Presentation Paper Contribution to the Facilitated Workshop on - - PDF document

Presentation Paper Contribution to the Facilitated Workshop on “Framework for Best Practices” WANGO Conference, Accra, Ghana (April 24-26, 2008) By Desmond C. Appiah Sustainable Ghana Ltd. www.sustainableghana.com Title: “The Peer Review Concept: An Important Tool in Assuring NGO Effectiveness” This paper should contribute to the achievement of the general theme of the conference: “NGOs as Agents of Positive Change”

Abstract The role of NGO’s has grown tremendously in the last few decades both in stature and significance especially in the delivery of essential services in the developing world and in disaster areas. They have become synonymous with offering lifesaving services under extremely difficult circumstances. In most instances, they are the last vestige of hope for victims

• f disasters and primary source of assistance for addressing root causes of poverty. With growing influence and power,

comes great responsibility. Concerns about NGO accountability and effectiveness are growing and the need for ensuring the integrity of this sector is more pressing now than ever, especially in Africa. This presenter proposes to present, and briefly assess the suitability of the Peer Review Concept as a tool for enhancing NGO accountability and effectiveness. The paper would consist broadly of the following parts:

• 1. A brief review of the growing importance of the role of NGOs in a rapidly changing world
• 2. Growing challenges NGOs face as their role and expectations continually change
• 3. Peer Review Concept and its application to NGO’s
• 4. Conclusion

• 1. A Brief Review of the growing importance of the role of NGOs in a rapidly changing world.

The world has changed. Our world has changed. These may sound as an overly simplistic statement

• f the obvious but in all dimensions and from all perceptions, we are literally witnessing a rapidly

changing world around us. From the climate change debate, globalization and its impacts, terrorism and its new definitions, to advances in medicine and disease management as well as the actualization

• f the global village, we are now in the melting pot of great societal changes. Primarily, due to

improvements in communications: internet, mobile phones, transportation, etc, technological advancement in the second half of the last century has made global changes around us more rapid and ourselves more conscious of the change. These ongoing changes in the world offer tremendous

• pportunities for improving both the quality of life and standards of living of people. It has also

highlighted the huge gaps that exist between the haves and the have-nots in our societies. The North and the South. The developed and developing worlds. The East and the West. NGO’s have since the end of the Cold War expanded the scope of their activities from issues of human rights violations including press and religious freedom, HIV/AIDS awareness and control, through advocacy in environmental activism to enhancing stability in nation-states by empowering civil society, women and oppressed groups all around the world. Indeed the role of NGO’s have risen significantly because governments have inadequately dealt with global problems and NGOs have proven time and again that they can mobilize and expand support for causes across borders, a need which has become even more evident as the challenges faced by society has evolved along with the world. In countries like South Africa, NGOs work with communities to negotiate optimal labor contracts, increase access to credit and in Bangladesh they have worked to provide microfinance facilities to people who otherwise could not have had access to capital. In Zambia, NGO’s are working to promote girl-child education whilst in Ghana they are promoting health, literacy and renewing

• communities. These are just a sample of the works of NGO’s all across the world and especially in

Africa. In 2004 and 2005, the world witnessed two of the most devastating natural disasters ever televised in the Asian Tsumani and Hurricane Katrina. Many thousands of lives were lost but it also highlighted the compassionate spirit in humankind through the responses to these disasters. NGO’s played and

continue to play significant roles in the immediate aftermath of these disasters and in the ongoing reconstruction efforts. In other instances, like Rwanda in the 1990’s or Darfur, Sudan now, where the larger world community has been either slow or reluctant to act, NGO’s have been the last vestige of hope for the people. These are some of the stories of the great work being carried out across the world by NGO’s. The number of non governmental organizations have also rapidly increased over the last fifteen (15) years, international NGO’s (INGOs) have been estimated to be about forty thousand (40,000) while national numbers are even higher. Russia has over four hundred thousand (400,000) India has between 1 and 2 million and Tanzania has over 8500. Donor countries and partners have increasingly channeled development aid through non governmental organizations, rather than through government budgets with contributions of over $7 billion in aid to developing countries now through INGOs, according to the 2002 UNDP Human Development Report. This has given NGOs capacity to dispense services that governments should usually provide. Furthermore a growing number of NGO’s have operating budgets running into millions of dollars. It is worth noting that more than 1,500 INGOs are registered observers of the United Nations, a phenomenon that has grown since the mid-1990s, a sure sign of the growing influence of NGOs. NGO’s are making some great progress and achieving great successes but can we do more? Does the maxim “If it isn’t broken, don’t fix it” hold true here?

• 2. Growing challenges NGOs face as their role and expectations change

With great power and influence, comes great responsibility. NGO’s in this century face greater challenges on two main fronts: first, from donors and partners and second, from the beneficiaries. Trust has become a major point of discussion amongst stakeholders in this sector and rooted deeply in issues of trustworthiness, are questions about the use of NGO’s as vehicles for personal gain and

• aggrandizement. Again the ability to remain neutral and non-partisan in the constantly changing and

charged political environment in which they operate often demands a great deal of effort. These are by no means the only challenges that are affecting NGO effectiveness. Others include weak institutional structures that should support accountability and build integrity and a recognized

framework for what best practice of NGO operations are, especially in Africa. The potential benefits which comes with having a framework that encourages strategic thinking and planning, prudent financial management, enhances focus, builds capacity and ensures NGO’s operate in the spirit of their missions and values, could go a long way in capturing some of the positive achievements that technological innovations can and have brought to many parts of the world. These conditions are preventing NGO’s from contributing fully to improving the quality of lives and standards of living

• f our peoples.

Challenges however abound in every enterprise, from governments to businesses to non-profits and even, as individuals. The issue therefore is not about the presence of challenges, it is about how to address and overcome them. Private sector profit-making organizations are facing challenges brought about by the rapidly changing world and globalization. A cursory look at the list of top 100 companies in the world today, reveals almost the same firms on the list as it was 10 years ago. Is it a question of these organizations being immune to the challenges presented in this century? Or is it something else? They must actually be doing something right to be able to withstand all the enormous competition and pressures of today’s world. The question therefore is: what are successful private sector firms doing that we can adopt in the pursuit of our missions? Our objectives may differ, but the tools for achieving effectiveness in the pursuit of our objectives should not necessarily differ.

• 3. Peer Review Concept and its application to NGO’s

Many self-regulatory models have been proposed and tried by different NGO’s around the world to address some of the challenges enumerated above. They include but are not limited to: Enforcement and Incentive models (award, domestic self-regulatory measures, grievance mechanisms), Public Information, Self-Regulatory Charity Registers and Standards Setting and Performance Measurements (Sectoral Codes, Self-Certification, Peer Review, Organization Evaluation/Watchdog Mechanisms and Accreditation by external agencies. For the purposes of this workshop, I will focus on The Peer Review Concept. This is subjecting one’s organizational processes and procedures to scrutiny by colleagues and experts in the same field. Simply put, it is opening up your books to your peers. This practice has been on-going in academia and publishing, and in private sector businesses and some non-profits. It has been used for grant-making and in instances where the ideas are novel and substantial and offers

a major shift in existing paradigm. For instance in Africa today, there is a peer review mechanism targeted at democratic governance and the rule of law. It is a method which always encourages cultural change, from within. It is characterized by the “independence” of the evaluators from the actual processes being reviewed. Consciously showing work and opening up your processes to

• thers in the same field increases the probability that weaknesses will be identified, and, with advice

and encouragement, fixed. This is a sure way of making the journey towards NGO effectiveness and accountability together, through networking, capacity building, enhancing integrity and addressing some of the pressing challenges posed by questions on trustworthiness. In the traditional sense of Peer Review, there is greater emphasis on rigorous evaluation methods, substantial responsibility on rated organizations to provide evidence of compliance with each standard and even though this rigor makes it likely to be meaningful to donors and the public, it has also been associated with high costs which have made this process out of the reach of small

• rganizations. What is being proposed is a variation of Peer Review which while not de-emphasizing

the rigors the afore mentioned processes, rather emphasizes cultural change by enhancing understanding of the crucial role of NGOs, strategic thinking and planning, developing capacity, the need for prudent financial management, retaining focus through living our missions and values. Developing a spirit and a sense of “even if not broken, FIX IT”. Private sector firms use Peer Review in this sense and it is interesting to realize that this method is used a lot more in relation to developing a safety culture, developing a quality assurance culture or in pursuit of prudent environmental and sustainability measures. This is not to underplay the importance of using internationally recognized management systems, but to get greater participation and to impact the culture in the introduction of new paradigms or at influencing existing practices in a particular direction. This has proven very successful in the private sector and with minor adaptations has done same for some in the non profit sector. This is a six-step process involving the development of an agreement on standards, the development

• f protocols, Peer Auditor training, Audits, Report development and Corrective/Preventative

Actions, and finally a Peer Follow up. This process would require the active involvement of the respective NGO country chapter representatives, a reputable third party with a track record in NGO activities (this should not preclude private sector firms), and individual NGOs. The development of an agreement on standards is a crucial step in this hybrid peer review process. The modalities can differ from one country to another but the basic principles should remain the

same i.e. guiding the conduct of NGO’s to make them agents of positive change. Fortunately the World Association of Non Governmental Organizations (WANGO) has developed a Code of Ethics and Conduct for NGO’s which captures the essence and spirit of NGOs worldwide. A product of NGO leaders from over 42 nations, these codes provide a perfect umbrella in terms of standards and agreements for respective countries. They can be adapted to suit each of our needs and our peculiar circumstances. For instances, on responsibility, service and public mindedness, the principle states that “public money should not be misused for selfish purposes……. as a public trust” and “…. its conduct and activities impact on the public‘s perception of NGO’s…” These are the principles which must be adapted to suit the conditions of each member nation and ensure we do not deviate from our original mission of: rendering selfless social services to humanity and humankind through positively impacting lives. The country NGO umbrella body has the ultimate responsibility of ensuring the development of suitable standards. The next step in the process is the development of protocols which address the specific elements that are mentioned in the standards. How do we ascertain the veracity of claims of our members? How do we ensure that the slogans of empowerment, capacity building, etc do not become empty rhetoric? Asking the relevant questions, observing and testing of the mission and values as stated by

• ur members would encourage the change in culture of NGOs from the perception of

unaccountability and ineffectiveness by the donor community and the beneficiaries. Asking the right questions and following the right protocol, will lead to a proper ability to assess the impacts of NGO activity. The Peer Auditor or Review training is the step in the process which offers the opportunity for promoting consistency and repeatability from one member organization to another and from one peer to the other. This training ensures the provision of a uniform body of knowledge in regard to the auditing process and furthermore provides a platform for disseminating and influencing the culture in the direction of making NGOs, agents of positive change. Training ensures upgrading of relevant skills, provides information, encourages discussion, enhances efficiency and maximizes payback on investments as per the set objectives and targets. This will imbibe in peers the requisite knowledge to be able to perform tasks as independent officials from the process without compromising their integrity since the primary goal is to improve accountability and effectiveness.

The actual audit is the opportunity to practice and put to use the skills acquired. The audit should be scheduled by the office of NGO country chapter with a number of factors being paramount in this consideration. The first is all members or umbrella group should nominate or appoint a couple

• f peers to be a part of the review team. Their training and schedules of reviews are done by the

country chapter to ensure fairness, judicious use of the team and prevent opportunities for

• corruption. The scheduling and preparations are the mandate of the country chapter.

The reporting and corrective/preventative action stage usually involves the use of third parties so as to guarantee the impartiality of the process. Reporting the findings of audits are a crucial segment of the peer review concept. If there are no documentations/records, then it did not happen. The reporting also allows us to be able to track the corrective actions that we implement to address some

• f the actions, practices and processes that are not in line with our missions and values and also

those issues which undermine our abilities to fulfill our potential and mandate in the service of

• society. Opportunities for networking and learning from each other are more enhanced because of

the suggested recommendations that can be incorporated into the reports. They also form a basis for checking performance and subsequent audits to ascertain movements in the right direction. The loop closes with the follow-up review audits and another cycle begins. To ensure continual improvements, it is important that peers get to carry out a follow up audit to close out issues that were highlighted in the original audit process. This hybrid Peer Review Process follows the proven Shewart and Deming cycle of Plan, Do, Check, Act while ensuring cost effectiveness in the use of tools that promote continuous improvements and

• ffers an opportunity to adapt a part of the many tools used in the private sector to the so-called

important third sector of society.

• 4. Conclusion

The tools available for addressing some of the concerns raised by the growing influence of NGOs must be tailored to the specific communities in which they operate without undermining the ability

• f individual members from achieving their set goals and objectives. A Peer Review mechanism

which will not de-emphasize the rigors of a traditional peer review process but will emphasize cultural change by enhancing understanding of the crucial role of NGOs, promote strategic thinking

and planning, develop capacity, without compromising the need for prudent financial management, ensure the retention of focus through living our missions and values must be the way forward in developing a framework for best practices. The value of the contributions being made to societies by NGO’s cannot be allowed to be skewed by the actions of a few. Improving efficiencies will permit donors to have confidence in NGOs that the right things are being done and also bring beneficiaries into the process.

References Bendell Jem 2006: DEVELOPMENT DOSSIER DEBATING NGO ACCOUNTABILITY United Nations Development Dossiers are produced by the UN Non-Governmental Liaison Service Published in August 2006 by UN Non-Governmental Liaison (NGLS) Palais des Nations, CH-1211 Geneva 10, Switzerland Room DC1-1106, United Nations, New York NY 10017, United States Brinkerhoff Derick W. 2004 The Enabling Environment for Implementing the

Millennium Development Goals: Government Actions to Support NGOs

Heinrich Volkhart Finn ASSESSING AND STRENGTHENING CIVIL SOCIETY WORLDWIDE A Project Description of the CIVICUS Civil Society Index: A Participatory Needs Assessment & Action-Planning Tool for Civil Society CIVICUS Civil Society Index Paper Series Vol. 2, Issue 1 CIVICUS: World Alliance for Citizen Participation www.civicus.org

Johns, G., “NGO Way to Go, Political Accountability of Non-government Organizations in a Democratic Society,” in IPA Backgrounder, Vol. 12/3, Institute of Public Affairs Ltd, Melbourne. November 2000. Jordan, L. “Mechanisms for NGO Accountability”, GPPi Research Paper Series No. 3, Global Public Policy Institute, Berlin, Germany. 2005.

Sarriot Eric G., Winch Peter J., Ryan Leo J., et al A methodological approach and framework for sustainability assessment in NGO implemented primary health care programs International Journal of Health Planning and Management Int J Health Plann Mgmt 2004; 19: 23–41. Published online in Wiley Inter Science (www.interscience.wiley.com) DOI: 10.1002/hpm.744 Songco Danilo A. The Evolution of NGO Accountability Practices and their Implications on Philippine NGOs: A literature review and options paper for the Philippine Council for NGO Certification Survey Results: Downward accountability to ‘beneficiaries’: NGO and donor perspectives June 2006 www.keystonereporting.org