reported.

Be prepared for both good and bad news. The resource mapping process will highlight things
that your organization does very well. It will also illuminate areas for improvement. Be ready to
communicate both types of news to your stakeholders.

Consider the following questions when preparing your findings for review:

1. How detailed does the analysis need to be?

2. To what extent are your goals being realized?
3. To what extent are your community resources being identified, aligned, and used
effectively?
4. How can these findings inform program policies and procedures?
5. How can these findings inform decision-makers, service providers, and staff?
6. How can you help the audiences interpret these findings?
7. How can the findings be communicated most effectively?

Communicating and Using the Mapping Results

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It is important to engage stakeholders in the results of your mapping. The information gained
from the mapping process can be used to help stakeholders make decisions on whether to
improve, develop, and/or continue new and existing practices or programs. It also can be used to
increase awareness, conduct public relations, and motivate individuals and organizations to
improve their performance. Throughout the analysis of the map, keep your goals in mind, and
think about how you want to present your findings to meet the needs of diverse audiences and
ultimately improve your performance outcomes.

You may choose to prepare detailed reports for partners and stakeholders, as well as summary
sheets that highlight key findings. In addition, the task force could develop reports, press
releases, and fact sheets for the media and other community organizations that might reinforce
the mission of the resource mapping exercise, effectively communicate findings, and bring new
partners to the effort. Regardless of the communication method, it is imperative that products
contain any content necessary for audiences to place the findings in a proper context and
perspective. Simple, user-friendly reports briefly review and highlight the major aspects of the
study, its conclusions, and its significance to the audience.

Reflection Questions

1. Have you identified the goals to be mapped?

2. Have you set priorities in mapping your goals?
3. Have you determined how to collect the information?
4. What collection process will be used?
5. How do the resources collected relate to your goals/outcomes?
6. Are existing resources effectively targeted and used to meet the goals of the community?
7. Are your findings reliable and credible?
8. Are the products developed responsive to the needs of the critical stakeholders in the
community?

Data collection

Data collection definition

Data collection is defined as the procedure of collecting, measuring and analyzing accurate
insights for research using standard validated techniques. A researcher can evaluate their
hypothesis on the basis of collected data. In most cases, data collection is the primary and most
important step for research, irrespective of the field of research. The approach of data collection
is different for different fields of study, depending on the required information.

Multi-Mode Surveys
Surveys, where the data is collected via different modes (online, paper, phone etc.), is also
another way of going. It is fairly straightforward and easy to have an online survey and have

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data-entry operators to enter in data (from the phone as well as paper surveys) into the system.
The same system can also be used to collect data directly from the respondents.

Any research is only as good as the data that drives it, so choosing the right technique of data
collection can make all the difference. In this article, we will look at four different data collection
techniques – observation, questionnaire, interview and focus group discussion – and evaluate
their suitability under different circumstances.

Observation

Figure 2: Observation
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Seeing is believing, they say. Making direct observations of simplistic phenomena can be a very
quick and effective way of collecting data with minimal intrusion. Establishing the right
mechanism for making the observation is all you need.

Advantages

 Non-responsive sample subjects are a non-issue when you’re simply making direct
observation.
 If the observation is simple and doesn’t require interpretation (e.g. the number of cars
driving through an intersection per hour), this model doesn’t require a very extensive and
well-tailored training regime for the survey workforce.
 Infrastructure requirement and preparation time are minimal for simple observations.

Disadvantages

 More complex observations that ask observers to interpret something (e.g. how many cars
are driving dangerously) require more complex training and are prone to bias.

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  Analysis may rely heavily on experts who must know what to observe and how to
interpret the observations once the data collection is done.
 There is the possibility of missing out on the complete picture due to the lack of direct
interaction with sample subjects.

Making direct observations can be a good way of collecting simple information about
mechanical, orderly tasks, like checking the number of manual interventions required in a day to
keep an assembly line functioning smoothly.

Questionnaires

Figure 3: Sample cross section of a questionnaires

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Questionnaires, as we consider them here, are stand-alone instruments of data collection that will
be administered to the sample subjects either through mail, phone or online. They have long been
one of the most popular data collection techniques.

Advantages

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  Questionnaires give the researchers an opportunity to carefully structure and formulate
the data collection plan with precision.
 Respondents can take these questionnaires at a convenient time and think about the
answers at their own pace.
 The reach is theoretically limitless. The questionnaire can reach every corner of the globe
if the medium allows for it.

Disadvantages

 Questionnaires without human intervention (as we have taken them here) can be quite
passive and miss out on some of the finer nuances, leaving the responses open to
interpretation. Interviews and focus group discussions, as we shall see later, are
instrumental in overcoming this shortfall of questionnaires.
 Response rates can be quite low. Questionnaires can be designed well by choosing the
right question types to optimize response rates, but very little can be done to encourage
the respondents without directly conversing with them.

The survey can be carried out through directly-administered questionnaires when the sample
subjects are relatively well-versed with the ideas being discussed and comfortable at making the
right responses without assistance. A survey about newspaper reading habits, for example, would
be perfect for this mode.

Interviews

Figure 4: Conducting interviews

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Conducting interviews can help you overcome most of the shortfalls of the previous two data
collection techniques that we have discussed here by allowing you to build a deeper
understanding of the thinking behind the respondents’ answers.

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Advantages

 Interviews help the researchers uncover rich, deep insight and learn information that they
may have missed otherwise.
 The presence of an interviewer can give the respondents additional comfort while
answering the questionnaire and ensure correct interpretation of the questions.
 The physical presence of a persistent, well-trained interviewer can significantly improve
the response rate.

Disadvantages

 Reaching out to all respondents to conduct interviews is a massive, time-consuming

exercise that leads to a major increase in the cost of conducting a survey.
 To ensure the effectiveness of the whole exercise, the interviewers must be well-trained
in the necessary soft skills and the relevant subject matter.

Interviews are the most suitable technique for surveys that touch upon complex issues like
healthcare and family welfare. The presence of an interviewer to help respondents interpret and
understand the questions can be critical to the success of the survey.

Focus Group Discussions

Figure 5: Focus Group Discussions

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Focus group discussions take the interactive benefits of an interview to the next level by bringing
a carefully chosen group together for a moderated discussion on the subject of the survey.

Advantages

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  The presence of several relevant people together at the same time can encourage them to
engage in a healthy discussion and help researchers uncover information that they may
not have envisaged.
 It helps the researchers corroborate the facts instantly; any inaccurate response will most
likely be countered by other members of the focus group.
 It gives the researchers a chance to view both sides of the coin and build a balanced
perspective on the matter.

Disadvantages

 Finding groups of people who are relevant to the survey and persuading them to come
together for the session at the same time can be a difficult task.
 The presence of excessively loud members in the focus group can subdue the opinions of
those who are less vocal.
 The members of a focus group can often fall prey to group-think if one of them turns out
to be remarkably persuasive and influential. This will bury the diversity of opinion that
may have otherwise emerged. The moderator of a focus group discussion must be on
guard to prevent this from happening.

Focus group discussions with the lecturers of a university can be a good way of collecting
information on ways in which our education system can be made more research-driven.

Data Collection Example

Data collection is an important aspect of research. Let’s consider an example of a mobile

manufacturer, company X, which is launching a new product variant. To conduct research about
features, price range, target market, competitor analysis etc. data has to be collected from
appropriate sources. The marketing team can conduct various data collection activities such as
online surveys or focus groups.

The survey should have all the right questions about features and pricing such as “What are the
top 3 features expected from an upcoming product?” or “How much are your likely to spend on
this product?” or “Which competitors provide similar products?” etc.

For conducting a focus group, the marketing team should decide the participants as well as the
mediator. The topic of discussion and objective behind conducting a focus group should be made
clear beforehand so that a conclusive discussion can be conducted.

Data collection methods are chosen depending on the available resources. For example,
conducting questionnaires and surveys would require the least resources while focus groups
require moderately high resources.

Report compilation

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Preliminary report

Community resources survey summary report format (one to two pages only)

a. Geographic area surveyed and population: type brief description of the survey area and
its population.
b. Dates of survey: state dates for data collection.
c. Methodology used: explain sampling method, assumptions for sample size calculation,
and main indicators).
d. Main anthropometric results: (state prevalence of global and severe acute malnutrition,
underweight, stunting in terms of z-scores and/or oedema and 95% confidence intervals)
e. Mortality rates
f. Describe other important results (Vitamin A supplementation, Vaccination, IYCF etc).
g. Provide brief interpretation of the results
h. Give recommendations.
Final report

The final report can normally be produced and disseminated within a month of completion of
data entry/cleaning. The final report format follows the standard report which is automatically
generated by ENA for SMART. The final report is more detailed than the preliminary report and
includes all indicators defined in the analysis plan. The main sections of the report are as shown
in Box 3:

Executive summary (one to two pages only): description of geographic area, population; dates
of survey; sampling method and sample size calculation; main results for anthropometry and
mortality with 95% C.I; interpretation of results with recommendations.

1. Introduction: description of survey area; description of population; services and

humanitarian assistance; description of broad and specific objectives.
2. Methodology: justification of sampling method, explanation of sample size calculation,
case definitions, inclusion criteria, training, data collection, data cleaning, data analysis.
3. Results: description of survey results with tables and graphs.
4. Discussion: interpretation of results for anthropometry, mortality and other indicators;
possible causes, trends.
5. Conclusions: overall conclusion on severity of situation and response required.
6. Recommendations: immediate, medium term and long-term recommendations.
7. References: list of all secondary sources referred to in the text.
8. Acknowledgements: list of all government departments and other agencies who
participated, in all stages of the survey, donors who provided funding, as well as survey
teams.

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 9. Appendices: Plausibility report, standardisation test results, assignment of clusters,
calendar of events, referral form, questionnaires, cluster control form, maps of the
locations.

2.5 Learning Activities

2.5.1 Practical activity

Conduct a visit to the neighboring village and do community resource mapping.

2.5.2 Self-Assessment Questions

1. List essentially three outcomes of mapping of youth services, supports, and programs within
a community.
2. Enumerate three advantages and disadvantages of observation.
3. List preliminary report contents

2.5.3 Answers to Self-Assessment questions

1) List essentially three outcomes of mapping of youth services, supports, and programs
within a community.
a. The identification of resources available to individual youth in a particular community—
often referred to as “youth mapping,”
b. The identification of new or additional resources to sustain existing specific youth
activities or initiatives within a community, and/or
c. The identification of resources to assist in creating and building capacity to support a
more comprehensive community system for serving youth. The first outcome typically
occurs at the local level while the second and third outcome can happen at any level—
local, state, or federal.
2) Enumerate three advantages and disadvantages of observation.

Advantages

 Non-responsive sample subjects are a non-issue when you’re simply making direct
observation.
 If the observation is simple and doesn’t require interpretation (e.g. the number of cars
driving through an intersection per hour), this model doesn’t require a very extensive and
well-tailored training regime for the survey workforce.
 Infrastructure requirement and preparation time are minimal for simple observations.

Disadvantages

 More complex observations that ask observers to interpret something (e.g. how many cars
are driving dangerously) require more complex training and are prone to bias.

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  Analysis may rely heavily on experts who must know what to observe and how to
interpret the observations once the data collection is done.
 There is the possibility of missing out on the complete picture due to the lack of direct
interaction with sample subjects.
3) List preliminary report contents
a. Geographic area surveyed and population: type brief description of the survey area and
its population.
b. Dates of survey: state dates for data collection.
c. Methodology used: explain sampling method, assumptions for sample size calculation,
and main indicators).
d. Main anthropometric results: (state prevalence of global and severe acute malnutrition,
underweight, stunting in terms of z-scores and/or oedema and 95% confidence intervals)
e. Mortality rates
f. Describe other important results (Vitamin A supplementation, Vaccination, IYCF etc).
g. Provide brief interpretation of the results
h. Give recommendations.

2.6 Tools, Equipment, Supplies and Materials

The following resources are provided:
 Video cameras
 Tablets
 Smart phones
 SD cards and card readers
 TFT screen
 Recorders
 Stationery

2.7 References
Crane, K., & Mooney, M. (2005). Essential tools: Community resource mapping. Minneapolis,
MN: University of Minnesota, National Center on Secondary Education and Transition.
Retrieved March, 1, 2006.

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3.1 Learning outcome 3: Identify project resource gaps
3.2 Introduction to the learning outcome
This unit specifies the competencies required to identify project resource gaps. It includes ways
of constituting a community resource committee, functions of the community resource
committee, importance of a monitoring work plan, characteristics of an effective work plan,
implementation of a work plan to monitor community resources, establishment of a reporting
mechanism on community resources, compare available resources with the project resources, and
identification of project resource gaps.

3.3 Performance Standard

3.3.1 Available resources are matched to community needs as per the organisation policy.
3.3.2 Adequacy of the resources in meeting the community needs is analysed as per the
organisation policy
3.3.3 Shortcomings of the resources in meeting the needs is established as per the organisation
policy.
3.3.4 Capacity gaps of the resources is addressed as per the organization policy

3.4 Information Sheet

Ways of constituting a community resource committee

The following information is intended to help you in the process of forming an association, to
understand the functions of the committee and its members. Committees help spread the
workload. At its simplest, a committee is simply a group of motivated people who meet
regularly, at least one of whom acts as a convenor.
What is a committee?
A committee is elected by the members of a community association to continue the work of the
association between general meetings. It is the committee members' responsibility to make sure
that decisions taken at its association's general meeting are acted on during their year in office.
1) Find a location for regular meetings. Community or neighbourhood centres are usually free
and good to work with.
2) Call a public meeting on the issue and, at the conclusion, ask for individuals to nominate to
form a committee to carry forward the issue. This is the most effective method, as people are
often highly focused and motivated at public meetings.
3) Do the rounds. Talk to people or groups with similar interests, let them know about the new
group, and let them know you’re looking for people who really want to make a difference for
children and parents.
4) Personally ask individuals who you think have the skills you need. (Be persuasive: First say
you’ve been looking for individuals who are recognized as having extraordinary skills and
commitment in this area (or similar words), then ask them to join!)
5) At the first committee meeting, elect the following positions:

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Chair, deputy chair, secretary, and treasurer. You may also want to have other positions, like a
publicity officer, an entertainment officer, a membership officer, or a fundraising officer.
What size should a committee be?
Most committees have between 12 and 15 members. Committees with more than 15 members
tend to be unwieldy and difficult to operate. Committees with less than 6 people tend to be
unrepresentative.
Who and what are the office bearers or honorary officers?
Every member of a committee has an important role to play and contribution to make. However,
there are 3 posts or offices which need to be filled in order that the committee can operate
effectively.
 The chairperson, whose role is chairing committee meetings and acting as spokesperson on
behalf of the community association when necessary.
 The treasurer, whose role is looking after the association's income and expenditure.
 The secretary, whose role is dealing with the association's organisation, including arranging
meetings and taking minutes.

The Chairperson's role and responsibilities

The chairperson of a committee is responsible for the smooth running of meetings, allowing all
members to have their say, and for guiding the committee's work towards the aims set by the
community association. This is a vital position in any community association and a good
chairperson will do the following:
At committee meetings
 Conduct business in the order set out in the agenda
 Keep discussion focused on the item as set by the agenda
 Make sure that a decision has been reached before going onto the next item on the agenda
 Allow everyone to speak and be heard
 Make sure a record of all decisions is kept.
 Between committee meetings
 Know of all work that the community association is doing so that he/she is well informed
about all matters that may arise at committee meetings
 Keep in touch with other committee members and how their work is coming along, which
means supporting people, not ordering them about
 Meet with the secretary to arrange and draw up the agenda to be discussed at meetings and
ensure minutes are properly drafted and issued prior to the next meeting.
The deputy chair roles and responsibilities
Stands in if the chair is absent.
The Treasurer's role and responsibilities
Your treasurer should be happy to handle petty cash and pay bills
It is most important that a community association is not spending money that it does not have,
and that good records are kept of its income and expenditure.

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A treasurer should
 Open a bank account for the community association. This can be easily done and bank staff
can explain how to do so.
 Pay all money coming into the community association into the bank account, apart from a
small sum of cash, say about £5, which should be kept at hand as 'petty cash'
 A record must also be kept of the petty cash and what it is. Any remaining petty cash at the
end of the year should be added to the present balance in the accounts for the Annual General
Meeting.
 Make a regular statement to the committee on how much money the community association
has spent and still has in its account.
 Pay bills for the community association.
 Give out receipts for money given to the community association.

The secretary's role and responsibilities

Your secretary should be well organised and good at maintaining records. The secretary is the
community association's point of contact with its members and the wider public in line with the
direction given by the committee and its chairperson. The work involves writing letters on the
association's behalf, and organising and keeping records of committee meetings.
A secretary is expected to do the following
 Before committee meetings
 Find a room for the meeting.
 Meet the chairperson and agree an agenda.
 Send out a notice to committee members of where and when the meeting will take place and
the agreed agenda.
 Prepare all papers needed for the meeting at least a week beforehand. The papers should
include correspondence since the last meeting and minutes, which are a record of the last
meeting.

During committee meetings

 Take a note of everyone present at the meeting and everyone who could not be there but has
sent an apology.
 Circulate or read out the minutes of the previous meeting, take questions about the minutes
and change the minutes if necessary.
 Take notes of what members say when they are reporting on action taken and of the decisions
that are taken by the committee.
 Report to the committee any letters written by the secretary and any replies that have been
received so that action can be taken on them.

Functions of the community resource committee

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Committees can serve several different functions:
Governance

In organizations considered too large for all the members to participate in decisions
affecting the organization as a whole, a smaller body, such as a board of directors, is
given the power to make decisions, spend money, or take actions. A governance
committee is formed as a separate committee to review the performance of the board and
board policy as well as nominate candidates for the board.

Coordination and administration

A large body may have smaller committees with more specialized functions. Examples
are an audit committee, an elections committee, a finance committee, a fundraising
committee, and a program committee. Large conventions or academic conferences are
usually organized by a coordinating committee drawn from the membership of the
organization.

Research and recommendations

Committees may be formed to do research and make recommendations on a potential or

planned project or change. For example, an organization considering a major capital
investment might create a temporary working committee of several people to review
options and make recommendations to upper management or the board of directors.

Discipline

A committee on discipline may be used to handle disciplinary procedures on members of

the organization.

As a tactic for indecision

As a means of public relations by sending sensitive, inconvenient, or irrelevant matters to

committees, organizations may bypass, stall, or disacknowledge matters without
declaring a formal policy of inaction or indifference. However, this could be considered a
dilatory tactic.

Power and authority

Generally, committees are required to report to their parent body. Committees do not usually
have the power to act independently unless the body that created it gives it such power.
Importance of a monitoring work plan

The monitoring plan of a project consists of keeping track and monitoring of all the data related
to the project. Thanks to this activity the Project Manager can always have control of the
situation, identify potential problems, and put the corrective actions into practice.

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What is a project monitoring plan?

The monitoring plan of a project consists of keeping track and monitoring of all the data related
to the project.
Thanks to this activity the Project Manager can always have control of the situation, identify
potential problems, and put the corrective actions into practice. The monitoring plan assures that
the project is within the field of application and respects the specified deadlines and budget.
The six advantages of project monitoring

Project monitoring offers six advantages:

1. Align progress with the plan
Monitoring project progress will help assess whether the project is in line with the original plan.
Moreover, it will help to understand, if the project is going wrong, what corrective actions to
apply.
2. Involvement of interested parties
Monitoring improves stakeholder engagement. If a problem or risk is detected too late, the
project sponsor is often powerless. With regular monitoring and clear communication, it will be
easier to deal with risks and contingencies.
3. Customer satisfaction
Open communication and feedback increase the likelihood that the final result will meet
expectations, thus considering the project a success.
4. Team motivation and responsibility.
Team motivation will have fluctuations during the execution of the project. By monitoring
progress and completing the milestones, the team will have clear goals for the project.
5. Management of external suppliers.
Communication is essential for any project, especially when working with external suppliers.
Monitoring the performance of these resources will help meet key deadlines, manage the given
budget, and take into account unexpected project planning delays. Similarly, it is necessary to
share project changes with suppliers, so that they can update their internal plans and be available
accordingly.
6. Continuous learning and improvement.
Monitoring represents an ideal opportunity for continuous learning and improvement, as well as
planning and project execution. Once the project is finished, it is essential to document the
lessons learned, a task that is easier if the project was monitored during the execution.
Characteristics of an effective work plan

There are different views on what a good action plan should look like. It can depend on the scale
and complexity of the change to be achieved. However, the following characteristics are
important in all action plans.
1. There is a single, clearly defined, objective.
2. The timescales are realistic.
3. The plan is informed by the past, but focused on the future.
4. The plan takes into account external factors and constraints.
5. The tasks in the plan all contribute to the same objective.

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 6. The plan does not include anything unnecessary for the achievement of the objective.
7. The plan is sufficiently detailed for its purpose.
8. Responsibility for who does what is completely clear.
9. The measures in the plan are clearly aligned to success.
10. The plan is revisited and updated at appropriate intervals.
Implementation of a work plan to monitor community resources

An implementation plan is designed to document, in detail, the critical steps necessary to put
your solutions into practice. It is a step-by-step list of tasks with assigned owners and due dates,
and helps the project team stay on track.

The implementation plan is a document that entails the steps required to facilitate the execution
and implementation of a plan, idea, model, design, specification, standard, algorithm, or policy
by presenting clear implementation steps that need to follow. Thus, an implementation plan is the
documented steps you need to take to successfully achieve your implementation pursuits.
Implementation plans are usually made to support the strategic plan created by a community.
Now, what is a strategic plan you ask? Well, a strategic plan is a document defining the strategy
by which your team will accomplish certain goals or make decisions. Strategic plans are made to
guide a business decision, a new business venture, or an upcoming project or initiative.
Once a community has mapped out its strategic plan, an implementation plan is made to map out
how to bring the strategic plan to life. The implementation plan then breaks down tasks into
identifiable steps, assigns tasks and responsibilities to the people involved, and creates a
definitive timeline for the entire project.
Therefore, the goal of the implementation plan is to effectively implement company strategy and
lay down the step-by-step process of bringing the project to success.

Benefits of an Implementation Plan

An implementation plan puts community resources to use and develops a tactical plan to execute
the strategic initiative. It thus plays a huge role in the success of your overall strategic plan. Even
if you have the greatest, iron-clad plan or strategy, it’s totally pointless if you don’t put the plan
into action. Here are some of the many benefits of an implementation plan:
1. Provides Clarity

Writing an implementation plan gives you better clarity of thought and improves your own
understanding of the project. When you are forced to think things through, you are better able to
document as well as communicate the plan to team members, upper management, and get
everyone on board.
2. Keeps Everyone on Track
Your implementation plan lays down exactly what tasks need to be done, how to do them, who
needs to do them, keeping everyone on board, and removing any sort of confusion or doubts.
When everyone knows what their roles and responsibilities are, it’s easier to stay on track and
keep everyone accountable.
3. Improved Cooperation

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Working on projects requires the cooperation and collaboration of many employees. The better
the cooperation amongst team members, the better the synergy and the overall execution.
Implementation Workplan: Concepts

The implementation workplan is a detailed action plan for how iHRIS will be deployed in the
country or organization. It includes a timeline, budget, and risk analysis. A pilot site is identified,
and a method for assessing the success of the pilot is determined. The implementation plan
should be divided into milestones to measure progress against objectives and identify specific
people responsible for each milestone.
Many people underestimate the costs of information systems projects, focusing only on the costs
of the initial development and piloting. iHRIS is an open source software solution, meaning that
the software itself is completely free. But that doesn’t mean that it is without cost, although the
costs won’t be as significant as when implementing a commercially licensed HRIS. Costs to take
into consideration include:
 programming expertise for customizing and upgrading the system
 ICT support
 training needs
 data collection, entry, and management
 infrastructure and security needs.
Just as costs are often underestimated, so is the time it takes to implement an information system
successfully. Hurrying the process may result in unclear requirements or skipping quality
controls, which may lead to costly mistakes or even project failure.
Understanding and managing risk is a key component of project management. If you don’t take
risk factors into consideration when planning the project, you will not be able to minimize their
impact. The implementation plan should include a risk assessment highlighting the likelihood
and severity of risks, along with mitigating action.

Establishment of a reporting mechanism on community resources

It is usually best to have multiple channels or entry points for making complaints. The goal is to
make it safe, simple and easy for community members to complain or give feedback. Multiple
channels should take into consideration specific needs based on age, gender and diversity,
including disability. Adapt and integrate existing systems - Make an inventory and analyze the
various ways in which your office has contact with the persons of concern. Explore how you can
use these contact points as channels for receiving complaints about sexual exploitation and
abuse, and any other types of abuse or problems.
Reporting mechanisms are systems that enable victims/witnesses and their advocates to report
crimes or violations.

Make access to the complaints processes easy and as safe as possible

Consider:
a) How will beneficiaries in remote locations be able to make complaints?
b) Can complaints be received verbally or in writing?
c) Is it possible to file a complaint on behalf of somebody else (owing to illiteracy, fears for
their personal safety, inability to travel, etc.)?

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 d) How can a complaint be made anonymously?

Examples of Channels reporting

a) Outreach to community – pay visits to informal community gatherings, engage with them
instead of asking people to come to you.
b) SEA focal point or code of conduct focal points - to be effective, these contact points
must be known by both staff and communities.
c) Web-based complaints addresses of the different organizations.
d) Helpdesks at distribution sites
e) Secure complaints/suggestions boxes, available for all type of complaints and suggestions
(without writing on them a specific designation, for confidentiality reasons).
f) Community members who have been trained on SEA.
g) Participatory assessments with the community.
h) “Open days” when individual community members meet with protection staff of the
organization to present protection concerns.

Compare available resources with the project resources

Project resources are the people, capital, and/or material goods required for the successful
execution and completion of a project. In a nutshell: project resources are what you depend on to
get work done.

Types of essential resources for your project

In general, project resources are defined as the people, capital, and material or supplies needed
for successful management and completion of a project. So when you are about to begin a
project you need to consider what resources are required for you and your team members to
finish it successfully.
It’s always best to ask for the things you need at the beginning, rather than getting stuck halfway
through and having to ask then for additional resources because you haven’t planned out your
project properly. In fact, overlooking important project resources may cause project issues and
ultimately project failure.
There are three types of project resources that are considered essential for a project to be
executed and completed on time and on budget.
Depending on the type and scale of the project, the project resources may vary, however, there
are three major resources for project that every project manager needs to plan thoroughly in
order to avoid further potential problems.

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People (Work Resources)

No matter the size and complexity of the project, in order for the project tasks to be performed
effectively, human resources are essential.
Human resources are considered to have the most complex requirements than the other two types
of project resources. Therefore, project managers should plan in advance and identify potential
people to become part of the project team by making sure they are available and skilled for the
project in question.
Normally a project team is a group of people that is managed by a project manager. The team
management part is often the hardest part of the project, especially if the manager hasn’t had to
lead a team in the past.
Managing the project team’s time and workload can be tricky too, as, usually, most of the project
team members don’t work solely on one project. They often have day jobs and may be involved
in other projects at the same time.
If you, as a project manager, know what individuals you need for your project it could be a lot
easier to do your resource planning, which should help you balance those peaks and troughs of
availability in the team. Spend some time thinking through the different skill sets that you need
and the kind of tasks that are required for the project, regardless of the project complexity and
type.
Even at this early stage, you can still get a good idea of who needs to be involved. You’ll have to
work out who is needed on the project at what times, based on your project schedule. You’ll
need to bring in different types of subject matter experts at different times, and each one will
have to know enough about the project’s objectives to get their part done successfully.
Capital (Cost Resources)

The second essential resource for successful project completion is – capital. As you know, all
projects, regardless of their type, scale, or complexity, need money.
The cost resources are used for many things related to the project and don’t comprise only yours
and your project team members’ salaries... To be more precise, under the category of cost
resources fall also all the tools and equipment that you and your team will be using during the
project execution.

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Generally, managing a budget for a particular project is one of the core skills that all project
managers must-have. As a project manager, you need to be confident handling finances and costs
so that every phase of the project goes smoothly.
One important aspect of this type of resource is for the project manager to talk to its project
sponsors about their expectations for the money that is planned to be spent. It’s important that
project sponsors have a realistic idea about how much the project will cost, and as a project
manager, you can help them do that once you have undertaken some of the planning.
If you don’t have enough finances for your project then you won’t be able to get everything
done. It’s that simple: the budget funds the work and when it runs out the work has to stop. If
they want the project to be completed successfully then it needs to be adequately funded.
You’ll need to know how much money you are spending because it helps you establish whether
you are on track or not. Project management software like Schedule Reader will let you easily
see what tasks have been completed so you can link that back to your spending and work out if
you are progressing as planned.
Material Goods (Material resources)

Projects also use up material resources that include different materials, supplies and/or items that
are part of the project. Assets, or goods, vary from project to project but it’s highly likely that
your project will need some kind of tangible resource. It’s normally what you use the project
budget to buy.
Examples include:
 Software licenses
 Hardware like technical infrastructure such as cabling or switches for the IT equipment
 Equipment or machinery (which you might hire for the life of the project or buy)
 Property (again, it might be something you hire for the project such as a temporary cabin
on a building site).
Project managers can also make use of assets that the company already has although they may
have to budget for borrowing them or schedule in the right time to use them so that they don’t
clash with another project. An example might be a testing lab that is used for multiple projects
and that you will need to book in advance in order not to coincide with other project teams using
the resource.

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This type of resource is particularly important to o be planned in advance because otherwise, you
can encounter huge problems for your project. For example, if for certain tasks you will be in
need of particular software elements and you don’t manage to acquire them on time, they could
take weeks to ship from the manufacturer and add considerable delay to your project.
All resources of project management process are important to get the project off the ground and
successfully move it in the right direction. The more effort you put into thinking through these
three types of project resources you will certainly need and start providing and requesting them
far enough in advance to ensure that they are ready for you when you need them, the easier it
will be for you to complete your project on time, on budget and to the required

Identification of project resource gaps

Plan all you want. But once that plan is being executed, if you don’t have a method or a tool to
assess whether you’re meeting the requirements of the project, then you’re in trouble. To know
the actual performance of a project against the desirable performance is to know when a project
is going off-track. That knowledge is crucial to identifying a problem and taking the necessary
steps to correct it.
One particularly effective method used to figure out if your project is progressing as planned is
called gap analysis. It’s a relatively simple tool that helps you gauge and raise the level of
performance in your project. A thorough knowledge of it and how to use it can greatly benefit
any project management process.
What Is Gap Analysis?

Gap analysis is a formal study of how a business or project is currently progressing and where it
plans to go in the future. There are various perspectives that can analyzed, from business
direction to business processes, from information technology to product management.
When talking about management, gap analysis is a means to compare actual performance with
potential performance. Factors that impact performance include resource planning, capital
investment, technology, etc. What a gap analysis does is identify the gaps between the optimized
allocation and integration of resources to the current allocation level. It’s by doing such
measurements that a pathway towards improvements can be cleared.

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To do this involves determining, documenting and improving the difference between
requirements and capabilities at the current time. Gap analysis is an outgrowth of such
techniques as benchmarking and other ways to assess progress.
What Gaps Can Gap Analysis Target?

What gap analysis is doing is providing a way to measure the investment in time, money and
human resources that are needed to achieve an outcome. There are a number of different gaps
and outcomes that gap analysis can target.
 Gap analysis can be used to classify how well a product meets its targeted need.
 Gap analysis can also help identify gaps in the market. It can compare the forecast profits
to the desired profits and reveal a planning gap.
 Gap analysis can be used to analyze a usage gap. The usage gap is the gap between the
total potential for the market and the actual use at the present time. This includes data,
such as market use and existing use. Existing use measures the consumer use for the full
market. It comes from doing in-depth marketing research, and sometimes data from
government or industry studies.
 Gap analysis can also target a product gap. The product gap is the part of a market that
excludes you, for whatever reason. This exclusion can occur because the product that you
offer lacks certain features that are required by a customer base, or maybe certain
customers just don’t align with your company’s mission statement or general policy.

How to Do a Gap Analysis

When you’re doing a gap analysis, you’re really asking yourself a few questions: Where are we
now, where do we wish we were and how are we going to get there? So, it’s not merely a picture
but a roadmap to improve production.
There are four basic steps that you take when conducting a gap analysis. They can be boiled
down to the following.
1. Identify Current State

The first step is knowing where you are at the present time. So, be clear as to what is being
described and what is not. This will avoid scope creep and keep your analysis focused. Then
comes collecting contextual information. That means collecting qualitative information, such as
what are your team processes and methodologies.

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Also, quantitative information is important, meaning anything that can be counted and measured.
That includes everything you’re currently doing. Yes, it’s a lot of data to gather, but the more
you gather, the sharper the picture of your current state.
2. Identity Where You Want to Go

The point of a gap analysis is to figure out where you want to go and if you’re getting there. This
is the desired state, future target or stretch goal. To get there you need to know about your
current state and what a reasonable timeframe is to get from there to the goal you’ve set for
yourself.
But first, you must mark that point in the future that you’re aiming for. Think about where that
should be, what’s not happening that needs to happen, what could be happening that hasn’t
before or has changed, and what needs to happen to get there.
3. Identify the Gaps

You know where you are and where you want to go, the space between those two marks is the
gap you must bridge to reach your target. This is when you want to figure out why there is a gap.
To do that you need to be very specific about the gap. Also, dig deeper and determine why the
gap happened. Ask yourself questions that are applicable to your business and answer them
honestly.
Some questions you might consider asking are the following:
 What critical decisions led to this point?
 What could have we done differently?
 What resources do we require in order to reach our target?
 Do we need to set new objectives to bridge the gap?
4. Bridge the Gap

You’ve done the due diligence, and now it’s time to act. You know why there’s a gap, so you
must now devise a way to close it. To do this, you can follow the guidelines of basing all
improvements on the information you discovered when you identified the gap. Also, consider the
cost of implementation for each solution that you come up with; you might not have the capital
or capacity to achieve it. Finally, figure out the date at which the gap will be closed. If you don’t
have a deadline, it will get overlooked or ignored. A project scheduling software can help you
stay on task and organized.

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After doing all the work, don’t neglect the follow-through. That is, follow up on the
improvements you’re making by doing a gap analysis. If you don’t, then you’re doomed to
repeat them. Also, it’s important not to try and close too many gaps at once. If you put too much
stress on any organization, it’s going to break.
Gap Analysis in Project Management

The application of gap analysis in project management is obvious. As a project manager, you’re
trying to control various activities in a project, all of which might have various solutions. What’s
the best course of action that leads to project success?
That’s where gap analysis comes in. It helps identity what needs to get done while meeting your
company’s and project’s goals and objectives.
Gap Analysis Tools

There are gap analysis tools that can help a project manager identify the gap between the current
state of the project and its future goals and objectives. These tools will also help to make clear
the required tasks that are necessary to close that gap.
SWOT

One such tool is a SWOT analysis, which is an acronym for strengths, weaknesses, opportunities
and threats. By using a SWOT analysis both quantitatively and qualitatively, you can determine
internal and external threats to the project.
Fishbone Diagram

Another tool is the fishbone diagram, which is also called a cause and effect diagram. It is a way
to visualize and categorize the potential causes of a problem. Then you can go about to identify
its root causes. It’s a helpful tool when brainstorming to keep the conversation focused.
McKinsey 7-S Framework

The McKinsey 7-S Framework can be used to improve performance, examine effects of future
change, align departments and processes and determine how best to implement a proposed
strategy. It can be applied to teams or a project by looking at the seven interdependent factors of
the tool.
PEST Analysis

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One more tool is the PEST analysis, which is another acronym that stands for political,
economic, social and technological. This allows one to make a framework of macro-
environmental factors for the purpose of designing effective environmental strategies, which
would apply to projects that are applicable.
What Is a Resource Gap Analysis?

A gap analysis is a broad-based business tool that helps organizations assess their target market,
products, services or resources in light of their ideals and objectives. A resource gap analysis is
particularly useful, as it helps business owners and managers examine how their current resource
levels -- including time, money and human resources -- are helping it meet its goals.

Features

Every organization needs a solid mix of tools and resources to meet its objectives and to fulfill
its sales and marketing strategies. These resources can help leverage its brand name and strategic
capabilities. If the resources contribute to the perceived value of the company's products or
services, they are a competitive advantage. A gap analysis is the process of identifying which of
the tools and resources are adding value and which are either neutral or perhaps even subtracting
from its value.
Advantages

Identifying which of the company's tools and resources are hurting its image or perceived value
gives the company a list of things to fix. A gap analysis can also help identify areas where more
people or human resources are needed to help increase productivity. The company may find that
its marketing department lacks the staffing it needs to effectively engage with potential
customers, or it may determine that it needs additional on-the-ground salespeople to get the word
out about its products.
Disadvantages

A gap analysis has some drawbacks. The process is often time-consuming and intensive. And it
doesn't end with the first analysis. It must be an ongoing, regularly reviewed process, because the
nature of the business and its resource needs are likely to evolve over time.

3.5 Learning Activities

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3.5.1 Self-Assessment
1. What is a committee?
2. What size should a committee be?
3. What are the qualities of a good treasurer?
4. What are the functions of the community resource committee?

3.5.2 Self-Assessment responses

1. What is a committee?
A committee is elected by the members of a community association to continue the work of the
association between general meetings. It is the committee members' responsibility to make sure
that decisions taken at its association's general meeting are acted on during their year in office.
Most committees have between 12 and 15 members. Committees with more than 15 members
tend to be unwieldy and difficult to operate. Committees with less than 6 people tend to be
unrepresentative.
2. What are the qualities of a good treasurer?
 Open a bank account for the community association. This can be easily done and bank staff
can explain how to do so.
 Pay all money coming into the community association into the bank account, apart from a
small sum of cash, say about £5, which should be kept at hand as 'petty cash'
 A record must also be kept of the petty cash and what it is. Any remaining petty cash at the
end of the year should be added to the present balance in the accounts for the Annual General
Meeting.
 Make a regular statement to the committee on how much money the community association
has spent and still has in its account.
 Pay bills for the community association.
 Give out receipts for money given to the community association.

3. What are the functions of the community resource committee?

Committees can serve several different functions:

Governance

In organizations considered too large for all the members to participate in decisions
affecting the organization as a whole, a smaller body, such as a board of directors, is
given the power to make decisions, spend money, or take actions. A governance
committee is formed as a separate committee to review the performance of the board and
board policy as well as nominate candidates for the board.

Coordination and administration

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 A large body may have smaller committees with more specialized functions. Examples
are an audit committee, an elections committee, a finance committee, a fundraising
committee, and a program committee. Large conventions or academic conferences are
usually organized by a coordinating committee drawn from the membership of the
organization.

Research and recommendations

Committees may be formed to do research and make recommendations on a potential or

planned project or change. For example, an organization considering a major capital
investment might create a temporary working committee of several people to review
options and make recommendations to upper management or the board of directors.

Discipline

A committee on discipline may be used to handle disciplinary procedures on members of

the organization.

As a tactic for indecision

As a means of public relations by sending sensitive, inconvenient, or irrelevant matters to

committees, organizations may bypass, stall, or disacknowledge matters without
declaring a formal policy of inaction or indifference. However, this could be considered a
dilatory tactic.

Power and authority

Generally, committees are required to report to their parent body. Committees do not usually
have the power to act independently unless the body that created it gives it such power.
What are the characteristics of an effective work plan?

There are different views on what a good action plan should look like. It can depend on the scale
and complexity of the change to be achieved. However, the following characteristics are
important in all action plans.
1. There is a single, clearly defined, objective.
2. The timescales are realistic.
3. The plan is informed by the past, but focused on the future.
4. The plan takes into account external factors and constraints.
5. The tasks in the plan all contribute to the same objective.
6. The plan does not include anything unnecessary for the achievement of the objective.
7. The plan is sufficiently detailed for its purpose.
8. Responsibility for who does what is completely clear.
9. The measures in the plan are clearly aligned to success.
10. The plan is revisited and updated at appropriate intervals.

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3.6 Tools, Equipment, Supplies and Materials
 Video cameras
 Tablets
 Smart phones
 SD cards and card readers
 TFT screen
 Recorders
 Stationery

3.7 References
Crane, K., & Mooney, M. (2005). Essential tools: Community resource mapping. Minneapolis,
MN: University of Minnesota, National Center on Secondary Education and Transition.
Retrieved March, 1, 2006.

McPherson, M. Q., Friesner, D., & Bozman, C. S. (2020). Mapping the interrelationships
between community assets. International Journal of Social Economics.

4.1 Learning outcome 4: Document project resources

4.2 Introduction to the learning outcome
This unit specifies the competencies required to document project resources. It includes
components of a documentation plan for community resource management, meaning of good
practices, methods and procedures of documenting good practices, and ways of sharing good
practices

4.3 Performance Standard

4.3.1 Identification plan is developed as per SOPs.
4.3.2 Best practices are identified as per SOPs.
4.3.3 The best practises are documented as per organisation policy.
4.3.4 The best practises are shared as per SOPs.
4.4 Information Sheet
Components of a documentation plan for community resource management

Step 1: Stakeholder Engagement

127
• Before the start of activities, the team explains the community resource documentation process
and expected results to the relevant stakeholders.
• Stakeholders should include members of the community, and other local government officials.
• As a result of this step, attendees will understand project objectives, activities, and the
participatory mapping approach. This will enable stakeholders to participate and collaborate with
local organizations.
Step 2: Community Sensitization
• In this step, the team shares the objectives of the community resource documentation with
community members through a community meeting.
• At this meeting, the team explains to community members why the participatory mapping is
happening, why it is important, and the participatory mapping and land use inventory process.
• As a result of this step, community members will understand project objectives, activities, and
the community resource documentation approach. This understanding will help them to
participate and collaborate in the process.
Step 3: Community Profile Interviews
• In this step, the team collects land-related information about settlement history, land use,
tenure, gender dynamics, and socio-economics of the villages.
• The team will divide community members into three groups, such as a broad community group,
a women’s group, and the Village Tract Administrator and Village Tract Clerk, to conduct the
interviews.
• The team will also interview local government staff and members of the community.
• The result of these interviews will be a clear picture of the village’s land use types (e.g.,
monastery, settlement area, graveyard, and farmland), land tenure security (e.g., Land Use
Certificate status), gender roles related to land use, and socio-economic status.
• This information will be included in the village folio at the end of the process.

Step 4: Spatial Awareness Exercises

• In this step, community members draw maps of village boundaries and land uses. The team
instructs the attendees on a number of mapping methods. Community members learn how to
draw sketch maps and use large-format vinyl maps.
• During this step, the group selects community representatives to participate in future activities.
• As a result of this step, the group will have identified areas of the village boundary to be
included in the boundary walk. These are areas that are not clear on the map.

Step 6: Land use inventory

• In this step, the team works with community members to understand their current land uses,
such as a monastery, community forest, area for bamboo cutting, grazing, farming, and
gardening.
• The team reviews preliminary results of the village boundary walk with the community.

128
• As a result, community members will have a better understanding of land uses in their village.
This information will be added to the final map and village folio.

Step 7: Community Meeting to Review Mapping

• After participatory mapping activities are finished, the team conducts a village committee
meeting. In this meeting, all committee members from all villages in the village tract attend.
• Committee members can discuss important land issues in their village tract at this time.
• Community members can also review their village maps and add information. This helps them
to understand their village boundaries and how to mitigate disputes.
• This meeting can also include legal awareness training to improve understanding of the land
legal framework, such as the 2012 Farmland Law or the Vacant, Fallow, and Virgin Land
Management Law.

Step 8: Multi-Stakeholder Meeting

• In this step, the team conducts a stakeholder dialogue with relevant government departments
such as MONREC, DALMS, and GAD and with Village Tract Administrators. Community
committee members, village leaders, and local organizations also participate.
• During the meeting, all groups can review and discuss the village boundary and land use maps.
• This dialogue provides community members with an opportunity to discuss their land issues
with local government representatives. As a result, government gains an understanding of their
land resource management and community concerns.

Step 9: Village Folio Handover Ceremony

• This is the final step in the community resource documentation process. During this meeting,
communities receive the outputs of the project. This includes village boundary and land use
maps and a village folio.
• The village folio contains a committee member list, schedule of activities, data-sharing
agreement, and community profiles.
• Local government staff and community members receive copies of the maps and village folio.
• These outputs provide documentation for a village’s land resources and can be a tool for
engagement, planning, and negotiation in the future.

Meaning of good practices

Do not work in a village tract that is new to your organization. Identify sites where you already
have relationships and are not too far from your organization’s office.
If the village tract is far from your organization’s office, take time to get to know the
communities and stay in the village whenever possible.

129
Not all organizations will decide to pay travel allowances and per diems to participating
community members. Decide before starting the process if your organization will do so,
considering the budgetary impacts and sustainability.
Provide refreshments for community members. Make sure these costs are included in the budget
during planning.
Take photos throughout the process to document each step and include them in village folios.
Identify technology and hardware needs and available resources before beginning the process.
Identify technical mapping support or training resources before beginning the process.

Methods and procedures of documenting good practices

What are best practices? And why do we need to share them?

While there is no universally accepted definition of a best practice, we do know that a said
procedure needs to demonstrate evidence of success, have an effect on something important (i.e.,
contributing to the project’s goals), and have the potential to be replicated or adapted to other
settings. Best practices are typically activities or processes that bring meaningful results and/or
yield success. They are often seen as innovative in comparison to what’s been done in the past.
Sharing best practices is important for the health of a project. The primary objective in sharing
best practices is to identify the best way of doing something, and then, to share that knowledge
with others working on the project. The result hopefully streamlines the process and put
everyone on the same page of doing things in the best way possible. When everyone can
implement a best practice into their work, they meet their goals and accomplish the mission of
the project.
Sounds easy, right? Not always. Sometimes, we might encounter “knowledge hoarders.” By that
I mean, folks who have the knowledge of best practices, but either don’t think to share it or
simply don’t know how to share it with everyone, making it difficult for others to access the
information. On the other hand, there’s the problem of constant sharing for some (i.e., the
random sharing with no method in place for documenting or formally distributing pertinent
information among colleagues). The later can result in information overload or overwhelm those
hearing the suggestions offered. At the very least, it’s disorganized. If you are a PM who is
experiencing challenges around documenting and sharing best practices, following these five tips
can make it a little easier.

130
Ways to document and share best practices

1. Document lessons learned and process/procedure documents

We’re all busy. And sometimes, the idea of writing yet another thing down or being responsible
for yet another document feels daunting. I encourage you to make it a priority! Not only is it not
(too) hard to document best practices at work, but it’s so important for your project to be
successful.
Each of your team members has a specific way in which they get things done. Over time, they’ve
perfected a methodology, and they know the most efficient way to get the best results. These
procedures become best practices, and having your team members put their methods in writing
preserves their efficient and effective work flows for others to use in similar situations.
Documentation of such becomes a valuable asset for your organization and may even be used as
an onboarding and/or training tool in the future.
Not only does documenting best practices call attention to a job well done and identify the
expertise that exists within your project team, but it shows respect for your employees. You
recognize that they are excellent at what they do, and you’re asking them to document it, so
others can implement their practices. When someone is recognized for their best practice – and
work – it builds morale.
Pro-tip: If you’re a PM asking your team members to write down what they do, have someone
who is new to the job follow their written directions. Sometimes when a job duty or process
becomes like second nature to someone, they may unintentionally omit steps in a written
document because they’re so familiar with the process.
2. Use the right knowledge sharing software
Though every project is different, in my experience Microsoft Office 365 has been the best
software to use for knowledge sharing, as it makes sharing best practices within an
organization/project relatively straightforward and easy.
SharePoint is a collaboration and content management platform often used as a medium for
sharing of information within organizations or projects. Highly adaptable and relatively simple to
use, SharePoint supports the creation, editing, and sharing of information. When I’m working on
projects, it is often a go-to for content management because it allows team members to contribute
their portion of a document to a centralized base. This makes it easy to know where to share,
update, discover, and document what’s important.

131
Whether you use SharePoint or another tool, the right knowledge sharing software can help you
easily and quickly search for the documents you need, ask your colleagues questions, and store
the documents you’ve put together. This encourages everyone – from Administrative Assistants
to Project Leads – to contribute ideas and document best practices that everyone can access.
3. Create a strategic plan to share best practices
Before you roll your eyes, let me say that I know how time-consuming it is to even so much as
think about developing another strategic plan. This suggestion is one of the more demanding on
the list because it requires you to work with your leads and stakeholders to establish strategic,
organization-wide knowledge transfer plans. That said, the value in developing a strategic plan
for sharing your best practices is worth the investment.
A strategic plan for best practices can help you mitigate risks, which will help you meet critical
project objectives, even if a team member has moved on to a different role elsewhere. Tactics to
consider adding to your plan include documentation of “how to” steps, lunch and learn sessions
for staff, 1:1 meetings for knowledge sharing, and putting together a thorough, detailed process
and procedure handbook.
4. Do a Review
Most major projects often have some kind of post-implementation review, but a thorough review
doesn’t have to wait for the end of your project. Consider taking a step back after each major
milestone is reached to discuss and document lessons learned. Ask what worked, what could’ve
gone better, what you would do differently if you had the opportunity, and what new ideas
everyone on the project has for moving forward.
Depending on your role, this can be accomplished with 1:1 meetings or in a brainstorming
session with key project team members. Asking what lessons were learned typically captures a
wealth of knowledge. Knowledge that you (and/or future employees) can use when moving
forward in the project or undertaking a project similar in scope.
Another bonus of doing a review is that it’s helpful in bridging the silo problem that so many
projects encounter. If you involve everyone on the project from all disciplines (i.e., IT, quality
control, support, etc…) and together discuss the project, you are closing the silos and coming
together as a team with one goal in mind: the betterment of your project.
5. Be Adaptive

132
It’s important to recognize that even best practices may need to be modified after a period of
time. Things change. New, better ways of doing things pop up. Don’t get so attached to your
existing best practices that you ignore or disregard any new ones that may improve things. Allow
things to stay fresh and relevant.
If a project team member comes to you with a new idea for documentation, hear them out. If an
Administrative Assistant finds a way to streamline a process, but it’s not the way you’d do it,
consider their advice. It’s important to remain nimble throughout the life of your project in order
to respond to any issues and needs that pop up. This includes the ways in which you share best
practices.
4.5 Learning Activities

4.5.1 Self-Assessment
1. What are the components of a documentation plan for community resource management
2. What are the ways to document and share best practices
3. What are best practices?

While there is no universally accepted definition of a best practice, we do know that a said
procedure needs to demonstrate evidence of success, have an effect on something important
(i.e., contributing to the project’s goals), and have the potential to be replicated or adapted to
other settings. Best practices are typically activities or processes that bring meaningful results
and/or yield success. They are often seen as innovative in comparison to what’s been done in
the past.
4. What are the reasons for sharing best practices?
Sharing best practices is important for the health of a project. The primary objective in sharing
best practices is to identify the best way of doing something, and then, to share that knowledge
with others working on the project. The result hopefully streamlines the process and put
everyone on the same page of doing things in the best way possible. When everyone can
implement a best practice into their work, they meet their goals and accomplish the mission of
the project.

133
5.5.2 Self-Assessment responses

1. What are the components of a documentation plan for community resource

management

Step 1: Stakeholder Engagement

• Before the start of activities, the team explains the community resource documentation process
and expected results to the relevant stakeholders.
• Stakeholders should include members of the community, and other local government officials.
• As a result of this step, attendees will understand project objectives, activities, and the
participatory mapping approach. This will enable stakeholders to participate and collaborate with
local organizations.
Step 2: Community Sensitization
• In this step, the team shares the objectives of the community resource documentation with
community members through a community meeting.
• At this meeting, the team explains to community members why the participatory mapping is
happening, why it is important, and the participatory mapping and land use inventory process.
• As a result of this step, community members will understand project objectives, activities, and
the community resource documentation approach. This understanding will help them to
participate and collaborate in the process.
Step 3: Community Profile Interviews
• In this step, the team collects land-related information about settlement history, land use,
tenure, gender dynamics, and socio-economics of the villages.
• The team will divide community members into three groups, such as a broad community group,
a women’s group, and the Village Tract Administrator and Village Tract Clerk, to conduct the
interviews.
• The team will also interview local government staff and members of the community.
• The result of these interviews will be a clear picture of the village’s land use types (e.g.,
monastery, settlement area, graveyard, and farmland), land tenure security (e.g., Land Use
Certificate status), gender roles related to land use, and socio-economic status.
• This information will be included in the village folio at the end of the process.

Step 4: Spatial Awareness Exercises

• In this step, community members draw maps of village boundaries and land uses. The team
instructs the attendees on a number of mapping methods. Community members learn how to
draw sketch maps and use large-format vinyl maps.
• During this step, the group selects community representatives to participate in future activities.
• As a result of this step, the group will have identified areas of the village boundary to be
included in the boundary walk. These are areas that are not clear on the map.

134
Step 6: Land use inventory
• In this step, the team works with community members to understand their current land uses,
such as a monastery, community forest, area for bamboo cutting, grazing, farming, and
gardening.
• The team reviews preliminary results of the village boundary walk with the community.
• As a result, community members will have a better understanding of land uses in their village.
This information will be added to the final map and village folio.

Step 7: Community Meeting to Review Mapping

• After participatory mapping activities are finished, the team conducts a village committee
meeting. In this meeting, all committee members from all villages in the village tract attend.
• Committee members can discuss important land issues in their village tract at this time.
• Community members can also review their village maps and add information. This helps them
to understand their village boundaries and how to mitigate disputes.
• This meeting can also include legal awareness training to improve understanding of the land
legal framework, such as the 2012 Farmland Law or the Vacant, Fallow, and Virgin Land
Management Law.

Step 8: Multi-Stakeholder Meeting

• In this step, the team conducts a stakeholder dialogue with relevant government departments
such as MONREC, DALMS, and GAD and with Village Tract Administrators. Community
committee members, village leaders, and local organizations also participate.
• During the meeting, all groups can review and discuss the village boundary and land use maps.
• This dialogue provides community members with an opportunity to discuss their land issues
with local government representatives. As a result, government gains an understanding of their
land resource management and community concerns.

Step 9: Village Folio Handover Ceremony

• This is the final step in the community resource documentation process. During this meeting,
communities receive the outputs of the project. This includes village boundary and land use
maps and a village folio.
• The village folio contains a committee member list, schedule of activities, data-sharing
agreement, and community profiles.
• Local government staff and community members receive copies of the maps and village folio.
• These outputs provide documentation for a village’s land resources and can be a tool for
engagement, planning, and negotiation in the future.

2. What are the ways to document and share best practices

135
1. Document lessons learned and process/procedure documents
We’re all busy. And sometimes, the idea of writing yet another thing down or being responsible
for yet another document feels daunting. I encourage you to make it a priority! Not only is it not
(too) hard to document best practices at work, but it’s so important for your project to be
successful.
Each of your team members has a specific way in which they get things done. Over time, they’ve
perfected a methodology, and they know the most efficient way to get the best results. These
procedures become best practices, and having your team members put their methods in writing
preserves their efficient and effective work flows for others to use in similar situations.
Documentation of such becomes a valuable asset for your organization and may even be used as
an onboarding and/or training tool in the future.
Not only does documenting best practices call attention to a job well done and identify the
expertise that exists within your project team, but it shows respect for your employees. You
recognize that they are excellent at what they do, and you’re asking them to document it, so
others can implement their practices. When someone is recognized for their best practice – and
work – it builds morale.
Pro-tip: If you’re a PM asking your team members to write down what they do, have someone
who is new to the job follow their written directions. Sometimes when a job duty or process
becomes like second nature to someone, they may unintentionally omit steps in a written
document because they’re so familiar with the process.
2. Use the right knowledge sharing software
Though every project is different, in my experience Microsoft Office 365 has been the best
software to use for knowledge sharing, as it makes sharing best practices within an
organization/project relatively straightforward and easy.
SharePoint is a collaboration and content management platform often used as a medium for
sharing of information within organizations or projects. Highly adaptable and relatively simple to
use, SharePoint supports the creation, editing, and sharing of information. When I’m working on
projects, it is often a go-to for content management because it allows team members to contribute
their portion of a document to a centralized base. This makes it easy to know where to share,
update, discover, and document what’s important.

136
Whether you use SharePoint or another tool, the right knowledge sharing software can help you
easily and quickly search for the documents you need, ask your colleagues questions, and store
the documents you’ve put together. This encourages everyone – from Administrative Assistants
to Project Leads – to contribute ideas and document best practices that everyone can access.
3. Create a strategic plan to share best practices
Before you roll your eyes, let me say that I know how time-consuming it is to even so much as
think about developing another strategic plan. This suggestion is one of the more demanding on
the list because it requires you to work with your leads and stakeholders to establish strategic,
organization-wide knowledge transfer plans. That said, the value in developing a strategic plan
for sharing your best practices is worth the investment.
A strategic plan for best practices can help you mitigate risks, which will help you meet critical
project objectives, even if a team member has moved on to a different role elsewhere. Tactics to
consider adding to your plan include documentation of “how to” steps, lunch and learn sessions
for staff, 1:1 meetings for knowledge sharing, and putting together a thorough, detailed process
and procedure handbook.
4. Do a Review
Most major projects often have some kind of post-implementation review, but a thorough review
doesn’t have to wait for the end of your project. Consider taking a step back after each major
milestone is reached to discuss and document lessons learned. Ask what worked, what could’ve
gone better, what you would do differently if you had the opportunity, and what new ideas
everyone on the project has for moving forward.
Depending on your role, this can be accomplished with 1:1 meetings or in a brainstorming
session with key project team members. Asking what lessons were learned typically captures a
wealth of knowledge. Knowledge that you (and/or future employees) can use when moving
forward in the project or undertaking a project similar in scope.
Another bonus of doing a review is that it’s helpful in bridging the silo problem that so many
projects encounter. If you involve everyone on the project from all disciplines (i.e., IT, quality
control, support, etc…) and together discuss the project, you are closing the silos and coming
together as a team with one goal in mind: the betterment of your project.
5. Be Adaptive

137
It’s important to recognize that even best practices may need to be modified after a period of
time. Things change. New, better ways of doing things pop up. Don’t get so attached to your
existing best practices that you ignore or disregard any new ones that may improve things. Allow
things to stay fresh and relevant.
If a project team member comes to you with a new idea for documentation, hear them out. If an
Administrative Assistant finds a way to streamline a process, but it’s not the way you’d do it,
consider their advice. It’s important to remain nimble throughout the life of your project in order
to respond to any issues and needs that pop up. This includes the ways in which you share best
practices.
3. What are best practices?

While there is no universally accepted definition of a best practice, we do know that a said
procedure needs to demonstrate evidence of success, have an effect on something important (i.e.,
contributing to the project’s goals), and have the potential to be replicated or adapted to other
settings. Best practices are typically activities or processes that bring meaningful results and/or
yield success. They are often seen as innovative in comparison to what’s been done in the past.
4. What are the reasons for sharing best practices?
Sharing best practices is important for the health of a project. The primary objective in sharing
best practices is to identify the best way of doing something, and then, to share that knowledge
with others working on the project. The result hopefully streamlines the process and put
everyone on the same page of doing things in the best way possible. When everyone can
implement a best practice into their work, they meet their goals and accomplish the mission of
the project.

4.6 Tools, Equipment, Supplies and Materials

 Video cameras
 Tablets
 Smart phones
 SD cards and card readers
 TFT screen
 Recorders
 Stationery

138
4.7 References

Crane, K., & Mooney, M. (2005). Essential tools: Community resource mapping. Minneapolis,
MN: University of Minnesota, National Center on Secondary Education and Transition.
Retrieved March, 1, 2006.

McPherson, M. Q., Friesner, D., & Bozman, C. S. (2020). Mapping the interrelationships
between community assets. International Journal of Social Economics.

CHAPTER FIVE; CONDUCT OF COMMUNITY AWARENESS ACTIVITIES

CHAPTER 1: CONDUCT OF COMMUNITY AWARENESS ACTIVITIES

Unit of learning code- COD/CU/SW/CR/05/5/A

Related Unit of Competency in Occupational Standard: Carry Out Community Awareness

Activities

Introduction to the unit of learning

This unit specifies the competencies required to familiarize with the community awareness plan,
identify resources required, carry out community awareness activities and document community
awareness activities.

Summary of Learning Outcomes

1. Familiarize with the community awareness plan

2. Identify the resources required
3. Carry out community awareness activities
4. Document community awareness activities

1.2.1 Learning Outcome 1

139
Familiarize with the community awareness plan

1.2.1.1 Introduction to the learning outcome

This learning outcome specifies the content of competencies required to plan for Conduct of
community awareness activities. It includes:

 Familiarize with the community awareness plan

 Meaning of community awareness
 Identification assessment tool for knowledge, attitude and practices
 Testing of the assessment tools
 Administration of the assessment tools
 Analysis of results
 Process of sharing findings with stakeholders
1.2.1.2 Performance Standard
 An assessment tool for knowledge, attitude and practices is prepared as per SOPs
 Identification of the community awareness plan is carried out as per the organization
policy
 Review of the awareness plan is carried out as per the organization policy

140
1.2.1.3 Information Sheet
Meaning of community awareness

Community Awareness is generally defined as knowledge created through interaction between

community people and its environment, a setting bounded in space and time. It involves states of
knowledge as well as dynamic process of perception and action. It is the knowledge that must be
maintained and kept updated to complete some tasks in the environment. Community Awareness
generation is considered as core element of successful disaster risk reduction.

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Principle of community awareness generation

The community awareness generation should be based on the following broad principles:

i. An ideal campaign has to be sustained over time to foster changes in social and
behavioral norms.

141
 ii. The strategy for generating community awareness should be designed and implemented
with a clear understanding of local perspectives and requirements with materials
reflecting local conditions in a community.
iii. The strategy should target all sections of the society including decision makers,
professionals, public and individuals living in vulnerable areas.
iv. It postulates that different types of messages and delivery systems should be used to
reach various target audiences at different community.
v. Community awareness generation framework should follow the target audience's
segmentation i.e. grouping by demographic, social, economic variables to create
messages that are salient, effective, oriented which is attractive for the community
people.

Community awareness process

 Community mapping
 Appreciative Inquiry
 Historical timelines and trends

Methodology for awareness generation and dissemination

 Educational curriculum
 Quiz, Declamations and Debates
 Messages during Assembly
 Focus group discussion about the issue at hand
 Social networking
 Social media
 Workshops, Seminars, Orientation programmes and Lectures
 Field visits
 Notices
 Posters, leaflets, brochures etc.
 Cartoons
 Photographs
 Films, Film clips, Videos and advertisements
 Dance, Drama, folksongs and street plays
 Games based on knowledge about disasters
 Short radio/television features
 Talks/Presentations

142
  Door to door awareness campaigns

Ways of community awareness development

1. One way method: Broadcast by radio Television, VCR, CR, conventional radio and
weather radio etc.
2. Two way method: Broadcasting face to face interaction Telephone, mobile etc.
3. Accumulation way: Telecast multimedia and scope to query Focus group discussion,
seminar, meeting etc.

COMMUNITY AWARENESS AND DISASTER RISK REDUCTION

There are four key approaches to community awareness for disaster risk reduction:

i. Campaigns
ii. Informal education
iii. Participatory learning
iv. Formal school-based interventions

Campaigns

There are many examples of large-scale national and international public awareness campaigns
that have led to massive social change. Campaigns comprise a set of activities that may
include :Publications, including billboards, posters, newspaper or magazine Coverage,
information cards, flyers, bookmarks and brochures, Curricula, modules and presentations,
including slide presentations and oral presentations , E-learning ,Performing and cultural arts ,
Games and competitions ,Audio and video materials ,Web pages and activities.

Participatory learning

People are especially motivated by approaches in which they themselves participate in a solution,
and especially when they believe it is their own idea. The focus of participatory learning is to
engage people in discovery and problem solving for disaster risk reduction. This involves using
language, stories, songs and traditions to strengthen the emerging culture of prevention.

143
There are three elements of participatory learning can be applied at three levels:

i. The organizational level – headquarters, branches, schools, businesses, workplaces,

homes
ii. The community level – being scaled up to reach villages, towns, cities, school systems,
and regions.
iii. The population level – being expanded to incorporate entire urban populations, by taking
advantage of internet based tools and social media. Parallel tools specifically for use with
children and for marginalized populations can be valuable as well.

Informal education

The focus of informal education is taking advantage of brief moments and encounters to
stimulate thinking and engage people in discovery of actions and behavior's to increase safety
and resilience. Informal education in communities and schools is the most flexible of all
approaches with respect to setting, audience and timeframe.

Specific tools that can be used for informal education include

 Publications – posters, guidelines, flyers, brochures, booklets, activity books, paper

models, comic books, story books, coloring books, assembly kits and teacher resources
 E-learning – self-study curricula
 Performing and cultural arts – plays, dances, poems, songs, street theatre,puppet theatre
etc.

Formal school-based interventions

The focus of formal school-based interventions covers two areas: school disaster management
and disaster risk reduction in school curricula. These are considered to be formal because
accountability and responsibility for school safety and curricula belong exclusively to education
authorities, so they require support for long-term planning and capacity building.

The following elements are essential:

 An incident command
 Community-based first aid type of system to organize

144
  light search and rescue
 Fire suppression
 Communications
 Psychosocial support
 Shelter
 Nutrition
 Evacuation
 Student–family reunification procedures

Curriculum work

School-based curriculum work takes three main forms, each appropriate to different context:

1. Infusion throughout the curriculum (multi-subject, using readings, examples, problems

and activities).
2. Tools in this area fall into the category of curricula, modules and presentations,
including: textbooks ,modules ,case studies ,exercises ,Hands-on learning materials
3. Informal education tools such as- Publications – posters, guidelines, flyers, brochures,
booklets, activity books, paper models, comic books, story books, coloring books,
assembly kits and teacher resources.
4. Performing and cultural arts – plays, dances, poems, songs, street theatre, puppet theatre
etc.

Identification assessment tool for knowledge, attitude and practices

A Knowledge, Attitude and Practices (KAP) assessment tool is a quantitative method

(predefined questions formatted in standardized questionnaires) that provides access to
quantitative and qualitative information. KAP surveys reveal misconceptions or
misunderstandings that may represent obstacles to the activities that we would like to implement
and potential barriers to behavior change.

Uses of KAP tool

1. Measure the extent of a known situation; confirm or disprove a hypothesis; provide new
tangents of a situation’s reality.

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 2. Enhance the knowledge, attitude, and practices of specific themes; identify what is
known and done about various health-related subjects.
3. Establish the baseline (reference value) for use in future assessments and help measure
the effectiveness of health education activities ability to change health-related behaviors
4. Suggest an intervention strategy that reflects specific local circumstances and the cultural
factors that influence them; plan activities that are suited to the respective population
involved.

Tool Components:

 Constructing the survey protocol

 Preparing the survey
 Course of the KAP survey in the field
 Data analysis and presentation of the survey report
 Conclusion, references, and abbreviations

Administration of the assessment tools

Number of Staff Required: The team will be composed of surveyors and supervisors. The
number of supervisors is directly dependent on the number of surveyors, which is determined by
the size of the survey and the resources available. Each supervisor should have daily face-to-face
contact with each of the surveyors that s/he supervises. For 10-15 surveyors, for example, two
supervisors work quite well.

Time: A KAP survey takes between six and twelve weeks.

Cost of Assessment: This will vary depending on the context and the number of respondents. It
is critical to not to underestimate the magnitude of resources and time necessary for the
implementation of KAP surveys, which are costly and time-consuming.

Training: Training surveyors is crucial. The training lasts two-to-four days depending on the
complexity of the survey and questionnaire and the experience level of surveyors recruited. The
training should allow surveyors to master the knowledge, skills, and expertise specific to the
KAP survey.

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Geographic Targeting: A KAP survey is conducted on a specific target population; respondents
are randomly selected from a complete sampling frame. The target group may share common
characteristics, such as youth under 18 years old, artisans, or drug users (here the KAP
questionnaires are aimed at individuals), or a more general population, e.g. a region or village
(questionnaires aimed at households).

Type of Data Collection: A KAP survey uses household and individual surveys.

Degree of Technical Difficulty: KAP surveys vary; the complexity will be determined by the
specific questions included in a given survey.

Complements other Resources: Open-ended interviews and focus groups can complement a
KAP survey, allowing further exploration of a situation or problem, and potentially highlighting
aspects that are not yet known. These methods combine observations and open interviews and
help deepen topics addressed in the KAP survey.

Analysis of results
After collection, the data should be analyzed to determine the KAP level of the community.
Questions in the Knowledge, which often have more than one component to a ‘correct’ answer,
must be analyzed differently from those in the Attitude section, which must in turn be analyzed
differently from those in the Practice section. Analysis of the responses to the Practice section
should be conducted in a similar fashion to those of the Knowledge section, and be tailored to the
specific nature of each question. In the Attitude section, a numerical value can be assigned to
each choice in the range of responses, with the middle response given a score of zero and
positive and negative scores assigned to those around it. In this way a score can be calculated for
each individual in relation to the highest possible score.

Process of sharing findings with stakeholders

Once the data has been collected and analyzed it should be presented in a report that can then be
distributed to other interested parties.

1.2.1.4 Learning Activities

1.2.1.4.1 Field visit

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The government of Kenya, in an effort to renew its efforts on maintaining peace and security,
launched a model of community policing known as Nyumba Kumi Initiative. With the assistance
of the area chief, within the school surrounding, assemble one Nyumba kumi group and provide
information on COVID-19 Vaccine.

1.2.1.5 Self-Assessment
You are provided with the following questions for self -assessment, attempt them and check
your responses
1. You are planning to conduct a community awareness campaign. Discuss the community
awareness process that you will employ
2. What instances is a knowledge, attitude and practice tool used?
3. What methods have been used to spread information about community awareness?
4. What are the principle of community awareness?
5. How would you describe community awareness?
1.2.1.6 Tools, Equipment, Supplies and Materials
 Charts on community awareness
1.2.1.7 References
Zastrow, C., & Zastrow, C. (2009). Introduction to social work and social welfare. Pacific Grove,
Calif: Brooks/Cole Pub. Co.
Davies, M. (2010) The Essential Social Worker: An Introduction to Professional Practice in the
21st Century, 3rd edn, Aldershot, Arena.
1.2.2 Learning Outcome 2
Identify the resources required
1.2.2.1 Introduction to the learning outcome
This learning outcome specifies the content of competencies required to identify the resources
required. It includes:
 Identification of resources for planned activities
 Time allocation for planned activities
 Community awareness programme activities
 Establishment of available resources and resource gaps

1.2.2.2 Performance Standard

 community awareness planning meetings are conducted as per organization policy
 An inventory of community resources is compiled as per the awareness plan
 Dissemination of information on resources is carried out as per organization policy

1.2.2.3 Information Sheet

Identification of resources for planned activities

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A community resource, is anything that can be used to improve the quality of community life.
And this means:

 It can be a person -- Residents can be empowered to realize and use their abilities to
build and transform the community.

 It can be a physical structure or place -- a school, hospital, church, library, recreation

center, social club. It could be a town landmark or symbol. It might also be an unused
building that could house a community hospice, or a second floor room ideal for
community meetings. Or it might be a public place that already belongs to the community
-- a park, a wetland, or other open space.

 It can be a community service that makes life better for some or all community members -
public transportation, early childhood education center, community recycling facilities,
cultural organization.

 It can be a business that provides jobs and supports the local economy.

 Everyone has some skills or talents, and everyone can provide knowledge about the
community, connections to the people they know, and the kind of support that every
effort needs - making phone calls, stuffing envelopes, giving people information, moving
equipment or supplies - whatever needs doing.

Community awareness programme activities

Activities are targeted to include:

 Community networking promotes community awareness of program services and
availability by networking with professionals and leaders in the community.
 Developing, building and maintaining Response Teams, which include
representatives from victim advocacy, law enforcement, prosecution and healthcare.
 Joining community-based collaborations (e.g., disaster preparedness committees,
social service consortiums,)
 Communicating regularly with staff at local social service agencies, hospital
emergency room, law enforcement, state attorney, clerk of court and non-certified
victim advocates

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  Visiting local businesses and dropping off sexual violence materials, event flyers
and brochures
 Joining local groups and sharing information
 Collaboration with other agencies
Training For Professionals and Non-Professionals

 “Training” refers to education about available programs/services that are provided to

professional and non-professional audiences.
 Trainers must be competent in the following content areas:
 Dynamics of each of our programs and all services that we offer
 Relevant community resources
 Crisis intervention
 Medical, criminal justice/legal and social service victim response

Training Sites Include:

 Social service agencies and organizations

 Educational institutions, including daycare centers
 Healthcare facilities
 Law enforcement agencies
 Youth organizations
 Local businesses (e.g., provide sexual violence training to employees)
 Churches (e.g., provide training to congregations and/or religious leaders)

Participation in Community Events

Program staff are involved in events throughout the community. Participation in community
events often includes a table with promotional and informational items containing (at minimum)
program names and hotline number, program materials and program brochures. Examples of
community events:
 Festivals
 Fairs
 Community celebrations
 Parades
 Social service outreach (career day open house)

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  School events (sports events or campus clubs/activities)
 Sexual Assault Awareness Month activities)

Public Speaking
Getting the word out will increase community awareness of programs and available services.
Things to consider for public speaking:
 Keep an agency speakers bureau – the list should include advocacy core trained
staff and volunteers with public speaking experience, their areas of specialization
and general availability
 Advertise your availability to speak on the topic of sexual violence
 Call potential sponsors for speaking engagements
 Seek opportunities to speak at community events
 Set up interviews for local television and radio programs
 Submit workshop proposals for conferences

Distribution of Materials
Programs should routinely distribute program materials to local businesses, churches, social
service agencies, hospitals, law enforcement, court and legal personnel, clubs, schools and
civic organizations. Things to consider:
 Materials should include information about all available programs as well as defined
programs best suited for visit. Include on materials hotline and office telephone numbers,
hours and location of services and website address.
 The community should be informed of materials that are available for distribution and a
mechanism established to request material
 Drop off materials at local businesses
 Contact law enforcement on a regular basis to check on the status of the “Victim Rights
and Services” brochure. Responding officers are required to give the brochure to victims
 Develop materials that will be accessible to all members of your community

Resource Libraries
Information technology is a means of sharing program services with the community. Site-based
libraries, web-based resources and links and community-based libraries are all sources for
resource sharing. Suggestions for resource libraries and sharing include:

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  Maintain a resource library that contains up-to-date books, manuals, DVDs and training
materials
 Advertise availability of agency-based resource library to the general public and/or local
professionals
 Host a reading group
 Host a movie night
 Develop your agency website to include program specific resources that can be
downloaded or links to resources

Media Coverage/Campaign
Media provides a cost-effective means of advertising. Plan events to include media coverage.
Use local media that reaches diverse populations within your service area. Include coverage in
language(s) that will reach all members of the community.
 Public Service Announcements on local television and radio stations
 Local media/newspapers
 Social media – spread the news of your services through an agency Facebook page
and/or Twitter account
 Agency website and blogs
Advertising
Advertising program services and the hotline number should be included in agency advertising
and materials as well as ways to inform hard-to-reach populations such as the mentally ill,
homeless, substance abusers and sex workers of the available programs and services. Examples
of ways to advertise:
Establishment of available resources and resource gaps

Developing a plan for identifying local needs and resources can help change makers understand
how to improve their communities in the most logical and efficient ways possible.

Needs can be defined as the gap between what is and what should be. A need can be felt by an
individual, a group, or an entire community. It can be as concrete as the need for food and water
or as abstract as improved community cohesiveness.

WHY DEVELOP A PLAN FOR ASSESSING LOCAL NEEDS AND RESOURCES?

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  It will help community members gain a deeper understanding of the community. Each
community has its own needs and assets, as well as its own culture and social structure a
unique web of relationships, history, strengths, and conflicts that defines it. A community
assessment helps to uncover not only needs and resources, but the underlying culture and
social structure that will help you understand how to address the community's needs and
utilize its resources.

 An assessment will encourage community members to consider the community's assets

and how to use them, as well as the community's needs and how to address them. That
consideration can (and should) be the first step in their learning how to use their own
resources to solve problems and improve community life.

 It will help one make decisions about priorities for program or system improvement. It
would obviously be foolhardy to try to address community issues without fully
understanding what they are and how they arose. By the same token, failing to take
advantage of community resources not only represents taking on a problem without using
all the tools at your disposal to solve it, but misses an opportunity to increase the
community's capacity for solving its own problems and creating its own change.

 It goes a long way toward eliminating unpleasant surprises down the road. Identifying
needs and resources before starting a program or initiative means that you know from the
beginning what you're dealing with, and are less likely to be blindsided later by
something you didn't expect.

Developing a plan for assessment

It allows involvement community members from the very beginning of the process. This
encourages both trust in the process and community buy-in and support, not only of the
assessment, but of whatever actions are taken as a result of it. Full community participation in
planning and carrying out an assessment also promotes leadership from within the community
and gives voice to those who may feel they have none.

 An assessment is a great opportunity to use community-based participatory research,

further involving community members and increasing community capacity.

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  A good plan will provide an easy-to-follow road map for conducting an accurate
assessment. Planning ahead will save time and effort in carrying out the process.

 A planning process will give community members the opportunity to voice their
opinions, hopes, and fears about the community. Their idea of priorities might be
different from those of professionals, but they shouldn't be ignored.

It may be important to address the community's priorities first, in order to establish trust and
show respect. Building relationships and credibility may be more important at the beginning of a
long association than immediately tackling what seems to be the most pressing need. Among
other things, community members' priorities may be the right ones: they may see underlying
factors that you don't yet understand.

WHO SHOULD BE INVOLVED IN DEVELOPING A PLAN FOR ASSESSING LOCAL

NEEDS AND RESOURCES?

The assessment process benefits greatly when there's full participation from community
stakeholders. Among those who should be involved:

 Those experiencing needs that should be addressed. It's both fair and logical to involve
those who are most directly affected by adverse conditions. They know best what effects
those conditions have on their lives, and including them in the planning process is more
likely to produce a plan that actually speaks to their needs.

 Health and human service providers. These individuals and organizations, especially
those that are community-based, often have both a deep understanding of the community
and a strong empathic connection with the populations they serve. They can be helpful
both by sharing their knowledge and by recruiting people from marginalized populations
to contribute to the assessment.

 Government officials. Elected and appointed officials are often those who can help or
hinder a community change effort. Engaging them in planning and carrying out an
assessment helps to ensure that they will take the effort seriously and work to make it
successful.

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  Influential people. These can can include individuals who are identified as leaders
because of their positions ;college presidents, directors of hospitals and other major
organizations, corporate CEOs ; because of the prestige of their professions doctors,
professors, judges, clergy , or because they are known to be people of intelligence,
integrity, and good will who care about the community.

 People whose jobs or lives could be affected by the eventual actions taken as a result of
the assessment. These include teachers, police, emergency room personnel, landlords,
and others who might have to react if new community policies or procedures are put in
place.

 Community activists. People who have been involved in addressing policy or issues that
could come up in the course of the assessment have a stake in planning the assessment as
well.

 Businesses, especially those that employ people from populations of concern. The
livelihoods of local business owners could be affected by the results of the assessment, as
could the lives of their employees.

Assessments of resources and needs should be done regularly:

 Prior to planning the initiative. This gives coalition members, community leaders, and
those being served an idea of how to improve their circumstances.

 During implementation of an initiative.

 On an ongoing basis. During monitoring and evaluation, either ongoing or after the
completion of a project, it is important to celebrate successes and to learn from setbacks
to further community development.

DEVELOPING A PLAN FOR ASSESSING LOCAL NEEDS AND RESOURCES

The best way to assess needs and assets is by using as many of the available sources of
information as possible. Developing a plan will allow one to take these considerations into
account and use the results to determine goals, devise methods, and create a structure for a

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community assessment that will give you the information you need to conduct a successful
effort.

Recruit a planning group that represents all stakeholders and mirrors the diversity of the
community

Try to be as inclusive as you can, so that the group is diverse and truly representative of the
community. You may have to work particularly hard to persuade people from groups that are
generally not offered seats at the table low-income people. A truly representative planning group
is not only more likely to come up with a plan that produces an accurate assessment, but is also a
signal to community members that they are part of the process. They are more apt to trust that
process and support whatever comes out of it.

Another important determination at this point is whether the planning group and those who will
actually conduct the assessment -- contact informants, construct surveys, facilitate public
meetings, gather data, and report on and evaluate the assessment process -- will need training,
and if so, how much and of what kind. Many people that haven't had a great deal of formal
education, belong to groups that are often denied a voice in community affairs, or belong to a
culture other than the mainstream one don't have the meeting and deliberation skills that many
middle-class citizens take for granted. They might need training and/or mentoring to learn how
to contribute effectively to a planning group. In addition, many people may need training in data
collection methods, evaluation, and other areas important to the assessment process. Whatever
training is needed has to be not only anticipated but planned out, so that it gets done in a timely
and useful way. Now is the time to start thinking about it.

Design an evaluation process for the assessment, including the development of the plan

Evaluation should start at the beginning of an effort, so that you can monitor everything you do
and be able to learn from and adjust any part of the process including planning to make the work
as effective as possible.

The reasons for an assessment

 Determining how to address the needs of a particular underserved or neglected group.

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  Conducting a community health assessment in order to launch a public health campaign
or combat a particular disease or condition.
 Exploring how to steer the activities of a coalition of service providers or government
agencies.
 Understanding community needs and resources as a guide to advocacy efforts or policy
change.
 Assessing the impact, intensity, and distribution of a particular issue, to inform strategies
for approaching it. This may involve breaking the issue down still further, and
investigating only a part of it.

Figure out what other information is needed

This is the time to finalize the questions you'll ask your informants, as well as the questions you
hope to answer with the assessment. Those questions will depend on your purposes. In most
cases, you'll want to find out what is important to members of populations of concern or those
who might benefit from or be affected by any action you might take as a result of the assessment.
You will probably also want to hear the opinions of the people who serve or work with those
people -- doctors, human service staff and administrators, teachers, police, social workers,
advocates, etc.

In addition, it will probably be helpful to look at some community level indicators, such as:

 The number of and reasons for emergency room or clinic visits.

 The number of places to buy fresh produce in various neighborhoods.

 The percentage of motor vehicle accidents and traffic stops involving alcohol.

 The number of teen births in the community in the past year, compared to those in other
similar communities, in the state or province (or country) as a whole, and/or in past years.

Methods to be used for gathering information

 Using existing data. This is the research you might do to unearth the information in
census and other public records, or to find information that's been gathered by others.

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 Listening sessions and public forums. Listening sessions are forums you can use to learn
about the community's perspectives on local issues and options. They are generally fairly
small, with specific questions asked of participants. They can help you get a sense of
what community members know and feel about the issue, as well as resources, barriers,
and possible solutions. Public forums tend to be both larger in number of participants and
broader in scope than listening sessions. They are gatherings where citizens discuss
important issues at a well-publicized location and time. They give people of diverse
backgrounds a chance to express their views, and are also a first step toward
understanding the community's needs and resources. A good public forum informs the
group of where the community is and where the members would like to go.

 Interviews and focus groups. These are less formal than forums, and are conducted with
either individuals or small groups (usually fewer than ten, and often as few as two or
three.) They generally include specific questions, but allow room for moving in different
directions, depending on what the interviewees want to discuss. Open-ended questions
(those which demand something more than a yes or no or other simple answer), follow-
ups to interesting points, and a relaxed atmosphere that encourages people to open up are
all part of most assessment interviews. A focus group is a specialized group interview in
which group members are not told exactly what the interviewer wants to know, so that
they will be more likely to give answers that aren't influenced by what they think is
wanted.

 Direct, and sometimes participant, observation. Direct observation involves seeing for
yourself. Do you want to know how people use the neighborhood park on weekends?
Spend a few weekends there, watching and talking to people.

 Surveys. There are several different kinds of surveys, any or all of which could be used as
part of a community assessment. Written surveys may be sent to people in the mail, given
out at community events or meetings, distributed in school, or handed to people on the
street. People may also be surveyed by phone or in person, with someone else writing
down their spoken answers to a list of questions. Many kinds of surveys often have a low
return rate, and so may not be the best way to get information, but sometimes they're the
only way, or can be given in situations where most people complete them.

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  Asset Mapping. Asset mapping focuses on the strengths of the community rather than the
areas that need improvement. Focusing on assets gives the power back to the community
members that directly experience the problem and already have the resources to change
the status quo. If the changes are made by the community and for the community, it
builds a sense of cohesiveness and commitment that makes initiatives easier to sustain.

Decide who will collect data

Will you use a participatory research process, whereby community members gather data
themselves or in collaboration with professionals? Will you hire an individual or a group to
gather information? If you choose neither of these, then who will do the work of interviewing,
surveying, or carrying out whatever other strategies you've chosen to find information?

These are important questions, because their answers can affect the quality and quantity of
information you get. Individuals in the community may be more willing to be interviewed and/or
to give honest and detailed answers to people they know or can identify with, i.e., other
community members. Participatory researchers may need training to be able to do a good job.
You may need an experienced researcher to put together a survey that gets at the issues you're
most concerned with. A combination of several types of data gatherers may work best. It's worth
spending some time on this issue, so that you can assemble the crew that's right for your
community and your plan.

Decide how you'll reach your informants

In order to get information from people, you'll have to contact them. There are many ways to do
that, and you'll probably want to use several of them. In general, the more personal the approach,
the more effective it will be. Some of the most common:

 Posting requests on one or more local websites or on social media sites (Facebook,
Twitter, etc.)

 Choosing people at random (e.g., from the phone book) to receive written or telephone
surveys.

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  Mailing or emailing surveys to one or more lists. Many organizations are willing to
share lists of members or participants for purposes like this. Some will mail or email
surveys under their own names, so that people receive them from an organization they're
familiar with, and might be more willing to complete and return them than if they
apparently came to them randomly.

 Stopping people in a public place to ask them to fill out or, more commonly, give verbal
answers to a short survey. You may have had the experience of being asked your
opinion in a shopping area or on a busy sidewalk. People are somewhat more willing to
answer questions in this way than to fill out and return a mailed or emailed survey.

 Putting up posters and distributing flyers in public places (supermarkets, , bus stops,
etc.) and/or sending them to specific organizations and businesses.

 Using the media.

 Direct appeal to existing community groups. Either a member of the planning team or a
leader or member of the group in question might make an appeal at a club meeting, a
religious gathering, or a sports event for volunteers to participate in a survey, an
interview or focus group, or a larger meeting.

 Personal approach. Members of the planning group might recruit friends, colleagues,
neighbors, family members, etc. by phone or in person. They might also ask the people
they recruit to ask others, so that a few people can start a chain of requests that ends up
with a large number.

Decide who will analyze the data and how they'll do it

Once you've collected the information, you have to analyze it to see what it means. That means
identifying the main themes from interviews and forums, sorting out the concerns of the many
from those of the insistent few, understanding what your indicators seem to show, comparing
community members' concerns with the statistics and indicators, and perhaps a number of other
analytical operations as well. Some of these might involve a knowledge of statistics and higher
math, while others may require only common sense and the ability to group information in
logical ways.

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If you've engaged in a participatory research process, the community researchers should also be
involved in analyzing the material they've found. They might do this in collaboration with
professionals from local organizations, with consulting academic researchers, or with a paid
consultant. If you've decided to hire an individual or group to conduct the assessment, then
they'll probably conduct the analysis as well.

Decide how you'll record the results of the assessment and present them to the community

Depending on your goals and what's likely to come out of the assessment, "the community" here
may mean the whole community or the community of stakeholders that is represented on the
planning committee. In either case, you'll want to be able to explain clearly what the assessment
found, and perhaps to engage people in strategizing about how to deal with it. That means you'll
want to set out the results clearly, in simple, everyday language accompanied by easy-to-
understand charts, pictures, and/or graphs. Your report doesn't have to be complicated or to use
technical language in order to be compelling. In fact, the more you can use the words of the
community members who contributed their concerns and experiences, the more powerful your
report will be.

How will you communicate the results to the community? With the availability of PowerPoint
and similar programs, you have the opportunity to create a professional-looking presentation that
you can use in a number of ways. It could be presented as a slide show in one or more public
meetings or smaller gatherings, posted along with a narrative on one or more social media sites
(Facebook, YouTube, etc.) and/or on your website, run as a loop in a public place, such as a local
library, or even broadcast on community access TV. Furthermore, it could be used by a number
of people without each having to fetch and carry large and cumbersome equipment or signboards
and the like.

Decide who will perform what assessment tasks

The group should make sure everyone has a role that fits her skills, talents, and, to the extent
possible, preferences. It should also make sure that all necessary tasks are covered. If more
people need to be recruited as data gatherers, survey mailers, phone callers, etc. that recruitment
should be part of the plan. The point of having a plan is to try to anticipate everything that's

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needed as well as everything that might go wrong and make sure that it has been arranged for.
Assigning tasks appropriately is perhaps the most important part of that anticipation.

Create a timeline

Work out what should happen by when. How long will you spend on preparing for the
assessment contacting people, training interviewers and/or group facilitators, preparing and
printing surveys? How long will you gather information? How long will you take to analyze the
data and write up a report? Each phase of the assessment should have a deadline. That creates
benchmarks checkpoints along the way that tell you you're moving in the right direction and
have gotten far enough along so that you'll finish the assessment on time with the information
you need.

Present the plan, get feedback, and adjust it to make it more workable

Once the plan is done, it should be presented to at least a sample of those who will be asked for
information and those who will have responsibilities for parts of the assessment. This will allow
them to consider whether the plan takes the culture of the community into account, and is likely
to make data collection and analysis as easy as possible. As a result of their feedback, you can
adjust parts of the plan to make them more acceptable to the community or more workable for
the assessment team.

1.2.2.4 Learning Activities

1.2.2.4.1 Group Activity

In a group of five students create a poster that creates awareness on the importance of hygiene
practices in the home environment

1.2.2.6 Tools, Equipment, Supplies and Materials

 Text books
 Internet

1.2.2.7 References
1. Dominelli, L. (2012) ‘Anti-oppressive practice in context’ in Adams, R., Dominelli, L.
and Payne, M. (eds) Social Work: Themes, Issues and Critical Debates, 2nd edn,
Basingstoke, Palgrave, pp. 3–19.
2. Lishman, J. (2004) Communication in Social Work, Basingstoke, Macmillan.

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 3. Open University (2017) ‘Workbook 0’, K112 The reflective social worker, Milton
Keynes, The Open University.

RESPONSES
1.2.3 Learning Outcome 3
Carryout community awareness activities

1.2.3.1 Introduction to the learning outcome

This learning outcome specifies the content of competencies required to carry-out community
awareness activities. It includes:

 Importance of a community awareness plan

 Formulation of community awareness programme objectives
 Importance of community participation in awareness programmes
 Programme formulation meetings with community stakeholders
 Documentation of formulated programmes
 Report writing on community awareness programme

1.2.3.2 Performance Standard

 Identification of community awareness activities is carried out as per organization policy
 Identification of the community awareness messages is carried out as per organization
policy
 Identification of the channels of communication is carried out as per the planned
activities
 Conduct community awareness meetings
 Feedback mechanisms are identified as per the planned activities

1.2.3.3 Information Sheet

Importance of a community awareness plan

 Sense of ownership
 Ensuring value for money
 Foster development.
 Creates awareness among stakeholders on how funds are being used and get to decide on
their wellbeing
 When communities participate transparency and accountability of the leaders increases
hence having projects of quality standards.

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Formulation of community awareness programme objectives

The main focus of community awareness programs is dependent upon what they aim to achieve.
Therefore the establishment of objectives is an important first step in the identification and
design of such programs. More specifically, awareness programs seek to influence target
audiences to accept new issues, to motivate them towards adopting new behaviors and, more
importantly, to assist them to maintain and sustain newly acquired behavior.
TOOLS FOR ACHIEVING OBJECTIVES

1. AWARENESS
The aim of an awareness program is to motivate the target audience to want to know more about
the issue being promoted. It also serves as a "memory jogger" when the knowledge of the subject
matter is already known, but may be a little rusty. Awareness alone should never be considered
as a suitable tool when the objective of the program is focused upon seeking a more, responsible
community through practical application of mitigation and preparedness measures. This
approach assumes that every member of the community knows about the subject matter and,
moreso, knows what action they need to take in order to reduce vulnerability, and when that
action should be taken. Some examples of awareness tools are:
 Posters, flyers and brochures
 Other printed material
 Pre-recorded television and radio announcements
 Radio shows
 Promotional materials such as balloons, fridge magnets and colouring in books.
2. EDUCATION
In public education, interpersonal relationship (or face-to-face interaction) and field
demonstrations are among the best methods to approach a .target audience. However, these
approaches are limited only to those who attend the sessions. Therefore, it is necessary to
incorporate the use of other forms of media in order to supplement and broaden the direct
interactions. This can be achieved through the use of radio, particularly with pre-recorded
messages and program and television where it exists. Printed material also serves as a sustaining
information channel since these can be read each time there is a need for reinforcement or be
used as an ongoing reference.
The following list provides some examples of education strategies.
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  Informal discussion and other direct interactions
 Training sessions to increase understanding and provide clarification on printed and other
audio visual materials
 Complementary radio and TV drama
 Community visits and field demonstrations
 Illustrated posters
 Other culturally and traditionally accepted ways of knowledge transfer
With regard to education, there are three main approaches or program strategies which can be
adopted in order to reach specific target audiences:
1. Formal Education
When education is mentioned, the first thing that comes to mind is the school system. The school
has the environment of learning and, since public awareness tries to instil favorable habits and
behaviour which are achievable through learning, it is recommended that this be done within the
school curriculum.
2. Non-Formal Education
Non-formal education is any organized educational activity outside the established curriculum
system, and tends to be non-institutionalized; specific; short cycle and flexible. Examples
include: Community Education Courses, Workplace Gatherings, Field Demonstration, Extension
Consultation, Workshops and Seminars. Non-formal education may be more efficient in some
respect through its closeness to community needs and their learner centeredness. It is also far less
resource intensive.
3. Informal Education
This consists of day-to-day learning experiences outside formal and non-formal systems and
cannot be fully structured. This approach is dependent on:
 Networking.
 Word-of-mouth.
 Reading newspapers.
 Visiting historical places
 Community channels like brochures, posters, pamphlets, radio programs, tv shows, video,
and film.
 Positive attitudes, appropriate skills and behaviors

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IMPORTANT CONSIDERATIONS
When implementing an education and awareness programs, there are several factors to consider:
 Programs are time-bound, specific and media-centric.
 Effectiveness of small media as channels for promoting community awareness
 Dissemination can be done through the integration of folk, interpersonal and mass
media. By doing so, one can reach a wider audience and harness the power of
interpersonal channels. Among the media employed are traditional forms such as puppet
shows, rural theatre, folklore -legends and myths. This form of medium pays equal
emphasis to other elements such as the audience and the message.
 Use of popular culture. This determines to a large extent how people, particularly the
youth, act, speak and behave. Popular media include recordings, music videos, television
and films.
 Radio drama and adventure comics can take the place of traditional storytelling. Audio
tapes can also be effectively tapped because these could be easily copied and multiplied.
Importance of community participation in awareness programmes
Community participation can be defined as the involvement of people in a community in projects
to solve their own problems. People cannot be forced to ‘participate’ in projects which affect

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their lives but should be given the opportunity where possible. This is held to be a basic human
right and a fundamental principle of democracy.
Community participation can take place during any of the following activities:
 Needs assessment – expressing opinions about desirable improvements, prioritizing goals
and negotiating with agencies
 Planning – formulating objectives, setting goals, criticizing plans
 Mobilizing – raising awareness in a community about needs, establishing or supporting
organizational structures within the community
 Training – participation in formal or informal training activities to enhance
communication, construction, maintenance and financial management skills
 Implementing – engaging in management activities; contributing directly to construction,
operation and maintenance with labor and materials; contributing cash towards costs,
paying of services or membership fees of community organizations
 Monitoring and evaluation – participating in the appraisal of work done, recognizing
improvements that can be made and redefining needs
Most emergency sanitation programs tend to be designed and executed by the relief agency;
however, this does not mean that the community is unable or unwilling to participate in some or
all of the activities outlined above.
Importance of community participation
The following are some of the main reasons why people are usually willing to participate in
humanitarian programs:
i. Community participation motivates people to work together – people feel a sense of
community and recognize the benefits of their involvement.
ii. Social, religious or traditional obligations for mutual help
iii. Genuine community participation – people see a genuine opportunity to better their own
lives and for the community as a whole
iv. Remuneration in cash or kind
Disincentives to community participation
The following are some of the main reasons why individuals and/or community may be reluctant
to take part in community participation:
 An unfair distribution of work or benefits amongst members of the community

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  A highly individualistic society where there is little or no sense of community
 The feeling that the government or agency should provide the facilities
 Agency treatment of community members – if people are treated as being helpless they
are more likely to act as if they are
Generally, people are ready and willing to participate; the biggest disincentive to this is probably
the attitude and actions of the agency concerned. Treating people with respect, listening to them
and learning from them will go a long way toward building a successful program; it will also
save time and resources in the long run and contribute greatly to program sustainability.
Programme formulation meetings with community stakeholders

It may not be possible for each and every member of the affected population to contribute to a
program equally but attempts can be made to identify key groups and individuals that can be
actively involved. A useful tool to assess whom the program will affect (positively or negatively)
and therefore who should have a stake in the program is stakeholder analysis. This should be
used to identify key stakeholders and their interests. Stakeholders may include different people
from within the affected population, as well as local authorities and agencies.

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 Table 12.1. Example stakeholder analysis

Stakeholders Interests at stake in relationEffect of Importance of Influence of

to programme program stakeholder stakehold
me on for er over
interests programme program
success me

Primary stakeholders

Women Improved access to sanitation facilities (+)

Better health

Children Improved access to sanitation facilities (+)

Better health and safety

Disabled people Improved access to sanitation facilities (+)

Better health

Men opportunities Better (+)

health
Secondary stakeholders

Civil/religious leader Safeguard their influence within the (+)/(-)

affected population
Mobilise the affected community

Elders Respect and influence (+)/(-)

Local authority Maintain political power/control (+)/(-)

NGOs in the affected area Health and well-being of community (+)/(-)

Local supplier Sales and profits (+)

Agency project team Co-ordination of activities (+)

External stakeholders

Donor Short-term disbursement of funds

Effective and efficient delivery of (+)
programme

Local population Increased trade potential (+)

Disparity in service provision

https://ec.europa.eu/echo/files/evaluation/watsan2005/annex_files/WEDC/es/ES12CD.pdf

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Stakeholders are those who may be affected by or have an effect on an effort. They may also
include people who have a strong interest in the effort for academic, philosophical, or political
reasons, even though they and their families, friends, and associates are not directly affected by
it. One way to characterize stakeholders is by their relationship to the effort in question.

Primary stakeholders are the people or groups that stand to be directly affected, either positively
or negatively, by an effort or the actions of an agency, institution, or organization. In some
cases, there are primary stakeholders on both sides of the equation: a regulation that benefits one
group may have a negative effect on another.

Secondary stakeholders are people or groups that are indirectly affected, either positively or
negatively, by an effort or the actions of an agency, institution, or organization. A program to
reduce domestic violence, for instance, could have a positive effect on emergency room
personnel by reducing the number of cases they see. It might require more training for police to
help them handle domestic violence calls in a different way. Both of these groups would be
secondary stakeholders.

Key stakeholders, who might belong to either or neither of the first two groups, are those who
can have a positive or negative effect on an effort, or who are important within or to an
organization, agency, or institution engaged in an effort. The director of an organization might
be an obvious key stakeholder, but so might the line staff – those who work directly with
participants – who carry out the work of the effort. If they don’t believe in what they’re doing or
don’t do it well, it might as well not have begun. Other examples of key stakeholders might be
funders, elected or appointed government officials, heads of businesses, or clergy and other
community figures who wield a significant amount of influence.

While an interest in an effort or organization could be just that – intellectually, academically,

philosophically, or politically motivated attention – stakeholders are generally said to have an
interest in an effort or organization based on whether they can affect or be affected by it. The
more they stand to benefit or lose by it, the stronger their interest is likely to be. The more
heavily involved they are in the effort or organization, the stronger their interest as well.

Stakeholders’ interests can be many and varied. A few of the more common:

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 i. Economics. An employment training program might improve economic prospects for
low-income people, for example. Zoning regulations may also have economic
consequences for various groups.
ii. Social change. An effort to improve racial harmony could alter the social climate for
members of both the racial or ethnic minority and the majority.
iii. Work. Involving workers in decision-making can enhance work life and make people
more satisfied with their jobs.
iv. Time. Flexible work hours, relief programs for caregivers, parental leave, and other
efforts that provide people with time for leisure or taking care of the business of life can
relieve stress and increase productivity.
v. Environment. Protection of open space, conservation of resources, attention to climate
change, and other environmental efforts can add to everyday life. These can also be seen
as harmful to business and private ownership.

KEY STAKEHOLDERS

1. Government officials and policy makers. These are the people who can devise, pass, and
enforce laws and regulations that may either fulfill the goals of your effort or directly
cancel them out.

2. Legislators. Federal and state or provincial representatives, senators, members of

parliament, etc. who introduce and pass laws and generally control public budgets at the
federal and state or provincial levels.

3. Governors, mayors, city/town councilors, selectmen, etc. The executives that carry out
laws, administer budgets, and generally run the show can contribute greatly to the success
– or failure – of an effort.

4. Local board members. Boards of health, planning, zoning, etc., through their power to
issue permits and regulations, can be crucial allies and dangerous opponents.

5. State/federal agencies. Government agencies often devise and issue regulations and
reporting requirements, and can sometimes make or break an effort by how they choose
to regulate and how vigorously they enforce their regulations.

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 6. Policy makers. These people or groups often have no official power – they may be
“advisers” to those with real power – but their opinions and ideas are often followed
closely. If they’re on your side, that’s a big plus.

Those who can influence others

The media

People in positions that convey influence. Clergy members, doctors, CEOs, and college
presidents are all examples of people in this group.

Community leaders – people that others listen to. These might be people who are respected
because of their position of leadership in a particular population, or may be longtime or lifelong
residents who have earned the community’s trust over years of integrity and community service.

Business. The business community usually will recognize its interest in any effort that will
provide it with more and better workers, or make it easier and more likely to make a profit. By
the same token, it is likely to oppose efforts that it sees as costing it money or imposing
regulations on it.

Advocates. Advocates may be active on either or both sides of the issue you’re concerned with.

Community activists. Organizations and individuals who have a philosophical or political

interest in the issue or population that an effort involves may organize to support the effort or to
defeat it.

People with academic or research interests related to a targeted issue or population. Their work
may have convinced them of the need for an intervention or initiative, or they may simply be
sympathetic to the goals of the effort and understand them better than most.

Funders. Funders and potential funders are obvious key stakeholders, in that, in many cases,
without their support, the effort won’t be possible.

Community at large. When widespread community support is needed, the community as a whole
may be the key stakeholder.

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Documentation of formulated programmes

Programme formulation is the process of choosing the who, what, how, when, and where of
persuing programme objectives. Program plans generally do not contain many details on the
activities to be carried out and the outputs expected by these activities. What the programme
formulation will indicate is a list of programme specific objectives (that will become the overall
objectives of projects), the reasons why these objectives where set and a list of possible actions
and development sectors that are considered to be suited to the achievement of programme
objectives. A good will also describe how the achievement of these objectives is expected to
have a wider impact thanks to the use of project results by project beneficiaries and other project
stakeholders. Program formulation therefore provides a framework where different projects,
sharing the same overall objectives, can be conceived and implemented in a co-ordinated. A
programme will generate benefices for internal and external stakeholders; there is a communality
of interests for all stakeholders that the project is a success.

A programme plan may have a different format according if it is meant for the project partners as
external stakeholders. When the plan is meant mainly for an audience of internal stakeholders
the operations plan may contain more details for specifying all the tasks required for managing
the activities and delivering the expected products/services. However in many cases external
stakeholders like donors and other partners will be interested to see such details and monitor the
implementation of activities because they have to justify to others the resources they have
invested in the project/programme.

In all group relationships, there will be some self-interest that may not be in line with the
common interest, like some people saving their time and putting inadequate effort in their tasks,
vendors charging higher costs, leaders claiming responsibility of all the successes and blaming
others for the problems, etc. A good programme plan will minimize conflict of interests as much
as all the reciprocal expectations are well defined and documented and a system of monitoring
and support is in place. Planning is not everything: team spirit and a visionary leadership are

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essential for a project success; but without a good plan misunderstand and disappointment will
almost be inevitable.

A programme should contain budget indication regarding what is the expected cost of the
projects and of project origination, supervision and evaluation. It should also give inductions on
how the projects are expected to obtain the financial resources they will need.

A good program will also identify and attribute specific responsibility in the programme
management team in generating project and animate the process of producing the programme
results chain (from project deliverable to outcomes, up to programmes impacts) so that the steps
of the process are specifically attributed to the managerial structure, where specific professional
positions are considered primarily accountable for expected results;considering internal audit and
budget tracking as programme implementation actions, so reporting about them clearly and
evaluate their efficiency and transparency. manner.

1.2.2.4 Learning Activities

1. What is the importance of a community awareness plan?
2. What strategies are involved in formulation of community awareness programme
objectives?
3. What is the importance of community participation in awareness programmes
4. Who are the key stakeholders in community planning?

1.2.2.5 Tools, Equipment, Supplies and Materials

Social work text books

Resource laboratory with internet connected computers

1.2.2.6 References
1. Stevens, M., Moriarty, J., Manthorpe, J., Hussein, S., Sharpe, E., Orme, J., Mcyntyre, G.,
Cavanagh, K., Green-Lister, P. and Crisp, B.R. (2012) ‘Helping others or a rewarding
career? Investigating student motivations to train as social workers in England’, Journal
of Social Work vol. 12, no. 1, pp. 16–36.
2. Open University (2017) ‘Workbook 0’, K112 The reflective social worker, Milton
Keynes, The Open University.

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CHAPTER SIX; ADVOCACY AND LOBBYING ACTIVITIES
ADVOCACY AND LOBBING ACTIVITIES
Unit of learning code COD/OS/CR/06/5/A

Related Unit of Competency in Occupational Standard Advocacy and lobbing activities in

Social Work

1.1 Introduction to the unit of learning

This unit describes the competencies required to identify community socio economic issues,
identify target groups, carry out problem analysis, in partnership with stakeholders support
implementation of lobbying activities and document the advocacy and lobbying activities

1.2 Summary of Learning Outcomes

1. Identify community socio economic issues,
2. Identify target groups,
3. Carry out problem analysis,
4. In partnership with stakeholders’ support implementation of lobbying activities
5. Document the advocacy and lobbying activities

1.2.1 Learning Outcome 1: Identify community socio economic issues,

1.2.1.1 Introduction to the learning outcome

1.1 This learning outcome specifies the roles and responsibilities of social work staff as per
organizational policies and relevant regulations/laws. It includes project boundaries and
local leadership being established as per organisation policy. It also identifies that gender
mainstreaming, human rights-based programming and disability mainstreaming are done as
per legislations. Finally it specifies that documentation and reporting are done as per
organization policy.

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 1.2.1.2 Performance Standard
 Project Boundaries Are Established as per organisation policy
 Local leadership is informed as per organisation policy
 Beneficiaries are identified adhering to gender mainstreaming, human rights-
based programming and disability mainstreaming as per legislations
 The process is documented as per organisation policy
 Report is prepared as per SOPs.

1.2.1.3 Information Sheet

1.1 Meaning and importance of advocacy

The word “advocacy” comes from the Latin ‘advocare’ and literally means ‘to call out for
support’. The origins of advocacy date back to ancient Rome and Greece when well-
established orators would perform as advocates or wrote orations specifically for
pleading someone’s cause. Personalities such as Cicero and Caesar were among the
greatest Roman lawyers and advocates.
Advocacy means putting a problem on the agenda, providing a solution to that problem
and building support for acting on both the problem and the solution

Importance
1. The purpose of advocacy as defined by UNFPA is to promote or reinforce a change
in policy, program or legislation.
2. Rather than providing support directly to clients or users of services, advocacy aims
at winning support from others, i.e. creating a supportive environment.

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Meaning and importance of lobbying

lobbying is a term that includes activities of influencing the decision makers, both political and
all other decisions for which the community or individuals are concerned about. Lobbying is a
targeted activity and is mainly consisting of a direct influence on decision-making persons.

Importance

Lobbying is an important lever for a productive government. Without it, governments would
struggle to sort out the many, many competing interests of its citizens. Fortunately, lobbying
provides access to government legislators, acts as an educational tool, and allows individual
interests to gain power in numbers.
Lobbying provides access to government legislatures that no single individual could possibly
hope to achieve. By grouping individual goals together into a lobbying aim, lobbyists represent

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the interests of many and are more likely to be heard by legislatures than if they came bearing the
concerns of one voter.
lobbyists apply continued pressure on issues. Once an issue has been brought been to the
attention of government legislature, it can easily be superseded by any other issue that comes to
light without lobbyist pressure.
lobbyists serve an important purpose in aggregating the interests of many individual constituents.
Lobbying helps to cover any gaps in knowledge. With each issue brought to legislative attention,
lobbyists present research and facts about their issue and then try and persuade the government
into action.
Characteristics of an advocate

1. They are passionate

Enthusiastic, driven, compassionate, caring. All of these characteristics convey the passion of
exceptional advocates. Their work is more than a job requirement or a professional
responsibility. It’s a calling and a lifelong mission.
2. They are well informed
Great advocates are often the most knowledgeable person in the room (region, state, nation) on
their area of focus. They are continually learning, plugged into current streams of information,
and always ready to share their knowledge and expertise to educate others.
3. They are great communicators
Whether expressing themselves verbally, in writing, and regardless of the medium (print,
video, social channels), these amazing advocates communicate clearly, persuasively and
respectfully to share information, viewpoints, and to advance their mission.
4. They are goal-oriented
Without a clear goal, there is no clear focus and no clear path forward. Exceptional advocates
have laser-sharp goals, whether it is passing certain legislation, creating new programs, or
garnering support for worthy causes.
5. They are connectors
Great advocates seem to have connections everywhere, with stakeholders at all levels. They are
adept at building partnerships and coalitions and in connecting people with useful resources.
They are often the first person people go to for information, support and advice.
6. They are flexible

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The most effective advocates know the power of collaboration and compromise. Not every battle
can be won. Sometimes small victories are the only road to eventual success. These advocates
know that flexibility is essential in moving steadily forward to achieve their longer-term goals.
7. They are inspiring
What does it mean to be inspiring? It’s hard to articulate, but great advocates move us, and they
stir our thoughts and feelings. They give us hope for a brighter tomorrow and they outline a path
for how we can reach it.
8. They are empowering
The best advocates not only inspire us, they instill in us a desire to pitch in and help out to
collectively achieve a worthwhile goal. They show us how to raise our own voices to be heard
and how to help others find their voice. They also remind us that we all matter and we all have a
part to play.
9. They are persistent
Advocacy is not a sprint, it’s a marathon. Important goals can take years or decades to achieve.
Great advocates show up and keep showing up. They are not deterred by setbacks or
disappointment. They are the first to arrive and the last to leave.
10. They are servants
In their hearts, great advocates are public servants. They do their work not for glory or fame, but
for the quiet satisfaction of helping others and the steadfast belief that the work is the right thing
to do and the only thing to do.

Advocacy issues in society

The recent past has seen the erosion, and among some, the rejection, of social science
neutrality and professional detachment. Among the typical expressions of a new
professionalism is the underdog advocate, who wishes to lend his or her skills to the
cause of less-than-equal groups in the society. The paper analyzes the problems
confronting such advocates. The first is the discrepancy between career routes and
success behavior on one hand, and the needs of poor people on the other. The second is
the difficulty encountered by middle strata professionals in cross-class and cross-cultural
communication, including their own ignorance of the structure and dynamics of minority

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 and poor peoples' communities. The third problem faced by the advocates is that the mere
addition of their expert skills to the struggles of the deprived is not necessarily or usually
adequate in terms of power resources. If advocates have, however, a modest definition of
their possible accomplishment, and if they view underprivileged groups as the main
actors in their own behalf, their roles may be defined more realistically.
1. Career and Profession
The management of career goals generally requires a great deal of one's finite time
and energy. This becomes a problem for advocates because meeting the needs of
underprivileged groups is not necessarily or even usually the kind of activity which
can easily be used to meet other career commitments. In short, you get few points for
service.
2. Cross-cultural Communication:
The second broad area of problems an advocate faces is that of crossclass and cross-
cultural communication. In our study of community planning about half the advocate
planners indicated that class, race or cultural gaps between themselves and their
clients create serious problems of trust and communication.
3. Power
An overarching problem advocates face is that of developing sufficient power to
make a difference. For research professionals this may be less pressing, for usually
they are in a more auxilliary service role, not on the cutting edge of action.

Difference between advocacy and lobbying

Advocacy is arguing in favor of a cause or idea, whether it’s environmental protection, minority
rights, or the myriad other issues that affect people every day. There is no limit to the amount of
advocacy a person or organization, while lobbying is any attempt to influence a politician or
public official on an issue regarding their legislation.
Examples of Advocacy and Lobbying
Advocacy

 Telling a member of Congress how a policy affects constituents

 Using social media to get the word out about a cause/issue

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 Meeting with a government official to explain how a particular problem/issue is affecting
a particular group or organization, the environment, etc.

Lobbying
 Asking your member of Congress to vote for or against, or to amend or introduce,
particular legislation
 Emailing members of your group asking them to contact their member of Congress in
support of or opposition to legislation or pending regulations
 Generating an online petition asking members of your organization (direct lobbying) or
members of the public (grassroots lobbying) to contact their legislator(s) to support or oppose
particular legislation

Ethical issues in advocacy and lobbying

1. HONESTY & INTEGRITY - lobbyists and advocates should conduct their

activities with honesty and integrity. They should be truthful in communicating
with public officials and with other interested persons and should seek to provide
factually correct, current and accurate information.
2. COMPLIANCE WITH APPLICABLE LAWS, REGULATIONS & RULES –
lobbyists and advocates should comply fully with all laws, regulations and rules
applicable. They should be familiar with laws, regulations and rules applicable to
their profession and should not engage in any violation of such laws, regulations
and rules.
3. PROFESSIONALISM – A lobbyist/advocate should conduct activities in a fair
and professional manner, should have a basic understanding of the legislative and
governmental process and such specialized knowledge as is necessary to represent
clients or an employer in a competent, professional manner.
4. CONFLICTS OF INTEREST - A lobbyist/advocate should not continue or
undertake representations that may create conflicts of interest without the
informed consent of the client or potential client involved, should avoid

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 advocating a position on an issue if the lobbyist/advocate is also representing
another client on the same issue with a conflicting position
5. DUE DILIGENCE & BEST EFFORTS - A lobbyist/advocate should vigorously
and diligently advance and advocate the client's or employer's interests, should
devote time, attention, and resources to the client's or employer's interests that are
commensurate with client expectations, agreements, and compensation.
6. COMPENSATION AND ENGAGEMENT TERMS – A lobbyist/advocate who is
retained by a client should have a written agreement with the client regarding the
terms and conditions for the services, including the amount of and basis for
compensation.
7. CONFIDENTIALITY A lobbyist/advocate should maintain appropriate
confidentiality of client or employer information, should not disclose confidential
information without the client's or employer's informed consent.
8. PUBLIC EDUCATION - A lobbyist/advocate should seek to ensure better public
understanding and appreciation of the nature, legitimacy and necessity of
lobbying in our democratic governmental process. This includes the First
Amendment right to "petition the government for redress of grievances."

Importance of engaging community leaders

With the rise in deepening and expanding public engagement globally, the importance of
community engagement has become pivotal for well-functioning, twenty-first century
democracies. Constructive relationships between communities and the institutions of government
make community engagement not only desirable, but necessary and viable as it is likely to lead
to more equitable, sustainable public decisions and improve the liveability of local communities.

1. Increase the likelihood that projects or solutions will be widely accepted. Citizens
who participate in these processes show significant commitment to help make the
projects happen.
2. Create more effective solutions. Drawing on local knowledge from a diverse
group creates solutions that are practical and effective.

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 3. Improve citizens' knowledge and skills in problem solving. Participants learn
about the issues in-depth. Greater knowledge allows them to see multiple sides of
the problem. Citizens can practice communication and decision-making skills.
4. Empower and integrate people from different backgrounds. Groups that feel
ignored can gain greater control over their lives and their community. When
people from different areas of the community work together, they often find that
they have much in common.
5. Create local networks of community members. The more people who know what
is going on and who are willing to work toward a goal, the more likely a
community is to be successful in reaching its goals.
6. Create several opportunities for discussing concerns. Regular, on-going
discussions allow people to express concerns before problems become too big or
out of control.
7. Increase trust in community organizations and governance. Working together
improves communication and understanding. Knowing what government,
community citizens and leaders, and organizations can and cannot do may reduce
future conflict.

Identify target group

Process of identification of the target group

Target groups are individuals or groups such as families, teams, or organizations that live in
a geographically circumscribed area like in cities, individual municipal or rural districts.

The following quizzes help you in identifying the target group:

 Who should be the members of the target group? How old should they be?
 What geographic area should they come from?
 What should be their social situation, family status, and/or education status?
 What should be their financial situation? What problems should the target groups be
facing? What should be the group’s potentials and strengths?

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Gender and inclusion in advocacy and lobbying

Advocacy and lobbying are effective tools for gender advocates, male champions, civil
society, and other stakeholders to hold leaders accountable to their commitments on
concrete, measurable actions that guarantee women can fully and equally enjoy their
rights. These include the ability to exercise freedom and choices, go to school, live free
from violence, earn equal pay for equal work, and meaningfully engage in decision-
making and political processes. Advocacy groups can collectively put pressure their
leaders for legislative reforms to protect and promote women’s rights and concerns,
which may require coalition-building, fundraising, civic education, awareness-raising and
consensus-building on key issue platforms. Influencing legislation itself may require
lobbying to convince policy makers and legislators to address specific issues relevant to
gender equality and women’s empowerment, which may involve introducing or revising
legislation and policy
Governments have a responsibility to their people to ensure that disability rights laws are
implemented and enforced, in order for societies to be fully inclusive of people with
disabilities. However, policy makers and decision makers may not understand the needs of
people with disabilities unless advocates, including Disabled People's Organizations (DPOs),
educate them. Or they may not make disability inclusion a priority until DPOs advocate with
them. Lobbying with policy makers can be an important advocacy skill.
Different countries have different laws, policies, customs, and expectations for how Non-
Governmental Organizations (NGOs) can effectively advocate with policy makers. It is
important for advocates to know the laws in their own country. Some countries require NGOs to
register with the government, while others only require individuals to register with the
government if lobbying is their paid profession. Some cultures encourage marches,
demonstrations, and media outreach to promote a cause, while other cultures discourage or
outlaw such actions.
All countries that ratify the U.N. Convention on the Rights of Persons with Disabilities (CRPD)
are committed under the CRPD to enable the inclusion of people with disabilities in the political
process of their country. Article 29 in the CRPD requires ratifying states parties to promote an
environment in which people with disabilities can “effectively and fully participate in the
conduct of public affairs.” This includes enabling people with disabilities to participate in
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organizations involved with the political life of the country and to form organizations
representing people with disabilities at the local, regional, national, and international levels.
Documentation of the target group identification process

The information obtained in the target group identification either through conducting web
analytics or personal surveys face huge amounts of data. This data requires a way to bundle to
knowledge and organize it in a meaningful way for a better overview. The organization of data
brings about personas for proper documentation. A persona combines all the findings you have
gathered on the target group identification process with the help of qualitative and quantitative
research in a fictitious person. The contents of the results determine the character of the persona.
In this way, Persona, as an example person, represents all real characteristics and needs of a
certain target group. In other words, anonymous target groups are personified with the help of
personas. This is why each persona is given a name. The information about a target group is
documented on a persona sheet which makes easier for the viewer to be able to get an idea of the
target group at a glance.
Effective customer personas contain both demographic and psychographic information, and
include details about their lifestyle, roles and responsibilities, communication preferences and
media consumption.

Documentation involves
Current State: Usually, you have already recognized a problem or need of a certain group of
people and want to solve it. You already have experience with the target group or not.
Stage goal: Create a first version of your persona/s.
Procedure: First, you narrow down your target group according to the company goals. Then,
you make forecasts about your target persons based on (first) experiences with them,
observations, and background knowledge.
Qualitative Tools:

Affinity Mapping:This research method comes very close to brainstorming. Coworkers collect
their thoughts and ideas to specific customer groups and later categorize them according to a
specific scheme. Use a workspace with plenty of space (e.g. whiteboards, walls) and equip
yourself with enough post-its and pens.
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Dissemination of the report to relevant stakeholders
Dissemination refers to a planned process that involves consideration of target group and the
settings in which research findings are to be received and, where appropriate, communicating
and interacting with wider policy and service audiences in ways that will facilitate research
uptake in decision-making processes and practice”. In other word, It involves careful planning,
thought, consideration of target group, and communication with those audiences. Group
Successful dissemination of your research findings requires you to determine:

 who your audience is - When considering who your audience is, think about who is likely
to take interest in your work. Your audience might include those who do not express
enthusiastic interest but might nevertheless benefit from an awareness of your research.
Your research participants and those who share characteristics with your participants are
likely to have some interest in what you’ve discovered in your research.
 where your audience is - It should not be difficult to locate where your audience is. You
know where your research participants are because you’ve studied them. You can find
interested scholars on your campus by offering to present your findings at a campus
event, or at professional conferences. Disseminating your findings to the public more
generally could take any number of forms: a letter to the editor of the local newspaper, a
blog, or even a post or two on your social media channels.
 how to reach them - determining how to reach your audiences will vary according to
which audience you wish to reach. Your strategy should be determined by the norms of
the audience. If you wish to reach out to your political representatives, a call to their
offices or a simple web search should provide guidance.

Carry out problem analysis

Meaning and importance of problem analysis

A Problem Analysis investigates a situation/problem in order to allow the researcher to

understand more fully the problem, in order to recommend practical solutions for solving it. It

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determines the degree of the problem and if the problem is a genuinely related to the specific site
under investigation

Importance
Fixing things that are broken: Some things wear out and break over time, others are flawed
from day-1. Personal and business environments are full of things, activities, interactions and
processes that are broken or not operating in the way they are desired to work. Problem-solving
gives us a mechanism for identifying these things, figuring out why they are broken and
determining a course of action to fix them.
Addressing risk: Humans have learned to identify trends and developed an awareness of cause-
and-effect relationships in their environment. These skills not only enable us to fix things when
they break but also anticipate what may happen in the future (based on past-experience and
current events). Problem-solving can be applied to the anticipated future events and used to
enable action in the present to influence the likelihood of the event occurring and/or alter the
impact if the event does occur.
Improving performance: Individuals and organizations do not exist in isolation in the
environment. There is a complex and ever-changing web of relationships that exist and as a
result, the actions of one person will often have either a direct impact on others or an indirect
impact by changing the environment dynamics. These interdependencies enable humans to work
together to solve more complex problems but they also create a force that requires everyone to
continuously improve performance to adapt to improvements by others. Problem-solving helps
us understand relationships and implement the changes and improvements needed to compete
and survive in a continually changing environment.
Seizing opportunity: Problem solving isn’t just about responding to (and fixing) the
environment that exists today. It is also about innovating, creating new things and changing the
environment to be more desirable. Problem-solving enables us to identify and exploit
opportunities in the environment and exert (some level of) control over the future.
Development of problem assessment tools

A systematic review of the circumstances is required in order to assess properly the problem
situation in a given location. The assessment should examine the nature and extent of the

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problem and identify the agencies and groups involved. Assessment should be considered as a
means of identifying needs.

The organization conducting the assessment initiate assessments and conduct them jointly with
local government and civic society . National authorities should also draw upon the expertise of
external research institutes. External individuals can facilitate assessments, where they are
sensitive to the local economic, social, cultural, civil and political circumstances. Findings
should be openly shared with stakeholders for discussion. Clear frameworks and questionnaires
should be developed before information is gathered. Needs assessments should begin at the most
basic level by considering, The extent to which Government agencies and non-governmental
organizations are aware of the problem, whether there is legislation in place to address the
problem at hand and whether it is adequate.
Problem analysis process
Problem Identification
Identify the problem. State and describe the Problem.
Background
Begin by identifying the name and position of the person requesting the Problem Analysis. The
person requesting the Problem Analysis needs be an administrator or a person who holds a
position in the company that can approve your collecting of internal data, such as conducting
interviews with employees, reviewing company records, or conducting an onsite investigation.
Give some background of the company/agency that is experiencing the problem, such as the
company’s type of business, how long they have been in business, how many employees the
company employs, etc. End the section with a rationale of why the person suspects there is a
specific problem.
Research
The research section opens with a brief introduction to the internal investigation of detailed areas
of research. The introduction must reference all areas of detailed research, in the exact order that
they are discussed in the detailed section. One area of the investigation must be employee
interviews. Other areas may include items such as reviewing company records, investigating
supply rooms, or conducting site investigations.
Findings

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Report the results of your investigation. Discuss each area of research, in the same order that you
investigated specific areas. You must have parallel order, so the reader has easy access to
reference the information.
Conclusions
From your findings, discuss the outcomes, what you determine are facts. Emphasize that
there is a problem, identify the problem and how your investigation supports your decision,
or emphasize that there is not a problem, identify the suspected problem and how your
investigation supports you decision. Note that you need to have a problem for this
assignment. Therefore, if you determine that there is not a problem, you will need to do
another Problem Analysis.
Recommendations
Identify 3 recommendations that you believe will solve the problem. Your
Recommendations section will begin with a preface statement. Next you will identify the
recommendations. Identify the number of each recommendation, followed by the
recommendation. Be sure to begin each recommendation with an action verb (using the
understood you).

in partnership with stakeholders’ support implementation of lobbying activities

Meaning and importance advocacy partnership.

Advocacy is partnership is used in order to increase the impact and strategic nature of advocacy
initiatives. Advocacy of this nature entails on‐going commitment to partnership before, during,
and after an advocacy initiative, as well as regular discussions among partners on key issues,
including well in advance of joint advocacy activities.
Importance
1. Responsibility: Advocacy is conducted in the best interests of the people we seek
to assist, to the extent possible with their consent, and at minimum in consultation
and participation with them. This preserve and promotes their dignity, and
supports their rights and aspirations. Sound advocacy adheres to humanitarian and

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 protection principles, balancing short‐term and long‐term gains, and
accountability towards the persons of concern.
2. Complementarity: complementarity is recognized and understood. In advocacy
partnerships, each partner’s role is clarified and reviewed regularly in order to
manage expectations. This clarity enables partners to benefit from each other’s
comparative advantages and leverage, while respecting each other’s
independence, uniqueness and diversity of interests.
3. Transparency: Transparent information‐sharing mechanisms and a common
understanding of each other’s roles are established from the onset of an advocacy
partnership ensures preparedness, timeliness, predictability and efficiency.
4. Equality: Equality requires mutual respect between members of the partnership
irrespective of size and power. Partners respect each other's mandates, obligations
and independence and recognize each other's constraints and commitments.
Mutual respect should not preclude organizations from engaging in constructive
dissent.
5. Result‐oriented approach: Advocacy partnerships aim at positive protection
outcomes for affected populations. They require result‐oriented coordination
based on effective capabilities and concrete operational capacities. On‐going
consultations will be used to monitor impact or risks and suggest corrective and
mitigating measures when needed.

Process of identification of advocacy partners

1. Analysis and prioritization

What are the critical protection risks facing this population? ‐ What situation analysis,
including an examination of security concerns, has been completed and how does it
inform advocacy priorities? How are reliable sources of information to be identified
and accessed? ‐ Do affected communities welcome public advocacy? What are the
prioritized protection issues according to the affected communities? ‐ What risks

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 could be caused by advocacy in regard to affected populations, to partners (staff), and
to operations? How can these potential negative consequences be prevented or
mitigated?
2. Strategizing and planning
‐ What advocacy priorities and messages have been agreed and circulated? ‐ What are
the main goals and objectives of the advocacy initiative? Which are short-term and
which require longer term engagement? ‐ Which actors are the main targets of the
advocacy, and at which level (field, regional, global)? What advocacy techniques will
be used at these various levels? ‐ What access and influence do partners have, directly
or indirectly, to these actors? Who are potential allies? ‐ What needs to be included in
advocacy planning (e.g. actions, timeline, roles, expected outcomes, etc.)?
3. Clarifying partner roles
‐ How will affected communities participate in the advocacy initiative? ‐ What
analysis has been undertaken to understand how best to use each others’ strengths in
leveraging advocacy outcomes? ‐ How will partners divide tasks to best leverage their
complementarities and comparative advantages? ‐ Depending on the context, who
will do what, when, where, and with whom? What additional resources or support are
needed?

Establishing/strengthening collaborative and coordination of advocacy partnerships

Grantmakers that support movement building often find that they can achieve greater results
when they collaborate with their donor peers by aligning or pooling funds toward shared goals,
thereby increasing the total dollars available. Equally important, funders leverage their limited
resources when they strengthen grantees’ capacity to collaborate effectively with each other.
GRANTMAKING
Direct grants over multiple years to individual groups within site-based clusters and over years
to regional and national alliances and coalitions. Supplemental grants to clusters of groups for
collaborative projects
FIELD ACTIVITIES
Development of shared site-based goals and policy campaigns Locally based staffing support to
coordinate and facilitate work across groups

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 Site-based trainings to address common capacity needs
National-level technical support for research, facilitation, and networking
Site-based donor briefings to build grantee-donor relationships
CONVENING OPPORTUNITIES
Annual convenings
Peer learning communities
Cross-site visits and exchanges among grantees
Scholarships to attend national and regional conferences and trainings
THIRD PARTY LEADERSHIP
Partnership with 501 (c)(3) public charity responsible for directing the Fund and all grantmaking
and grant seeking, thus reducing grantee burden and competition
Strategic developer and manager of programs to meet Fund field and movement building
objectives (capacity building, learning activities, networking opportunities)
Convener and neutral bridge between funder and grantee partners
Host of cross-issue, cross-region donor strategizing and learning opportunities
Provider of legal, financial, and administrative services

Planning and review advocacy partnerships meetings

Of prime importance for the success of any meeting is the attitude and leadership of
the chairperson. In a meeting, the chairperson is the leader and, as such, has to perform the same
function as the leader of any working group.

For a meeting to be effective, the chairperson has to:

 Plan, organise and control the discussion of subjects on the agenda.

 Maintain the group by encouraging and developing harmonious relationships.
 Motivate the individuals by encouraging all to contribute, rewarding their efforts and supporting
them in any difficulties.
Is a Meeting Appropriate?
The chairperson should always consider whether a meeting is necessary or if some other means
of communication is more appropriate,for example memos or emails targeted to individuals

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 inviting comment. Unnecessary meetings may waste time, lead to frustration and negativity and
may lower motivation to participate in future meetings.
How Should the Meeting be Planned?
This will very much depend on the type of meeting to be held. There should be some rationale
behind every meeting, no matter how low-level or informal, and this will largely dictate the
content and indicate how planning should proceed.

What Preparations are Needed for the Meeting?

If maximum contribution is to be forthcoming from all participants, the purpose of the meeting
should be recognised by all. The most tangible expression of this is the agenda which should be
circulated beforehand to all those invited to the meeting. The agenda should:

 Give the time and place of the meeting.

 List the topics to be covered, indicating who will introduce them.
 Have any relevant papers attached.
 Give the time the meeting will close.
The Agenda: This is the outline plan for the meeting. In most formal meetings it is drawn up
by the secretary in consultation with the chairperson. The secretary must circulate the agenda
well in advance of the meeting, including any accompanying papers. The secretary also requests
items for inclusion in the agenda.
Regular meetings often start with the minutes from the last meeting followed by 'matters
arising' which forms a link with what has happened in the previous meeting. Most meetings
conclude with 'any other business' (AOB) which gives everyone the opportunity for any genuine
last minute items to be raised; though more formal meetings may have AOB items listed on the
agenda.

Process of advocacy (formulation of goals, packaging advocacy messages, choice of

communication channels)

1. Define Your Goals

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 What needs changing?
 Long term/short term?
 What do we want to ask for? Does it require change to:
o Legislation
o Policy
o Regulation
o Programs
o Funding
2. Know Your Audience
 Multi-layered: policy makers, media, key constituencies, public
 Different strategies for each target – research
 Provincial and Territorial governments, health authorities and general public
3. Craft Your Message
 Be clear on what you are asking
 Keep it simple and focused
 Use positive language
 Tailor message to audience – research
 Appeal to audience’s self-interest
 Acknowledge environment/context- be pragmatic
 Make the case
 Look at the problem, the solution(s) and the benefit(s)
 Be consistent
 Distribute clear concise position statements
 Use evidence – facts carry more weight than anecdotal evidence
 Economic arguments are important
4. Identify the Messenger
 The target audience will determine the messenger
o For example: approach MPs as constituents
 Champions will also become messengers
 Media is best handled by a designated person(s)

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5. Identify Delivery Methods
 Advocacy is relationship building
 Tactics change by target audience
 Tactics to reach general public
o Ads
o Media stories
o Editorials
o Awareness campaigns
o Local events
 Tactics to reach media
o Choose right communication tool
o Press releases, Op-Ed, press conferences, letters
o Use positive language
o Make sure sources are credible
o Make sure information is timely
o Localize the issue
o Accent human interest angle
o Demonstrate support
 Tactics to reach political level of government
o Meetings with elected officials – follow up
o Letter writing campaigns then follow up in person
o Distribute background documentation proving case
o Petitions
o Appear before Caucus
o Appear before a Parliamentary Committee
 Tactics to reach departmental level of government
o Meet with departmental employees responsible for issue
o Meet with other government employees that may have an interest in the issue
o Be prepared with discussion information and background info that they can use to
make the case within government

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6. Identify Resources and Gaps
 Do a SWOT (strengths, weaknesses, opportunities and threats) analysis
 Build on existing resources and opportunities
o Alliances, relationships, information, political intelligence, capacity of
staff, opportunities
 Develop capacities which are lacking
o Research, media, outreach
7. Plan Next Steps
 Identify achievable goals that set stage for larger work
 Include in the advocacy strategy/plan
o Priority area
o Action
o Target
o Timelines
o Partners
o Resources
o Critical path or Next Steps
 Set out clear steps – including timelines
 Be clear on who needs to do what and when
 Communicate the plan with partners
 Be flexible
 Keep focused on long term goal
8. Evaluate Effectiveness
 Regularly revisit each of the steps to make sure the strategy is effective
 Discard any tactics which are not working and build on those that do
 Re-evaluate as new opportunities and challenges emerge
 Communicate changes internally

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 Formulation of advocacy objectives

An objective is the intended impact or effect of the work you are doing, or the specific change
that you want to see. The word ‘objective’ often refers to the desired changes in policy and
practice that will be necessary to help you and your community meet that goal. It is the most
important part of your strategy, and is the next step after developing the goal itself. It is worth
spending time writing clear objectives, because you will find you are able to write the rest of the
advocacy strategy much more clearly — and you are likely to be more effective in achieving
change.

SMART’ is a way of reminding you that your objectives should be:

S Specific — by this we mean that you need to set a specific objective for each of your health
programmes.
M Measurable — your objective should be measurable.
A Achievable — the objective should be attainable or practicable.
R Realistic — which also means credible.

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T Time-bound — and should be accomplished and achieved within a certain amount of time.
When you set an advocacy objective, always consider or keep in mind the resources available in
your locality. It is important that an advocacy objective identifies the specific policy body in the
authority that should be approached to fulfil the objective, as well as detailing the policy decision
or action that is desired. For example, if you want to overturn the ban on community-based
distribution of contraceptives, then the right target to direct your advocacy towards would be the
Ministry of Health. All your advocacy objectives should be specific, measurable, achievable,
realistic and time-bound. The objectives should always be linked to the available resources. In a
sense, this is part of the feature of achievability. Unless you have available resources, you will
not be able to achieve your objectives.

Identification of advocacy activities

At this stage in the planning process, a number of factors will guide your choice of advocacy
activities. The usual role of any advocacy organization will provide the broader limits of possible
choices of activities. the target audiences and their current positions, the time available to try to
change their position, and how far you think their positions can be changed or in other words,
what you think is a feasible objective. Furthermore, you obviously need to plan these activities in
relation to getting the timing right--for example, you might already have an idea when a policy
window will open and possibly also close. In sum, you are looking for what will work to
convince your target audiences in the time and openings available to have the best chance of
achieving your target advocacy objective.

Considerations for suitable set of activities for your advocacy:

 What do you think you can achieve in the first or next wave of the advocacy
process?
 What are the biggest obstacles that you need to overcome? And whom do you need
to focus on to overcome these obstacles?
 How much information sharing, dialogue, or negotiation is needed to win these
audiences over?
 What combination of activities will you need to engage in to achieve your aim?

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  Are the activities you’ve planned consistent with the broader advocacy role of your
organization?
 From a longer-term perspective, how long do you expect to be engaged in this
advocacy campaign?

Advocacy work plan

An advocacy work plan should factor in all the elements including goals and objectives, target
groups and the specific activities to be undertaken, as well as set out stakeholder roles and
responsibilities, time frames, expected short-term and long-term outcomes, and available and
needed resources.

1. Use a logic model to map out your plan

2. Mobilize resources

The voices and priorities of stakeholders in health care, especially those representing vulnerable
populations, are often left out of public debates and policy decisions. Advocacy thus often
involves changing public opinion and community, institutional or government policies to include
these voices.

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 3. Take strategic advocacy actions
The following list of actions suggests a possible sequence of steps to take when implementing
the advocacy plan:

 Gather the community to define the current national or regional cancer advocacy needs.
 Identify, categorize and map the affiliations and influence of the cancer care stakeholder
community.
 Decide on and document the current goals and objectives
 contacts, communications vehicles, government relations).
 Assess the quantity and quality of
 Assess and document the available collective resources
 Consult and cultivate a network of champions who lead by example and demonstrate the
values and goals of comprehensive cancer control.
 Engage members and stakeholders by building common ground through shared visioning,
planning, actions and learning.
 Enable and mobilize the stakeholder network to act collectively with a unified voice and
vision.
 Measure the impact of action to date, modify the advocacy methods as necessary, and
expand the network through community outreach and public engagement, leveraging the
collaborative momentum created.

Preparation of advocacy work plan budget

Creating a Budget to Support Your Work - Creating a comprehensive work plan budget is the
next step in the process after the annual plan. Budget development is iterative and resource
constraints and fundraising success will drive the speed at which you can accomplish planned
milestones. If revenue is not fully in-hand when your campaign year begins, it may be necessary
to adjust the annual plan and delay certain activities to later months. Regularly reviewing your
plan and budget can help you identify opportunities to allocate funds to effectively deliver on
campaign strategies.

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Budgeting for the Staff - Think about the roles and responsibilities required to effectively
implement your campaign plan. It is important to have a strategic leader who can drive planning,
attract and retain strong talent, build local collaborating tables, and most importantly, own and
champion the No Kid Hungry vision.

Estimating Expenses - expenses are largely driven by the key strategies in your annual plan.
Think about the resources needed to conduct this work. Common expenses include grants to
local schools/districts or community providers, and lobbying or advocacy costs. Staff travel
could be another major expense depending on your campaign geography and whether personnel
will need to travel far or frequently to be effective in their roles.

Other Costs - What are the other costs needed to effectively manage your work plan? Overhead
or administrative costs are frequently overlooked during the planning process. You may also
need to consider things like supplies, special equipment, dues, or rent required.

Developing an Annual Budget - Once you have a clear understanding of the resources needed to
effectively implement your work plan, you will need to develop a detailed annual budget. Your
budget should include a breakdown of total expenses by month and by item type.

Resource mobilisation and allocation for advocacy

Once goals are written down, it's easier to make an inventory of the resources you'll need, in
terms of organization, money, facilities, and allies--and the assets you have already.
Resources for advocacy may be very different from those needed to run service programs in the
community. You won't be needing massive financial support over a long period of time, as
would be the case if you wanted to open a day-care center, for example. That's the good news.
The bad news is that the sort of charitable foundation that might fund a day-care center most
generously may not want to put any money at all into advocacy.
So? So you may not have much cash. But (good news again) you might be rich in other
resources--especially people. Your list of available resources will vary, according to the size of
your group and its needs, but might include any of the following:

 Funds (including in-kind contributions) balanced against expenses

 People who are already available (both staff and volunteers), and their skills

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  People you expect to be available
 Contacts (e.g., with media resources)
 Facilities (e.g., access to transportation and computers, meeting rooms)
 Access to information archives or libraries
Since advocacy is stressful, make sure your assets are solidly in place. Do you have internal
problems that need to be solved in your group, such as relationships between staff and
volunteers? Disagreements about use of funds? These need to be sorted out now if possible,
during the planning stage.

ALLOCATION OF RESOURCES

The simplest way to plan is to write out a list of resources and assets in a binder (or computer
file) so you can add new ones as you go along. Keep one section for each of the headings above:
Funds, People presently available, People expected to be available, Useful community contacts,
Facilities, and Access to other resources.
Did you come up short on the most vital resource of all--the people who are willing to help?
Then the next section might help you build it up, as you survey the degree of community support
you have now, and how much you might expect in the future. When you look into your
community support, for the next part of your plan, you may find a few surprises.

YOUR COMMUNITY SUPPORT

For this part of the plan, you will write down lists of expected allies and opponents. Part of this
may be simple. For example, if you are planning to restrict the logging (and erosion-causing)
practices of a big local lumber company, it doesn't take a rocket scientist to guess that the owners
and employees of that company are unlikely to be on your side, but local environmental groups
will likely give you their support.
But sometimes it's not so simple, which is why it will pay to do some careful planning, including
personal contact and listening. It may be that people you expect to be opponents may also be
allies under certain circumstances; and those thought to be allies may oppose your efforts.

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Urban Housing Crisis, ed. by Stephen Burghardt, Dexter. Michigan: The New Press.

Cardon, D. Fabien Granjon, (2010), Médiactivistes, presses de Sciences Po, Paris

Grossman Emiliano & Saurugger, Sabine (2006), Les groupes d'intérêt, Armand Colin, Paris

Bassler, A. et al., "Developing Effective Citizen Engagement: A How-to Guide for

Community Leaders." Center for Rural America, 2008.

After Cairo: A Handbook on Advocacy for Women Leaders. Washington, DC: Center for
Population and Development Activities (CEDPA), 1995. For more information on CEDPA in
Africa, contact: CEDPA/Nairobi, P.O. Box 63051, Nairobi, Kenya, tel: 254-2-723-601, fax:
254-2-723-549.

Center for the Study of Adolescence (CSA), 1995. For more information on CSA or Kenyan
Association for the Promotion of Adolescent Health (KAPAH), contact KAPAH, P.O. Box
19329, Nairobi, Kenya, tel: 254-2-562901.

Kenya Demographic Health Survey, 1993. Washington, DC: MACRO International, 1993.

Wilson, P. M., Petticrew, M., Calnan, M. W., & Natareth, I. (2010). Disseminating research
findings: What should researchers do? A systematic scoping review of conceptual

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 frameworks. Implementation Science, 5, 91.

DeCarlo, M., Hall-Lande, J. Bogenschutz, M., & Hewitt, A. (2017). State of the states in self-
direction for individuals with intellectual and developmental disabilities (Policy research
brief 26, 1). Minneapolis, MN: Research and Training Center on Community Living at the
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World Health Organization 2008.

Developing a Plan for Advocacy, Retrieved September 20, 2014,

D’Onofrio Sharon, Steps in Advocacy Planning: A Workbook for Microfinance

Associations. The SEEP Network. Washington, 2010.

The Chicago Partnership for Public Health, Public Health Policy Agenda & Action Guide,
2002. Retrieved October 2, 2014,

UN Women, Planning for Advocacy. Advocacy Toolkit for Women in Politics. Retrieved
September 18, 2014,

CHAPTER SEVEN; CONFLICT RESOLUTION AND MANAGEMENT

Unit of learning code COD/CU/SW/CR/07/5/A

Related Unit of Competency in Occupational Standard Conflict and Resolution Management

in Social Work

Introduction to the unit of learning

This unit describes the competencies required to identify community conflict issues, establish
the conflict causes, identify conflict resolution measures, support implementation of conflict

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resolution measures and document conflict resolution activities

Summary of Learning Outcomes

1. Identify community conflict issues,

2. Establish conflict issues,
3. Identify conflict resolution measures
4. Support implementation of conflict resolution measures
5. Document conflict resolution activities

Learning Outcome 1: Identify community conflict issues

1.2.1.1 Introduction to the learning outcome

This learning outcome specifies the roles and responsibilities of social work staff in
Inception and introductory meetings and selection criteria for target population is developed
as per organisation policy. Selection criteria is applied and mobilization of the target group
is done as per the selection criteria per legislations. Finally it specifies that documentation
and reporting are done as per organization policy.

1.2.1.2 Performance Standard

 Inception and introductory meetings are conducted as per organisation policy

 Selection criteria for target population is developed as per organisation policy
 Selection criteria is applied as per organisation policy
 Mobilization of the target group is done as per the selection criteria

1.2.1.3 Information Sheet

Meaning and importance of conflict resolutions

Conflict resolution is the process by which two or more parties reach a peaceful resolution to a
dispute.

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  Garner strong relationships. Having good conflict resolution skills help employees
reduce the friction that damages their working relationships. By resolving conflicts in a
more professional and respectful manner, they are enabled to collaborate better with co-
workers, building stronger work relationships(McConnon, S. & McConnon, M, 2010).
 Reduced disruptions. Employees with poor conflict resolution skills cause a tension to
build in the face of any disagreemnt, which then spreads to other employees who may not
have been involved originally. This results in a dropped employee morale as well as
stalling of the work flow. By training employees for conflict resolution, such disruptions
can be minimized and a better working environment can be created.

SOCIAL CONFLICT THEORY

Conflict theory, first purported by Karl Marx, is a theory that society is in a state of perpetual
conflict because of competition for limited resources. Conflict theory holds that social order
is maintained by domination and power, rather than by consensus and conformity. According
to conflict theory, those with wealth and power try to hold on to it by any means possible,
chiefly by suppressing the poor and powerless. A basic premise of conflict theory is that
individuals and groups within society will work to try to maximize their own wealth and
power
KEY TAKEAWAYS

 Conflict theory focuses on the competition between groups within society over limited
resources.
 Conflict theory views social and economic institutions as tools of the struggle between
groups or classes, used to maintain inequality and the dominance of the ruling class.
 Marxist conflict theory sees society as divided along lines of economic class between the
proletarian working class and the bourgeois ruling class.1
 Later versions of conflict theory look at other dimensions of conflict among capitalist
factions and between various social, religious, and other types of groups.

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TYPES OF CONFLICTS

The types of conflicts in an organization may differ, but there are some broad categories we can
put them into. After all, people worldwide function in somewhat similar ways in the workplace.
Identifying and addressing various types of conflict in the workplace will ensure an improvement
in productivity levels. Resolving conflict leads to members of the team understanding each other
better and working as a cohesive unit(Cornelius, H., Faire, S. & Cornelius, E., 2006).
Let us look at the main types of conflicts in an organisation.

1. Intrapersonal Conflict
Out of all the types of conflicts in an organization, this is the best one to start with. Humans
are complex beings. Each of us carries unique potential, morals, ideas, beliefs. Intrapersonal
conflict refers to the struggle that an individual faces while working in an organization.
Intrapersonal conflict can arise when the ideas, mission, or vision of the organization are not
aligned with the moral values and belief systems of an individual. The individual is rendered
unable to work because they do not believe in the work they are doing. Intrapersonal conflict
can be resolved by soul-searching and understanding what it is one truly wants.

2. Interpersonal conflict
Every individual is unique. Even if you are working towards the same goal, there are chances
that differences arise in approaches. These differences can be about philosophy, work ethic,
rule adherence, vision, or management style. Out of all types of conflicts in an organization,
interpersonal conflict is the one most of us would have most likely experienced. Sometimes
taking an ugly form through office gossip or even categorized as ‘office politics,’
interpersonal conflicts is almost inevitable when people with different perspectives and from
different walks of life spend a significant amount of their time together. Interpersonal
conflicts adversely affect productivity and morale. They can easily escalate if not attended to
in a timely manner.

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 3. Intra-team conflict
Organizational goals are often ambitious—they require the coming together of people with
varying levels of experience and expertise. Therefore, it is common for the workforce to be
divided into teams for smooth functioning. Like some other types of conflicts in an
organization, intra-team conflict is a result of diverse personalities working together in the
same team. It is possible that a few people from the team or the group hold a few values and
beliefs in common, but as the size of the team increases, the chances are that conflict does
too. Intra-team conflict can be managed by a clear division of responsibilities, a fair division
of work, and a management policy under which no team member is given any kind of
‘special’ treatment.

4. Inter-team conflict
One of the biggest types of conflict in the workplace, in scale, would be inter-team conflict.
For any organization to function effectively, there has to be equilibrium among all the cogs of
the wheel. With multitudes of individuals, groups, teams, boards, and other stakeholders
working together, it is the responsibility of the organizational leaders to resolve inter-team
conflicts. Supervisors need to ensure that communication channels are open and any tension
or lack of cooperation between teams is nipped in the bud. To do this, they need to eradicate
bias, allocate workload effectively, and build morale. A leader has to take personality
differences, co-worker relationships, and collective strength into account. Verbal discussions
and positive reinforcements go a long way in resolving inter-team conflicts (Shearouse, S.H.,
2011).

Selection criteria for the target group for

· Addressers are the people who are willing to take initiatives and risk to resolve conflicts by
getting their opponents to agree with them on some issues. Addressers can either be first-steppers
or confronters:

- First-steppers are those who believe that some trust has to be established to settle conflicts.
They offer to make a gesture of affability, agreeableness or sympathy with the other person's
views in exchange for a similar response.

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- Confronters think that things are so bad that they have nothing to lose by a confrontation. They
might be confronting because they have authority and a safe position, which reduces their
vulnerability to any loss.
· Concealers take no risk and so say nothing. They conceal their views and feelings. Concealers
can be of three kinds:
- Feeling-swallowers swallow their feelings. They smile even if the situation is causing them
pain and distress. They behave thus because they consider the approval of other people important
and feel that it would be dangerous to affront them by revealing their true feelings.
- Subject-changers find the real issue too difficult to handle. They change the topic by finding
something on which there can be some agreement with the conflicting party. This response style
usually does not solve the problem. Instead, it can create problems for the people who use this
and for the organization in which such people are working.
- Avoiders often go out of their way to avoid conflicts.
· Attackers cannot keep their feelings to themselves. They are angry for one or another reason,
even though it may not be anyone's fault. They express their feelings by attacking whatever they
can even, though that may not be the cause of their distress. Attackers may be up-front or
behind-the-back:
- Up-front attackers are the angry people who attack openly, they make work more pleasant for
the person who is the target, since their attack usually generates sympathy, support and
agreement for the target.
- Behind-the-back attackers are difficult to handle because the target person is not sure of the
source of any criticism, nor even always sure that there is criticism.

ESTABLISH CONFLICT CAUSES

Causes of conflict
(i) Ambiguous jurisdiction, which occurs when two individuals have responsibilities which are
interdependent but whose work boundaries and role definitions are not clearly specified.
(ii) Goal incompatibility and conflict of interest refer to accomplishment of different but
mutually conflicting goals by two individuals working together in an organization. Obstructions
in accomplishing goals and lack of clarity on how to do a job may initiate conflicts. Barriers to

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goal accomplishment arise when goal attainment by an individual or group is seen as preventing
another party achieving their goal.
(iii). Communication barriers, as difficulties in communicating can cause misunderstanding,
which can then create conflict situations.
(iv) Dependence on one party by another group or individual.
(v) Differentiation in organization, where, within an organization, sub-units are made responsible
for different, specialized tasks. This creates separation and introduces differentiation. Conflict
situations could arise when actions of sub-units are not properly coordinated and integrated.
(vi) Association of the parties and specialization. When individuals specialized in different areas
work in a group, they may disagree amongst themselves because they have different goals, views
and methodologies owing to their various backgrounds, training and experiences.
(vii) Behaviour regulation. Organizations have to have firm regulations for individual behaviour
to ensure protection and safety. Individuals may perceive these regulations differently, which can
cause conflict and negatively affect output.
(viii) Unresolved prior conflicts which remain unsettled over time create anxiety and stress,
which can further intensify existing conflicts. A manager's most important function is to avoid
potential harmful results of conflict by regulating and directing it into areas beneficial for the
organization.
Characteristics of conflicts
Organizational conflicts usually involve three elements, which have to be appropriately matched
through necessary organizational arrangements in order to resolve the conflict (Turner and
Weed, 1983).
· Power is the capacities and means that people have at their disposal to get work done. Power
includes budgetary discretion, personal influence, information, time, space, staff size and
dependence on others. If used efficiently, power creates an atmosphere of cooperation, but can
generate conflicts when misused, withheld or amassed.
· Organizational demands are the people's expectations regarding a person's job performance.
Usually such expectations are high, and making them rather unrealistic.
When these expectations are not fulfilled, people feel disheartened, angry, let down or cheated.
Consequently, conflict situations can arise(Tillet, G. & French, B., 2010).

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· Worth refers to a person's self-esteem. People want to prove their worth in the organization.
Superiors control employees' pay, performance rating, performance and appraisal, etc. How
much of these are received by a person reflects their worth. An individual may also feel loss of
worth if some basic needs are not fulfilled. Generally, conflicts arise from mismatches between
power, organizational demands and feelings of personal worth.

Development of assessment tools

Performance Criteria against Work Projects, Written Questions and Oral Questions

Element 1: Respond to complaints

1.1 Handle complaints sensitively, courteously and discretely

1.2 Take responsibility for resolving complaint/s

1.3 Handle complaints in accordance with enterprise procedures

Element 2: Identify and manage conflict situations

2.1 Identify potential for conflict quickly and take appropriate action to prevent escalation

2.2 Identify threats to personal safety of customers or colleagues quickly and organize
appropriate assistance

Element 3: Resolve conflict situations

3.1 Take responsibility for finding a solution to the conflict situations within scope of
individual responsibility and job role

3.2 Manage conflict by applying effective communication skills and anger management
techniques

3.3 Use conflict resolution skills to manage the conflict situation and develop solutions

Documentation of findings

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It is essential to find everything the customer says in a conflict situation. Listen to
everything they have to say even though it may be the last thing you feel like doing. Pay
attention to the verbal language and the body language as both will provide insight into the
issue and help determine the emotion the person is experiencing. Recognise and respect the
customer‟s/guest‟s thoughts and feelings. Show genuine interest in their needs and
expectations(Dana, D., 2001). Demonstrate you are involved in the issue and want to resolve
it.

Establish the scope and nature of the problem confirming what is involved, who is involved
and the facts and feelings inherent in the complaint. You may also re-cap any history which
might accompany the problem – such as acknowledging this is not the first time the person
has experienced this issue, acknowledging promises made by the business which appear to
have been broken, and acknowledging how the person feels. Verbally summarise the scope
and nature of the conflict and ensure the person agrees with your summary. Your
acknowledgement provides another opportunity for the person to add more detail or context.

Analysis of findings and report writing

It may be part of your role to inform management of all conflict situations or nominated
types of conflict. Most reports require a simple verbal explanation to management or the duty
manager. In some cases you may advise other staff of the action you have taken and tell them
about the stage the conflict is at. In some cases there may be a requirement, after the
immediate complaint has been resolved, to record details and action taken on a nominated
internal form.

Dissemination of information to relevant stakeholders

Presenting Written Work Types of written work: Short and long reports Essays Records of
interviews Questionnaires Business letters Resumes. Format all written work should be
presented on A4 paper, single-sided with a left-hand margin. If work is word-processed, one-
and-a-half or double spacing should be used. Handwritten work must be legible and should
also be well spaced to allow for ease of reading. New paragraphs should not be indented but
should be separated by a space. Pages must be numbered. If headings are also to be
numbered, students should use a logical and sequential system of numbering. Presentation of

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 written work .Trainee Manual Manage and resolve conflict situations Cover Sheet All written
work should be submitted with a cover sheet stapled to the front that contains: The student‟s
name and student number The name of the class/unit The due date of the work The title of
the work The teacher‟s name A signed declaration that the work does not involve plagiarism.
Keeping a Copy Students must keep a copy of the written work in case it is lost. This rarely
happens but it can be disastrous if a copy has not been kept. Inclusive language This means
language that includes every section of the population. For instance, if a student were to write
„A nurse is responsible for the patient‟s in her care at all times‟ it would be implying that all
nurses are female and would be excluding male nurses.
IDENTIFY CONFLICT RESOLUTION MEASURE

Conflict resolution techniques

· Fight, which is not a beneficial, sound or gratifying approach to dealing wit a conflict situation,
as it involves 'tactics, strategies, offensive and defensive positions, losing and winning grounds,
and exposure of weak points.' Fighting as a way of resolving a conflict can only be useful in
courtroom situations, where winning and losing becomes a by-product of the judicial process.
( Bell, A.H. & Smith, D.M., 2004)
· Negotiate, towards a settlement with the other party. Negotiations take place within the
prevailing situation and do not involve problem solving or designing. Third-party roles are very
important in bringing the conflicting parties together on some common ground for negotiations.
· Problem solve, which involves identifying and removing the cause of the conflict so as to make
the situation normal again. However, this may not be easy. It is also possible that the situation
may not become normal even after removing the identified cause, because of its influence on the
situation.
· Design, which is an attempt towards creativity in making the conflict situation normal. It
considers conflicts as situations rather than problems. Designing is not confined to what is
already there, but attempts to reach what might be created given a proper understanding of the
views and situations of the conflicting parties. The proposed idea should be appropriate and
acceptable to the parties in conflict. A third party participates actively in the design process
rather than being just a an umpire.

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 Mobilisation of relevant stakeholders for planning conflict resolution programme

People may appreciate the same situation in different ways, and so respond differently. It is
therefore necessary to understand the response styles of the people involved so as to manage
conflicts properly. According to Turner and Weed (1983), responses can be classified as follows:
· Addressers are the people who are willing to take initiatives and risk to resolve conflicts by
getting their opponents to agree with them on some issues. Addressers can either be first-steppers
or confronters:
- First-steppers are those who believe that some trust has to be established to settle conflicts.
They offer to make a gesture of affability, agreeableness or sympathy with the other person's
views in exchange for a similar response.
- Confronters think that things are so bad that they have nothing to lose by a confrontation. They
might be confronting because they have authority and a safe position, which reduces their
vulnerability to any loss.
· Concealers take no risk and so say nothing. They conceal their views and feelings. Concealers
can be of three kinds:
- Feeling-swallowers swallow their feelings. They smile even if the situation is causing them
pain and distress. They behave thus because they consider the approval of other people important
and feel that it would be dangerous to affront them by revealing their true feelings.
- Subject-changers find the real issue too difficult to handle. They change the topic by finding
something on which there can be some agreement with the conflicting party. This response style
usually does not solve the problem. Instead, it can create problems for the people who use this
and for the organization in which such people are working(Condliffe, P., 2008).
- Avoiders often go out of their way to avoid conflicts.
· Attackers cannot keep their feelings to themselves. They are angry for one or another reason,
even though it may not be anyone's fault. They express their feelings by attacking whatever they
can even, though that may not be the cause of their distress. Attackers may be up-front or
behind-the-back:
- Up-front attackers are the angry people who attack openly, they make work more pleasant for
the person who is the target, since their attack usually generates sympathy, support and
agreement for the target.

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- Behind-the-back attackers are difficult to handle because the target person is not sure of the
source of any criticism, nor even always sure that there is criticism.

Support implementation of conflict resolution measures

Identification of a conflict resolution programme

Conflict is a dynamic process. In any organization a modest amount of conflict can be useful in
increasing organizational effectiveness. Tosi, Rizzo and Carroll (1986) consider the stages
involved in the conflict process, from inception to end, as sequential in nature, namely:
(i) the conflict situation,
(ii) awareness of the situation,
(iii) realization,
(iv) manifestation of conflict,
(v) resolution or suppression of conflict, and
(vi) after-effects of a conflict situation.
Conflicts are inescapable in an organization. However, conflicts can be used as motivators for
healthy change. In today's environment, several factors create competition; they may be differing
departmental objectives, individual objectives, competition for use of resources or differing
viewpoints. These have to be integrated and exploited efficiently to achieve organizational
objectives.
A manager should be able to see emerging conflicts and take appropriate pre-emptive action. The
manager should understand the causes creating conflict, the outcome of conflict, and various
methods by which conflict can be managed in the organization. With this understanding, the
manager should evolve an approach for resolving conflicts before their disruptive repercussions
have an impact on productivity and creativity. Therefore, a manager should possess special skills
to react to conflict situations, and should create an open climate for communication between
conflicting parties.
Sharing the conflict resolution plan

Depending on their intentions in a given situation, the behaviour of conflicting parties can range
from full cooperation to complete confrontation. Two intentions determining the type of conflict-

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handling behaviour are assertion and cooperation: assertion refers to an attempt to confront the
other party; and cooperation refers to an attempt to find an agreeable solution.
Depending upon the degree of each intention involved, there can be five types of conflict
handling behaviour (Thomas and Kilman, 1976). They are:
· Competition is a win-or-lose style of handling conflicts. It is asserting one's one viewpoint at
the potential expense of another. Competing or forcing has high concern for personal goals and
low concern for relationships. It is appropriate in dealing with conflicts which have no
disagreements. It is also useful when unpopular but necessary decisions are to be made.
· Collaboration aims at finding some solution that can satisfy the conflicting parties. It is based
on a willingness to accept as valid the interests of the other party whilst protecting one's own
interests. Disagreement is addressed openly and alternatives are discussed to arrive at the best
solution. This method therefore involves high cooperation and low confrontation. Collaboration
is applicable when both parties desire to solve the problem and are willing to work together
toward a mutually acceptable solution. Collaboration is the best method of handling conflicts, as
it strives to satisfy the needs of both parties. It is integrative and has high concern for personal
goals as well as relationship.
· Compromise is a common way of dealing with conflicts, particularly when the conflicting
parties have relatively equal power and mutually independent goals. It is based on the belief that
a middle route should be found to resolve the conflict situation, with concern for personal goals
as well as relationships. In the process of compromise, there are gains and losses for each
conflicting party.
· Avoidance is based on the belief that conflict is evil, unwanted or boorish. It should be delayed
or ignored. Avoidance strategy has low cooperation and low confrontation. It is useful either
when conflicts are insignificant or when the other party is unyielding because of rigid attitudes.
By avoiding direct confrontation, parties in conflict get time to cool down.
· Accommodation involves high cooperation and low confrontation. It plays down differences
and stresses commonalities. Accommodating can be a good strategy when one party accepts that
it is wrong and has a lot to lose and little to gain. Consequently, they are willing to accommodate
the wishes of the other party.

Resource allocation

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This section includes tools you can use when you enter conflict resolution and mediation. The
forms, templates and checklists here will help you organize your efforts, level the playing field
for participants and help evaluate your mediation efforts after the fact.
Conflict Description Template
This template will help you categorize conflicts, the steps taken and the next steps available. This
was put together and intended for the University of Iowa, but it can be modified for use by
anyone who has conflicts they need to resolve peacefully.
Key takeaway: This document has a helpful link to a list of the limits and boundaries of
confidentiality for complainants and respondents.
Mediation Agreement Checklist
This is a checklist to resolve monetary disputes. It’s a true mediation document, working through
such issues as payment disputes and timeframes for resolving them. This document indicates it’s
to be used as a guide for reaching an agreement through mediation.
Key takeaway: Follow the link at the bottom of the page and you’ll find more conflict resolution
tools and publications for free, including an e-course about collaboration.
Sample Introductions for Mediators
This document is for mediators entering a dispute-resolution process. It includes two sample
introductions you can use to explain to all what dispute resolution and mediation is and what the
process will look like for both sides.
Key takeaway: This is a good document to use if you don’t have much experience mediating, as
it gives you a good framework.

Health Services Advisory Group – Conflict Resolution Meeting Tip Sheet

This tip sheet is perfect for when you’re organizing a meeting to resolve disputes. It lists helpful
ground rules to use, plus tips on how to proceed through the logical steps of dispute resolution.
Key takeaway: It seems obvious enough, but this document offers a good reminder of the goal
of any dispute resolution agenda: To transition from a past situation to an amenable future state.

Texas Southern University – Ground Rules for a Successful Mediation Meeting

This bullet point list is a collection of ground rules to use before heading into a dispute resolution
meeting. Among the points: Each person should be prepared with some ideas for solutions to the
217
problem and be prepared to make notes and wait your turn to talk.
Key takeaway: One idea that might provide some key insight is to have the disputing sides
explain the other person’s point of view, if asked. This could open some minds and provide some
new avenues of compromise.
Sample Alternative Dispute Resolution Forms
This page from the U.S. Equal Employment Opportunity Commission provides links to forms
that government agencies use to resolve disputes. You’ll find mediation agreements, intake
sheets, settlement agreements and evaluation forms after disputes are resolved.
Key takeaway: It’s always a good idea to evaluate the effectiveness of mediation after the fact.
The forms provided here will help with that, so your mediation efforts can find ways to improve.
Mediation and Conflict Resolution Blogs, Journals and Podcasts
As more businesses and classrooms address conflict resolution, the number of resources
available keeps growing. Here are some of the best blogs, journals and podcasts about mediation
and conflict resolution, and some of their best pieces.

JAMS (Blog)

JAMS is a dispute resolution company. Its blog provides some insight into dispute resolution and
mediation.
Essential reading:

 Ten Tips Toward Client Arbitration Satisfaction: This article covers the 10 things to look
out for if you want your client to be satisfied with the results of conflict resolution.
 Nurturing Dispute Resolution Worldwide: As more companies do business overseas,
international arbitration grows in importance. Here’s what to know.
 Food for Thought: How Food Might Serve You at a Mediation: This article offers an
interesting take on how the food served in mediation settings could help get to the bottom
of the dispute.
Dispute Resolution Magazine- Current and archived issues are available to read, and some
content requires membership.
 Religion, Conflict, and Resolution: This article tackles the issues mediators may face
when resolving a dispute that may be based around religious beliefs.

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  Where Confidentiality and Transparency Collide: In sexual harassment cases, mediators
face a modern day dilemma over confidentiality and transparency.
A Podcast About Dispute Resolution and Prevention (Podcast)-This podcast from the
American Bar Association further explores dispute resolution and what can be done to
prevent such disputes in the first place.

Implementation of conflict resolution programme

Step 1: Define the source of the conflict.
The more information you have about the cause of the problem, the more easily you can help to
resolve it. To get the information you need, use a series of questions to identify the cause, like,
“When did you feel upset?” “Do you see a relationship between that and this incident?” “How
did this incident begin?”
As a manager or supervisor, you need to give both parties the chance to share their side of the
story. It will give you a better understanding of the situation, as well as demonstrate your
impartiality. As you listen to each disputant, say, “I see” or “uh huh” to acknowledge the
information and encourage them to continue to open up to you.

Step 2: Look beyond the incident.

Often, it is not the situation but the point of view of the situation that causes anger to fester and
ultimately leads to a shouting match or other visible and disruptive result.
The source of the conflict might be a minor issue that occurred months before, but the level of
stress has grown to the point where the two parties have begun attacking each other personally
instead of addressing the real problem. In the calm of your office, you can get them to look
beyond the triggering incident to see the real cause. Once again, probing questions will help,
like, “What do you think happened here?” or “When do you think the problem between you first
arose?

Step 3: Request solutions.

After getting each party’s viewpoint, the next step is to get them to identify how the situation
could be changed. Again, question the parties to solicit their ideas: “How can you make things

219
better between you?” As mediator, you have to be an active listener, aware of every verbal
nuance, as well as a good reader of body language.
You want to get the disputants to stop fighting and start cooperating, and that means steering the
discussion away from finger pointing and toward ways of resolving the conflict.

Step 4: Identify solutions both disputants can support.

You are listening for the most acceptable course of action. Point out the merits of various ideas,
not only from each other’s perspective, but in terms of the benefits to the organization. For
instance, you might suggest the need for greater cooperation and collaboration to effectively
address team issues and departmental problems.

Step 5: Agreement.
The mediator needs to get the two parties to shake hands and accept one of the alternatives
identified in Step 4. The goal is to reach a negotiated agreement. Some mediators go as far as to
write up a contract in which actions and time frames are specified. However, it might be
sufficient to meet with the individuals and have them answer these questions: “What action plans
will you both put in place to prevent conflicts from arising in the future?” and “What will you do
if problems arise in the future?

Document conflict resolution activities

A breached agreement, lack of information or misunderstanding can cause conflict in the
workplace. It is therefore essential to develop a good record keeping system so you can
confirm the facts when dealing with a disagreement. conlicts will almost inevitably continue
to arise. However, much of the pain and substantial amounts of expenditure can be avoided.
Keeping and managing records in such a way that they can be quickly and easily retrieved
can pay dividends in the long-term. Well-structured records will help in the event it should
become necessary to resolve a dispute.
The objective in any conflict is to prove what a party seeks to assert (or to disprove it if
appropriate). Therefore, structures will be project and party specific. I’d never seek to dictate
how people should keep records. They can be in paper or electronic form. They might cover
anything from site diaries to variation orders to photographs.

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However, it’s important to organise records in such a way that they’re easily searchable – to
locate categories of documents, and also documents with specific content. There ought to be a
structure to any record keeping system.

The most important thing should your dispute reach a tribunal or court, is what you can prove
happened, rather than what actually happened. Keep notes of conversations, confirm matters
discussed orally in writing. The better and more structured your record keeping, the more chance
of success should something need resolving.

How should records be handled if an issue or conflict arises?

If an issue arises on a project, create an issue file. Store all the documents relating to an issue
contemporaneously. That will make it a lot easier to identify the chronology as and if the dispute
escalates. Such a file will be an invaluable resource if third parties are required to examine the
claim. If the records can be identified, much time and effort can be avoided.

There are sophisticated document management systems available. But these systems are only as
good as the discipline of the people using them. Even the most expensive DMS can be rendered
useless through poor discipline or training. A project can generate thousands, if not millions of
emails. It’s therefore crucial to keep identifiable records on a project-by-project and issue-by-
issue basis.

What about photographic records?

Photographic records can be useful in resolving a dispute. Some part of the project may be
concealed post completion. A photograph can demonstrate what that item is and how it was
installed.: for example, M&E systems which are often inaccessible post completion.

However, a photograph must be useful. Like other records, they need to be traceable, identifiable
and it must be easy to tell when in the construction process the photograph was taken. Most

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modern cameras can store that information in the meta data of the image. Camera phones can
usually store a GPS location of the photograph, but even better to record the geographical
location accurately. Crucially, make sure the photographs make it off the device and into the
central record system.
Referencing
1. Bell, A.H. & Smith, D.M., 2004 (3rd ed‟n), Winning with difficult people, Barron‟s,
Hauppage, N.Y.
2. Condliffe, P., 2008 (3rd ed‟n), Conflict management: a practical guide, LexisNexis
Butterworths, Chatswood, N.S.W.
3. Cornelius, H., Faire, S. & Cornelius, E., 2006 (2nd ed‟n), Everyone can win:
responding to conflict constructively, Simon & Schuster, Pymble, N.S.W.
4. Dana, D., 2001, Conflict resolution: mediation tools for everyday worklife, McGraw-
Hill, London; New York.
5. Deutsch, M., Coleman, P.T. & Marcus, E.C., 2006 (2nd ed‟n), The handbook of
conflict resolution: theory and practice, Jossey-Bass, San Francisco, CA.
6. Dicker, L., 2002, Making conflict resolution happen: a simple and effective guide to
dealing with conflict at work, Allen & Unwin, Crows Nest, N.S.W.
7. Eunson, B., 2007, Conflict management, John Wiley and Sons Australia, Milton,
Queensland.
8. Harris, E.K., 2013 (6th ed‟n), Customer service: a practical approach, Person,
Boston.
9. Leland, K. & Bailey, K., 2006 (3rd ed‟n), Customer service for dummies, Wiley,
Hoboken, N.J.
10. McConnon, S. & McConnon, M, 2010 (4 th ed‟n), Managing conflict in the
workplace: how develop trust and understanding and manage misunderstandings,
How To Books, Oxford.
11. Miecke, B. & Robertson, L., 2007, Conflict and dispute resolution: a guide for
practice, Oxford University Press, South Melbourne, Victoria.
12. Osborne, C., 2002, Dealing with difficult people, Dorling Kindersley, London.
13. Runde, C.E. & Flanagan, T.A., 2007 (1st ed‟n), Becoming a conflict competent
leader: how you and your organization can manage conflict effectively, The Jossey-

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 Bass business management series, San Francisco, CA.
14. Shearouse, S.H., 2011, Conflict 101: a manager’s guide to resolving problems so
everyone can get back to work, American Management Association, New York.
15. Tillet, G. & French, B., 2010 (4th ed‟n), Resolving conflict, Oxford University Press,
South Melbourne, Victoria.
16. Wellington, P., 2011, Effective people management, Kogan Page, London.
17. Whetten, D.A. & Cameron, K.S., 2011 (8th ed‟n), Developing management skills,
Prentice Hall/Pearson, Upper Saddle River, N.J.

CHAPTER EIGHT; PERFORMANCE OF HOME-BASED CARE AND SUPPORT

Unit of learning code- COD/CU/SW/CR/08/5/A

Related Unit of Competency in Occupational Standard: Perform Home Based Care and
Support

Introduction to the unit of learning

This unit covers competencies required to identify community needs, assess community needs,
analyse stakeholders, identify individual needs, develop individual care plan, implement an
individual care plan, monitor and document home based care and support activities

Summary of Learning Outcomes

1. Identify community needs,

2. Assess community needs,
3. Analyse stakeholders,
4. Identify individual needs,
5. Develop an individual care plan,

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 6. Implement an individual care plan,
7. Monitor and
8. Document home-based care and support activities

1.2.1 Learning Outcome 1

Identify community needs

1.2.1.1 Introduction to the learning outcome

This learning outcome specifies the content of competencies required to plan for Perform Home
Based Care and Support. It includes:

 Meaning importance of home based case and support

 Home based care issues
 Target groups
 Principles and guidelines of home-based care
 Practice of home based care
 Identification of relevant partners
 Establishment of collaborative linkages with structures and

1.2.1.2 Performance Standard

1. Community leadership structures are identified as per SOPs
2. Introductory meetings with the community are conducted as per organization policy
3. A needs assessment tools are identified and implemented as per organization policy
4. A needs assessment is carried out as per the organization policy
5. Report is prepared as per the needs assessment

1.2.1.3 Information Sheet

Meaning importance of home based case and support
Home-based care is a holistic collaborative effort by the hospital, the family of the client, and the
community to enhance the quality of life of people. It is comprehensive care across the
continuum of care from the health facility through to the community and home level. It
encompasses clinical care, nursing care, counselling and psycho-spiritual care and social support
(components of Home-Based Care).

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Components of home based care

1. Clinical care: includes early diagnosis, rational treatment and planning for follow-up care
2. Counselling and psycho-spiritual care : includes reducing stress and anxiety for both
clients and families, promoting positive living and helping individuals to make informed
decisions, disclosure, plan for the future and behavioral change, make risk reduction
plans and involve sexual partner(s) in such decisions
3. Social support: includes information and referral to support groups welfare services and
legal advice for individuals and families, and where possible provision of material
assistance.

Advantages of home-based care

To the client

1. Motivates the client to accept and cope with his/her condition , thereby maximising on
their emotional health
2. Clients are cared for by their family members, this strengthens their sense of belonging to
their social group.
3. Gives the client an opportunity to continue participating in family matters e.g. decision-
making
4. Many friends are able to visit the client at home
5. The client rests in his own bed other than sharing a bed in a congested ward(hospital)
6. Many clients with terminal ailments prefer to die at home

To the family

1. Holds family together e.g. pray together

2. Helps family to accept the client’s condition
3. Makes it easier to provide care and support to the client while attending to other
responsibilities
4. Reduces medical costs(Bills)and transport costs
5. Enables family members to be present at the time of death

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To the community

1. Promotes awareness about prevention of chronic diseases

2. Helps community to understand the nature of the disease and counteract myths and
misconceptions
3. Reduces costs
4. Makes it easier and convenient to provide support
5. Holds the community morally together

To the health care system

1. Reduces hospital congestion

2. Reduces the workload of health care providers
3. Reduces demand on the health facility under limited resources

Home based care issues

1. Implementation of HBC is mainly dependent on donor funding and implemented as time

limited projects.
2. Demand for services is increasing due to increasing numbers of chronically ill as well as
HIV/AIDS patients.
3. HBC has not been prioritized by the government and thus not included in majority of
comprehensive health plans.
4. Weak link between health facility and community services.
5. Inadequate coordination of HBC implementation leading to duplication of services in
some Subcounties.
6. Inadequate human resource and lack of strategies to retain the trained staff.
7. Inadequate material supplies and logistics

Target groups

 Orphans
 PLWHA
 Other chronic illnesses

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Principles and guidelines of home-based care

1. To facilitate the continuity of the client’s care from the health facility to the home and
community
2. To promote family and community awareness of disease prevention and care related to
chronic illness
3. To empower the clients, the family and the community with the knowledge needed to
ensure long term care and support.
4. To enhance the acceptability of PLWHAs by the family and community, hence reducing
the stigma associated with AIDS.
5. To streamline client referral from the institutions into the community and from the
community to appropriate health and social facilities
6. To facilitate quality community care
7. To mobilize the resources necessary for sustainability of the service i.e. income
generating activities

Practice of home based care

Health facility

1. Initiate the HBC Process by recruiting the clients to the programme on discharge from
hospital
2. Prepare and educate the family caregiver for the caring responsibility at home.
3. Make initial diagnosis, institute relevant nursing and medical care
4. Initiate referral and network systems which may change with time as the client’s
condition and needs change
5. Care of the terminally ill depending on their wish

Home Care Team (home-visiting staff)

1. Manage AIDS-related conditions

2. Provide home nursing care
3. Arrange voluntary HIV Counselling and Testing
4. Provide supportive counselling

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 5. Refer for clinical and other services
6. Educate PLWHA /family on HIV/AIDS and other related diseases(opportunistic
infections)
7. Train the home-care givers
8. Arrange spiritual/pastoral care
9. Mobilise material support

The community

1. Providing for social support through support groups e.g. feeding programs
2. Create supportive environment for PLWHAS
3. Supports community mobilization to tap community resources and advocacy for more
resources
4. Spiritual support and emotional support to reduce stress
5. Advocacy for PLWHAS rights to reduce stigma and to hold the community morally
together.
6. Provide referral link between the health facility and the home

The family

1. Providing for physical needs e.g. Nutrition, Rest, Physical exercises

2. Providing for medical needs e.g. Giving prescribed treatment, deal with referral and
networking
3. Providing for social, emotional and spiritual needs e.g. Connecting with support groups,
feeding programs, spiritual support groups, legal groups which can help with wills and
other matters as necessary.
4. Protecting against infection e.g. Protecting the infected from nosocomial infections and
protecting self from accidental contact with HIV contaminated body fluids, blood or
diarrhoea.

The government

1. Create a supportive policy environment

2. Develop policies and guidelines

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 3. Develop and maintain standards of care
4. Provide/coordinate training
5. Provide drugs and other required commodities
6. Help in formation of support groups(CBOs), which in turn would lobby and advocate for
rights of the people living with HIV/AIDS (PLWHAS)

Identification of relevant partners

 Political leaders
 Local administration leaders
 Members of District and constituency AIDS Control Committees
 Religious leaders
 Organised groups such as women, youth and religious groups (CBOs - community-
based organizations)
 Community health workers (CHW)
 Traditional healers and birth attendants
 School teachers
 PLWHAS themselves

Establishment of collaborative linkages with structures and partners

1. Meetings with key persons, existing committee members and community groups
2. Home visits to talk to individuals and groups
3. Announcements through mosques, churches, temples, schools, work and market places
4. Group community talks

1.2.1.4 Learning Activities

1.2.1.4.1 Group activity

Divide yourselves into two groups. Each group should answer the following two questions:

1. What does HBC and support provide to a person living with HIV/AIDS?

2. How does the County Government in your area contribute to HBC?

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1.2.1.5 Self-Assessment
You are provided with the following questions for self -assessment, attempt them and check
your responses
1. How can you describe home based care?
2. What are the principles of home based care and support?
3. What are the advantages of home based care and support to the patient?
4. What is the role of the community in providing HBC?
5. What are the components of home based care?
1.2.1.6 Tools, Equipment, Supplies and Materials
 Government of Kenya Manual on Home based care and support
 Resource laboratory

1.2.1.7 References
Ministry of Health (2017). Home care Handbook.A reference manual for home based care for
people living with HIV/AIDS . Nairobi

1.2.2 Learning outcome 2

Assess community needs

1.2.2.1 Introduction to the learning outcome

This learning outcome specifies the content of competencies required to assess community
needs. It includes:

 Importance of home based care needs assessment

 Development of assessment tools
 Beneficiary targeting
 Administration of assessment tools
 Data collection and analysis
 Preparation of a needs assessment report
 Dissemination of report findings to relevant stakeholders

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1.2.2.2 Performance Standard
 Assessment tools are developed in collaboration with the ministry of health as per SOPs.
 Targeting of the beneficiaries is done as per organization policy
 Assessment tools are administered as per SOPs
 Data collected is analyzed as per SOPs.
 Assessment report is prepared as per organization policy
 Dissemination of report findings is carried out as per organization policy

1.2.2.3 Information sheet

Importance of home based care needs assessment

1. Plan and deliver the most effective care to those in greatest need
2. Apply the principles of equity and social justice in practice
3. Ensure that scarce resources are allocated where they can give maximum health benefit
4. Work collaboratively with the community, other professionals and agencies to determine
which health issues cause greatest concern and plan interventions to address those issues.

Development of assessment tools

 Supervisory reports,
 caregiver/volunteer reports
 inventory record of commodities and drugs
 observation checklists to be used to observe client-staff interaction
 pictorial tools used by low-literacy outreach workers

Beneficiary targeting

Target beneficiaries of your project, are those who benefit from a project. They can be affected
directly or indirectly by the project.

While beneficiaries are not typically listed in an overview parts of the proposal, information
about the beneficiaries is actually very important in a proposal. This is because helping
beneficiaries is the number one reason donors are willing to give money. Information about and
references to beneficiaries should be dispersed throughout the entire proposal. This helps the

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donor to understand the project, see the importance placed on helping others, connect
emotionally with the project and people, and finally decide if they support the plan.

A direct beneficiary, sometimes called a primary beneficiary, is someone who is directly

involved with the project and benefits from it. The important thing is that the direct beneficiaries
are connected with the project. Since they are so closely intertwined with the project, direct
beneficiaries should be easy to count and describe.

An indirect beneficiary, sometimes called a secondary beneficiary, is someone who is not

directly connected with the project, but will still benefit from it. This could be other members of
the community or from the area or family members of the participants. Most projects are not
planned around indirect beneficiaries, and so they are more difficult to describe precisely.

Administration of assessment tools

Face-to-face or telephone interviews can be utilized using a standardized questionnaire with

closed-ended and open-ended responses. The questionnaire covers a broad range of topics:
background information on the respondent, his or her quality of life, ART adherence, use of and
satisfaction with health facilities, use of and satisfaction with HBC services, other support and
services received and services needed, and intrafamily relationships. All data collectors,
supervisors, and data entry clerks should be trained and provided with manuals tailored to their
roles in the study. Once in the field, data collection teams visits HBC supervisors based at
facilities, who provide comprehensive lists of HBC volunteers. Supervisors then introduce the
data collection team to HBC volunteers, who provide access to the HBC registers needed for the
sampling exercise.

Data collection and analysis

For the analysis, descriptive frequency distributions, cross tabulations, and basic inferential data
analyses are used to describe characteristics of study participants and answer research questions.
T-tests can be applied to test for difference in the means of the continuous variables by levels of
the categorical variables (e.g., difference in the means of age across locality categories). Chi-
square tests can be applied in cross-tabulations to test the significance of association between

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two categorical variables (e.g., association between receiving a visit from an HBC volunteer and
clients’ sex).

Preparation of a needs assessment report

i. Overview of the Needs Assessment and Project Partners Involved

ii. Methods Used to Gather Information-Methods used to collect data included written
surveys, individual interviews, and focus groups.
iii. Participation
iv. Strengths and Limitations of Needs Assessment
v. Key Findings
vi. Recommendations

Dissemination of report findings to relevant stakeholders

 Common methods of dissemination include:

 Publishing program or policy briefs
 Publishing project findings in national journals and statewide publications
 Presenting at national conferences and meetings of professional associations
 Presenting program results to local community groups and other local stakeholders
 Creating and distributing program materials, such as flyers, guides, pamphlets and DVDs
 Creating toolkits of training materials and curricula for other communities
 Sharing information through social media or on an organization's website
 Summarizing findings in progress reports for funders
 Disseminating information on an organization's website
 Discussing project activities on the local radio
 Publishing information in the local newspaper
 Issuing a press release
 Hosting health promotion events at health fairs and school functions

1.2.2.4 Learning Activities

1.2.2.4.1 Field Visit to the Community Home based care support office
Objectives of the visit

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 i. Peruse through the records and identify the vulnerable populations that require HBC and
support
ii. Identify the role of the office in providing support to the community
iii. Develop an assessment tool that you will use to assess a client with needs for HBC and
support

1.2.1.5 Self-Assessment
You are provided with the following questions for self -assessment, attempt them and check your
responses

1.2.2.6 Tools, Equipment, Supplies and Materials

 Classroom
 Home based care manual
 Computer laboratory

1.2.2.7 References
Ministry of Health (2017). Home care Handbook.A reference manual for home based care for
people living with HIV/AIDS. Nairobi

1.2.3 Learning outcome 3

1.2.3.1 Introduction to the learning outcome
This learning outcome specifies the content of competencies required to analyse stakeholders. It
includes:

 Identification of the required resources for home-based care

 Mapping of local and external stakeholders
 Stake holders directory
 Mobilisation of resources from stakeholders

1.2.3.2 Performance Standard

 Local and external stakeholders mapping and analysis is done as per organisation policy
 Stakeholders directory is prepared as per organisation policy

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  Mobilization of resources in collaboration with the stakeholders is done as per
organisation policy

1.2.3.3 Analyse stakeholders

The individuals and constituencies that contribute, either voluntarily or involuntarily, to its
wealth-creating capacity and activities, and are therefore its potential beneficiaries and / or risk
bearers.

Stakeholder Analysis

 Identify the stakeholders likely to be affected by or influence the activities of the

organization
 Assess how those stakeholders could be impacted or impact upon the organization
 Anticipate the consequences of any change in the organisation’s activities
 Identify stakeholders’ ‘success criteria’
 Assure a successful outcome for the organisation by developing co-operation with
stakeholders

Stake holders directory

A typical list of Stakeholders would include:

• Banks and creditors

• Partners & suppliers

• Management

• Employees, unions,works councils

• Competitors

• Government & regulators: local, national, international

• Professional and industry associations

• Media: local, national, trade, financial

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• NGOs

• Communities & other interest groups

Mapping of local and external stakeholders

• Within the organisation: e.g. employees & management

• Outside the organisation: e.g. government & trade associations

The Stakeholder Analysis process:

1. Identify all stakeholders (Brainstorming)

2. Identify stakeholder needs & interests

3. Classify groups of interests (Stakeholder Mapping)

4. Identify areas of conflict: Organisation v Stakeholder, Stakeholder v Stakeholder

5. Prioritise, reconcile and balance stakeholders

6. Align significant stakeholder needs with organisation’s strategies and actions

Stakeholder Mapping

• Several techniques for categorizing stakeholders

• Helps identify which stakeholders may support or oppose change / organisation’s actions

• Which stakeholders are the most powerful, have most influence

• Help decision makers formalise / prioritise Strategies

Stakeholder mapping is a process of finding out the key stakeholders relating to a project. The
process involves identifying all individuals who have an interest in the project outcome. A
project stakeholder can be one individual or multiple individuals as in the case of large public
infrastructure projects.

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Once all the project stakeholders are identified, the project manager must map, or categorize
them, according to different levels of engagement. Mapping of the stakeholder is done according
to the following two levels.

i. The level of interest

ii. The level of influence

By influence, it means stakeholders have power in setting and modifying project requirements.
On the other hand, interest means that stakeholders are affected by the project outcome but they
do not have any power to influence project requirements.

A project manager should focus on satisfying expectations of the stakeholders who have a high
level of influence relating to the project. On the other hand, stakeholders having a high level of
interest need to be merely kept informed of the project status.

Mapping of shareholders is a visual exercise. You can manually map the stakeholders or use a
software to perform the action. Once you have fully mapped the stakeholders, you need to create
an action plan on how to engage with them.

Importance of stakeholder mapping

i. Stakeholder mapping is essential for the success of a project. The fact is that most
projects involve a large number of stakeholders. When you have mapped the
stakeholders, it will help in better managing their expectations.
ii. Engaging with key stakeholders will also help project managers to get invaluable
insights. The insights that the stakeholders will share regarding the project will prove
invaluable in successful project outcome.
iii. Moreover, actively engaging with the stakeholders will result in increased perception of
success. This is because stakeholders whose expectations are micro-managed through
stakeholder mapping are far likely to perceive the project as a success.

1.2.3.4 Learning Activities

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1.2.3.4.1 Case study
An international organization wants fund a community home based care and support in a region
with rampant HBC needs. What is the process the organization will go through to qualify as
stakeholders?

1.2.3.5 Self-Assessment
You are provided with the following questions for self -assessment, attempt them and check
your responses
1. Define a stakeholder
2. Who are some of the stakeholders that can participate in HBC?
3. Differentiate between internal and external stakeholders
4. What are the advantages of stakeholder mapping?

1.2.3.6 Tools, Equipment, Supplies and Materials

 Classroom
 Home based care manual
 Computer laboratory

1.2.3.7 References

Ministry of Health (2017). Home care Handbook.A reference manual for home based care for
people living with HIV/AIDS. Nairobi

1. Develop an individual care plan,

2. Implement an individual care plan
3. Monitor home based care and support activities.
4. Document home-based care and support activities

1.5.1 Learning Outcome 5

Develop an individual care plan

1.5.1.1 Introduction to the learning outcome

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This learning outcome specifies the content of competencies required to plan for performance of
home based care and support. It includes Importance of advocacy for home based care,
development of an advocacy plan for home based care, development of individual care plan and
allocation of resources for individual care plan.

1.5.1.2 Performance Standard

 Data collected is analyzed as per organization policy
 Setting of health priorities is carried out based on the assessment findings
 Individual care plans are developed in collaboration with ministry of health as per SOPs,
1.5.1.3 Information Sheet
Importance of advocacy for home based care

Advocacy is the act of pleading or arguing in favours of something, such as a cause, idea, or
policy i.e active support. It normally aims to influence public policy and resource allocations or
decisions within political, economic and social systems and institutions. It may be motivated
from moral, ethical or faith principles or simply to protect an asset of interest. Advocacy can
include many activities that a person or organization undertakes including media campaigns,
public speaking, commissioning or publishing research. It is a type of problem-solving designed
to protect personal and legal rights, and to insure a dignified existence.

In Home based Care, advocacy may help to achieve the following: -

 ensures that quality care is available to seniors living alone, with adult children, in group
homes, assisted nursing facilities, or even homes within the community
 Facilitates availability of community resources which in the long run helps ease the
financial pressure of home-based care on families and relatives
 provides support, services, and information for the clients
 Helps the client to develop the skill to express clearly and unambiguously their own
opinions and wishes
 Ensures that the demands and opinions of home-based care clients are heard
 Helps a client to obtain an independent opinion on the situation in which he / she found
himself /herself

239
  Health Workers can help people with problems and concerns become part of an existing
group.
 It can catalyze the process of group formation

Development of an advocacy plan for home based care

An advocacy plan is an approach aimed at persuading someone to change action for the public
interest. Without a clear obtainable goal, an advocacy plan will lack purpose. You must first
analyze the problem and decide what kind of solution is within your spoke of experience. This is
for both short and long term goals. A short-term goal has a more immediate resolution and may
be only a one step plan. A long-term goal is one you eventually hope to obtain, and it usually has
many factors to address
Advocacy planning is best done as a group activity and below is a general guide to this: -

1. Problem

Uncover the problem that needs to be addressed. Give a brief description of the problem that
you want to solve to include:

 Who are those affected?

 Why is there a problem?

 What are the main causes of the problem?

 What is the impact of the problem and future consequences?

 In what ways can the problem be solved?

 What evidence can support your definition of the problem?

Make a clear statement of the implications of the problem. Use evidence from literature and
other reliable sources to support your assertions. Conduct an extensive research on the issue you
plan to advocate for. Try to give some examples and create a solid evidence base for your
assertions.

2. Goals (or objectives)

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Plan/ formulate your overall goal that you aim to achieve by indicating your vision of change. In
order to be more specific, split your goals into specific steps according to your time-frame.
Long-term goals- Decide where you want to be, by the end of your advocacy campaign
Intermediate goals- they represent concrete steps toward achieving the ultimate goals. You can
use these objectives to measure your work progress. When writing the intermediate goals, keep
your focus on community and system changes – programs, policies, and practices
Short-term goals- they help to keep you motivated and measure the progress step by step.
Content outcome- Here, define clearly what you need to achieve through the advocacy campaign
in order to be able to make the goals happen, like for e.g. policy change/building community and
trust among participants

Ensure that your objectives are SMART:

Specific: What is your focus?
Measurable: Who? What? Where? When? How?
Achievable: Is your goal realistic? It can be actually achieved?
Relevant: What is the relevance to your mission? The goal successfully accomplish its mission?
Timed: What is the time frame?

3. Target audiences

Be very clear and specific on how your target group is!

a) Identify who are the decision-makers that have the power to change the status of the
problem.

Stakeholders’ analysis will help to identify audiences as well your supporters and opponents. It
involves identification of the stakeholders, assessing their interest, whether they support or
opposite you, their influence and importance.

Identification of stakeholders may be guided by the following questions: who is more likely to
benefits from the proposed change? who is more likely to be adversely influenced by the
proposed change? who has the power and resources to make changes happen? who complains
about the issue? who are those that may be affected by the project?

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Assessment of stakeholders’ interests will guide in how to approach them and the following
questions may guide the process: what are the expectations of stakeholders? what are the
project’s benefits for stakeholders? what resources might they be able and willing to invest? Is
there any conflict of interest between stakeholders and project goals?

Assessment of stakeholder support or opposition to the issue involves determining whether

stakeholders are your allies or they will fight against you. The following questions may be used
to guide this process: do the stakeholders support or oppose your issue publicly? Is the
stakeholder public support or opposition different from private support or opposition? what has
the stakeholder’s position been on previous similar issues? how did it change that over time?

Assessment of stakeholder influence determines whether the stakeholder has the capacity and
power to promote a change on the issue. You should determine the following: political, social
and economic power the stakeholder has, the level of influence that the stakeholder has and the
stakeholder’s control over strategic resources.

Assessment of the stakeholder importance determines how much the stakeholder engagement
will help you to achieve a sustainable change. The following questions may help you with this
process: how necessary is it to engage the stakeholder in order to address the underlying causes
of the problem?

b) Primary & secondary audience

After you decide who the stakeholders are, identify the main target audience. Identify the
individuals, groups or institutions that have the power and ability to influence the problem.
Primary audience includes decision makers that have the authority to directly influence your
advocacy outcome. Secondary group audience includes individuals, groups and/or institutions
that can influence the decision makers.

c) Supporters & opponents

Identify potential allies and opponents that have the power to make changes happen. You may
choose the top five individuals, institutions or groups that will support/oppose you in your
advocacy work Determine their level of influence, their position on issue and what you can do in
order to successfully collaborate with each supporter/opponent.

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 4. Messages and messengers
i. Messages

In order to reach your audience, you will need to develop tailored messages depending on what
different groups need to hear. Advocacy messages have to include two main components: “an
appeal to what is right, and an appeal to the audience’s self-interest” (Jim Schultz: Strategy
Development: Key Questions for Developing an Advocacy Strategy).

a) Developing the message

Include what you want to achieve, why, and how. Be clear, concise and compelling. A primary
message is an evidence based key message that is a universally compelling statement like for
example “injuries can be prevented in the practice of home-based care”. Highlight why the
change in the issue is so important and base the primary message on evidence. Be sure that your
statements are evidence-based at all the time. Highlight also here what you want to achieve,
the solution for the problem and what you want to do in order to reach the established
goals/objectives. A Secondary message has to be designed for a specific audience that needs
further explanation.

Characteristics of a good advocacy message:

 CLEAR: How focused is your message on the main point of the issue?

 CONCISE: Is your message expressed in a short paragraph?

 CREDIBLE: Can your message be accomplished?

 COMPELLING: Is your message addressed to the target audience, to their values and
concerns?

 CONTRASTING: Is your message highlighting the difference between you and the others
advocating for the same thing?

ii. Messengers

Consider that the same message can be differently perceived depending on who is delivering it,
so specific audiences may need different individuals and institutions communicating the

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message. You have wisely chosen those who have the power to influence the audience and
initiate the desired change. Your messenger has to support the issue, to be credible and clear in
his arguments

5. Resources and assets

At this point it is recommended to make an inventory of all available and needed resources.
Consider to include both the resources that are already available to be built on as well as what
you need that is not there yet. Think at any other advocacy activities conducted in the past,
already built alliances and partnerships in the field, the capacity of your team and other partners,
and any other information and resources available.

According to the nature and goal of your advocacy plan, the list of available and necessary
resources will vary, but you should consider to include three main categories of resources –
financial, human and infrastructure.

6. Strategy and tactics

All the information gathered in the previous steps will be reflected in your strategy and tactics.
You will have to decide how to reach your goal – you may choose to use friendly persuasion or
you may choose to be a bit more conflictual. Based on what you’ll already develop, choose what
you consider is best fitted for your case.

i. Strategy

“A strategy is a plan of action devised to achieve a goal through specific tactics” – Public Health
Policy Agenda & Action Guide. The Chicago Partnership for Public Health, 2002.

Before writing down your strategy, consider to ask the following questions: What are the
supporters and opponents that can influence the outcome? Who are the advisors to policy
makers? How can you reduce the influence of your opponents? What are the most effective
tactics for each target audience/stakeholder? What is the most effective timing for tactics? What
are your tactics?

ii. Tactics

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“Tactics are the activities employed to implement a strategy” – Public Health Policy Agenda &
Action Guide. The Chicago Partnership for Public Health, 2002. When choosing and developing
the strategy keep your focus on what is the current status of the issue related to the policy area,
what you want to change and how you will facilitate the change. At this point you will have to
take concrete measures to reach your target audiences and motivate them to get actively
involved. You may plan your action steps for each major objective or to go into more details
including resources and support needed for each action step in part.

7. Monitoring and Evaluation

Monitoring- on-going process of ensuring that the planned activities are carried out in such a
way that the the goals and objectives of a particular intervention are likely to be met.

Evaluation - The process of assessing actual progress toward goals and the impact of programs
on target Groups. It is a process of determining as systematically as possible, the relevance,
effectiveness and impact of activities in the light of their objectives
In Home Based Care (HBC), it involves watching for signs that show the community has
accepted HBC programme and may include evidence that the: -
 Community has taken interest in supporting the activities of the programme
 Community asking for more information about HBC
 People volunteering to act or work with community Health Workers (CHWs)
 People voluntarily seeking assistance to take care of HBC clients
It also involves acknowledging positive responses and finding out more reasons for negative
responses. Finally, one gives feedback to the concerned persons such as the immediate
supervisor.
Monitoring and evaluation are done through data collection e.g. observation, interviews, home
visits, literature review, existing reports or records, meetings especially collaborative meetings
among stake holders.
In order to monitor and evaluate your work, you will have to develop two types of indicators: 1)
indicators of process and 2) indicators of impact.
 The indicators of process represent the achievement of the small steps undertaken in
order to achieve your goal. These indicators have to reflect the main deadlines and

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 activities previously assumed in the advocacy plan.
 The indicators of impact represent the evidence that your advocacy activity positively
influenced/changed the issue. Consider to measure the impact both at the level of policy
and practice.

Development of individual care plan

Making plans is a critical activity for patients and family. All clients in need must have a care
plan. So common is the need to produce plans that for most social workers, writing a plan must
feel like a routine part of the job. Once they are written, most care plans will be reviewed at
various formal and informal meetings. The idea behind this ‘plan and review’ approach is to
make sure that everyone understands what tasks need to be completed, by when and whether
sufficient progress is being made towards the overall objectives of the plan. Plans should be
developed with clients and families. People are much more likely to meet goals they set for
themselves than they are to meet goals imposed upon them by other people.

Care planning involves:

 Gathering and sharing stories: the views of all concerned, including the person’s, family,
carers and professionals.
 Establishing clear mutual expectations with service users and carers
 A systematic review of the needs of the person
 Exploring and discussing choices: to help work out what’s most important, and the
implications of different choices
 Goal setting: what do we want to achieve and by when?
 Action planning: what are we going to do, who is responsible, and when will it be
reviewed?
 Safety: how do we make care as safe as possible?
 Support: for someone to manage their own health as much as possible

Care plans should answer the following questions:

• Why are we doing this?

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 • What are we planning to achieve?

• How are we going to do it?

• Who will do it?

• Where will it be done?

• When will it be done by?

The care plan should also:

 Focus on people’s strengths and wishes

 Include the person’s role in the plan

 Reflect the individuals cultural and ethnic background as well as their gender,
sexuality, race, economic disadvantage, age, religion/spirituality, and disability

 Consider the role of any family or carers who are involved

 Include action and outcomes in all relevant aspects of an individual’s life

 Consider any safeguarding issues for children or vulnerable adults

 Consider safety issues

 Include crisis and contingency arrangements

 Give the date of the next planned review

 Cover transfer details if appropriate

 Identify any unmet needs

 Acknowledge areas of difference or disagreement

Example of an individual care plan

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 Allocation of resources for individual care plan

This entails identifying and using all available services or goods required to meet the identified
needs of the clients, the family, and the community. It is essential to ensure that the goals at
various levels of home-based care are achieved.

Necessary resources for effective and sustainable care can be considered in the following three
categories:

 Manpower: The people who assist the clients in Home-based care programs, including
health workers at all levels, family members, relatives/friends, community leaders,
spiritual, political, and administrative leaders, and community volunteers.
 Materials: The material resources required to assist, including food, cooking fuel (e.g.,
firewood), water, transport, or money for drugs, children's education needs, or other
expenses.
 Moments: The time required for providing care and support for persons in the Home-
based care program.

Resources are required at every level of the home-based care continuum. And, the players at
every level – the individual, the family, the community, and the nation – should be expected to
contribute to the extent possible.

1.5.1.4 Learning Activities

1.5.1.4.1 Case study
You are working in community Z as a social worker with the main role of ensuring that Home
based care programmers are efficiently meeting the needs of its clients, families and care givers.
Develop an individualized care plan for a 90-year old male client who is newly enrolled into the
program due to multiple chronic diseases related to aging.

1.5.1.4.2 Field Visit to a community with a home care facility

Objective of the visit

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 1. To develop an advocacy plan for Home based care in Community

1.5.1.5 Self-Assessment
You are provided with the following questions for self -assessment, attempt them and confirm
your responses
1. What are five (5) importances of advocacy in Home- based care?
2. What is the difference between monitoring and evaluation?
3. What is an ‘advocacy plan’ as used in Home based care?
4. What are three (3) indicators that a community has embraced HBC programme?
5. Which five (5) specific questions must a care plan answer?
6. What is the difference between ‘indicators of impact’ and ‘indicators of response’ as used
in monitoring and evaluation?
7. Outline how you would write a strategy in advocacy planning for HBC
8. What are five (5) characteristics of a good advocacy message?

1.5.1.6 Tools, Equipment, Supplies and Materials

 Aprons
 Gum boots
 Gloves
 Operational office
 Fully operational residential institution
 First aid kit
 Legal documents on home based care
 Personnel

RESPONSES
1. What are five (5) importances of advocacy in Home- based care?
 ensures that quality care is available to clients
 Facilitates availability of community resources to clients, families and relatives
 provides support, services, and information for the clients
 Helps the client to develop the skill to express their own opinions and wishes

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 Ensures that the demands and opinions of home-based care clients are heard
 Helps a client to obtain an independent opinion on their own situation
 Health Workers can help home based clients become part of an existing group.
 It can catalyze the process of group formation
2. What is the difference between monitoring and evaluation?
 Monitoring- on-going process of ensuring that the planned activities are carried out in
such a way that the the goals and objectives of a particular intervention are likely to be
met.
 Evaluation - a process of determining as systematically as possible, the relevance,
effectiveness and impact of activities in the light of their objectives
3. What is an ‘advocacy plan’ as used in Home based care?
It is an approach aimed at persuading someone to change action for the public interest.
4. What are three (3) indicators that a community has embraced HBC programme?
 Community has taken interest in supporting the activities of the programme
 Community asking for more information about HBC
 People volunteering to act or work with community Health Workers (CHWs)
 People voluntarily seeking assistance to take care of HBC clients
5. Which five (5) specific questions must a care plan answer?
 Why are we doing this?
 What are we planning to achieve?
 How are we going to do it?
 Who will do it?
 Where will it be done?
 When will it be done by?
6. What is the difference between ‘indicators of impact’ and ‘indicators of response’ as used
in monitoring and evaluation?
 The indicators of process represent the achievement of the small steps undertaken in
order to achieve your goal.
 The indicators of impact represent the evidence that your advocacy activity positively
influenced/changed the issue.
7. Outline examples of questions you would write a strategy in advocacy planning for HBC

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 Before writing down my strategy, I would consider to ask the following questions: What
are the supporters and opponents that can influence the outcome? Who are the advisors to
policy makers? How can I reduce the influence of your opponents? What are the most
effective tactics for each target audience/stakeholder? What is the most effective timing
for tactics? What are my tactics?
8. What are five (5) characteristics of a good advocacy message?
 clear
 concise
 credible
 compelling
 contrasting

1.6.1 Learning Outcome 6

Implement an individual care plan

1.6.1.1 Introduction to the learning outcome

This learning outcome specifies the content of competencies required to plan for performance of
home-based care and support. It includes Community mobilisation in support of home-based
care, Implementation of the advocacy plan, Monitoring and review of the advocacy plan as well
as Preparation and sharing of the advocacy report.

1.6.1.2 Performance Standard

 Resources are allocated based on the care plan
 Individual Plan is implemented based on the allocated resources

1.6.1.3 Information Sheet

Community mobilisation in support of home-based care

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Community mobilization refers to the process whereby individuals (members of a community)
who share concerns or problems form groups and work together to improve their situation.

Steps in community mobilization

1 A period of gestation

The individuals explore their concerns and develop trust and cohesion.

2 A period of decision-making

The individuals confront such questions as: are there things that we could do together? Are there
ways that we could help our-selves by working together?

3 A period of planning

Those who want to work together begin to explore how they will proceed: What specifically
they will do, how they will organize themselves and deciding what assistance they might require.

4 Implementation and replanning

A group alternates in putting their outlined objectives into action and replanning, sometimes
with attention to internal maintenance or self-assessment (evaluation)

Progression of the groups

- Become officially registered by the ministry of social services

- Attracts more participants

- Formalize their structure

- Establish goals and objectives and a common code of behavior (norms)

- Raise resources through funding proposals and other assistance channels

- Initiate income-generating activities e.g. projects, investments

- Monitor and evaluate their activities through regular meetings and site visits.

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Importance of social mobilization

- Members develop as they learn from each other

- They share concerns and experiences, therefore become more effective in solving their
problems.

- They think more creatively and positively about their situation and problems, and so they are
able to meet their challenges and influence others to modify negative behavior.

- members benefit from each other’s strength, abilities and expertise

- members sustain, support and help each other

- Members maximize and legitimize their influence through joint action and advocacy.

- members develop pride and ownership (sense of belonging)

- Members gain access to needed services and benefits

- Members protect their rights and those of others

Implementation of the advocacy plan

The advocacy implementation plan should be dynamic and capable of addressing changing needs
as the need for Home-based care continues increasing. A good advocacy plan will be able to
respond to newly identified needs for political support and awareness-raising in the community.

A logic model is a visual presentation of how your group will do its advocacy work, and of the
theory and assumptions underlying the action plan you are seeking to implement. It shows the
relationships between the many resources you have (or need) to implement your plan, the
activities you plan to do, and the results you hope to achieve

Components of a logic model.

Each component in a logic model is linked to the next in a conditional logic “if–then”
relationship, in much the same way as in computer programing. If you have access to resources,
then you can carry out planned activities. If you carry out activities (inputs), then you can deliver
advocacy actions (outputs). If you have a positive effect on Home-based care control policies,
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then the public will benefit (outcomes). If your citizens benefit, then hoped for changes will
happen in your community and your country (impact).
In taking action, remember:

 Do not fear controversy. Rather, try to turn it to your own advantage.

 Avoid any illegal or unethical activities.
 Hold policy-makers accountable to their commitments.
 Keep a record of successes and failures.
 Post your advocacy plan on your web site (or the web site of one of your member
groups), and use it to measure your progress every month.
 Schedule a monthly meeting or conference phone call to keep your advocacy group
members on track, informed and motivated.
 Monitor public opinion and publicize positive developments.
 Acknowledge and credit the role of policy-makers and coalition partners

Monitoring and review of the advocacy plan

As discussed previously under outcome 1, monitoring is the measurement of progress towards

the achievement of set objectives, noting which activities are going well and which are not.
Evaluation is about judging the quality and impact of activities. Evaluation asks why some
actions went well and others did not, and why some activities had the desired impact while
others did not. Both process evaluation (how you worked) and impact evaluation (what changed)
need to be considered.

Methods of monitoring and evaluating advocacy work.

 qualitative (e.g. case studies, stories, opinions, survey questionnaires)

 quantitative (e.g. statistics or trends that indicate a change over time).

Monitoring methods should be chosen according to the indicators that you have selected to
evaluate the impact of your work. Monitoring methods may include:

i. keeping records of meetings, correspondence or conversations with target audiences and

the responses elicited

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 ii. tracking when your key messages or briefing notes are used by elected officials, other
key influencers or the media
iii. carrying out surveys and interviews to determine the impact your actions have had and
the recognition they have received
iv. monitoring the media and keeping track of coverage of your topic in the media.

Evaluation should be based on the goals and objectives that were set at the outset of the
advocacy planning process. Questions that you might ask in order to evaluate the impact of your
work are as follows:

 Have you achieved your objectives?

 How many meetings have you had with key target decision-makers and what were the
outcomes of those meetings?
 What actions were taken by these target decision-makers?
 Is the situation better than before? By how much?
 If there is no change, how might you change your advocacy methods?
 What would you do differently next time?
 Are the people involved with the advocacy effort happy with the results and the way the
work was implemented? Are they still involved?

Advocacy is often an ongoing process. Thus rather than simply aiming for a single policy or
piece of legislation, advocacy plans may have multiple or even changing goals and objectives.
Ideally then, advocacy plans should be designed to be sustainable over time. Planning for
continuity means articulating long-term goals, keeping functional coalitions together and
adjusting advocacy methods as situations change.

Over the long term, you will need to evaluate the situations that result from advocacy activities.
Possible scenarios, and recommended courses of action, are:

 If desired policy changes occur, monitor their implementation.

 If desired policy changes do not occur, review previous advocacy strategy and action,
revise the strategy, enact a new advocacy process or identify other actions to be taken.
 Develop plans to sustain or reinforce the desired change.

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 Preparation and sharing of the advocacy report

Review and reflection should happen throughout your advocacy initiative. This means you
should meet and share findings with your colleagues, and reflect on your progress, successes and
learnings.

The following link provides examples of advocacy reports:

1.6.1.4 Learning Activities

1.6.1.4.1 Case study
You are working in community M as a social. Guide members with cancer of breast in formation
of a support group.

1.6.1.4.2 Field Visit to Theatre

Objectives of the visit

1. To understand the process of community mobilization

1.6.1.5 Self-Assessment
You are provided with the following questions for self -assessment, attempt them and confirm
your responses
1. What are the four (4) steps in community mobilization?
2. What three (3) methods may be used in monitoring home-based care activities?
3. What does a “logical model” mean in relation to implementation of an advocacy plan?
4. What is community mobilization?
5. Which are five (5) importances of social mobilization?
6. What is the process of implementation of an advocacy plan?
7. What is the purpose of scheduling meetings in implementation of an advocacy plan?
8. What are three examples of methods in qualitative monitoring of advocacy work?

1.6.1.6 Tools, Equipment, Supplies and Materials

 Aprons
 Gum boots

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  Gloves
 Operational office
 Fully operational residential institution
 First aid kit
 Legal documents on home based care
 Personnel
RESPONSES
1. What are the four (4) steps in community mobilization?
A period of gestation: The individuals explore their concerns and develop trust and cohesion.

A period of decision-making: The individuals confront such questions as: are there things that we
could do together? Are there ways that we could help our-selves by working together?

A period of planning: Those who want to work together begin to explore how they will proceed:
What specifically they will do, how they will organize themselves and deciding what assistance
they might require.

Implementation and replanning: A group alternates in putting their outlined objectives into
action and replanning, sometimes with attention to internal maintenance or self-assessment
(evaluation)

2. What three (3) methods may be used in monitoring home-based care activities?
i. keeping records of meetings, correspondence or conversations with target audiences and
the responses elicited
ii. tracking when your key messages or briefing notes are used by elected officials, other
key influencers or the media
iii. carrying out surveys and interviews to determine the impact your actions have had and
the recognition they have received
iv. monitoring the media and keeping track of coverage of your topic in the media
3. What does a “logical model” mean in relation to implementation of an advocacy plan?
A logic model is a visual presentation of how your group will do its advocacy work, and of the
theory and assumptions underlying the action plan you are seeking to implement
4. What is community mobilization?

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Community mobilization refers to the process whereby individuals (members of a
community) who share concerns or problems form groups and work together to improve their
situation.

5. Which are five (5) importances of social mobilization?

Members develop as they learn from each other

- They share concerns and experiences, therefore become more effective in solving their
problems.

- They think more creatively and positively about their situation and problems, and so they
are able to meet their challenges and influence others to modify negative behavior.

- members benefit from each other’s strength, abilities and expertise

- members sustain, support and help each other

- Members maximize and legitimize their influence through joint action and advocacy.

- members develop pride and ownership (sense of belonging)

- Members gain access to needed services and benefits

- Members protect their rights and those of others

6. What is the process of implementation of an advocacy plan?

 Do not fear controversy. Rather, try to turn it to your own advantage.

 Avoid any illegal or unethical activities.
 Hold policy-makers accountable to their commitments.
 Keep a record of successes and failures.
 Post your advocacy plan on your web site (or the web site of one of your member
groups), and use it to measure your progress every month.
 Schedule a monthly meeting or conference phone call to keep your advocacy group
members on track, informed and motivated.
 Monitor public opinion and publicize positive developments.
 Acknowledge and credit the role of policy-makers and coalition partners

258
7. What is the purpose of scheduling meetings in implementation of an advocacy plan?
To keep your advocacy group members on track, informed and motivated.
8. What are three (3) examples of methods in qualitative monitoring of advocacy work?
 case studies
 stories
 opinions
 survey questionnaires

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1.7.1 Learning Outcome 7
Monitor home based care and support activities.

1.7.1.1 Introduction to the learning outcome

 This learning outcome specifies the content of competencies required to plan for
performance of home-based care and support. It includes Identification of client’s
performance indicators, Tracking and analysing of client’s performance indicators,
Preparation of the clients individual home-based care report and Execution of referral
where necessary

1.7.1.2 Performance Standard

 Indicators aligned to the individual care plan are identified as per SOPs,
 Indicators are tracked based on the care plan
 Indicators are analysed based on the care plan
 Report is prepared as per organisation policy
 Necessary referrals are executed as per SOPs

1.7.1.3 Information Sheet

Identification of client’s performance indicators

Performance indicators are measures that describe how well a program is achieving its
objectives. They tell us specifically what to measure to determine whether the objective has
been achieved. Indicators are usually quantitative measures but may also be qualitative
observations.

They define how performance will be measured along a scale or dimension, without
specifying a particular level of achievement.

Importance of Performance Indicators

Performance indicators are at the heart of a performance monitoring system -- they

define the data to be collected to measure progress and enable actual results achieved

over time to be compared with planned results. Thus, they are an indispensable

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management tool for making performance-based decisions about program strategies

and activities.

Other ways that performance indicators, and the data collected on them, can be used

include the following:

 to orient and motivate operating unit staff toward achieving results

 to communicate achievements to stakeholders and clients of Home-based care
programs

Steps in Selecting Performance Indicators

Step 1. Clarify the results statements.

Good performance indicators start with good results statements that people can understand
and agree on. Carefully consider the result desired. Review the precise wording and intention
of the strategic objective, strategic support objective, special objective, intermediate result,
critical assumption, or result supported by partners.

Avoid overly broad results statements. Sometimes objectives and results are so broadly stated
it is difficult to identify the right performance indicators. Instead, specify those aspects
believed to make the greatest difference to improved performance.

Step 2. Develop a List of Possible Indicators.

There are usually many possible indicators for any desired outcome, but some are more
appropriate and useful than others. In selecting indicators, don't settle too quickly on the first
that come most conveniently or obviously to mind. A better approach is to start with a list of
alternatives, which can then be assessed against a set of selection criteria.

To create the initial list of possible indicators, tap the following sources:

 internal brainstorming by the strategic objective team

 consultations with experts in the substantive program area
 experience of other operating units with similar indicators.

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 opportunity for a free flow of ideas and creativity.

Step 3: Assess each possible indicator

Next, assess each possible indicator on the initial list. Experience suggests using seven basic
criteria for judging an indicator's appropriateness and utility. These seven criteria are
described below.

Seven criteria for assessing performance indicators

1. DIRECT. A performance indicator should measure as closely as possible the result it is

intended to measure. It should not be pegged at a higher or lower level than the result being
measured.

2. OBJECTIVE. An objective indicator has no ambiguity about what is being measured. That
is, there is general agreement over interpretation of the results. It is both unidimensional and
operationally precise. To be unidimensional means that it measures only one phenomenon at
a time. Avoid trying to combine too much in one indicator, such as measures of both access
and use. Operational precision means no ambiguity over what kind of data would be
collected for an indicator.

3. ADEQUATE. Taken as a group, a performance indicator and its companion indicators

should adequately measure the result in question. A frequently asked question is "how many
indicators should be used to measure any given result?" The answer depends on

a) the complexity of the result being measured, b) the level of resources available for
monitoring performance, and c) the amount of information needed to make reasonably
confident decisions. For some results that are straightforward and have tried and true
measures, one performance indicator may be enough.

4. QUANTITATIVE, WHERE POSSIBLE. Quantitative indicators are numerical.

Qualitative indicators are descriptive observations (an expert opinion of institutional strength,
or a description of behaviour). While quantitative indicators are not necessarily more
objective, their numerical precision lends them to more agreement on interpretation of results
data, and are thus usually preferable. However, even when effective quantitative indicators

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are being used, qualitative indicators can supplement the numbers and percentages with a
richness of information that brings a program's results to life.

5. DISAGGREGATED, WHERE APPROPRIATE. Disaggregating people-level program

results by gender, age, location, or some other dimension is often important from a
management or reporting point of view. Experience shows that development activities often
require different approaches for different groups and affect those groups in different ways.
Disaggregated data helps track whether or not specific groups participate in and benefit from
activities intended to include them. Therefore, it makes good management sense that
performance indicators be sensitive to such differences.

6. PRACTICAL. An indicator is practical if data can be obtained in a timely way and at a

reasonable cost. Managers require data that can be collected frequently enough to inform
them of progress and influence decisions.

7. RELIABLE. A final consideration in choosing performance indicators is whether data of

sufficiently reliable quality for confident decision-making can be obtained.

Step 4. Select the "Best" Performance Indicators.

The next step is to narrow the list to the final indicators that will be used in the performance
monitoring system. They should be the optimum set that meets the need for management-
useful information at a reasonable cost

Preparation of the clients individual home-based care report

Information should be shared using a variety of channels including a programme of visits to

the demonstration sites. All those participating in the implementation ofHBC model in the
demonstration sites may be used as resource persons to assist in the implementation in other
sites

Execution of referral where necessary

Referral is an effective and efficient two-way process of linking Home-based care clients
from one caring service to another or to other needed services. Referral and networking are
essential to ensure continuity of quality care at all times. Referring a HBC client will be

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 deemed necessary: When services or resources within reach are not able to meet the
immediate needs of clients, For better, more competent management in the next stage of
required care, For specialized care in a hospital setting, especially if the client is
deteriorating, In cases where the acute phase of the PLWHA's care has been dealt with and it
is deemed safe to transfer care to other caring services/organizations within the community,
When the care provider experiences burnout and has no access to counselling services for
personal growth, When the caregiver has limitations in meeting certain needs of the clients,
e.g., based on cultural or religious beliefs, For continuity of care from the health facility to
the family or from family level back to the health facility.

1.7.1.4 Learning Activities

1.7.1.4.1 Case study
Develop a list of possible performance indicators in a home-based care program for persons
living with HIV/AIDS

1.7.1.5 Self-Assessment
You are provided with the following questions for self -assessment, attempt them and confirm
your responses
1. What are performance indicators?
2. What are two importances of performance indicators?
3. What are the seven (4) criteria for assessing performance indicators?
4. What are four (4) reasons for execution of referral in home-based care?

1.7.1.6 Tools, Equipment, Supplies and Materials

 Operational office
 Fully operational residential institution
 Legal documents on home based care
 Personnel
RESPONSES
Performance indicators are measures that describe how well a program is achieving its
objectives. They tell us specifically what to measure to determine whether the objective has been
achieved.

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 1. What are two importances of performance indicators?

They define how performance will be measured along a scale or dimension, without
specifying a particular level of achievement.

They orient and motivate operating unit staff toward achieving results

They facilitate communication of achievements to stakeholders and clients of Home-based

care programs

2. What are the seven (4) criteria for assessing performance indicators?

DIRECT. A performance indicator should measure as closely as possible the result it is intended
to measure. It should not be pegged at a higher or lower level than the result being measured.

OBJECTIVE. An objective indicator has no ambiguity about what is being measured. That is,
there is general agreement over interpretation of the results. It is both unidimensional and
operationally precise. To be unidimensional means that it measures only one phenomenon at a
time. Avoid trying to combine too much in one indicator, such as measures of both access and
use. Operational precision means no ambiguity over what kind of data would be collected for an
indicator.

ADEQUATE. Taken as a group, a performance indicator and its companion indicators should
adequately measure the result in question.

QUANTITATIVE, WHERE POSSIBLE. Quantitative indicators are numerical. Qualitative

indicators are descriptive observations (an expert opinion of institutional strength, or a
description of behaviour). While quantitative indicators are not necessarily more objective, their
numerical precision lends them to more agreement on interpretation of results data, and are thus
usually preferable. However, even when effective quantitative indicators are being used,
qualitative indicators can supplement the numbers and percentages with a richness of
information that brings a program's results to life.

5. DISAGGREGATED, WHERE APPROPRIATE. Disaggregating people-level program results

by gender, age, location, or some other dimension is often important from a management or
reporting point of view. Experience shows that development activities often require different

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approaches for different groups and affect those groups in different ways. Disaggregated data
helps track whether or not specific groups participate in and benefit from activities intended to
include them. Therefore, it makes good management sense that performance indicators be
sensitive to such differences.

6. PRACTICAL. An indicator is practical if data can be obtained in a timely way and at a

reasonable cost. Managers require data that can be collected frequently enough to inform them
of progress and influence decisions.

7. RELIABLE. A final consideration in choosing performance indicators is whether data of

sufficiently reliable quality for confident decision-making can be obtained.

3. What are four (4) reasons for execution of referral in home-based care?
 When services or resources within reach are not able to meet the immediate needs of
clients
 For better, more competent management in the next stage of required care
 For specialized care in a hospital setting, especially if the client is deteriorating
 In cases where the acute phase of the PLWHA's care has been dealt with and it is deemed
safe to transfer care to other caring services/organizations within the community
 When the care provider experiences burnout and has no access to counselling services for
personal growth
 When the caregiver has limitations in meeting certain needs of the clients, e.g., based on
cultural or religious beliefs
 For continuity of care from the health facility to the family or from family level back to
the health facility.

1.8.1 Learning Outcome 8

Document home-based care and support activities

1.8.1.1 Introduction to the learning outcome

This learning outcome specifies the content of competencies required to plan for performance of
home-based care and support. It includes Documentation plan for advocacy and lobbying

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activities, Documentation tools, Implementation of the documentation plan and Analysis of the
documentation

1.8.1.2 Performance Standard

 Documentation procedures are identified as per SOPs
 Documents are stored as per organization policy
 Documentation plan prepared as per the organization policy.
 Documentation tools are prepared as per the documentation plan.
 Documentation analysis is conducted as per the organization policy.

1.8.1.2 Information Sheet

Documentation plan for advocacy and lobbying activities

Lobbying is the process of trying to persuade legislators or other decision-makers to take a

course of action that the advocate recommends.

Guide for Lobbying

1. Draw up the list of individuals you will lobby and collect information about their
background and potential position
2. Based on your list, make a plan on how best to approach them individually by starting
first with your potential allies
3. When you do lobby work, make sure you have written work or materials to submit
relating to your issue and requested action
4. Use common sense in determining whether attempts to persuade particular people and
institutions should be made.

Document and report progress to key stakeholders on a semi-regular basis.

Documentation tools

Advocacy documents/ tools in HBC may include:

 copies of policies that you have helped develop

 Political and/or stakeholder mapping

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  Opposition mapping
 Advocacy Messages and Communication
 Advocacy Campaign Planning
 Monitoring and evaluation plan
 Advocacy and lobbying reports

Implementation of the documentation plan

Effective monitoring and evaluation is facilitated if you have based your lobby and advocacy
efforts on SMART objectives. Monitoring can take place in various ways. However, process
indicators are always a valuable tool. Results are ideally evaluated by keeping a log book of
activities and their outcomes. Such a log must comprise the activities effectuated and the
(intermediate) objectives achieved. The feasibility of lobby objectives must be evaluated
periodically according to changing contexts and (new) insights - do prior assumptions still apply;
are the objectives still attainable?- and adjusted accordingly.

Analysis of the documentation

Conduct an analysis of your advocacy, including your objectives, strategies and tactics, what
worked, what didn’t, and any other lessons learned. This analysis will serve as an invaluable
resource for your next action. Use the Monitoring and Evaluating tool to help you evaluate the
overall effort.

1.8.1.4 Learning Activities

1.8.1.5 Self-Assessment
You are provided with the following questions for self -assessment, attempt them and check your
responses

1. What are three(3) examples of advocacy documents in HBC?

2. What is lobbying?
3. What guide will you follow in lobbying for HBC?
4. What is the main importance of analysing documentation material after advocacy and
lobbying?

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1.8.1.6 Tools, Equipment, Supplies and Materials
 Operational office
 Fully operational residential institution
 Legal documents on home-based care
 Advocacy documents
 Personnel

RESPONSES

5. What are three (3) examples of advocacy documents in HBC?

 copies of policies that you have helped develop
 Political and/or stakeholder mapping
 Opposition mapping
 Advocacy Messages and Communication
 Advocacy Campaign Planning
 Monitoring and evaluation plan
 Advocacy and lobbying reports
6. What is lobbying?

Lobbying is the process of trying to persuade legislators or other decision-makers to take a

course of action that the advocate recommends.

7. What guide will you follow in lobbying for HBC?

 Draw up the list of individuals you will lobby and collect information about their
background and potential position
 Based on your list, make a plan on how best to approach them individually by starting
first with your potential allies
 When you do lobby work, make sure you have written work or materials to submit
relating to your issue and requested action
 Use common sense in determining whether attempts to persuade particular people and
institutions should be made
8. What is the main importance of analysing documentation material after advocacy and
lobbying?
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Analysis will serve as an invaluable resource to guide the next action

REFERENCES

Uhnáková, Dominika. (2017). REFLECTION OF ROLE OF SOCIAL WORKER AS

ADVOCATE BY SLOVAK SOCIAL WORKERS. 10.5593/sgemsocial2017/33/S12.077.

Public Health Policy Agenda & Action Guide. The Chicago Partnership for Public Health, 2002.

Cancer Control: Knowledge into Action: WHO Guide for Effective Programmes: Module 6:
Policy and Advocacy. Geneva: World Health Organization; 2008. ADVOCACY STEP 7:
DEVELOPING AND IMPLEMENTING THE ADVOCACY PLAN. Retrieved March 18,2021,
from: https://www.ncbi.nlm.nih.gov/books/NBK195418/

APHA. nd. “Media Advocacy Manual.” Accessed on 18th March 2021, at

<http://www.apha.org/NR/rdonlyres/A5A9C4ED-1C0C-4D0C-A56C-C33DEC7F5A49/0/
Media_Advocacy_Manual.pdf>.

Jim Schultz: Strategy Development: Key Questions for Developing an Advocacy Strategy.
Democracy Center, San Francisco and Advocacy Toolkit. A guide to influencing decisions that
improve children’s live, United Nations Children’s Fund (UNICEF), New York, 2010.

D’Onofrio Sharon, Steps in Advocacy Planning: A Workbook for Microfinance Associations.

The SEEP Network. Washington, 2010.

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The Chicago Partnership for Public Health, Public Health Policy Agenda & Action Guide, 2002.
Retrieved March 18, 2021, from
http://www.cityofchicago.org/dam/city/depts/cdph/policy_planning/PP_Developing
%20AdvocacyPlan.pdf.

Day, T. and Tosey, P. (2011) Beyond SMART? A new framework for goal setting. Retrieved
March 18. 2021, from: https://core.ac.uk/download/files/108/9426096.pdf

CHAPTER NINE; CHILD WELFARE PROGRAMMES

CHAPTER TEN; MANAGEMENT OF COMMUNITY-BASED GROUPS

MANAGEMENT OF COMMUNITY-BASED GROUPS

UNIT CODE: COD/CU/SW/CR/10/5/A

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Relationship to Occupational Standards: manage community-based groups.

Introduction to the unit of learning

This unit cover the competencies required to identify target group, mobilize target group, plan
group meetings, plan group activities, carry out group activities, monitor group activities and
document group activities.

Summary of learning Outcomes

1. Identify target group

2. Mobilize target group
3. Plan group meetings
4. Plan group activities
5. Carryout group activities
6. Monitor group activities
7. Document group activities

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1.1 Learning outcome 1: Identify target group
1.2 Introduction to the learning outcome
This learning outcome specifies the content of competencies required to identify target group.
It comprises meaning and importance of community groups, types of groups, group
dynamics, introductory meetings with relevant stakeholders, development of assessment plan
and tools for target group identification including gender and inclusivity assessment,
administration of assessment tools, preparation of an assessment report, identification of
target group, identification of project area, learning activities, self-assessment questions and
answers, learning activities, tools, equipment, supplies and materials and references.

1.3. Performance Standard

1.3.1 Contact with social development officer is established as per SOPs.

1.3.2 Assessment tools are developed as per organization policy
1.3.3 Assessment tools are administered as per organization policy.
1.3.4 Assessment report is prepared as per the organization policy.
1.3.5 Target group is identified as per organization policy
1.3.6 Project area for a new group is identified as per organization policy
1.3.7 Gender assessment is done as per SOPs
1.3.8 Problem analysis is done as per organization policy
1.3.9 Recruitment of new members is carried out as per organization policy

1.4 Information Sheet

1.4.1 Meaning and importance of community groups

Meaning of community groups

 Community group is a type of group or organization that is created and functions for a
specific purpose or to provide a specific service in a community and contributes and
creates optimum health, human rights, right to life and shared prosperity and support
for members of the community. Many communities in many countries have a variety

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 of community groups which have a specific purpose and provide a specific service to
members of that community.
 Community organization or Community Based Organization refers to organizing
aimed at making desired improvements to a community's social health, well-being,
and overall functioning. Community organization occurs in geographically,
psychosocially, culturally, spiritually, and/or digitally bounded communities.
 A group refers to two or more people who share a common meaning and evaluation
of themselves and come together to achieve common goals. In other words, a group is
a collection of people who interact with one another; accept rights and obligations as
members and who share a common identity.

Importance of community groups

The sector as a whole touches the lives of one in five individuals in the following ways:

 It contributes huge economic value to society, not only from long-term productivity
increases when people are able to reach their fullest potential, but also from current
economic activity – human services CBOs spend roughly $200 billion per year on the
provision of services through wages, rent, staff development, and all the other inputs
necessary to run their organizations and deliver services.
 CBOs provide investments in targeted, “upstream” human services that are
demonstrated to bend the health care cost curve, improve the social determinants of
health and help individuals achieve their full potential in a way that is transformative
for our society.
 Organizations are important for your community because they focus
each community's needs specifically.
 These organizations are the gateway to voice your opinion to government
organizations. Community based organizations make improvements at a family level
according to your environment.
 More transportation, housing, environmental protection, emergency response and
petitions are issues each community addresses.

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  Attending community board meetings will help you create relationships with others in
your neighborhood and create a tight knit community, and a tight knit community can
benefit everyone in the neighborhood and can keep small businesses going, as well as
preserving historical significance, safety, and keeping your neighborhood clean.
 At the community meetings, members of the community as well as yourself, can
voice opinions and concerns to help find solutions and push for new ideas and
changes that can improve your neighborhood. It's your community, and the change
can start with you.

1.4.2 Types of groups

Groups can vary drastically from one another. For example, three best friends who interact
every day as well as a collection of people watching a movie in a theater both constitute a
group. Past research has identified four basic types of groups which include, but are not
limited to: primary groups, social groups, collective groups, and categories. It is important to
define these four types of groups because they are intuitive to most lay people. For example,
in an experiment, participants were asked to sort a number of groups into categories based on
their own criteria. Examples of groups to be sorted were a sports team, a family, people at a
bus stop and women. It was found that participants consistently sorted groups into four
categories: intimacy groups, task groups, loose associations, and social categories. These
categories are conceptually similar to the four basic types to be discussed. Therefore, it seems
that individuals intuitively define aggregations of individuals in this way.

Primary groups

Primary groups are characterized by relatively small, long-lasting groups of individuals who
share personally meaningful relationships. Since these groups often interact face-to-face, they
know each other very well and are unified. Individuals that are a part of primary groups
consider the group to be an important part of their lives. Consequently, members strongly
identify with their group, even without regular meetings. Cooley believed that primary groups
were essential for integrating individuals into their society since this is often their first
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experience with a group. For example, individuals are born into a primary group, their family,
which creates a foundation for them to base their future relationships. Individuals can be born
into a primary group; however, primary groups can also form when individuals interact for
extended periods of time in meaningful ways. Examples of primary groups include family,
close friends, and gangs.

Social groups

A social group is characterized by a formally organized group of individuals who are not as
emotionally involved with each other as those in a primary group. These groups tend to be
larger, with shorter memberships compared to primary groups. Further, social groups do not
have as stable memberships, since members are able to leave their social group and join new
groups. The goals of social groups are often task-oriented as opposed to relationship-oriented.
Examples of social groups include coworkers, clubs, and sports teams.

Collectives

Collectives are characterized by large groups of individuals who display similar actions or
outlooks. They are loosely formed, spontaneous, and brief. Examples of collectives include a
flash mob, an audience at a movie, and a crowd watching a building burn.

1.4.3 Group dynamics

Group dynamics deals with the attitudes and behavioral patterns of a group. Group dynamics
concern how groups are formed, what is their structure and which processes are followed in
their functioning. Thus, it is concerned with the interactions and forces operating between
groups.

Group dynamics is relevant to groups of all kinds – both formal and informal. In an
organizational setting, the term groups are a very common and the study of groups and group
dynamics is an important area of study.

Intragroup dynamics

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Intragroup dynamics (also referred to as ingroup-, within-group, or commonly just ‘group
dynamics’) are the underlying processes that give rise to a set of norms, roles, relations, and
common goals that characterize a particular social group. Examples of groups include
religious, political, military, and environmental groups, sports teams, work groups, and
therapy groups. Amongst the members of a group, there is a state of interdependence, through
which the behaviours, attitudes, opinions, and experiences of each member are collectively
influenced by the other group members. In many fields of research, there is an interest in
understanding how group dynamics influence individual behaviour, attitudes, and opinions.

The dynamics of a particular group depend on how one defines the boundaries of the group.
Often, there are distinct subgroups within a more broadly defined group. For each of these
groups, there are distinct dynamics that can be discussed. Notably, on this very broad level,
the study of group dynamics is similar to the study of culture.

Group formation

Group formation starts with a psychological bond between individuals. The social cohesion
approach suggests that group formation comes out of bonds of interpersonal attraction. In
contrast, the social identity approach suggests that a group starts when a collection of
individuals perceive that they share some social category (‘smokers’, ‘nurses,’ ‘students,’
‘hockey players’), and that interpersonal attraction only secondarily enhances the connection
between individuals. Additionally, from the social identity approach, group formation
involves both identifying with some individuals and explicitly not identifying with others. So
to say, a level of psychological distinctiveness is necessary for group formation. Through
interaction, individuals begin to develop group norms, roles, and attitudes which define the
group, and are internalized to influence behavior.

Emergent groups arise from a relatively spontaneous process of group formation. For
example, in response to a natural disaster, an emergent response group may form. These
groups are characterized as having no preexisting structure (e.g. group membership, allocated
roles) or prior experience working together. Yet, these groups still express high levels of
interdependence and coordinate knowledge, resources, and tasks.

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Joining groups

Joining a group is determined by a number of different factors, including an individual's

personal traits; gender; social motives such as need for affiliation, need for power, and need
for intimacy; attachment style; and prior group experiences. Groups can offer some
advantages to its members that would not be possible if an individual decided to remain
alone, including gaining social support in the forms of emotional support, instrumental
support, and informational support. It also offers friendship, potential new interests, learning
new skills, and enhancing self-esteem. However, joining a group may also cost an individual
time, effort, and personal resources as they may conform to social pressures and strive to reap
the benefits that may be offered by the group.

Joining and leaving groups is ultimately dependent on the comparison level for alternatives,
whereas member satisfaction within a group depends on the comparison level. To summarize,
if membership in the group is above the comparison level for alternatives and above the
comparison level, the membership within the group will be satisfying and an individual will
be more likely to join the group. If membership in the group is above the comparison level
for alternatives but below the comparison level, membership will be not be satisfactory;
however, the individual will likely join the group since no other desirable options are
available. When group membership is below the comparison level for alternatives but above
the comparison level, membership is satisfying but an individual will be unlikely to join. If
group membership is below both the comparison and alternative comparison levels,
membership will be dissatisfying and the individual will be less likely to join the group.

Group membership and social identity

The social group is a critical source of information about individual identity. An individual's
identity (or self-concept) has two components: personal identity and social identity (or
collective self). One's personal identity is defined by more idiosyncratic, individual qualities
and attributes. In contrast, one's social identity is defined by his or her group membership,
and the general characteristics (or prototypes) that define the group and differentiate it from
others. We naturally make comparisons between our own group and other groups, but we do

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not necessarily make objective comparisons. Instead, we make evaluations that are self-
enhancing, emphasizing the positive qualities of our own group. In this way, these
comparisons give us a distinct and valued social identity that benefits our self-esteem. Our
social identity and group membership also satisfies a need to belong. Of course, individuals
belong to multiple groups. Therefore, one's social identity can have several, qualitatively
distinct parts (for example, one's ethnic identity, religious identity, and political identity).

Optimal distinctiveness theory suggests that individuals have a desire to be similar to others,
but also a desire to differentiate themselves, ultimately seeking some balance of these two
desires (to obtain optimal distinctiveness). For example, one might imagine a young teenager
in the United States who tries to balance these desires, not wanting to be ‘just like everyone
else,’ but also wanting to ‘fit in’ and be similar to others. One's collective self may offer a
balance between these two desires. That is, to be similar to others (those who you share group
membership with), but also to be different from others (those who are outside of your group).

Group cohesion

In the social sciences, group cohesion refers to the processes that keep members of a social
group connected. Terms such as attraction, solidarity, and morale are often used to describe
group cohesion. It is thought to be one of the most important characteristics of a group, and
has been linked to group performance, intragroup conflict and therapeutic change.

Black sheep effect

Beliefs within the ingroup are based on how individuals in the group see their other members.
Individuals tend to upgrade likeable in-group members and deviate from unlikeable group
members, making them a separate outgroup. This is called the black sheep effect. The way a
person judges socially desirable and socially undesirable individuals depends upon whether
they are part of the ingroup or outgroup.

This phenomenon has been later accounted for by subjective group dynamics theory.
According to this theory, people derogate socially undesirable (deviant) ingroup members

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relative to outgroup members, because they give a bad image of the ingroup and jeopardize
people's social identity.

In more recent studies, Marques and colleagues have shown that this occurs more strongly
with regard to ingroup full members than other members. Whereas new members of a group
must prove themselves to the full members to become accepted, full members have
undergone socialization and are already accepted within the group. They have more privilege
than newcomers but more responsibility to help the group achieve its goals. Marginal
members were once full members but lost membership because they failed to live up to the
group's expectations. They can rejoin the group if they go through re-socialization. Therefore,
full members' behavior is paramount to define the ingroup's image.

Group structure

A group's structure is the internal framework that defines members' relations to one another
over time. Frequently studied elements of group structure include roles, norms, values,
communication patterns, and status differentials. Group structure has also been defined as the
underlying pattern of roles, norms, and networks of relations among members that define and
organize the group.

Roles can be defined as a tendency to behave, contribute and interrelate with others in a
particular way. Roles may be assigned formally, but more often are defined through the
process of role differentiation. Role differentiation is the degree to which different group
members have specialized functions. A group with a high level of role differentiation would
be categorized as having many different roles that are specialized and narrowly defined. A
key role in a group is the leader, but there are other important roles as well, including task
roles, relationship roles, and individual roles. Functional (task) roles are generally defined in
relation to the tasks the team is expected to perform. Individuals engaged in task roles focus
on the goals of the group and on enabling the work that members do; examples of task roles
include coordinator, recorder, critic, or technician. A group member engaged in a relationship
role (or socioemotional role) is focused on maintaining the interpersonal and emotional needs

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of the groups' members; examples of relationship role include encourager, harmonizer, or
compromiser.

Norms are the informal rules that groups adopt to regulate members' behaviour. Norms refer
to what should be done and represent value judgments about appropriate behaviour in social
situations. Although they are infrequently written down or even discussed, norms have
powerful influence on group behaviour. They are a fundamental aspect of group structure as
they provide direction and motivation, and organize the social interactions of members.
Norms are said to be emergent, as they develop gradually throughout interactions between
group members. While many norms are widespread throughout society, groups may develop
their own norms that members must learn when they join the group. There are various types
of norms, including: prescriptive, proscriptive, descriptive, and injunctive.

 Prescriptive Norms: the socially appropriate way to respond in a social situation, or

what group members are supposed to do (e.g. saying thank you after someone does a
favour for you)
 Proscriptive Norms: actions that group members should not do; prohibitive (e.g. not
belching in public)
 Descriptive Norms: describe what people usually do (e.g. clapping after a speech)
 Injunctive Norms: describe behaviours that people ought to do; more evaluative in
nature than a descriptive norm

Intermember Relations are the connections among the members of a group, or the social
network within a group. Group members are linked to one another at varying levels.
Examining the intermember relations of a group can highlight a group's density (how many
members are linked to one another), or the degree centrality of members (number of ties
between members). Analysing the intermember relations aspect of a group can highlight the
degree centrality of each member in the group, which can lead to a better understanding of
the roles of certain group (e.g. an individual who is a 'go-between' in a group will have closer
ties to numerous group members which can aid in communication, etc.).

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Values are goals or ideas that serve as guiding principles for the group. Like norms, values
may be communicated either explicitly or on an ad hoc basis. Values can serve as a rallying
point for the team. However, some values (such as conformity) can also be dysfunction and
lead to poor decisions by the team.

Communication patterns describe the flow of information within the group and they are
typically described as either centralized or decentralized. With a centralized pattern,
communications tend to flow from one source to all group members. Centralized
communications allow standardization of information, but may restrict the free flow of
information. Decentralized communications make it easy to share information directly
between group members. When decentralized, communications tend to flow more freely, but
the delivery of information may not be as fast or accurate as with centralized
communications. Another potential downside of decentralized communications is the sheer
volume of information that can be generated, particularly with electronic media.

Status differentials are the relative differences in status among group members. When a
group is first formed the members may all be on an equal level, but over time certain
members may acquire status and authority within the group; this can create what is known as
a pecking order within a group. Status can be determined by a variety of factors and
characteristics, including specific status characteristics (e.g. task-specific behavioural and
personal characteristics, such as experience) or diffuse status characteristics (e.g. age, race,
ethnicity). It is important that other group members perceive an individual's status to be
warranted and deserved, as otherwise they may not have authority within the group. Status
differentials may affect the relative amount of pay among group members and they may also
affect the group's tolerance to violation of group norms (e.g. people with higher status may be
given more freedom to violate group norms).

Group performance

Forsyth suggests that while many daily tasks undertaken by individuals could be performed
in isolation, the preference is to perform with other people.

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Intergroup dynamics

Intergroup dynamics refers to the behavioural and psychological relationship between two or
more groups. This includes perceptions, attitudes, opinions, and behaviours towards one's
own group, as well as those towards another group. In some cases, intergroup dynamics is
prosocial, positive, and beneficial (for example, when multiple research teams work together
to accomplish a task or goal). In other cases, intergroup dynamics can create conflict. For
example, Fischer & Ferlie found initially positive dynamics between a clinical institution and
its external authorities dramatically changed to a 'hot' and intractable conflict when
authorities interfered with its embedded clinical model.

1.4.4. Introductory meetings with relevant stakeholders

Stakeholder meetings give all of those with an interest in your business a chance to stay
involved in the operations of the company. The meetings are typically targeted at the most
influential stakeholders, such as shareholders, executives or partnering companies. Meetings
for different types of stakeholders are also an option so you are able to tailor the information
presented based on how the stakeholder influences the company. Meetings are often
educational and informational, covering general topics or new changes coming to the
company. A well-organized meeting is key to make a positive impression on stakeholders.

a. Identify the specific purpose of the stakeholder meeting, as well as the specific
audience. For example, plan a meeting for your suppliers to address changes in your
purchasing process or a meeting with shareholders to keep them updated on an
upcoming corporate merger. Use this purpose and the specific audience as a planning
tool for the meeting.
b. Write an agenda that covers each portion of the meeting. Determine how you will
start the meeting, present the information and wrap up the meeting. Include key points
on the agenda that you plan to cover to serve as an outline for yourself and the
meeting attendees.
c. Write a list of questions or discussion topics that enables you to gain feedback from
the stakeholders. Determine what type of information you want to learn from them

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 beforehand. An example of information you might seek is feedback on your current
products or services, as well as suggestions for how to improve them going forward.
d. Assemble documents you plan to pass out to stakeholders at the meeting. Provide
handouts for relevant information, such as the past year's financial information for
shareholders or investors.
e. Schedule the meeting for a time and location that works for the majority of the
stakeholders involved. Choose a location with enough space to comfortably hold the
number of people and facilitate the type of activities you plan to do.
f. Call the meeting to order on time so it doesn't run long. Follow the agenda and stay on
schedule as much as possible while allowing stakeholders the chance to provide input.
g. Send out a copy of the minutes to all who attended the meeting as a method of
following up. Encourage the participants to contact you with any questions or
concerns after the conclusion of the meeting.

Stakeholder meetings

Steps
All steps may require organising stakeholder meetings. However participation with
stakeholders should be more intense for Step 1.

Purpose

 To elicit greater involvement of stakeholders in the policy-making process.

 To clarify the purpose and objectives of the process
 To present findings or outcomes to the selected stakeholders from completed relevant
steps in the policy cycle to inform, elicit comments and potentially identify necessary
corrections

Overview
Stakeholders can be called together at the beginning of a policy-planning process in order to
explain the purpose of the policy and elicit support and cooperation. Such meetings are
usually the first and most consistent exposure of the policy-maker team to the stakeholders as

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a whole. It may very well be here that the cohesion and trust of the stakeholders is gained. In
some cases such introductory meetings may be fundamental in order to put stakeholders at
ease regarding the presence of policy-maker staff, consultants etc. operating within the
stakeholder group.

These are meetings to involve the broader stakeholder groups as a whole as opposed to focus
groups or some more targeted group. They will usually be more for information delivery than
wanting to find out information, which is best done in a workshop.

Even simple meetings require a degree of careful planning to be successful. The Appendix
below outlines the steps that can help to plan a good meeting.

Tips
The chairman of the meeting must have enough authority to keep the meeting on track, but
enough sensitivity to enable as many people as possible to raise any relevant concerns about
completing the policy-making process.

If a degree of difficulty is expected, it may be better to have a more experienced person to

manage the meeting and, in some cases, having an independent person can be useful.
Beware of hidden agendas, groups or individuals who might use the meeting to bring up their
own, unrelated concerns. The chairman might side-step this by saying, "That's not the
purpose of this meeting; you might want to hold another meeting to discuss that issue".
Ask how information is relayed around the stakeholder group. Is it exclusively by word-of-
mouth or by reports? Are there mass media or specialised papers interested in these policy
issues?

Pedigree
Stakeholder meetings are one of the most common forms of consultation used in management
and other planning processes.

Synergy
A stakeholder meeting may be used as a precursor to holding a stakeholder workshop.

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The PowerPoint presentations available from the AMP presentation tools may assist in
undertaking these meetings.

Usage: Easy

Cost: Low to moderate.

These can be very inexpensive if the meeting is held in a location that is easy for most people
to get to and the venue doesn’t cost too much. The costs can rise if there is a need to hire a
venue and pay for people to attend.

Capacity: Low to moderate.

The meetings can be chaired by someone with the right personality or level of stakeholder
respect if there is no-one with direct experience in chairing such meetings. The more likely it
is that the audience may be difficult, the greater should be the experience of the chairperson.

Background requirements

These meetings do not require any formal knowledge beforehand. They are generally
designed to enlighten people.

Participation
This is the purpose of this tool. The number of attendees will be a function of the interest,
accessibility, timing and size of the venue.

Time range: Short – moderate

Meetings can be called and held in a fairly rapid manner if required. But the best meetings are
where there is sufficient notice given to enable people to schedule their attendance.
Steps to a good stakeholders meeting:

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 1. Know what the meeting is meant to accomplish, from the perspective of both
outsiders and insiders. Obtain the approval and involvement of some stakeholder
leaders.
2. Prepare a calendar of dates to help check day-to-day preparations.
3. Arrange a convenient time and place for the meeting. Consider the size and
composition of the group.
4. After establishing a time when most people can attend, let involved stakeholders
know about it well in advance.
5. Inform the group of the purpose of the meeting using convenient media routinely used
by the stakeholders in this group.
6. Consider logistical constraints and accommodation aspects, especially for
stakeholders having to travel to the meeting place.
7. Plan/prepare hand-outs/materials to be distributed. Plan a method of distribution.
8. A stakeholder of the group with experience in meetings can help facilitate the
meeting.

1.4.5 Development of assessment plan and tools for target group identification including
gender and inclusivity assessment
Development of Program Evaluation and Review Technique (PERT)

Program Evaluation and Review Technique (PERT) is a method used to examine the tasks
that are in a schedule and determine a variation of the Critical Path Method. It analyzes the
time required to complete each task and its associated dependencies to determine the
minimum time to complete a project. It estimates the shortest possible time each activity will
take, the most likely length of time, and the longest time that might be taken if the activity
takes longer than expected. The method was developed by the US Navy in 1957 on the
Polaris nuclear submarine project.

To conduct PERT Analysis, three-time estimates are obtained (optimistic, pessimistic, and
most likely) for every activity along the Critical Path. Then use those estimates in the formula
below to calculate how much time for each project stage:

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 Formula: (P+4M+O)/6
Optimistic Time (O): the minimum possible time required to accomplish a task, assuming
everything proceeds better than is normally expected.

Pessimistic Time (P): the maximum possible time required to accomplish a task, assuming
everything goes wrong (excluding major catastrophes).

Most likely Time (M): the best estimate of the time required to accomplish a task, assuming
everything proceeds as normal.

Table 3: Example of the three time estimates

Figure 6: Example of a Critical Path Nodal Diagram

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1.4.6 Administration of assessment tools
Project management is a challenging task with many complex responsibilities. Fortunately,
there are many tools available to assist with accomplishing the tasks and executing the
responsibilities. Some require a computer with supporting software, while others can be used
manually. Project managers should choose a project management tool that best suits their
management style. No one tool addresses all project management needs. Program Evaluation
Review Technique (PERT) and Gantt Charts are two of the most commonly used project
management tools and are described below. Both of these project management tools can be
produced manually or with commercially available project management software.

PERT is a planning and control tool used for defining and controlling the tasks necessary to
complete a project. PERT charts and Critical Path Method (CPM) charts are often used
interchangeably; the only difference is how task times are computed. Both charts display the
total project with all scheduled tasks shown in sequence. The displayed tasks show which
ones are in parallel, those tasks that can be performed at the same time. A graphic
representation called a "Project Network" or "CPM Diagram" is used to portray graphically
the interrelationships of the elements of a project and to show the order in which the activities
must be performed.

PERT planning involves the following steps:

1. Identify the specific activities and milestones. The activities are the tasks of the
project. The milestones are the events that mark the beginning and the end of one or
more activities.
2. Determine the proper sequence of activities. This step may be combined with #1
above since the activity sequence is evident for some tasks. Other tasks may require
some analysis to determine the exact order in which they should be performed.
3. Construct a network diagram. Using the activity sequence information, a network
diagram can be drawn showing the sequence of the successive and parallel activities.
Arrowed lines represent the activities and circles or "bubbles" represent milestones.

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 4. Estimate the time required for each activity. Weeks are a commonly used unit of time
for activity completion, but any consistent unit of time can be used. A distinguishing
feature of PERT is it's ability to deal with uncertainty in activity completion times.
For each activity, the model usually includes three time estimates:
 Optimistic time - the shortest time in which the activity can be completed.
 Most likely time - the completion time having the highest probability.
 Pessimistic time - the longest time that an activity may take.

From this, the expected time for each activity can be calculated using the following weighted
average:
Expected Time = (Optimistic + 4 x Most Likely + Pessimistic) / 6

This helps to bias time estimates away from the unrealistically short timescales normally
assumed.

1. Determine the critical path. The critical path is determined by adding the times for the
activities in each sequence and determining the longest path in the project. The critical
path determines the total calendar time required for the project. The amount of time that a
non-critical path activity can be delayed without delaying the project is referred to as
slack time. If the critical path is not immediately obvious, it may be helpful to determine
the following four times for each activity:
 ES - Earliest Start time
 EF - Earliest Finish time
 LS - Latest Start time
 LF - Latest Finish time

These times are calculated using the expected time for the relevant activities. The earliest
start and finish times of each activity are determined by working forward through the network
and determining the earliest time at which an activity can start and finish considering its
predecessor activities. The latest start and finish times are the latest times that an activity can
start and finish without delaying the project. LS and LF are found by working backward
through the network. The difference in the latest and earliest finish of each activity is that

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activity's slack. The critical path then is the path through the network in which none of the
activities have slack.

The variance in the project completion time can be calculated by summing the variances in
the completion times of the activities in the critical path. Given this variance, one can
calculate the probability that the project will be completed by a certain date assuming a
normal probability distribution for the critical path. The normal distribution assumption holds
if the number of activities in the path is large enough for the central limit theorem to be
applied.

2. Update the PERT chart as the project progresses. As the project unfolds, the estimated
times can be replaced with actual times. In cases where there are delays, additional
resources may be needed to stay on schedule and the PERT chart may be modified to
reflect the new situation. An example of a PERT chart is provided below:

Figure 7: Critical path method

Benefits to using a PERT chart or the Critical Path Method include:

 Improved planning and scheduling of activities.

 Improved forecasting of resource requirements.
 Identification of repetitive planning patterns which can be followed in other projects,
thus simplifying the planning process.
 Ability to see and thus reschedule activities to reflect interproject dependencies and
resource limitations following know priority rules.
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  It also provides the following: expected project completion time, probability of
completion before a specified date, the critical path activities that impact completion
time, the activities that have slack time and that can lend resources to critical path
activities, and activity start and end dates.

Gantt charts are used to show calendar time task assignments in days, weeks or months. The
tool uses graphic representations to show start, elapsed, and completion times of each task
within a project. Gantt charts are ideal for tracking progress. The number of days actually
required to complete a task that reaches a milestone can be compared with the planned or
estimated number. The actual workdays, from actual start to actual finish, are plotted below
the scheduled days. This information helps target potential timeline slippage or failure points.
These charts serve as a valuable budgeting tool and can show dollars allocated versus dollars
spent.

To draw up a Gantt chart, follow these steps:

1. List all activities in the plan. For each task, show the earliest start date, estimated
length of time it will take, and whether it is parallel or sequential. If tasks are
sequential, show which stages they depend on.
2. Head up graph paper with the days or weeks through completion.
3. Plot tasks onto graph paper. Show each task starting on the earliest possible date.
Draw it as a bar, with the length of the bar being the length of the task. Above the task
bars, mark the time taken to complete them.
4. Schedule activities. Schedule them in such a way that sequential actions are carried
out in the required sequence. Ensure that dependent activities do not start until the
activities they depend on have been completed. Where possible, schedule parallel
tasks so that they do not interfere with sequential actions on the critical path. While
scheduling, ensure that you make best use of the resources you have available, and do
not over-commit resources. Also, allow some slack time in the schedule for holdups,
overruns, failures, etc.

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 5. Presenting the analysis. In the final version of your Gantt chart, combine your draft
analysis (#3 above) with your scheduling and analysis of resources (#4 above). This
chart will show when you anticipate that jobs should start and finish. An example of a
Gantt chart is provided below:

Figure 8: Gantt chart

Benefits of using a Gantt chart include:

 Gives an easy to understand visual display of the scheduled time of a task or activity.
 Makes it easy to develop "what if" scenarios.
 Enables better project control by promoting clearer communication.
 Becomes a tool for negotiations.
 Shows the actual progress against the planned schedule.

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  Can report results at appropriate levels.
 Allows comparison of multiple projects to determine risk or resource allocation.
 Rewards the project manager with more visibility and control over the project.

1.4.7 Preparation of an assessment report

The format for the assessment report include the following headings:

a. Executive Summary
b. Introduction
c. Design and Implementation
d. Performance Assessment
e. Other Assessments
f. Issues, Lessons, and Follow-Up Actions

A. Executive Summary

The executive summary provides a brief roundup of the project’s concept and of the outputs
and outcome achieved. It presents significant findings, lessons, conclusions, and
recommendations and indicates the overall assessment rating. Typical length is two pages.

B. Chapter I: Introduction

This chapter (up to a page long) contains the following sections:

(i) Evaluation Purpose and Process

(ii) Expected Results

Evaluation, Purpose and Process

This section describes the purpose of the evaluation, including special reasons, if any, for
selecting the particular project and for the timing of the evaluation. It should describe any
special studies commissioned for the PPER. It then provides a brief comment on the content
and objectivity of the PCR, particularly in relation to the project’s overall rating. Important

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aspects include whether the PCR evaluates all of the project’s outcomes, whether such
evaluation is supported by evidence, and whether the rating of the project and any associated

TA is based on a balanced evaluation as described in the project administration instruction.

This section should note that in completing the report, the views of ADB’s concerned
departments and offices and those of the borrower and executing agencies have been
considered, except as otherwise indicated in the report. OED may choose to summarize major
dissenting views in an appendix or footnote.

2. Expected Results

This section describes the project primarily on the basis of the impact and outcome
statements and indicators in the design and monitoring framework. It should also describe
key outputs and intended beneficiaries.

1.4.8 Identification of target group

Target groups are individuals or groups (families, teams, organizations) that generally live in
a geographically circumscribed area (thus, in cities, individual municipal or rural districts).

For the needs assessment, it’s important to describe the target group as precisely as possible.

The trick here is to avoid creating a target-group definition so broad that it becomes difficult
to create a narrowly targeted project. At the same time, the group must not be so tightly
drawn that the description hardly applies to anyone.

The following questions will help you in describing the target group:

 Who are the members of the target group? How old are they?
 What geographic area do they come from (a particular city neighborhood, a rural
district)?
 What is their social situation, family status, and/or education status? Do they have a
migration background?

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  What is their financial situation? What problems are the target group facing? What are
the group’s potentials and strengths?

Descriptions of the existing situation and needs often emphasize target groups’ problems and
deficits. This is an obvious way forward, as most such projects are aimed at alleviating
hardship. However, it is equally important to consider positive aspects. Therefore, you should
ask:

 What development opportunities does the target group have?

 What strengths, talents and resources do its members possess?
 What are target-group members’ wishes and hopes?

In the target group description, it is useful to distinguish between direct and indirect target
groups.

 The direct target group includes the individuals you want to target in an unmediated
way with your project activities, and among whom you want to achieve an effect.
There may be subgroups within direct target groups, which requires further
differentiation within your offering.
 The indirect target group includes persons in the general environment of the direct
target group. They often contribute to the project’s success within the direct target
group. Because they play an important intermediary role, indirect target groups should
always be taken into account.

1.4.9 Identifying the Target Group

Think carefully about how to define the target group so that it is not unreasonably narrow or
impractically broad. Projects probably can’t work with just one segment of the population,
nor can they work with all segments. For example, the target group of adolescent girls is very
broad and masks important differences with respect to age, schooling, marital status, and so
on. Projects should prioritize reaching subsets of adolescent girls according to the project
objectives. For example, the AGI in Jordan aimed to smooth the transition from school to

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work and so chose to target female community college graduates, whose transition was
noticeably stalled.

Do the "demographic homework" to make sure that the intended target group exists in
sufficient numbers in the project location. For example, in South Sudan the AGI conducted a
door-to-door census to ensure that there were enough potential beneficiaries in the project
areas. The project used this opportunity to sensitize communities and households to the
project and to begin recruitment.

When choosing selection criteria, think about the type of girls the program is designed for
and the type of girls the program is likely to attract. For example, a skills training program
may be more likely to attract older youth who are out of school; setting a maximum age that
is relatively young may not work well in this case. In Liberia the project decided to have a
basic literacy requirement, but many of the girls who were interested in the program were
illiterate.

Be careful that the selection criteria do not trigger adverse effects. For example, if the
program is trying to attract out-of-school youth, it is important that the selection criteria do
not incentivize youth who are in school to drop out. For example, AGIs in Liberia and Haiti
require that girls be out of school for a stipulated period (self-reported) to be eligible to
participate in the program.

1.4.10 Identification of project area

The purpose of project identification is to develop a preliminary proposal for the most
appropriate set of interventions and course of action, within specific time and budget frames,
to address a specific development goal in a particular region or setting. Investment ideas can
arise from many sources and contexts. They can originate from a country’s sector plan,
programme or strategy, as follow-up of an existing project or from priorities identified in a
multi-stakeholder sector or local development dialogue. Identification involves:

 A review of alternative approaches or options for addressing a set of development

problems and opportunities;

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  The definition of project objectives and scope of work at the degree of detail
necessary to justify commitment of the resources for detailed formulation and
respective preparatory studies; and
 The identification of the major issues that must be tackled and the questions to be
addressed before a project based on the concept can be implemented.

Sufficient information on project options must be gathered to enable the government and
financing agencies to select a priority project and reach agreements among stakeholders on
arrangements for preparation work, including setting up steering committees or national
preparation teams. The results of identification work should be summarized in a report,
project brief or concept document, the format of which will depend upon the government’s
and/or financing agencies’ requirements.

1.5 Learning Activities

1.5.1 Practical activity

Request for a visit to a community based self-help group in your area of residence and
conduct an assessment for intragroup dynamics.

1.5.2 Self-Assessment Questions

1. Explain the importance of community groups
2. Describe types of groups
3. Describe intergroup dynamics
4. Explain steps followed to draw up a Gantt chart.

1.5.3 Answers to Self-Assessment questions

1. Explain the importance of community groups

The sector as a whole touches the lives of one in five individuals in the following ways:

 It contributes huge economic value to society, not only from long-term productivity
increases when people are able to reach their fullest potential, but also from current

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 economic activity – human services CBOs spend roughly $200 billion per year on the
provision of services through wages, rent, staff development, and all the other inputs
necessary to run their organizations and deliver services.
 CBOs provide investments in targeted, “upstream” human services that are
demonstrated to bend the health care cost curve, improve the social determinants of
health and help individuals achieve their full potential in a way that is transformative
for our society.
 Organizations are important for your community because they focus
each community's needs specifically.
 These organizations are the gateway to voice your opinion to government
organizations. Community based organizations make improvements at a family level
according to your environment.
 More transportation, housing, environmental protection, emergency response and
petitions are issues each community addresses.
 Attending community board meetings will help you create relationships with others in
your neighborhood and create a tight knit community, and a tight knit community can
benefit everyone in the neighborhood and can keep small businesses going, as well as
preserving historical significance, safety, and keeping your neighborhood clean.
 At the community meetings, members of the community as well as yourself, can
voice opinions and concerns to help find solutions and push for new ideas and
changes that can improve your neighborhood. It's your community, and the change
can start with you.
2. Describe types of groups

Groups can vary drastically from one another. For example, three best friends who interact
every day as well as a collection of people watching a movie in a theater both constitute a
group. Past research has identified four basic types of groups which include, but are not
limited to: primary groups, social groups, collective groups, and categories. It is important to
define these four types of groups because they are intuitive to most lay people. For example,
in an experiment, participants were asked to sort a number of groups into categories based on
their own criteria. Examples of groups to be sorted were a sports team, a family, people at a

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bus stop and women. It was found that participants consistently sorted groups into four
categories: intimacy groups, task groups, loose associations, and social categories. These
categories are conceptually similar to the four basic types to be discussed. Therefore, it seems
that individuals intuitively define aggregations of individuals in this way.

Primary groups

Primary groups are characterized by relatively small, long-lasting groups of individuals who
share personally meaningful relationships. Since these groups often interact face-to-face, they
know each other very well and are unified. Individuals that are a part of primary groups
consider the group to be an important part of their lives. Consequently, members strongly
identify with their group, even without regular meetings. Cooley believed that primary groups
were essential for integrating individuals into their society since this is often their first
experience with a group. For example, individuals are born into a primary group, their family,
which creates a foundation for them to base their future relationships. Individuals can be born
into a primary group; however, primary groups can also form when individuals interact for
extended periods of time in meaningful ways. Examples of primary groups include family,
close friends, and gangs.

Social groups

A social group is characterized by a formally organized group of individuals who are not as
emotionally involved with each other as those in a primary group. These groups tend to be
larger, with shorter memberships compared to primary groups. Further, social groups do not
have as stable memberships, since members are able to leave their social group and join new
groups. The goals of social groups are often task-oriented as opposed to relationship-oriented.
Examples of social groups include coworkers, clubs, and sports teams.

Collectives

Collectives are characterized by large groups of individuals who display similar actions or
outlooks. They are loosely formed, spontaneous, and brief. Examples of collectives include a
flash mob, an audience at a movie, and a crowd watching a building burn.
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 3. Describe intergroup dynamics

Intergroup dynamics refers to the behavioural and psychological relationship between two or
more groups. This includes perceptions, attitudes, opinions, and behaviours towards one's
own group, as well as those towards another group. In some cases, intergroup dynamics is
prosocial, positive, and beneficial (for example, when multiple research teams work together
to accomplish a task or goal). In other cases, intergroup dynamics can create conflict. For
example, Fischer & Ferlie found initially positive dynamics between a clinical institution and
its external authorities dramatically changed to a 'hot' and intractable conflict when
authorities interfered with its embedded clinical model.

4. Explain steps followed to draw up a Gantt chart.

 List all activities in the plan. For each task, show the earliest start date, estimated length
of time it will take, and whether it is parallel or sequential. If tasks are sequential, show
which stages they depend on.
 Head up graph paper with the days or weeks through completion.
 Plot tasks onto graph paper. Show each task starting on the earliest possible date. Draw it
as a bar, with the length of the bar being the length of the task. Above the task bars, mark
the time taken to complete them.
 Schedule activities. Schedule them in such a way that sequential actions are carried out in
the required sequence. Ensure that dependent activities do not start until the activities they
depend on have been completed. Where possible, schedule parallel tasks so that they do
not interfere with sequential actions on the critical path. While scheduling, ensure that
you make best use of the resources you have available, and do not over-commit resources.
Also, allow some slack time in the schedule for holdups, overruns, failures, etc.
 Presenting the analysis. In the final version of your Gantt chart, combine your draft
analysis (#3 above) with your scheduling and analysis of resources (#4 above). This chart
will show when you anticipate that jobs should start and finish. An example of a Gantt
chart is provided below:

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1.6 Tools, Equipment, Supplies and Materials
The following resources are provided:
 Video cameras
 Tablets
 Smart phones
 SD cards and card readers
 TFT screen
 Recorders
 Reference materials
 Minutes of group
 Group constitution
 Meeting attendance sheet
 Notebooks
 Pens

1.7 References

Fowler, A. (2000). Civil society, NGDOs and social development: Changing the rules of the
game (No. 1). Geneva 2000 Occasional Paper.

Rao, S. (2014). Social mobilisation in urban contexts. GSDRC Helpdesk Research Report
1110. Birmingham, UK: GSDRC, University of Birmingham. Accessed March 12, 2017.
http://www. gsdrc. org/go/display&type= Helpdesk&id= 1110.

World Health Organization. (2011). Sexual and reproductive health core competencies in
primary care: attitudes, knowledge, ethics, human rights, leadership, management, teamwork,
community work, education, counselling, clinical settings, service, provision. World Health
Organization.

Youniss, J., & Yates, M. (1997). Community service and social responsibility in youth.
University of Chicago Press.

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2.1 Learning outcome 2: Mobilize target group
Introduction to the learning outcome

This learning outcome specifies the content of competencies required to mobilize target
group. It comprises engagement meetings with community influencers/leaders, sensitization
of community leadership, formulation and implementation of a mobilization plan, registration
of group members, learning activities, self-assessment questions and answers, learning
activities, tools, equipment, supplies and materials and references.

Performance Standard

2.1 Key contact person are identified as per organization policy

2.2 Sensitization of most key important person is conducted as per organization policy
2.3 Mobilization plan is implemented as per organization policy
2.4 Registration of members is done as per organization policy

2.4 Information Sheet

2.4.1 Engagement meetings with community influencers/leaders

Community engagement is the process by which community benefit organizations and

individuals build a long term relationship with collective vision for the benefit of the
community

It is primarily about the practice of moving communities towards a better change through
empowerment.

Step 1: Planning

The first step to any robust community engagement effort is crafting a coherent,
comprehensive, and adequately resourced plan. Planning community engagement activities
and outcomes will help build and organize the strategies necessary for success. In this
section, we highlight the following planning-related topics:

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  Staffing and budgeting for community engagement
 Who to engage
 What to engage on
 When to engage

Staffing and budgeting for community engagement

To implement a robust community engagement strategy, developers should commit sufficient

human and financial resources, just as they would budget for other operational components of
the project. Having the right people to manage community engagement, equipped with an
adequate budget, is as important as having the right engineers. Think of it as an investment in
an insurance policy for the power project.

Project management staff, project field (technical) staff, and specific (community liaison)
staff are the main people who will interact and engage with the target community. A good
socio-economic baseline and the stakeholder analysis process can inform a developer on the
specific expertise and personnel needed. Where the emerging challenges and issues are
expected to occur only periodically, the baseline can also inform the developer on whether to
engage staff with a specific skill set on an ongoing basis, or as-needed during crucial points
in the project. The exact number of staff to be engaged will also be determined by the
workload.

A good practice is to establish a social management system, which can be integrated with
other key project management systems as determined during project feasibility stages.
Considering that community engagement revolves around the social management of project
impacts, specific community liaison staff can also be part of the environment health and
safety (EHS) management team.

From a community engagement perspective, it is important to have community liaison

officers and a social focal point reporting to the main management team, within the project
staff organization structure. A gender specialist should be allocated to the team to ensure that
gender considerations are successfully integrated into the community engagement process,

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and all project staff should be held responsible for gender equitable programming and
implementation.

Community liaison officers should have the proper qualification in an applied social science,
sociology or community development, but more importantly, they should have the interest,
disposition and a positive attitude in dealing with the community and relevant stakeholders.

Budgeting for community engagement should be informed by the various management

plans/systems that arise from the project feasibility stage. These may include Stakeholder
Engagement Plans, Community Health and Safety Plans, Resettlement Action Plans,
Environmental and Social Management Plans, Community Employment Initiatives,
Grievance Management Systems, Community Capacity Building Plans, Community
Development Plans, and Corporate Social Responsibility (CSR) programs. The project staff
appointed to deal with stakeholder and community engagement should prepare strategic and
annual work plans in line with the project calendar year to facilitate timely allocation of
budgetary and human resources.

WHO TO ENGAGE

Stakeholder Identification

As a developer, it is essential to know the people who may be impacted by a project and who
may have an influence on its ultimate success. Communities are not homogeneous and are
comprised of people with different lived realities and different interests and concerns relating
to development. A robust process of stakeholder identification and analysis, involving an
assessment of different groups and interests in the community, is essential to determine
potential supporters and partners, as well as those who may oppose the project. Further,
developers may wish to consider consulting women separately, as they may have unique
knowledge of the land and other natural resources, as well as an understanding of their
rights.11

Initial stakeholder identification and analysis can be conducted through a desk study or
through an interdisciplinary group discussion. After identification of key stakeholders, some
305
outreach is advisable to confirm contact information, do initial introductions, etc. With every
interaction with the community, findings of the desk study and group discussions should be
validated and updates made to the stakeholder database.

It is essential to work with the community to correctly identify their genuine representatives.
In some cases, certain individuals may inaccurately present themselves as bona fide
community representatives, even though they do not actually have the mandate from the
community and/or the best interests of the community at heart. Regardless, engagement with
community representatives should never replace direct engagement with the community
members themselves.

WHEN TO ENGAGE

Community engagement should commence as early as possible in the project cycle. Early
engagement will result in building a strong relationship from the start, and can help develop
support for the project.19 Early engagement also allows for basic information on the project
and the developer’s intentions to be delivered to target communities and helps developers
understand local land ownership and tenure arrangements. Engaging the public after action
plans have been developed can backfire when the community questions the plan’s vision and
objectives, resulting in additional time and resources needed to repeat these activities.

There should be early community sensitization on basics like what a benefit sharing
agreement is, how it is defined in law, the level of contribution to decisions that the
community and/or their representatives will have, a schedule of how they will be engaged,
what their rights are, etc.

Step 2: Engagement

In the previous section, we outlined the planning activities required to prepare for community
engagement. Once a comprehensive plan is established, stakeholders are identified and
mapped, and topics for engagement are set, it is now time to begin engagement in earnest. In
this section, we cover the following topics:

306
 Tools and approaches to community engagement
 Communicating with stakeholders
 Community capacity building
 Community mobilization
 Negotiation and agreement
 Community benefit sharing
 Dispute and grievance management
 Community legal representation

Step 3: Documentation, Monitoring & Evaluation

From a business perspective, a developer should want to know if the investment made to
engage the community (to help a project become a reality) is effective.

If community engagement activities are not documented and evaluated along the way, it is
difficult to know what is working and what might be ineffective, superfluous, or at worst,
having a counter effect on project goals. By monitoring and evaluating the effectiveness of
community engagement activities, strategies and tactics can be adjusted during
implementation to maximize success.

From a legal point of view, documenting community engagement efforts can be critical for
defending lawsuits, in arbitration or ADR mechanisms, especially against claims of
inadequate public participation.

To conduct an evaluation of community engagement activities, one must clearly document

intended community engagement schedules, activities, and objectives vis-à-vis the actual
implementation of the same. A comparison of the two would assist in identifying where the
implementation fell short.

A root cause analysis of activities will identify areas that do not meet community and project
expectations. The assessment of the root causes should be subjected to participatory
appraisal.

307
Discussions on possible corrective measures should also be held to determine their feasibility
during implementation. Some emerging/unprecedented issues may also arise, prompting a
need for specialized expertise to further investigate the root causes and to recommend some
tried and tested strategies for corrective actions.

Organizations should be proactive in consulting communities and following up on their

feedback, as opposed to waiting for grievances to arise.

Communities may not have the mechanisms to provide for in-depth participation in project
monitoring and evaluation (M&E) programs, especially regarding community health and
safety, CSR programs, community benefit sharing, and community development initiatives
by a developer.

The developer can step in to sensitize the community and facilitate mobilization of a
mechanism to ensure that there is relevant and documented feedback during M&E activities.
The developer may also need to invest in capacity building of the key members of the
selected mechanism for community participation in M&E. This system would also be a useful
tool in the tracking of resolution of grievances under a separate grievance management
mechanism.

308
Figure 9: Engagement meeting process

309
2.4.2 Sensitization of community leadership

2.4.3 Formulation and implementation of a mobilization plan

Community mobilization is a process that engages and motivates a wide range of partners and
allies at national and local levels to raise awareness of and demand for a particular
development objective through dialogue.

Members of institutions, community networks, civic and religious groups and others work in
a coordinated way to reach specific groups of people for dialogue with planned messages.
Social mobilization seeks to facilitate change through a range of players engaged in
interrelated and complementary.

Formulation of a project mobilization plan

When a community decides to execute a project, it often lacks plans about how to proceed
with the work or who to assign to carry it out. To mobilize for your project, prepare a detailed
plan to initiate project work, depending on what resources are available, what the
requirements are and what constraints apply to the project.

Identify, assign and schedule personnel

When you break down the work of your project into individual tasks, the ones without
prerequisites can be started right away. Identify the people you need and find out when they
are available. If you don't have enough staff, prioritize tasks and calculate the effect on the
schedule and project completion.

The project mobilization plan lets you identify staffing bottlenecks and, as a result of your
plan, your company management may have to decide between delaying the project or
proceeding on schedule and delaying another company initiative.

Ensure financing, equipment and facilities are available

310
You can use the project mobilization plan to make sure the required resources are approved
and available, and to inform the responsible employees that particular resources will be
needed. For example, your project has a budget and a cash flow requirement. Your financial
personnel have to know how much money you plan to spend each month in addition to how
much the total expenditure will be.

Similarly, plant managers and employees responsible for the use of equipment have to know
what you need. If your project mobilization shows that needed resources are not available,
you may have to change your project plans.

Determine specifications, quality levels and standards

As your team starts work, its members need project documentation to proceed with detailed
planning and the execution of the work. Review the project specifications for errors or
omissions. If not specified in the project documentation, determine what level of quality
control applies to the project work.

Specific standards may be specified, or internal company standards for work and for
equipment may apply. Assemble a complete package of project documentation and distribute
the relevant sections to each project team member. Implement document controls for updates
and revisions.

Identify regulatory requirements and constraints

You may not be able to proceed with your project as you wish because of applicable
regulations. Municipal, state and federal bodies may have requirements for permits, licenses
or documentation that you have to fulfill before starting work. Other parts of the project, such
as buildings, may not be able to proceed before permits and inspections are completed.
Identifying these constraints during project mobilization avoids delays later on due to
unexpected regulatory requests and allows you to assign responsibility for meeting the
relevant requirements.

311
2.4.4 Registration of group members
Procedure

To register a for a self-help group i.e.(Youth / Women /Men /PWD/ Older persons/
Community Project group) one has to make an application with the Ministry of Labour and
Social Protection.

Step 1: Organize yourselves in a group of at least 10 members

Step 2: Draft the group’s constitution

 A constitution is the group’s guide. Once this has been drafted and approved, every
member should get a copy which they sign and commit to the terms and conditions.
 The constitution identifies the group’s mission, goals, and objectives.

Step 3: Hold meeting to Elect groups officials and to seeking registration

 The three most important slots to be filled are the Chairman, Secretary and Treasurer.
 It’s important to have these positions occupied for accountability and organisation
purposes of the group.
 Roles under these titles should also be defined, written down, and put in a document
(preferably the constitution) so that every official understands and agrees to their
scope of their work.
 It is important that the office of the secretary must know how to read and write.
 The minutes of the meeting seeking registration and showing elected officials are to
be attached to the application forms.

Step 4: Registrations with the Ministry of Labour and Social Protection'

 Visit the either Sub-county’s labour and social protection offices, Sub-county’s Public
Service, Youth and Gender Affairs Offices or Huduma centre to make the application
with the respective officer.
 You will be given a APPLICATION FORM FOR REGISTRATION OF SELF-
HELP GROUP/COMMUNITY PROJECT to fill.

312
  Fill the Registration Form and make sure you tick with type of self-help group you
want to register i.e. (Youth , Women , men , Mixed, PWD, Older persons or
Community Project)
 Attach the following REQUIREMENTS:

i. The groups constitution

ii. Minutes of the meeting seeking registration and showing elected officials

iii. List of All members duly signed with Name/Position/ID No. and Signatures.

iv. Copies of National Identity Cards of all group members

Step 5: Payment of applicable fees

 Pay the Approved Registration fee of Ksh.1, 000/= and lodge the Application at the
office of the Sub-county social protection officer or Huduma Centre

Step 6: Obtain the certificate

 It takes 5 working days for the Registration to be approved and a Certificate of
Registration is issued by the Ministry of Labour and Social Protection Office

2.5 Learning Activities

2.5.1 Practical activity

There is serious outbreak of diarrhea in your village. You are required to mobilize your
community members to sensitize them on the importance washing hands with soap and using
toilet/latrines at all times to answer calls of nature.

2.5.2 Self-Assessment Questions

1) Explain three steps in engagement meetings with community influencers/leaders
2) Explain formulation of a project mobilization plan
3) Explain stepwise registration of group members procedure

313
2.5.3 Answers to Self-Assessment questions
1. Explain three steps in engagement meetings with community influencers/leaders

Step 1: Planning

The first step to any robust community engagement effort is crafting a coherent,
comprehensive, and adequately resourced plan. Planning community engagement activities
and outcomes will help build and organize the strategies necessary for success. In this
section, we highlight the following planning-related topics:

 Staffing and budgeting for community engagement

 Who to engage
 What to engage on
 When to engage

Staffing and budgeting for community engagement

To implement a robust community engagement strategy, developers should commit sufficient

human and financial resources, just as they would budget for other operational components of
the project. Having the right people to manage community engagement, equipped with an
adequate budget, is as important as having the right engineers. Think of it as an investment in
an insurance policy for the power project.

Project management staff, project field (technical) staff, and specific (community liaison)
staff are the main people who will interact and engage with the target community. A good
socio-economic baseline and the stakeholder analysis process can inform a developer on the
specific expertise and personnel needed. Where the emerging challenges and issues are
expected to occur only periodically, the baseline can also inform the developer on whether to
engage staff with a specific skill set on an ongoing basis, or as-needed during crucial points
in the project. The exact number of staff to be engaged will also be determined by the
workload.

314
A good practice is to establish a social management system, which can be integrated with
other key project management systems as determined during project feasibility stages.
Considering that community engagement revolves around the social management of project
impacts, specific community liaison staff can also be part of the environment health and
safety (EHS) management team.

From a community engagement perspective, it is important to have community liaison

officers and a social focal point reporting to the main management team, within the project
staff organization structure. A gender specialist should be allocated to the team to ensure that
gender considerations are successfully integrated into the community engagement process,
and all project staff should be held responsible for gender equitable programming and
implementation.

Community liaison officers should have the proper qualification in an applied social science,
sociology or community development, but more importantly, they should have the interest,
disposition and a positive attitude in dealing with the community and relevant stakeholders.

Budgeting for community engagement should be informed by the various management

plans/systems that arise from the project feasibility stage. These may include Stakeholder
Engagement Plans, Community Health and Safety Plans, Resettlement Action Plans,
Environmental and Social Management Plans, Community Employment Initiatives,
Grievance Management Systems, Community Capacity Building Plans, Community
Development Plans, and Corporate Social Responsibility (CSR) programs. The project staff
appointed to deal with stakeholder and community engagement should prepare strategic and
annual work plans in line with the project calendar year to facilitate timely allocation of
budgetary and human resources.

WHO TO ENGAGE

Stakeholder Identification

As a developer, it is essential to know the people who may be impacted by a project and who
may have an influence on its ultimate success. Communities are not homogeneous and are
315
comprised of people with different lived realities and different interests and concerns relating
to development. A robust process of stakeholder identification and analysis, involving an
assessment of different groups and interests in the community, is essential to determine
potential supporters and partners, as well as those who may oppose the project. Further,
developers may wish to consider consulting women separately, as they may have unique
knowledge of the land and other natural resources, as well as an understanding of their
rights.11

Initial stakeholder identification and analysis can be conducted through a desk study or
through an interdisciplinary group discussion. After identification of key stakeholders, some
outreach is advisable to confirm contact information, do initial introductions, etc. With every
interaction with the community, findings of the desk study and group discussions should be
validated and updates made to the stakeholder database.

It is essential to work with the community to correctly identify their genuine representatives.
In some cases, certain individuals may inaccurately present themselves as bona fide
community representatives, even though they do not actually have the mandate from the
community and/or the best interests of the community at heart. Regardless, engagement with
community representatives should never replace direct engagement with the community
members themselves.

WHEN TO ENGAGE

Community engagement should commence as early as possible in the project cycle. Early
engagement will result in building a strong relationship from the start, and can help develop
support for the project.19 Early engagement also allows for basic information on the project
and the developer’s intentions to be delivered to target communities and helps developers
understand local land ownership and tenure arrangements. Engaging the public after action
plans have been developed can backfire when the community questions the plan’s vision and
objectives, resulting in additional time and resources needed to repeat these activities.

316
There should be early community sensitization on basics like what a benefit sharing
agreement is, how it is defined in law, the level of contribution to decisions that the
community and/or their representatives will have, a schedule of how they will be engaged,
what their rights are, etc.

Step 2: Engagement

In the previous section, we outlined the planning activities required to prepare for community
engagement. Once a comprehensive plan is established, stakeholders are identified and
mapped, and topics for engagement are set, it is now time to begin engagement in earnest. In
this section, we cover the following topics:

 Tools and approaches to community engagement

 Communicating with stakeholders
 Community capacity building
 Community mobilization
 Negotiation and agreement
 Community benefit sharing
 Dispute and grievance management
 Community legal representation

Step 3: Documentation, Monitoring & Evaluation

From a business perspective, a developer should want to know if the investment made to
engage the community (to help a project become a reality) is effective.

If community engagement activities are not documented and evaluated along the way, it is
difficult to know what is working and what might be ineffective, superfluous, or at worst,
having a counter effect on project goals. By monitoring and evaluating the effectiveness of
community engagement activities, strategies and tactics can be adjusted during
implementation to maximize success.

317
From a legal point of view, documenting community engagement efforts can be critical for
defending lawsuits, in arbitration or ADR mechanisms, especially against claims of
inadequate public participation.

To conduct an evaluation of community engagement activities, one must clearly document

intended community engagement schedules, activities, and objectives vis-à-vis the actual
implementation of the same. A comparison of the two would assist in identifying where the
implementation fell short.

A root cause analysis of activities will identify areas that do not meet community and project
expectations. The assessment of the root causes should be subjected to participatory
appraisal.

Discussions on possible corrective measures should also be held to determine their feasibility
during implementation. Some emerging/unprecedented issues may also arise, prompting a
need for specialized expertise to further investigate the root causes and to recommend some
tried and tested strategies for corrective actions.

Organizations should be proactive in consulting communities and following up on their

feedback, as opposed to waiting for grievances to arise.

Communities may not have the mechanisms to provide for in-depth participation in project
monitoring and evaluation (M&E) programs, especially regarding community health and
safety, CSR programs, community benefit sharing, and community development initiatives
by a developer.

The developer can step in to sensitize the community and facilitate mobilization of a
mechanism to ensure that there is relevant and documented feedback during M&E activities.
The developer may also need to invest in capacity building of the key members of the
selected mechanism for community participation in M&E. This system would also be a useful
tool in the tracking of resolution of grievances under a separate grievance management
mechanism.

318
 2. Explain formulation of a project mobilization plan

When a community decides to execute a project, it often lacks plans about how to proceed
with the work or who to assign to carry it out. To mobilize for your project, prepare a detailed
plan to initiate project work, depending on what resources are available, what the
requirements are and what constraints apply to the project.

Identify, assign and schedule personnel

When you break down the work of your project into individual tasks, the ones without
prerequisites can be started right away. Identify the people you need and find out when they
are available. If you don't have enough staff, prioritize tasks and calculate the effect on the
schedule and project completion.

The project mobilization plan lets you identify staffing bottlenecks and, as a result of your
plan, your company management may have to decide between delaying the project or
proceeding on schedule and delaying another company initiative.

Ensure financing, equipment and facilities are available

You can use the project mobilization plan to make sure the required resources are approved
and available, and to inform the responsible employees that particular resources will be
needed. For example, your project has a budget and a cash flow requirement. Your financial
personnel have to know how much money you plan to spend each month in addition to how
much the total expenditure will be.

Similarly, plant managers and employees responsible for the use of equipment have to know
what you need. If your project mobilization shows that needed resources are not available,
you may have to change your project plans.

Determine specifications, quality levels and standards

As your team starts work, its members need project documentation to proceed with detailed
planning and the execution of the work. Review the project specifications for errors or

319
omissions. If not specified in the project documentation, determine what level of quality
control applies to the project work.

Specific standards may be specified, or internal company standards for work and for
equipment may apply. Assemble a complete package of project documentation and distribute
the relevant sections to each project team member. Implement document controls for updates
and revisions.

Identify regulatory requirements and constraints

You may not be able to proceed with your project as you wish because of applicable
regulations. Municipal, state and federal bodies may have requirements for permits, licenses
or documentation that you have to fulfill before starting work. Other parts of the project, such
as buildings, may not be able to proceed before permits and inspections are completed.
Identifying these constraints during project mobilization avoids delays later on due to
unexpected regulatory requests and allows you to assign responsibility for meeting the
relevant requirements.

3. Explain stepwise registration of group members procedure

To register a group i.e.(Youth / Women /Men /PWD/ Older persons/ Community Project
group) one has to make an application with the Ministry of Labour and Social Protection.

Step 1: Organize yourselves in a group of at least 10 members

Step 2: Draft the group’s constitution

 A constitution is the group’s guide. Once this has been drafted and approved, every
member should get a copy which they sign and commit to the terms and conditions.
 The constitution identifies the group’s mission, goals, and objectives.

Step 3: Hold meeting to Elect groups officials and to seeking registration

 The three most important slots to be filled are the Chairman, Secretary and Treasurer.

320
  It’s important to have these positions occupied for accountability and organisation
purposes of the group.
 Roles under these titles should also be defined, written down, and put in a document
(preferably the constitution) so that every official understands and agrees to their
scope of their work.
 It is important that the office of the secretary must know how to read and write.
 The minutes of the meeting seeking registration and showing elected officials are to
be attached to the application forms.

Step 4: Registrations with the Ministry of Labour and Social Protection'

 Visit the either Sub-county’s labour and social protection offices, Sub-county’s Public
Service, Youth and Gender Affairs Offices or Huduma centre to make the application
with the respective officer.
 You will be given a APPLICATION FORM FOR REGISTRATION OF SELF-
HELP GROUP/COMMUNITY PROJECT to fill.
 Fill the Registration Form and make sure you tick with type of self-help group you
want to register i.e. (Youth , Women , men , Mixed, PWD, Older persons or
Community Project)
 Attach the following REQUIREMENTS:

i. The groups constitution

ii. Minutes of the meeting seeking registration and showing elected officials

iii. List of All members duly signed with Name/Position/ID No. and Signatures.

iv. Copies of National Identity Cards of all group members

Step 5: Payment of applicable fees

 Pay the Approved Registration fee of Ksh.1, 000/= and lodge the Application at the
office of the Sub-county social protection officer or Huduma Centre

Step 6: Obtain the certificate

321
  It takes 5 working days for the Registration to be approved and a Certificate of
Registration is issued by the Ministry of Labour and Social Protection Office

2.6 Tools, Equipment, Supplies and Materials

The following resources are provided:
 Video cameras
 Tablets
 Smart phones
 SD cards and card readers
 TFT screen
 Recorders
 Reference materials
 Minutes of group
 Group constitution
 Meeting attendance sheet
 Notebooks
 Pens

2.7 References
Adams, J., & Adams, J. R. (1997, January). Principles of project management. Project
Management Institute.

Fowler, A. (2000). Civil society, NGDOs and social development: Changing the rules of the
game (No. 1). Geneva 2000 Occasional Paper.

Maserang, S. (2002). Project Management: Tools & Techniques. Retrieved November, 15,
2013.
322
Rao, S. (2014). Social mobilisation in urban contexts. GSDRC Helpdesk Research Report
1110. Birmingham, UK: GSDRC, University of Birmingham. Accessed March 12, 2017.
http://www. gsdrc. org/go/display&type= Helpdesk&id= 1110.

World Health Organization. (2011). Sexual and reproductive health core competencies in
primary care: attitudes, knowledge, ethics, human rights, leadership, management, teamwork,
community work, education, counselling, clinical settings, service, provision. World Health
Organization.

Youniss, J., & Yates, M. (1997). Community service and social responsibility in youth.
University of Chicago Press.

323