thesis - MALUNGA C 2004 ISSUES IN NGO MALAWI.pdf - IMPROVING THE EFFECTIVENESS OF STRATEGIC PLANNING IN LOCAL NGOs IN MALAWI by CHIKU WATCHMAN MALUNGA

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Unformatted text preview: IMPROVING THE EFFECTIVENESS OF STRATEGIC PLANNING IN LOCAL NGOs IN MALAWI by CHIKU WATCHMAN MALUNGA submitted in accordance with the requirements for the degree of DOCTOR OF LITERATURE AND PHILOSOPHY in the subject DEVELOPMENT STUDIES at the UNIVERSITY OF SOUTH AFRICA PROMOTER: DR T MONAHENG JOINT PROMOTER: DR P S KAMBEWA NOVEMBER 2007 Declaration Student number: 3202 – 877 – 6 I declare that ‘Improving the Effectiveness of Strategic Planning in Local NGOs in Malawi’ is my own work and that all sources that I have used or quoted have been indicated and acknowledged by means of complete references. ………………………. ………………. SIGNATURE DATE (MR C W MALUNGA) i Acknowledgements First and foremost I would like to thank Dr T. Monaheng, and Dr. P.S Kambewa, my promoters, for their impeccable, patient and committed mentoring and coaching throughout the journey of this work. Many thanks go to Professor Alan Fowler for helping me to give the study a ‘more international perspective’ and for giving me access to his personal library on development studies and for giving me space and time for reflection on the study every time I needed to at his place of residence. This study would not be possible without the cooperation of the local NGOs that participated as case studies. I want to offer my sincere gratitude to the leadership in all those organizations. The same gratitude also goes to the donors and consultants who gave me their precious time and attention for interviews and discussions on the study. The quality of the study would not be what it is without the insights and lessons learnt from working with the many local NGOs in Malawi and other countries in the region in organization development interventions in general and strategic planning in particular. To all these I pass my heart felt gratitude. Bruce Zamaere often went out of his way to help me with the technical editing of the manuscript. I keep wondering how this study would be possible without the efficient support mechanism provided to me by Ms Leanne Brown, my subject librarian. To these two people I wish I could discover a better way of saying thank you that would help me fully convey how and what I feel inside. Lastly and most importantly, I want to thank my wife Chawanangwa and my two daughters Thandi and Tia, for their understanding and for giving me their much needed time and space throughout the journey of the study. ii iii TABLE OF CONTENTS Declaration.......................................................................................................................... i Acknowledgements ........................................................................................................... ii TABLE OF CONTENTS .................................................................................................. i LIST OF TABLES ........................................................................................................... vi GLOSSARY..................................................................................................................... vii ABSTRACT...................................................................................................................... ix CHAPTER 1: INTRODUCTION.................................................................................... 1 1.1 Introduction............................................................................................................... 1 1.2 A History of Development NGOs............................................................................. 3 1.3 Origins of the NGO sector in Malawi....................................................................... 6 1.4 Why strategic planning for local NGOs.................................................................... 7 1.5 Background to the country........................................................................................ 7 1.6 Problem Statement .................................................................................................... 8 1.7 Objectives ............................................................................................................... 10 1.8 Importance of the study .......................................................................................... 10 1.9 Limitations and the scope of the study ................................................................... 12 1.10 Research Process................................................................................................... 13 1.10.1 Research techniques..................................................................................... 13 1.10.1.1 Position of the researcher........................................................................ 13 1.10.1.2 Sampling ................................................................................................. 14 1.10.1.3 Public Affairs Committee (PAC)............................................................ 15 1.10.1.4 Center for Youths and Children Affairs (CEYCA) ................................ 15 1.10.1.5 Malawi Human Rights Resource Center (MHRRC) .............................. 16 1.10.1.6 Malawi network of People Living with HIV and AIDS (MANET) ....... 16 1.10.1.7 Active Youths in Social Enhancement (AYISE) .................................... 16 1.10.2 Literature review......................................................................................... 17 1.10.3 Data collection and analysis......................................................................... 18 1.11 Data collection and analysis models ..................................................................... 19 1.11.1 Levels of complexity model......................................................................... 20 1.11.2 The stages of development model................................................................ 21 1.11.3 Triangulation................................................................................................ 23 1.11.4 Clarification of terms ................................................................................... 23 1.12 Chapter layout....................................................................................................... 24 1.13 Conclusion ............................................................................................................ 24 CHAPTER 2: THEORETICAL BACKGROUND...................................................... 25 2.1 Introduction............................................................................................................. 25 2.2 History of strategic planning................................................................................... 25 2.2.1 Transferring strategic planning to organizations ........................................... 25 2.2.2 From long range planning to strategic planning ............................................ 26 2.2.3 From strategic planning to organizational learning ....................................... 27 2.3 Defining strategic planning..................................................................................... 29 2.3.1 Definitions for strategic planning .................................................................. 29 2.3.2 Strategic planning and organizational learning.............................................. 31 2.3.3 Limitations of strategic planning ................................................................... 33 2.4 Levels of strategy.................................................................................................... 35 i 2.4.1 Corporate strategy.......................................................................................... 35 2.4.2 Business strategy............................................................................................ 35 2.4.3 Functional strategy......................................................................................... 36 2.5 Strategic planning and Organization Development (OD)....................................... 36 2.6 Differences between NGOs and business organizations ........................................ 38 2.7 Performance in NGOs............................................................................................. 42 2.8 Challenges facing NGOs......................................................................................... 44 2.9 NGO sustainability, legitimacy and relevance........................................................ 47 2.9.1 Relevance....................................................................................................... 48 2.9.2 Legitimacy ..................................................................................................... 49 2.9.3 Sustainability.................................................................................................. 50 2.10 Players in strategic planning ................................................................................. 52 2.10.1 The role of the board in strategic planning .................................................. 52 2.10.2 The role of management in strategic planning............................................. 57 2.10.3 The role of donors in strategic planning ...................................................... 59 2.10.4 The role of consultants in strategic planning ............................................... 62 2.10.5 The role of communities in strategic planning ............................................ 67 2.11 Conclusion ............................................................................................................ 71 CHAPTER 3: THE PROCESS OF STRATEGIC PLANNING ................................ 72 3.1 Introduction............................................................................................................. 72 3.2 Preparing for strategic planning.............................................................................. 72 3.2.1 Recognizing the need for strategic planning.................................................. 73 3.2.2 Team to manage the strategic planning process ............................................ 73 3.2.3 Contracting..................................................................................................... 74 3.2.4 Conducting an organizational assessment ..................................................... 76 3.2.5 Strategic planning in organizations going through the process for the first time and those that are going through the process for the second or more times.............................................................................................................. 77 3.3 Formulating strategic plans..................................................................................... 77 3.3.1 Creating an ideal picture of the NGO ............................................................ 78 3.3.2 Vision and mission crafting ........................................................................... 79 3.3.3 Environmental scanning................................................................................. 82 3.3.4 Developing goals, strategic choices and strategies ........................................ 86 3.3.5 Operational planning...................................................................................... 87 3.4 Implementing strategic plans .................................................................................. 91 3.4.1 Financial and other resources......................................................................... 91 3.4.2 Skills and competencies................................................................................. 93 3.4.3. Policies, systems and procedures.................................................................. 94 3.4.4 Structure......................................................................................................... 96 3.4.5. Managing stakeholders ................................................................................. 97 3.4.6. Culture, values and beliefs............................................................................ 98 3.4.7. Leadership..................................................................................................... 99 3.5 Monitoring and evaluating strategic plans............................................................ 100 3.5.1 The purpose of monitoring and evaluation of the strategic planning process ..................................................................................................................... 100 3.5.2 Challenges of monitoring and evaluation of the strategic planning process 101 ii 3.6 Assumptions in strategic planning literature and their implications on strategic planning practice in local NGOs........................................................................... 102 3.7 Conclusion ............................................................................................................ 104 CHAPTER 4: THE NGO INSTITUTIONAL CONTEXT ....................................... 105 4.1 Introduction........................................................................................................... 105 4.2 Vision 2020, the Malawi Poverty Reduction Strategy (MPRS) and the Malawi Growth and Development Strategy (MGDS) ....................................................... 105 4.3 The Malawi Poverty Reduction Strategy (MPRS)................................................ 107 4.4 Review of the MPRSP .......................................................................................... 108 4.4.1 Pillar 1: Sustainable Pro-poor Economic Growth........................................ 109 4.4.2 Pillar 2: Human Capital Development......................................................... 109 4.4.3 Pillar 3: Improving the quality of life of the most vulnerable ..................... 111 4.4.4 Pillar 4: Good Governance........................................................................... 111 4.5 Cross-cutting issues .............................................................................................. 112 4.6 The Malawi Growth and Development Strategy .................................................. 115 4.7 International trends shaping NGOs....................................................................... 117 4.7.1 Poverty Reduction Strategies Papers (PRSPs)............................................. 120 4.7.1.1 Principles of PRSPs ................................................................................ 120 4.7.1.2 Performance of PRSPs............................................................................ 121 4.7.1.3 Implications of PRSPs for NGOs ........................................................... 122 4.7.2 The Millennium Development Goals (MDGs) ............................................ 123 4.7.2.1 Motivations for MDGs............................................................................ 123 4.7.2.2 Performance of MDGs............................................................................ 124 4.7.2.3 Implications of MDGs for NGOs ........................................................... 126 4.7.3 Sector Wide Approaches (SWAPs) ............................................................. 126 4.7.3.1 Motivations for SWAPS ......................................................................... 126 4.7.3.2 Performance of SWAPs .......................................................................... 127 4.7.3.3 Implications of SWAPs on NGOs .......................................................... 129 4.7.4 Rights Based Approach (RBA) to Development ......................................... 130 4.7.4.1 Motivations for RBA .............................................................................. 130 4.7.4.2 Performance of RBA............................................................................... 130 4.7.4.3 Implications of RBA for NGOs .............................................................. 131 4.8 Summary on the frameworks ................................................................................ 132 4.9 Conclusion ............................................................................................................ 134 CHAPTER 5: THE NGO SECTOR IN MALAWI .................................................. 135 5.1 Introduction........................................................................................................... 135 5.2 The NGO landscape in Malawi............................................................................. 135 5.2.1 Human Rights NGOs ................................................................................... 136 5.2.2 HIV and AIDS NGOs .................................................................................. 138 5.2.3 NGO networks ............................................................................................. 141 5.3 Evolution of the local NGO sector in Malawi ...................................................... 143 5.4 NGOs relationship with government .................................................................... 147 5.5 NGO relationships with communities................................................................... 148 5.6 Capacity Building Context.................................................................................... 150 5.6.1 The meaning of capacity building................................................................ 150 5.6.2 Capacity building needs for local NGOs in Malawi.................................... 151 iii 5.6.2.1 The nature of capacity building needs .................................................... 153 5.6.2.2 Capacity building competencies needed by service providers ............... 155 5.6.2.3 The appropriateness of different capacity building approaches ............. 155 5.6.2.4 The ownership and effectiveness of capacity building programs........... 156 5.6.3 Capacity building approaches ...................................................................... 157 5.7 Conclusion ............................................................................................................ 161 CHAPTER 6: STRATEGIC PLANNING IN THE CASE STUDIES ..................... 162 6.1 Introduction........................................................................................................... 162 6.2 Implementation of the strategic plans ................................................................... 162 6.2.1 Performance of the case studies in project implementation......................... 167 6.2.2 Performance of the case studies on capacity building ................................. 168 6.2.3 Comparison in performance between HIV and AIDS case studies and human rights case studies ....................................................................................... 169 6.3 The strategic plans’ contribution to the case studies’ legitimacy, relevance and sustainability ......................................................................................................... 171 6.3.1 Legitimacy ................................................................................................... 172 6.3.2 Relevance..................................................................................................... 173 6.3.3 Sustainability................................................................................................ 173 6.4 Reasons for calling for the strategic planning process.......................................... 176 6.4.1 Following a donor ........................................................................................ 176 6.4.2 Recognizing the need to have a strategic plan ............................................. 177 6.4.3 Chronological requirement .......................................................................... 177 6.5 The strategic planning process.............................................................................. 178 6.5.1 Preparation ....
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