2. Organisational Management:

Organisational systems, which support the functions of an institution, are as critical to its health as beliefs and values.

The questions can be divided into the following main sub-sectors:

2.1. Several questions relating to group formation. These questions are important to understand the structure of the group. For example, if a leader was chosen first and she or he was asked to form a group, the chances are that the leader will continue to domin te the group. If the leader in such a group also has to take on several responsibilities (l ke Manager, Chairman, Secretary and Accountant) then he/she tends to dominate. Such  a situation could well lead to new relationships of dependence between the leader and  he other members. If people from several villages are grouped together mainly to reduce  he time and trouble required to visit smaller group’s in several villages, several may be left out who cannot or do not want to join the large group. In MYRADA’s projects, groups  re formed on the basis of affinity among the members. Affinity is based on mutual trust and could arise from several factors; e.g. same cast  or community, same place of origin, activity, livelihood source, religion or economic status. The network exists before MYRADA intervenes. The role of the NGO is to build on these relationships and to help the members to develop new ones to support the new responsibilities and roles of the CBI. Groups are not formed on the basis of criteria determined by the "scheme" or the intervenor.

The questions relating to this sub-set which form the framework for focus group discussions are the following:

1. When was the group formed?
2. Who or at whose initiative was the group formed? NGO, Government or local person? 3. How did this initiator go about forming the group?
4. How many members does the group have (group size)?
5. How were the members identified and selected (criteria)?
6. How did they actually become members, given the above criteria?
7. Why did they join the group? (List responses from the members and categorise them.) 8. (a) What is the group’s self assessment of the level of members participation in the group formation process (scale: excellent, good, not so good, weak)? The group should agree on three indicators and come to a consensus on each.
(b) What is the group’s assessment of its sense of ownership of the CBI (scale as above; list three indicators to back up its assessment)?

2.2. The second sub-set of questions relates to group Rules and Regulations (R&R). It is important to note here that though some CBIs are set up by Government Departments and have to abide by certain R&R, there is no ban on the CBI formulating additional rules to cover new responsibilities. In fact, even if the Government prepares a set of R&R, the group should review them and change/adapt them according to the group’s vision and roles. It is, therefore, useful to know whether the CBIs have modified or added to its rules. Since sanctions are critical for the continued health of any organisation, questions regarding the inclusion of sanctions in the R&R and who enforces them, are important for organisational health. If, for example, sanctions exist but they have to be enforced by the village leader (who is not a member of the group), then the group needs to build up its own organisational strength and credibility to enforce its rules if it is to survive and grow.

The questions under this sub-set which form the framework for focus group discussions are the following:

1. Are there written rules and regulations (R&R)?
2. Have all the members seen them in writing/print?
3. Who made them? When?
4. How often, in their opinion, should R&R be discussed in the group?
5. Have any training sessions been held in R&R for all the members? For office bearers only?
6. Can the group mention three R&R?
7. Does R&R include any sanctions? Should sanctions be included? If yes, why?Have they been enforced to your knowledge? If so, by whom?
8. Was R&R revised? Give one example.
9. List three major problems experienced by the CBI.
10. How did they arise? Were R&R the cause of any of these problems?
11. What is the group’s self assessment of the members’ observance of the R&R.(Are they adequate? Do they need change? Who will change them? Do they cause more conflict or reduce it?)
12. What is the group’s self-assessment of the members’ observance of the R&R? (Do all respect and follow the R&R? What happens if some do not? Do all respect sanctions?)

2.3. The third sub-set of questions relates to Group Meetings. These are helpful to assess features related to dependence and exclusion. For example, if we find that the average attendance is low (below 60%) then it is quite possible that the regular absentees do not want to be in this particular CBI. The assumption that they are not interested in attending meetings and getting involved (in other words that they are lazy or disinterested) needs to be tested. If a decision is taken that there should be only one CBI in the area (a group of villages), then it is quite possible that several families which belong to a small group will be left out and in most cases they will turn out to be the poorer families in the area. It is also useful to make the CBI members aware that the date, time, place of the  meeting as well as the agenda should be decided by the group and adhered to. Group’s that leave these decisions to their leader usually tend to be dominated by the leader’s agenda.

The questions under this sub-set which form the framework for focus group discussions are the following:

1. Who calls the meeting – who fixes the date, time and place?
2. What is the frequency of meetings?
3. Is the date, time and venue of the meeting fixed? Or do they change?
4. Is there an attendance register? Is it maintained? By whom?
5. What is the average attendance at group meetings?
6. Is there a minutes book? Is it maintained? By whom?
7. Is there an Account Book? Is it maintained? By whom?
8. Is there a Bank Account? Who operates it?
9. Who actually/physically holds these books? Where are they kept?
10. Is there a written agenda for every meeting? Who sets the agenda?
11. What are three important items that are regularly on the agenda?
12. How does the group ensure that decisions taken in the group have the approval of the majority and are known to all the members?
13. List the "office bearers" and indicate what roles they actually perform.
14. How does the group assess the level of participation during meetings (good, not so good, weak)? Why? Give three indicators.

2.4. The fourth sub-set relates to Capacity Building, including learning of CBIs. Here the focus is on finding out if there was training for all the members of the CBI as a group or at least for a critical mass as a group. The focus on group training is critical is critical here. This section does not focus on training for individuals in CBIs or for individuals in several CBIs who manage the same or similar functions, e.g. all bookkeepers or technical hands. Training as a group is important for the group to build a vision, to develop its own R&R, for organisational accountability and learning (which will be discussed below).

The questions under this sub-set which form the framework for focus group discussions are the following:

1. Has any training been provided to all the members as a group?
2. What were the modules? (Name them). How long did each module last? Where was the training conducted? (Village, Training Centre).
3. Did the members find the training useful? Give two examples of why they found it useful.
4. Have the members as a group visited any other group or project? Which one?
5. Has the group made any changes (additions/subtractions) to R&R? (This was discussed earlier, but bears repetition in the context of Capacity Building).
6. Is there a policy to train members to take over responsibilities in the group?
7. When were office bearers/representatives/cheque signatories last changed? How many times have they been changed since inception of the group?
8. Have audits and reports been discussed in group meetings?
a. Have follow up actions been taken to address audit recommendations?
b. Are reports/feedback and assessments made by Project Management (Project Officers, M&E officers) or consultants shared with the CBI?
c. Does the group take follow up action on recommendations made? List three.
9. List the official responsibilities performed by the group officials/representatives.
10. How does the group ensure that each of these official duties/responsibilities are shared or rotated among different members?
11. Describe three major lessons/innovations/ideas which the group learned/ implemented during the past six months.

3. Financial Management:

The questions under this section are the following:

1. Are the Books of Accounts properly maintained and updated?
2. Are the members concerned to know what is the total common fund? Who are the defaulters? Can they give the total common fund and list the regular defaulters.
3. What are the sources of income of the CBI? For what purposes? Is it clear to all?
4. How are decisions made regarding expenditure? What is the process of decision making? What are the supporting documents (minutes, plans, estimates, bids, vouchers, etc.)? Does the group maintain regular expenditure vouchers?
5. Have any problems arisen during the last six months regarding management of cash or inputs? Describe them. How were they sorted out?
6. Where is the cash kept?
7. Does the group apply any sanctions for mismanagement? Who enforces it?
8. What are R&R relating to financial management? Can the members list 3 major ones.
9. What is the group’s self-assessment of the process of financial management? (Scale: excellent, good, not so good, weak). List three reasons for assessment.

4. Organisational Accountability:

Regular change of leadership is important. Other concerns relate to whether the reports and assessments made of the project have been fed back to the CBI, whether the compliance audit reports of the CBI are placed before a body either outside (Government) or within (members).

The questions under this section are the following:

1. How has the group changed the leaders (representatives)? Did the former leadership appoint them?
2. What are the group’s criteria for selecting leaders (representatives)? List them. Were they observed? If not, why?
3. Does the group ensure that compliance audits are carried out yearly?
4. Does R&R include issues related to organisational accountability, e.g. need to present reports and compliance audit reports to members.
5. Are management committee members or leaders of the sub-groups, related by bonds of blood and/or marriage?
6. How frequently does the Village organisation require the sub-committees to submit their financial reports and compliance audit reports to the higher authority (V.O. Government) and to all members?
7. If not, are there plans to submit them?
8. Is there any practice of applying sanctions? Who enforces them?
9. What benefits do the following get from the CBI; President, Vice-President, Secretary, Accountant, members?
10. Does the CBI ensure that benefits (loans or facilities) are shared so that the weakest also participate in decision-making, get a fair share of resources and access to facilities? How? Give two examples of the weakest/poorest in the group, who have progressed and who have held positions in the group.
11. What is the group’s self-assessment of the level of its performance? List three reasons for the assessment.

5. Linkages:

Supportive linkages among CBIs within every village and with CBIs/Institutions outside are a critical factor for sustainability and empowerment.

In this section, exercises can also be conducted to ascertain the perceptions of each CBI with regard to other CBIs in the village. Perceptions regarding "empathy" and "importance" of respective CBIs are important indicators for intervenors who are formulating a strategy that works towards achieving a level of synergy among CBIs at the village level. The PRA exercise of the Venn or Chapatti Diagram can be used to ascertain relative importance of CBIs and the relationships among them.

The questions under this section, which provides the framework for focus group discussions, are the following:

1. Number and types of CBIs in the village [formed by the project, other NGOs, by people (on their own – both old, i.e. traditional and more recent ones) by Government, etc.]
2. What are the major functions of traditional CBIs? List two or three.
3. Can the group rank all the CBIs in order of importance – in the groups’ perception?
4. How does the CBI "empathise" with other CBIs in the village? Does it have any programme collaboration with another CBI? Describe one such action? (Venn diagram can be used to ascertain relationships).
5. Is this CBI linked to formal institutions such as banks, NGOs, Government and private institutions? How?
6. Is there any competition among CBIs? Between which ones in particular. In what way? Describe two examples. In the group’s opinion, is this competition "good" or "bad" for the members?
7. Do other institutions in the area know about this CBI?
8. With whom does the group wish to establish linkages? Has it made some effort to do so?

6. Learning / Evaluation:

Questions relating to this feature have been included in the above five sections whenever the group is asked to assess itself and whenever the group is asked whether and how it uses feedback from audit (financial and systems) reports and regular management responses related to monitoring progress. However, a few questions can help the group to focus on the need not only to be open to suggestions and to new ideas but also to pro-actively take initiatives to learn from other experiences and new areas of income generating and livelihood opportunities. The group also needs to realise that time spent on analysing and reflecting on its experiences is an important input in the process of growth.

The intervening agency, however, must also be a "learning organisation" it is to share this commitment and concern with the CBI it fosters.

1. Has the group made any effort to exchange experiences with other CBIs in the village? If yes, describe one such interaction.

2. Has the group interacted with institutions outside the village? If so, list them. What are the results of this interaction? List one.

3. Does the group assess the capacity of each member periodically and plan to provide opportunity to each one to increase in livelihood skills as well as in confidence and ability to negotiate with others particularly with middlemen?Give examples.

4. Have the members made any efforts to increase their literacy and numeracy skills?

5. Have the members taken any initiative or have they supported any initiative to start and manage a reading room in the village, or any other regular system and structure for dissemination of information?

To Conclude:

As already indicated a system to ascribe numerical values to the responses is possible but has not yet been worked out in detail in MYRADA. However, quantifying the data and giving the CBI a ‘grade’ or a ‘rating’ is not the primary purpose of this exercise. What are important are the responses themselves, what they reveal about the CBIs to the members themselves, how they can help to transform the CBI from its present level of functioning, and what guidance they can provide to the project staff on how they can support the CBI to acquire and sustain the characteristics of a mature and functioning institution.

Aloysius P. Fernandez
January 2000
Bangalore

Appendix:

MYRADA has fostered several types of CBIs in all its projects. The following CBIs are the primary partners of MYRADA. (Status as on June 30, 2000)

* Others include Street level and Stand post committees; Programme Implementing Associations, Project Health Committees, Youth Clubs, etc. This list does not include institutions formed in projects where MYRADA has deputed staff or where our staff is providing support on a long term basis in India and abroad.