Action Plan Development and Strategic … Plan Development and Strategic Implementation ......

Action Plan Development and Strategic

Implementation

UNITAR Mustofi Fellowship Hiroshima, Japan

18 – 22 February 2012

! Action Plan: What?

! A “road map” for the implementation of activities addressing an identified priority issue

! Has a clearly defined start and end

! Development can be ongoing process

! Accommodating changes as new information emerges

! Action Plan: Why?

! Provide structure, focus, and control

! Save time, effort, resources, and reduce the risk of failure

! Assist with communication, coordination, commitment

! Increase likelihood of mobilising funding

! Facilitate clear evaluation of the projects impact

ACTION PLAN DEVELOPMENT

! Action Plan: SMART

! Specific

! Measurable

! Achievable

! Realistic

! Timebound

! Establish a Problem Statement: ! A brief description of the specific problem that the action

plan will address.

! Should include enough contextual detail to establish why it is important.

! Outlines the need for the action plan; an essential fact for decision-makers.

! Might be based on, inter alia: ! Decisions at the international level

! The establishment of a convention

! An accident or other event

! Establishing the Goal: ! Build on the problem statement

! A concise statement describing the action plan’s purpose

! Must be realistic and not too ambitious

! Conducting a Situation and Gap Analysis: ! Identifies where the current situation does not meet the

action plan’s—answering the question “What is missing?”

! Identifies relevant existing structures upon which cooperative relationships could be built/strengthened

! Reveals potential overlap.

! May involve the identification of gaps or needs in, inter alia: ! Legislation, Enforcement, Analytical Capacity, Material

Resources, Human Resources

! Conducting a Situation and Gap Analysis: ! Some additional information might be required

regarding: ! What infrastructure is currently in place

! Where challenges lie and what opportunities exist.

! This can be achieved through:

! Literature Reviews, Personal Communications, Interviews, Group Discussions/Meetings, Site Visits

! Basic questions:

! What relevant legal instruments, policies, and/or non-regulatory mechanisms exist?

! What relevant ministries, agencies, and other governmental institutions exist?

! What relevant industry, public interest groups, and bodies in the research sector exist?

! Conducting a Situation and Gap Analysis: ! Basic questions:

! What relevant technical infrastructure (including data access and use) exist?

! What level of awareness, understanding, and competence do those in government, workers, and the public have concerning the issue for which the action plan is being developed?

! What (human and financial) resources (having only a preliminary understanding at this stage) might be available for action plan implementation?

! Setting Objectives: ! Based on the Situation and Gap analysis, it will have

become clear what needs to be achieved in order to meet the goal. ! What needs to take place to get from where we are now to

where we want to be?

! This should provide the direction for setting objectives.

! The objectives can be tested using “SMART” criteria: ! An objective that is too ambitious should be avoided

! Important to assess the feasibility of the objectives

! Select ones which are achievable with the means available or within a budget that can be reasonably mobilised

! Setting Objectives: ! Avoid producing a “paper” exercise:

! Disappointing and unsatisfactory outcome based on unachievable objectives

! In order to keep the Action Plan focused, regularly ask questions like:

! Is this particularly realistic?

! Will this be effective?

! Defining Indicators: ! Success of an action plan = the degree to which its

objectives were achieved. ! Defining performance indicators for each objective specifies

how this achievement will be measured and verified.

! Defining Indicators: ! An indicator can address a number of factors:

! Quality: the type or nature of the change;

! Quantity: the scope or extent of the change, such as by how much or how many; and

! Timing: the time in which the change should have taken place.

! Make use of indicators at various stages of the implementation of the action plan to: ! Understand where the team is

! Understand how well the team is progressing towards meeting the various objectives

! Criteria that may be used to develop effective indicators include:

! Feasibility ! Should be suitable in terms of costs, equipment, skills, and

time required to measure

! Defining Indicators: ! Relevancy and Accuracy

! Should reflect what is being measured in an accurate way

! Sensitivity ! Should be capable of detecting changes over the desired time

period

! Unbiased ! Should not be open to more than one interpretation about

what is being measured and what data are being collected

! Should have clear operational definitions that are independent of the person conducting the measurement

! Adequate ! The number of indicators tracked for a given result should be

the minimum necessary to ensure that progress toward the end result is sufficiently captured.

! Defining Indicators:

! Action Indicators ! Objective: A programme to ensure tax explanation

systems in place in “X” number of communities between 2012 and 2015 ! Indicator: Numbers of communities with tax explanation

systems in place each year since 2012

! Binary Response (Yes/No) ! Often provide the simplest approach yet may still ensure

effective evaluation of the impact. ! Indicator: Parliament has adopted legislation to have tax

explanation systems in place in “X” number of communities between 2012 and 2015

! Identifying and Evaluating Options ! Examine options throughout the process

! Legislative reform to implement effective integrated law: ! Develop a new comprehensive law

! Reform existing laws and fill gaps with new laws

! Leave existing laws in place and fill gaps with a mix of new laws and voluntary initiatives

! Options might include a combination of measures: ! Legal

! Amending an existing law

! Administrative

! Ensuring qualified staff dedicated to implementing the action plan are in place

! Operational

! Undertaking training/capacity development activities

! Identifying and Evaluating Options ! Sometimes necessary to formally evaluate the different

options available ! Urgency/Timing aspects

! Can the option be implemented within the required timeframe?

! Practicability/Feasibility

! Can it be undertaken in a reasonable manner considering socio-economic factors, etc.?

! Are there other factors that make the option unrealistic?

! Affordability

! Is the estimated cost of implementing the option affordable?

! Identifying and Evaluating Options ! Sometimes necessary to formally evaluate the different

options available ! Efficiency and Effectiveness

! Does the option make the most optimum use of resources?

! What degree of impact will the option have in meeting the goal/objective?

! Cost-benefit

! Will the option achieve a degree of impact worthy of its cost?

! Monitorability

! Is it possible to measure the progress towards achieving the option?

! Defining Activities: ! The highest level of action

! Have an expected duration, cost, and resource requirements

! May address more than one objective

! Defining Activities ! Begin with a brainstorming session

! Identify any activities that will help meet the objective

! Collect and compare suggestions

! Organise as a logical set

! Consult with those who have experience with similar Action Plans

! Action Plan Development

Problem Statement

Activity Activity

Task Task

Objective Objective

Activity

Objective

Situation and Gap Analysis

Activity Activity Activity

Task Task Task Task Task

! Define the order: ! Which activities/tasks can begin immediately?

! Which need to be completed before others can begin?

! Do some need to start at the same time?

! Timelines: ! Can only be an estimate but should still be thought through

! Review earlier projects for insight

! Consult with those who have the expertise

! TIMELINES CAN BE UNDERESTIMATED THROUGH: ! Leaving out essential activities/tasks

! Not accurately accounting for interdependence of activities/tasks

! Not accounting for time required for ordering/delivery

! Failure to accurately consider competing resources, e.g. scheduling same person or equipment for simultaneous activities

! Developing Milestones: ! An important event in the Action Plan

! Typically the completion of a key activity/project phase

! Used to monitor whether project is on track

! Defining the Budget ! Ask

! How many people are required?

! What type of skills/expertise do they need to possess?

! Are particular facilities, equipment, services, or materials necessary?

! Are there any other special requirements?

! Experienced donors will be able to recognise an unrealistic estimate

! Defining the Budget ! Consider

! Human Resources: knowledge and skills (including for activity management); person-days required;

! Facilities: types; space and time required;

! Equipment: types; time required

! Services: types (e.g. travel expenses, translation); quantity

! Materials: types; quantity;

! Any special requirements: unique skills; resources; etc.

! Totaling the costs for each activity and task can provide a general estimate of the cost of the action plan.

! Allocating responsibilities: ! Addresses who will be responsible for each activity/task

! Demonstrates to donors that the team has agreement and commitment

! Responsibilities may need to be adjusted

! Ask: ! Who has the appropriate knowledge/capability/skills?

! Whose commitment is required?

! Does each contributor understand what is required of them?

! Obtaining high-level commitment: ! General and/or specific

! Needs to be obtained at various stages of the action plan development process

! May take the form of written agreements, ministerial directives, legislative amendments, etc.

! Can be followed by external high level commitment

! Potential bottlenecks ! Competing priorities that might threaten support for the

Action Plan

! A lack of awareness about the topic or issue

! Contradictory or duplicative mandates (or lack of a mandate)

! Raising awareness: ! Communicate Action Plan intentions to those who

have decision making power

! Action Plan itself can provide good overview of the benefits

! Link to other national priorities

! Tailor to specific audiences ! A one-page summary specifically for busy decision

makers ! A succinct statement of the case or issue

! Essential background information, current status

! Recommendations made or directions sought, if any

! Contact information

! Spelling and grammar (!!)

TITLE DATE ISSUE • xxxc xxxx xx xxxx xxxx xxxx xxx xxx xx xxxxxx xx xx

xxx xx xx xx x xxx xx xxx.

BACKGROUND • xxxc xxxx xx xxxx xxxx xxxx xxx xxx xx xxxxxx xx xx

STATUS • xxxc xxxx xx xxxx xxxx xxxx xxx xxx xx xxxxxx xx xx

xxx xx xx xx x xxx xx xxx. xxxc xxxx xx xxxx xxxx xxxx xxx xxx xx xxxxxx xx xx xxx xx xx xx x xxx xx xxx.

RECOMMENDATION • xxxc xxxx xx xxxx xxxx xxxx xxx xxx xx xxxxxx xx xx

xxx xx xx xx x xxx xx xxx. • xxxc xxxx xx xxxx xxxx xxxx xxx xxx xx xxxxxx xx xx

ACTION OR DECISION RECOMMENDED • xxxc xxxx xx xxxx xxxx xxxx xxx xxx xx xxxxxx xx • xx xxx xx xx xx x xxx xx xxx. Name, title, and telephone number, signature

! Securing Adequate Human and Financial Resources: ! Resources are essential for implementation

! “In-kind” and national resources are essential contributors

! Action Plan’s value will be evaluated against other competing national requirements

! Relate Action Plan to other essential or high priority national activities: ! Sustainable development

! Stress that the benefits outweigh the costs

! Monitoring and Evaluation: ! Monitoring the implementation phase helps to ensure

that the Action Plan is on schedule

! Ask: ! Has each milestone been met according to schedule?

! Have certain activities been more challenging than expected and did this affect the quality?

! Are there times where the estimated costs have exceeded expectations?

! Measure progress ! Against milestones, the planned schedule, budget, etc.

! Evaluate effectiveness based on indicators

! Analyse the situation

! Determine cause of any positive or negative deviations

! Determine necessary action, modifications and adjust Action Plan if necessary

! Progress Reports and Final Report ! Provides ‘history’ & ‘feedback’ for future action

! Outlines purpose and scope of the Action Plan

! Progress or evaluation ! Milestones

! Indicators

! Deviations from the initial Action Plan? ! Quality

! Time

! Cost

! Are/were the expenditures according to plan?

! Lessons learnt for further actions?

! Conclusions

Identifying and Integrating

Stakeholders

! Stakeholder Identification and Involvement: ! Promotes transparency and accountability and therefore

legitimacy and credibility

! Promotes acceptance and backing for decisions reached ! Promotes “buy-in” for projects

! Creates “ownership” of the process

! Provides access to information and resources for project implementation

! Incorporating Stakeholders: ! Can highlight issues of specific concern

! Can increase available human and material resources ! Better contact with the realities/needs on the ground

! Can assist in accessing and galvanising key actors in the community

! Can allow for Stakeholders to hold “trickle down capacity-building and awareness-raising activities

PROMOTING STAKEHOLDER INVOLVEMENT: KEY PRINCIPLES

! Stakeholder Involvement relies on: ! Transparency

! All stakeholders need to have the opportunity to have their views adequately heard, considered and responded to

! Clear Roles and Responsibilities ! Coordination with stakeholders should commence with the

development of sound terms of reference

! Comprehensive Participation ! Involve stakeholders, where possible and appropriate,

throughout the process

! From decision-making and planning to implementation and review

! Two-way communication ! In order to maximise the gains from comprehensive

stakeholder participation, a communicative relationship between and among stakeholders and management must exist

! Stakeholder Involvement relies on: ! Understandable and timely information

! Clearly written documents and related materials

! Timely provision of information

! Language barriers and a possible lack of technical expertise among stakeholders may be addressed through stakeholder education

! Training programmes

! Computer-based participation

! Open houses

! Plain language

! Phone lines

! Educational publications

! Stakeholder Involvement relies on: ! Adequate funding

! Insufficient resources can significantly impact certain stakeholders’ involvement

! Costs such as travel can severely debilitate certain stakeholder groups

! Raising awareness about issues, projects, and activities

! Highlighting where several national/company/organization goals and priorities may be served by the projects or activities ! International commitments

! Development agenda

! Access to cleaner technology

! Securing adequate human and financial resources

GATHERING STAKEHOLDER SUPPORT

! Possible Obstacles – Government: ! Competing priorities that might threaten project support

! Lack of awareness about the topic/issue

! Contradictory/duplicative mandates (or lack of a mandate)

! Possible Obstacles – Public Sector: ! Fragmented: Can be an obstacle to national coordination

! Limited financial and human resources

! Small NGOs may lack the technical capacity/knowledge to participate effectively

! Some NGOs may be unaware of the opportunities that participation may provide

! Possible Obstacles – Private Sector: ! Varied: Can be an obstacle to national coordination

! Extreme variation in company size, resources and capacity

! Competition and confidentiality requirements can obstruct to information flows

POSSIBLE OBSTACLES

! Addressing Obstacles: ! Identify stakeholders that have an interest in

participating ! Address assistance requirements

! Distribute information in an appropriate format

! Provide/obtain support for networking and communication structures ! Enable stakeholders to organize themselves more

effectively and identify common positions

! Provide/obtain training ! Technical training

! Policy development training

! Lobbying Techniques

! Communication and Advocacy

! Strategy development

! Financial support provided? ! Transparency must be ensured

ADDRESSING OBSTACLES

! Key Principles: ! Should be viewed broadly and flexibly

! Should involve stakeholders from government, industry, and civil society and others dependent upon the project

! Clearly defined roles, responsibilities, and activities for all groups

! Should be based on a sound framework for achieving measurable progress

! should build capacity among partners

! Should be in accordance with national/regional/international requirements on policy development

DEVELOPING A STAKEHOLDER INVOLVEMENT POLICY

! Get in Early ! Relationship-building takes time

! Trust, mutual respect, understanding

! Portrays a proactive approach ! Signals stakeholders that their views are considered important

! Provides an opportunity to influence public perception

! Sets a positive tone

! Be clear upfront that there are still

! Can stand as a predictor of potential issues and risks

! Don’t wait until a problem emerges ! Provides established relationships and channels of

communication ! Alleviates the need for initial contact to be during a time of conflict

! Allows existing supporters to assist you without the relationship being seen as negative

! Can be seen as “capital”

! Take a long-term view ! Internally encourages different types of decisions

! Investment in community liaison

! Develop information tailored to a certain stakeholder audience

! Take grievances seriously

! Deal with them in a timely, reliable and consistent manner

! Incorporate interaction, conflict resolution and local input into Action Plans

! Tailor the process to fit the project ! No one-size-fits-all approach when it comes to

engagement ! Be aware of existing and often complex political, social, and

economic relations between stakeholders

! Manage the process ! Develop a well-defined strategy

! Clear set of objectives

! Clear timetable

! Clear budget

! Clear allocation of responsibilities

! This helps with both internal and external support for the process ! Can show results for time and resources invested.

! Can track issues more effectively

! Can highlight interaction prior to conflict

! Steps: ! Identify all important stakeholder groups. Include

stakeholders that: ! Have an interest/connection with the area/project

! Have any interaction with the area/project management

! Have a current/potential impact on the management of the area/project

! Are affected by the area/projects management

! May include: ! Local population indigenous and non-indigenous communities

! Municipal and state government

! Armed forces

! Religious organizations

! Development banks

! Non-governmental organizations

! Research organizations

! Development agencies and industry

ENGAGEMENT OF STAKEHOLDERS

! Sample Table of Contents ! 1)Introduction/Background Information to the Project

! 2) Regulations and Requirements ! Social and Environmental public consultation requirements

! Social and Environmental Disclosure requirements

! 3) Summary of Previous Stakeholder Involvement Actions ! Type of Information

! Oral/Brochure/Radio etc.

! Locations and status of meetings to date

! 4) Organisations/groups etc. already consulted ! Key issues discussed

! Key concerns identified and responses to such

! 5) Reporting processes ! Documenting

! Reporting back to stakeholders

STAKEHOLDER INVOLVEMENT POLICY: SAMPLE TABLE OF CONTENTS

! Sample Table of Contents ! 6) Project Stakeholders

! List the key stakeholder groups

! Directly affected

! Indirectly affected by the project

! Those who have “interests” in the project

! Those who have the potential to influence project outcomes

! 7) Stakeholder Engagement Program ! Outline the purpose and goals

! Outline what information will be disclosed

! What formats

! What methods

! Newspapers, posters, radio, television

! Information centers and exhibitions or other visual displays

! Brochures, leaflets, posters, non-technical summary documents and reports

! Sample Table of Contents ! 7) Stakeholder Engagement Program

! Outline the methods that used to consult with each Stakeholder Group

! Methods used may vary according to stakeholder

! Interviews with stakeholder representatives and key informants

! Surveys, polls, and questionnaires

! Public meetings, workshops, and/or focus groups with specific groups

! Participatory methods

! Traditional mechanisms for consultation and decision-making

! Describe how the views of women and other relevant sub-groups will be analysed

! Minorities

! Elderly

! Youth etc.) will be taken into account during

! Sample Table of Contents ! 7) Stakeholder Engagement Program

! Describe any other engagement activities that will be undertaken

! Participatory processes

! Joint decision-making

! Partnerships undertaken with local communities, NGOs, or other project stakeholders

! 6) Timetable

! Outline dates and locations for Stakeholder engagement activities

! 7) Resources and Responsibilities

! Outline what staff and resources to committed

! Sample Table of Contents ! 8) Grievance Mechanism

! Outline the process by which people affected by the project can bring their grievances to management

! How and by whom will they be resolved?

! How will the response be communicated back to the complainant?

! 9) Monitoring and Reporting

! Outline how stakeholders or third-party monitors in the monitoring of project impact and mitigation processes will be incorporated.

! Outline how and when the results of stakeholder engagement activities will be reported back to affected stakeholders as well as broader stakeholder groups

! 10) Budget

! 11) Contact Information

Action Plan Development and Strategic

Implementation

UNITAR Mustofi Fellowship Hiroshima, Japan

18 – 22 February 2012

Action Plan Development and Strategic … Plan Development and Strategic Implementation ......

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