社會資本計劃 : 介入模式及策略

1. 社會資本計劃:介入模式及策略 梁祖彬

2. 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)

3. 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)

4. 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

5. 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

6. 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?

7. 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.

8. 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

9. 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.

10. 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.

11. 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.

12. 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.

13. 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 information-programme experiences, scientifically generated knowledge, and community residents’ insights (family and community changes)

14. 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.

15. Performance indicators • 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

16. Good performance measures 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.

17. 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).

18. 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.

19. 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

20. 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, self-assessment 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)

21. 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).

22. 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)

23. 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

24. 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。

25. 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。

26. 推行項目的輸出數量 推行項目 對象 參與義工人數 參與人數(不包括義工)

27. 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)

28. 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.

29. 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

30. Critical Success Factors for Effective Partnerships 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

31. Cultural Change  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.

32. “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, inter-generational support/ care (child and elderly care).

33. Project is expected to encourage social inclusion of low-income 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.

34. 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