Transcript 社会资本計划: 介入模式及策略

社會資本計劃:
介入模式及策略
梁祖彬
大綱
•目標: 協助申請者更瞭解基金理念、要求 (CIIF
values and expectations) -- 提升申請建議書
貭素及成功率
•社會資本計劃建議書 (proposal writing)
•介入模式及策略 (intervention model)
•表現指標及評估工具及方法 (performance
indicators and evaluation tools)
計劃書
•申請資助 – justifying the allocation of
fund
•1-3年的業務及財政計劃, 針對某一個社會問題/
service gaps (Business Plan and financial
Plan); 與 strategic/ programme plan不同, 及
主流服務不同
•監察及評估機制 (交代 accountability and
ownership)
對基金的瞭解及研究
• 基金資助概念/理念: 社會資本
• 資助歴史, 要求, 重點 (community partners),
requirements
• 資料搜習, 訪問同行項目 (what, why, how), 參與撥款
申請簡介會
• 每期的重點/主題
• CIIF: “Buys and don’t buys” – what to fund,
what not to fund
瞭解本身機構
• Vision and mission 使命
• Strategic development 策略發展
• Track records 工作記錄
• Governance 管治
• Brand name 品牌/特色
• Know the issues to be addressed, and engage users
(needs), staff, partners and stakeholders .
• 與基金配合之處
Do your Homework!!
• Do you know CIIF? Do you know yourself?
• Do you have bold and innovative aspirations? (CIIF is a
seed grant, not subvention for mainstream projects, with
established results)
• Justifications - Why you? Are you the suitable
organization to carry out the project (comparative
advantages and capacity – financial and expertise
requirements/ governance)?
• How serious, committed and motivated you are to get
funding?
• Without good preparation, it is difficult for you to get
support. Are you prepared? Are you ready?
計劃書
• 計劃名稱 (naming – inspiring names)
• 目的 (objectives and priorities): addressing a problem, service gap?
• Alice in Wonderland – “ if your don’t know where you’re going, then
any road will take you there’ ‘if you don’t know where you are going
you will up somewhere else’).
• Keep language simple and motivational; Remember it can be as
important to avoid negative outcomes as to deliver positive
outcomes. Avoid general aspirations, which can apply to almost any
projects.
• Long-term (general) and short-term (specific) objectives
• 理念 (background, vision, significance): your dream/ vision
statement – a clear and compelling picture of its ideal future; a
rallying point for future decision making, provide direction for
prioritizing goals and identifying strategies and action steps;
targeting customers, understandable and practice it.
• 對象 (need assessment and targeting)
• 策略/手法 (strategy/ model); performance indicators (表現指標);
milestones and deliverables
• 計畫運作 (operational plan, programming, scheduling and staffing)
• 計劃管治: 機構領導,執行及監管能力/誠信; 地區關係,優勢;夥伴特色:
Ownership and accountability
• 促進計劃成功要素 (critical success factors)
• 危機管理 (risk management)
• 監察評估 (monitoring, inspection, audit and evaluation)
• 財政計劃 (reasonable budget)
• 計劃報告
介入模式
• Ideologies (什麼是一個好的社會? Good society);人性是怎樣?
Human nature); Grand theories (政府角色,市場,權利): consensus,
conflict, pluralist.
• know why theories: Instrumental values (參與,合作,和諧,互助,充權,
專重,專業角色):
• Practice model (know how theories): project/ programme (targeting
employment, health, family relationships, poverty, crimes, child and
elderly care);
• Program model: program hypothesis explaining intended
outcomes – experiences and theories show that by doing X, we
most likely can achieve Y and Z. If we do “A”, then will result in “B”.
• Good programmes must have good theories linking activities
together: groups, mutual help, volunteering, classes.
Intervention Model
• Explaining the changes due to project intervention (programme
hypothesis); how to achieve objectives
• Input of resources  processes  output  outcomes/ impacts
• Sun Tzu: All men can see the tactics whereby I conquer, but what
none can see is the strategy out of which victory is evolved.
• “Science (Project) is built of facts (activities) the way a house is
built of bricks; but an accumulation of facts (activities) is no more
than science (project) than a pile of bricks is a house.”
• Project should comprise of a series of purposefully and
strategically designed activities putting together to achieve the
objectives (coherence of activities relating to the declared
objectives); otherwise “activity trap” “programmization”
(programmes for the sake of programmes) – a project having a
buffet of activities.
• Strategy is the art and science of informed action to
achieve a specific vision, an overarching objective or a
higher purpose for a business enterprise. a strategic
perspective is needed to ensure that all actions are
focused on and capable of meeting the true needs of the
public.
• Theory-guided/ inspire strategy serves to guide action
and predict the outcome of actions. Assured success
(higher probability) rather than based on luck.
Rossi
• The program theory is the formal description of the program's
concept and design. This is also called a logic model or
impact pathways. The program theory breaks down the
components of the program and shows anticipated short- and
long-term effects. An analysis of the program theory examines
how the program is organized and how that organization will
lead to desired outcomes. It will also reveal unintended or
unforeseen consequences of a program, both positive and
negative. The program theory drives the hypotheses to test
for impact evaluation. Developing a logic model can also build
common understanding amongst program staff and
stakeholders.
Good Theory of Change
(Connell and Kubisch)
• It should be plausible – do evidence and common sense suggest
that the activities, if implemented, will lead to desired outcomes?
• It should be doable. Will the economic, technical, political,
institutional, and human resources be available to carry out the
initiative?
• It should be testable. Is the theory of change specific and complete
enough for an evaluator to track its progress in credible and useful
way.
• Program theory need to draw upon various sources of informationprogramme experiences, scientifically generated knowledge, and
community residents’ insights (family and community changes)
• Theory support on the model – how feasible, effective,
and acceptable the model is? Why choose this model
(what are the other alternatives)?
• Strategies: educational, preventive, treatment, support,
training, promotion.
• Role of the professionals (what is the role of social
workers, partners)
• Evidence-based/ theory guided (nothing is as practical
as theory): Prescriptive rather than descriptive.
Performance indicators
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Key result areas – employment, mutual trust, mutual aid, cross sector
collaboration
Targets specify time bound desired level of improvement; desired or
promised levels of performance based on performance indicators. SMART
criteria (specific, measurable, achievable, realistic and time-specific);
E.g.: Housing programme:
– Objective – zero homelessness
– Corporate plan target – 95% homeless households offered
accommodation within 21 days
– Service plan – management team – 90% houses available for re-let
within 28 days
Benchmarking performance – indicating performance - how do we know we
are there;
Measuring objective achievements; Comparing with others; Comparing with
yourselves over the years; make targets stretching but achievable
Good performance measures
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RELEVANT – to what the organization is aiming to achieve
AVOID PERVERSE INCENTIVES – and not encourage unwanted or
wasteful behavior
ATTRIBUTABLE – so that the activity measured must be capable of being
influenced by actions which can be attributed to the organization; and it
should be clear where accountability lies
WELL DEFINED – with a clear unambiguous definition so that data will be
collected consistently and the measure made easy to understand and use
TIMELY – in order to produce data regularly enough to track progress and
quickly enough for the data to still be useful.
RELIABLE – so that it’s accurate enough for its intended use and
responsive change
COMPARABLE – with either past periods or similar programs elsewhere.
VERIFIABLE – with clear documentation behind it so that processes which
provide the measure can be validated.
Monitoring Performance
• Performance indicator is an integral part of performance
management
• a) What gets measured gets done.
• b) If you don’t measure results, you can’t tell success from
failure.
• c) If you can’t see success, you can’t reward it.
• d) If you can’t reward success, you’re probably rewarding
failure.
• e) If you can’t see success, you can’t learn from it.
• f) If you can’t recognize failure, you can’t correct it.
• g) If you can demonstrate results, you can win public support
(Osborne and Gaebler, 1992).
Monitoring and Evaluation
• Agreeable performance targets and indicators among
stakeholders
• Monitoring: on-going activities ensuring the project is on the
right track; getting feedback to make project adjustment
(formative evaluation)
• Evaluation: in-built mechanism to review the success of the
project as a whole. Linked to effective monitoring and
performance management (compiling performance
information); summative evaluation and report writing
• Difficult and expensive to have controlled experimental design
(pre- and post- intervention outcomes, together with control
groups.
• Process analysis looks beyond the theory of what the
program is supposed to do and instead evaluates how the
program is being implemented. The evaluation determines
whether target populations are being reached, people are
receiving the intended services, staff are adequately qualified,
etc.
• The impact evaluation determines the causal effects of the
program.
• Theory of change – theory hypothesis – guiding and
sharpening the collection of performance data
• Most project evaluation follows a pragmatic, and interactive
evaluation, with include interpretative dialogue among the
programme stakeholders, to attain consensus among stakeholders
about the programme’s values and outcomes – documentation, selfassessment reports, achievement of programme objectives, user
and stakeholder evaluation (perceived changes and improvements
through surveys, observations, indicators, psychological tests and
focus groups).
• Key information requirements – management information system
(user profile, services, staffing, expenditures/ incomes, outcomes).
• A coherent set of performance measures and targets; MIS to
capture and interpret performance
• Ownership and accountability
• Rigorous performance review; Reinforcement; incentives (reputation,
good practice)
CIIF
• 計劃整体預期目標及效 計劃帶動什麼正面轉變？(例如：在價值觀、
就業能力提升、群體之間的關係、製造社會及經濟參與機會等等。)
• 社區需要及建議推行這個計劃的原因: 社區內有甚麼問題或發展，引
發貴機構產生這個計劃構思？請提供有關資料或實據。這個計劃將如
何針對社區內這些問題？ 貴機構希望通過這個計劃帶動什麼正面轉變?
• 計划叐展社会資本的介入模式及連繫策略:
– 請詳述用甚麼策略、推行手法及項目去達致這些計劃目標(帶動轉
變)
– 策略及創意之處,計劃的構思、策略及運作手法有何獨特及創新之
處，並與主流的服務有何不同
• 關鍵性協作夥伴資料: 請列出與主要的關鍵性協作夥伴之建議合作方
案。關鍵性協作夥伴的定義是合作夥伴在計劃推行中扮演積極的角色，
能有效動員資源和網絡，從而提升計劃策略及成效。單次性協作、只
提供場地或協助宣傳則不在此之列。
– Partners – knowledge/ expertise sharing (evaluation,
accessibility, resources, reputation).
• 活動內容及推行時間表 (activities)
• 整項計劃的預期輸出數量及表現指標 (performance
indicators)
• 成效評估工具及方法 (monitoring and evaluation)
• 相關經驗及推行的優勢 (track records)
• 預計困難及應變方法 (risk management)
• 請詳述計劃資助期後的持續與發展方案 (project
sustainability)
建立社會資本之整體成效及目的
• 整體成效: 提高社區人士對社會資本的認同，成功在
社區建立跨階層、跨界別的互助網絡，加強對社區的
歸屬感;
• 表現指標
• (i) 80%參與人士/持份者明白及認同社會資本理念，
並願意持續參與有關發展工作；
• (ii) 成功推動區內不同的持份者，包括學校、互委會、
房署、警方及醫護人員，連結組成三個不同層面的社
區互助網絡，持續關注社區的事務，令社區問題得以
解決/減少;
• (iii) 70% 的參與人士/持份者對社區的歸屬感有所提升
• 具體目的:
• 成功帶動參與者建立新的身份認同，提升自信心及抗
逆能力
• 表現指標
• (i) 80%參加者對自我有更正面的看法，自信心及抗逆
力有所提升;
• (ii) 50%參加者由以往服務接受者的角色轉變為施予
者，改變價值觀，積極參與社區;
• (ii) 20%參與義工轉變成統籌者/領導者/策劃者，體現
充能。
推行項目的輸出質量
• 推行項目目標
• 透過「鄰里互助探訪隊」，為有需要的家庭或人士如單
親或新來港家庭或獨居長者提供支援，辨識潛在危機
• 表現指標
• (i) 80%接受服務的人士認為在有需要時懂得尋求協助及
得到支援，並體會睦鄰之間的關懷；
• (ii) 80%參與探訪隊的義工認為活動能有效回應有需要
的家庭/長者的需要；
• (iii) 80%的義工及家庭/長者能建立互信互助關係。
推行項目的輸出數量
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推行項目
對象
參與義工人數
參與人數 (不包括義工)
成效評估工具及方法
• Information system, surveys, focus groups with
stakeholders, perceived changes.
– Outcomes (satisfaction, capacity building, caring and
mutual help network widened, partnerships
established, knowledge transfer/ resources from
business sector)
– Effectiveness (meeting the objectives), efficiency (use
of resources/ cost per unit of service delivered), and
economy (input of resources)
Social Capital: Building Trust
• The road to building trustful relationships among
organizations, people, professionals and governments
(collaborations) through collaborative platforms at different
levels – district, neighborhood, functional.
• Community Building – strengthening community network –
community capacity building/ harassing community resources
(leadership, traditions, connections, organizations) to tackle
their own problems
• Processes rather than the ends: Capacity building rather than
solving specific problems.
Factors affecting collaborations
• environmental characteristics
– history of collaboration or cooperation in the community
– partnership entity seen as a leader in the community
– political/ social climate is favorable
• membership characteristics
– mutual respect, understanding, and trust among the members
– appropriate cross-section of members
– members see collaboration as in their self-interest
– ability to compromise
Critical Success Factors for
Effective Partnerships
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openness, transparency and clear communication to build trust and
mutual understanding
clarity of roles, responsibilities, goals and “ground rules”
commitment of core organizational competencies
application of the same professional rigour and discipline focused on
achieving targets and deliverables that would be applied to governing,
managing and evaluating other types of business alliances
respect for differences in approach, competence, timeframes and
objectives of different partners
focus on achieving mutual benefit in a manner that enables the partners
to meet their own objectives as well as common goals
understanding the needs of local partners and beneficiaries, with a
focus on building their own capacity and capability rather than creating
dependence
Cultural Change
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But this new intensive partnership mode of working will
mean a change in culture in many of the organizations
which will be involved. It will mean honing negotiation
skills; in reaching decisions through consensus and
collaborations; in acknowledging in many other demands
being placed on representatives of other organizations
by their duties, structure or funding; a new culture of
learning and capacity building for all sectors; and being
open minded and innovative.
“逆”更要互助自強--愛家愛社區
• Financial crisis – affect most families and individuals; more will
require welfare service support. Not to provide services
overlapping with existing mainstream services. But filling the
service gaps, strengthening community network and
partnerships – enhancing mutual trust (building of bridging and
linking social capital)
• Community is an important platform supporting families (lone
parents, youth at risks, deprived children) – identifying at risk
families, providing mutual support.
• Harassing the community resources (faith groups, community
organizations, business organizations, government departments,
district council) for joint up action, addressing cross-cutting
issues – ranging from domestic violence, employment, intergenerational support/ care (child and elderly care).
• Project is expected to encourage social inclusion of lowincome families and motivate them to participate in
community activities, deepening the neighbourhood
relationships, and strengthening the family functions.
This is a rather general theme, whereby projects can
make use of their own organizational advantages to
design innovative programmes.
Knowledge Transfer知識轉移
• Projects should add knowledge to social capital building
(how)
• Knowledge can be shared and transferred to other
programmes  mainstreaming social capital
• Planning to learn and learning to plan. Receive feedback
and make adjustments