ActionAid ALPS 2006

8/8/2019 ActionAid ALPS 2006

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A P P R A I S A L S

AlpsAccountability,Learning andPlanning System



Our visionA world without poverty and injustice in which

every person enjoys their right to a lie withdignity.

Our mission To work with poor and excluded people to

eradicate poverty and injustice.

Our valuesActionAid International lives by the ollowing

values:

ó Mutual respect, requiring us to recognise

the innate worth o all people and the value

o diversity

ó Equity and justice, requiring us to work

to ensure equal opportunity to everyone,

irrespective o race, age, gender, sexual

orientation, HIV status, colour, class,

ethnicity, disability, location and religion

ó Honesty and transparency, being

accountable at all levels or theefectiveness o our actions and open in

our judgements and communications with

others

ó Solidarity with the poor, powerless and

excluded will be the only bias in our

commitment to the ght against poverty

and injustice

ó Courage o conviction, requiring us to be

creative and radical, bold and innovative

– without ear o ailure – in pursuit o

making the greatest possible impact on the

causes o poverty

ó Independence rom any religious or party-

political a liation

ó Humility in our presentation and behaviour,

recognising that we are part o a wider

alliance against poverty and injustice.

Our International Themes 2005-2010International Theme 1: Women’s rights

International Theme 2: The right to education

International Theme 3: The right to ood

International Theme 4: The right to human security duringconicts and emergencies

International Theme 5: The right to lie and dignity in the ace

o HIV/AIDS

International Theme 6: The right to just and democraticgovernance

Our Goals

1. Poor and excluded people and communities will exercisepower to secure their rights.

2. Women and girls will gain power to secure their rights.

3. Citizens and civil society across the world will ght or rightsand justice.

4. States and their institutions will be accountable and

democratic and will promote, protect and ull human rightsor all.



contents page

Introduction 4

Overview o Alps 5

Key principles 7

Attitudes and behaviours 9

Core elements o Alps 10

Appraisals 12

Strategies 14

- ActionAid International strategy 15

- Country strategies 16

Strategic plans 18

- International themes 20

- Regional and international campaign 20

- International unction 21

- Regions 22

- Programmes (DA/DI) 23

Annual plan and budget 24

Participatory review and refection 26

Annual reports 28

External reviews 30

- ActionAid International 31

- A liate, associate and country programme 32

- International theme 33

- International campaign 33

Peer reviews 34

- A liate, associate and country programme 35

- Governance review 36

Sta climate survey 37

Audit 38

Open inormation policy 42

Other supporting policies 44

Glossary 46

Summary chart o organisational processes 47

AlpsAccountability,

Learning andPlanningSystem



A P P R A IS A LS

Alps-ActionAid International 2006

IntroductionActionAid International’s strategy ‘Rights to end poverty’ rea rms its

commitment to the ght against poverty and injustice. It requires us to release

and ocus our energy and creativity towards the achievement o our common

goals. It demands that in all our relationships we exercise trust, live and share

our values and be accountable or our actions at all levels. It also requires

creative commitment, continuous learning, critical reection and personal

change.

In ActionAid we have multiple accountabilities – to the poor and excluded

people and groups with whom we work, supporters, volunteers, partners,

donors, governments, staf and trustees. Alps emphasises accountability to

all our stakeholders – but most o all to poor and excluded people, especially

women and girls.

Alps is a ramework that sets out the key accountability requirements,

guidelines, and processes in ActionAid International. Not only in terms o

organisational processes or planning, monitoring, strategy ormulation,

learning, reviews and audit but also personal attitudes and behaviours.

Alps denes our standards, not only about what we do but also how we do it.

Alps requires processes and ways o working that are crucial to supporting and

strengthening ActionAid’s rights-based work.

Over the years, we have learnt much rom implementing Alps – inspiring stories

o change and a great deal o honesty and reection about the challenges it

has presented to staf and partners across the globe in its implementation.

The spirit o Alps and what it stands or continues to inspire staf, partners, ourstakeholders and the poor and excluded groups we work with. There is still a

great deal more to be done.

This revision o Alps seeks to remain true to its original intention: to reduce

unnecessary bureaucracy, while retaining core accountability

As ActionAid International moves into a new phase in its evolution, it is

important that we align our systems in support o our International goals and

priority themes. As with the previous Alps document, we will continue to revise

Alps as our experience grows.

The challenge now is to deepen and extend our practice o the principles and

spirit behind Alps which has been re-designed to support our new strategy“Rights to end poverty.” I trust all staf will amiliarise themselves with this

revised Alps and implement it efectively.

Ramesh Singh

Chie Executive

ActionAid International

A P P R A I S A L S

IN T R O D U C T IO N



A P P R A I S A L S

Alps-ActionAid International 2006 5

What is Alps?

Alps is the Accountability, Learning, and Planning System o ActionAid International.Alps – in both the rst edition and this updated version – is designed to:

ó deepen our accountability to all our stakeholders, particularly to the poor and

excluded people with whom we work

ó ensure that all our processes create the space or innovation, learning and critical

reection, and reduce unnecessary bureaucracy

ó ensure that our planning is participatory and puts analysis o power relations and a

commitment to addressing rights – particularly women’s rights – at the heart o all

our processes.

The core elements o Alps are:Principles. Alps seeks to strengthen accountability to the poor and excluded people

and to strengthen commitment to women’s rights. It emphasises critical reection and

promotes transparency. It requires a constant analysis o power.

Attitudes and behaviours. Alps can only be efective i ActionAid staf, volunteers,

activists, trustees and partners hold attitudes and behave in ways that t with our

shared vision, mission and values.

Organisational policies and processes. Alps integrates cycles o appraisal, strategy

ormulation, planning and reviews. Alps also includes auditing processes to urtherstrengthen the accountability o the system. Alps requires transparency in all that we

do; this is described in the Open Inormation Policy.

5

W H A T I S A l p s

O p e n I n f o rm a t i o n P o l i c y

Principles

Attitudes&

Behaviours

Appraisals

Plans

Reviews &Audits

Strategies



A P P R A IS A LS


Alps applies to the whole o ActionAid and orms the basis or its partnerships:

ó Alps applies to the whole o ActionAid International including a liates, country

programmes and all parts o the international secretariat. All staf, volunteers and

trustees should reer to it as the core requirement o key accountability procedures

and processes.

ó Alps also orms the basis o our partnership with other organisations. While it is not

expected that all our partners will subscribe to Alps in its entirety, ActionAid will not

be able to enter into partnership with any organisation which states or practices

values and principles inconsistent with those mentioned in Alps. In addition, all

partnerships related to the ow o nancial resources rom ActionAid, particularly

those who manage long term Development Initiatives (DI), should enable

ActionAid to deliver against the requirements o Alps.

ó Alps sets out minimum core requirements and standards. Boards and managers

can go urther (e.g. do more reviews than required) and staf are encouraged to

innovate with new processes but should adhere to the core principles, attitudes

and behaviours set out in Alps.

The overall custodian o Alps is the Chie Executive who will seek approval o the International Board

o Trustees or any substantive changes to the system.

W H A T IS A l

Respect for people,

particularly poor and

excluded people, and

thei r rights, are at th e hea rt of Alps.

Respect or people,

particularly poor and

excluded people, and their

rights, are at the heart o Alps.

“It is absolutely essential that the oppressed participate in the revolutionary

process with an increasingly critical awareness of their role as subjects of the transformation”

Paulo Freire

Gideon Mendel/ Corbis/ ActionAid



A P P R A I S A L S


Power

Womens’ Rights

Accountability

Key principlesAlps strengthens ActionAid International’s main accountability, which is to the poor and excludedpeople with whom we and our partners work.

ó Alps requires that poor and excluded people take part directly in all processes o

local programme appraisal, analysis, research planning, monitoring, implementation,

research and reviews, including recruiting and appraising rontline staf. Poor and

excluded people have a right to take part in decisions that afect them.

ó Alps requires us to work with poor and excluded people to acilitate their analyses,

respecting and critically engaging with what comes out o it. It means that the priorities

and perspectives o poor people must inorm the decisions made at all levels by

ActionAid and its partners.

ó Alps requires us to work with poor and excluded people, their communities,

movements, organisations to inorm our research, analysis and advocacy.

Alps strengthens ActionAid’s commitment to women’s rights and gender equity.

ó All ActionAid programmes, including those o unded partners, must use gender

analysis and must have components to advance women’s rights. Women must be

centrally involved in decision making.

ó All ActionAid units and unded partners must seek to address women’s rights and

advance women’s leadership within their own organisations.

ó Where gender analysis, women’s rights programming and organisational gender

equity are weak, there must be clear plans to strengthen these. ActionAid will not und

partners who are not at least seeking to improve their work on gender and women’s

rights.

ó ActionAid will actively seek to inuence all allies and non-unded partners to take up

stronger positions and actions in avour o women’s rights.

Alps requires a constant analysis o and action on power imbalances.

ó Power imbalances lie at the heart o poverty and injustice. Power reers to the degree o

control over material, human, intellectual and nancial resources exercised by diferentindividuals, groups and institutions. It also means the power to make decisions

and choices. Rights cannot be truly realised without changes in the structure and

relationships o power.

ó ActionAiders will seek to rst understand personal power: how we make use o our own

power positively in our relationships, in our amilies, in our work. We will seek to use our

power to advance equity and justice, particularly women’s rights.

ó All strategies, appraisals, research initiatives, plans, reviews or reports must have an

analysis o power and clear actions to address power imbalances.

ó Alps requires us to examine ActionAid’s power in relation to partners and communities.

K E Y P R I C I P L E S


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Transparency

Learning

K EYP R IN C IP LES

We must recognise the power we wield in our alliances to shape positions as

we provide unding and technical advice. Similarly, when we are working with

community-based organisations, we need to be aware o the power dynamics that we

cause (through our relative wealth and status) and recognise how powerul groups

oten deny poor people the right to participate.

ó Alps encourages us to create sustained spaces or poor people to do their own analysis

o power. We must ensure that engagement in Alps processes provides opportunities

or poor and excluded people to challenge and hold us, as well as others, accountable.

Alps aims to simpliy reporting requirements and promote processes which emphasise critical

engagement, mutual learning and downward accountability.

ó Alps aims to optimise staf and partner time spent on critical reection and learning.

ó Alps requires that staf learn with and rom poor and excluded people, our partners

and others so that better decisions about our actions are made and good practices and

solutions can be shared.

ó Alps encourages the use o creative media and alternate orms o communication otherthan lengthy written reports. People’s art, oral traditions, theatre and song are some o

the ways by which people can engage their ull creative talents and develop insights

that surprise, inspire and generate new ways o looking at and doing their work.

ó Alps requires us to learn not only rom our successes but also rom our ailures.

ó Alps reports and documents are approved in most cases by only one level up in the line

management, to prevent unnecessary duplication and bureaucracy.

Alps requires transparency, and the proactive sharing o inormation in relevant orms with all our

stakeholders, particularly poor and excluded people.

ó Alps requires all ActionAid inormation, including appraisals, strategies, plans, budgets,

reviews and reports to be open to all stakeholders, especially poor and excluded

people. It promotes such openness in an active way by requiring translations o key

documents to local languages and promoting visible public sharing o inormation as a

right.

ó Alps requires us to constantly assess what we spend and determine value or money in

relation to the quality o our work and the impact it has achieved. Alps requires us to

make record books public, including nancial inormation, to ensure this assessment is

done with our partners and the involvement o poor and marginalised people.

ó Alps written inormation must be relevant and useul primarily to the people who

produce it, receive it and who need it to make decisions and or learning. It should bewritten in a way that is easily understood by most people and in the language o the

majority o users. No inormation should be required which is not used in signicant

ways – all inormation gathered should receive eedback, acknowledgement, and

clarity on what it has been used or.

ó Alps encourages open inormation through bulletin boards and posters easily

accessible to communities with details o our own plans and budgets.



A P P R A I S A L S


Attitudes and

behavioursAlps can only be efective i our staf, volunteers, activists, trustees and partners hold attitudes and

behave in ways that t with our shared vision, mission and values. These include:

ó Behaviour that is not domineering or patronising but that genuinely shares power with

others rather than keeps it or onesel.

ó Behaving in a way that genuinely supports those who are excluded to ully participate,

bringing poor and excluded people into the heart o decision-making, rather than

simply inorming and consulting them.

ó Behaving with condence and commitment to address discrimination due to sex, age,caste, ethnic identity, race, colour, class, sexuality, disability, religion and HIV/AIDS

status, in all o our work.

ó Actively seeking to learn rom and build alliances with others who are aiming or

similar goals by diferent methods. In so doing, we are aware that we are not working in

isolation in searching or a lasting solution to eradicating poverty and injustice.

ó Reecting a desire or the best knowledge, even i such knowledge ails to support or

undermines one’s preconceptions, belies or sel interests.

ó Actively seeking to learn rom and share our knowledge, skills and experience with our

colleagues internationally and others working or equity and justice.

ó Demonstrating a willingness to listen, understand and take account o the diferent

cultural, language and communications characteristics o others.

ó Striving to achieve efective communications within ActionAid, recognising that people

are aced with diferent demands and taking initiative in writing and communicating

lessons and experiences which are in accessible ormats and language.

Facilitating behaviour and attitudinal change is a continual process. ActionAid will provide the

space and opportunities to support its staf, volunteers, activists, trustees and partners to examine

contradictions, personal behaviours and values. This will require diferent approaches, including

coaching, mentoring and eedback mechanisms.

A T T I T U D E S &

B E H A V I O U R S

“Knowing others is intelligence Knowing yourself is true wisdomMastering others is strengthMastering yourself is true power.”

Tao Te Ching



Other core

elements of AlpsAlps organisational processes

ó Appraisals

ó Strategies

ó Strategic plans

ó Annual plans and budgets

ó Strategic reviews

ó Peer reviews

ó Organisational climate reviews

ó Annual participatory review and reection

processes

ó Annual reports

ó Internal governance annual review

ó External and internal audits

ó Open inormation policy.

ActionAid’s organisational processes and planning cycles are designed to increase the inuence o

poor and excluded people on ActionAid’s work. Plans, budgets and strategies at the grass roots level

are developed with poor and excluded people. These help determine country strategies, which in turn

inuence the overall ActionAid International strategy.

ActionAid works primarily with and through partners. At the grassroots level, programmes are

designed with community involvement at all stages – rom the initial appraisal through the ve-yearly

strategic planning cycle and the annual planning and review cycle. The participatory review and

reection process is a key mechanism promoting the direct involvement o poor and excluded people

and other local stakeholders.

Country programmes, a liates and associates in over orty countries collectively make up ActionAid

International. Each has its own country strategy, developed with its stakeholders every 5-6 years.

Annual plans and reviews guide the detail o work. Participatory review and reections are held

annually at the national level to ensure efective involvement and eedback rom all stakeholders.

External reviews are required at the end o each strategy period. In addition, a peer review o eachcountry by a team composed o trustees and staf rom across the larger ActionAid International is

organised to learn and comment consistency with ActionAid International’s shared core strategies

and policies.

ActionAid International’s work is guided by an international strategy which is agreed collectively

every 5-6 years. It is supported by an international secretariat made up o regions, unctions and

themes. Each o these has strategic plans that explain how each unit works to support the strategy.

International campaigns also have strategic plans and external reviews. Each o these units urther has

an annual review and planning cycle within which participatory review and reections play a central

role. An external review o the whole o ActionAid International is required every ve years.

Audits and climate surveys are carried out periodically to provide additional insights into the health

o the organisation and its various parts. Governance reviews on the perormance o boards are also

carried out by a liates and ActionAid International.

C O R EELEMEN T S



A P P R A I S A L S


C O R E E L E M E N T S

Strategicplan

Annualreports

Annualplans

PRRPs

Strategicplan

Annualreports

Annualplans

PRRPs

Externalreviews

Strategicplan

Annualreports

Annualplans

PRRPs

Externalreviews

Strategicplan

Annualreports

Annualplans

PRRPs

FUNCTIONS CAMPAIGNS THEMES REGIONS

ACTIONAID INTERNATIONAL

INTERNATIONAL SECRETARIAT

COUNTRY PROGRAMMES & AFFILIATES

of which there are over forty

DEVELOPMENT AREAS AND DEVELOPMENT INITIATIVES,

SPECIAL PROJECTS AND PROGRAMMES

of which there are hundreds

Strategy Annual

reports

Annual

plans

PRRPs

External

reviews

Peerreviews

Strategic

plans Annual

plans

PRRPs

Peer

reviews

Appraisals

Peerreviews Peer

reviewsPeer

reviews

• E x t e r n a l a n d i n t e

r n a l a u d i t

• G o v e r n a n c e r e v i e w •

S t a f c l i m a t e s u r v e y

Open sharing

o inormationis a core Alpsrequirement

detailed in theopen inormation

policy

Appraisals

Alps organisational processes – diagram

ActionAid International is indicated as a red ramework. The diagram shows how all levels o the

organisation t within the ramework o ActionAid International.

The cycles within each

level

• The inner loop o eachcycle shows the annual

planning cycle

• The outer loop shows the

longer strategic cycle

• The arrows between levels

indicate that all processes

at the diferent levels

inorm and eed into each

other

• Where peer reviews are

optional, it is indicated by

a dotted line.

Strategy Annualreports

Externalreview

ACTIONAID INTERNATIONAL



A P P R A IS A LS

AppraisalsAn appraisal is an exercise undertaken to explore and understand the contexts, easibility, propositions

and value o any new project, programme or initiative beore they are started. In ActionAid, they are

particularly relevant or starting up any new:

ó Programmes (DA/DI) within countries

ó Special projects

ó New country selection

ó New regional and international campaigns.

All ActionAid initiatives to set up a new programme, special project, new country, regional or

international campaign should go through an appraisal process to assess their value in contributing to

ActionAid’s goals and objectives at diferent levels. The content and detail in each appraisal will vary

and we encourage discretion and exibility in deciding the details.

An approved appraisal document will be the key document on which the decision to start longer-term

work (including the specic work agenda or the rst one or two years o work) will be based beore

a ully-edged strategy (or strategic plan) will be designed or developed. These documents make

recommendations about potential programmes, strategies, partners and key areas o intervention.

They also project nancial and other implications.

A P P R A I S A L S

Extensive community

involvement, oten acilitated

with Participatory Rural Appraisal (PRA) techniques,

is central to appraisals.

A P P R A I S A L S

Aghanistan Community Planning

Meeting

Jenny Matthews, ActionAid

“If you are trying to transform abrutalised society into one where people can live in dignity and hope, you beginwith the empowering of the most

powerless. You build from the ground up.” Adrienne Rich



A P P R A I S A L S

A P P R A I S A L S

AppraisalsPurpose: To determine the relevance and easibility o a new programme, special project,

country, regional or international campaign on the basis o nancial, technical

and political considerations.

Process: The Regional Director will initiate the process or a new country and Country

Director or a new programme (DA/DI) or special project, and Policy Director ornew regional and international campaigns.

Key internal stakeholder groups (including nance, sponsorship, unding a liates

and thematic staf) and external stakeholders (including poor and excluded

members o the community, potential partners, donors and government), must

be involved.

A gender-balanced team will conduct the appraisal. This will include a person

specically assigned to consider women’s rights issues and people who are

experts in the geographic or subject area.

Time to complete: Up to 2 months

Length: 10-20 pages

Approval process: The drat appraisal document will be circulated to key internal/external

stakeholder groups or eedback and comments. These will be identied in the

terms o reerence.

A new country appraisal and any regional or international campaign appraisal

will be signed of by the Regional Director and Policy Director respectively, in

consultation with the Regional Management team and International Directors’

team respectively.

A new programme (DA/DI) and special project appraisal will be circulated to

the appropriate unding country/unction or initial eedback and comments

and discussed by the country senior management team, including nance and

sponsorship staf.

Approval: ó New country selection and international campaigns appraisal by the trustees

ó Regional campaigns appraisals by the CEO and International Directors’ team

ó Programme (DA/DI) and special project appraisal by Country Director and

country management team (national boards in the case o a liates).

13 Alps-ActionAid International 2006







Country strategiesPurpose: To set out clear objectives and strategies that are relevant to the country, and in

delivering the goals and themes o ActionAid’s international strategy.

Process: Country Directors and country management teams will lead the process in

consultation with National Boards o Trustees (in a liate and associate country

programmes), country staf, strategic partners, particularly poor and excludedpeople, and all other relevant stakeholders.

A dedicated team composed o a cross section o staf rom across the

organisation develops the strategy, in consultation with staf and trustees and

other key stakeholders, particularly partners, communities and organisations o

poor and excluded people. The team should have a minimum o 50% women

staf members and include someone with gender expertise. The process

should be open and consultative, with opportunity or every member o

staf to contribute and be heard. A structured consultation process with staf,

communities and partners will be undertaken and their eedback responded to.

The consultation process is managed by the strategy development team

The Regional Director, regional teams and international theme heads must be

involved in the process right rom the start or consultation and contributions to

ensure lessons and perspectives rom country strategies both link to and inorm

the strategic direction o our work at international level and our international

campaigning eforts. The Regional Director will ensure that the Chie Executive

and International Directors have considered and commented upon the country

strategy beore It is approved.

The Regional Director or the National Board, depending upon whether this is or

country programmes or a liates, will approve the nal terms o reerence or the

strategy drating process.

The process o developing a country strategy will be inormed by:

ó Key lessons and recommendations rom the external review o the previous

strategy period

ó A specially commissioned stakeholder survey

ó Lessons and recommendations rom other external DA and programme

reviews

ó Lessons and outputs rom a staf conerence or retreat discussing external

reviews and new strategy

ó External contributions rom selected leaders and experts rom social

movements, civil society organisations and academia.

The country strategy document will include:

ó Context analysis (poverty, social, political, human rights), gender and power

analysis

ó Clear objectives, strategies, approaches, methods and priorities both

or community-based programme work as well as or policy advocacy,

campaigning and lobbying

ó Key expected outcomes

ó How the strategy builds on an analysis o past programme perormance

and learning rom that perormance and poor peoples perspectives and

aspirations

ó What added value ActionAid will bring to new areas o work/issues

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S T R A T E G I E S

S T R A T EG IES


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A P P R A I S A L S

ó Clear alignment with the international strategy, as well as any linkages and

contributions to the international themes, campaigns and regional strategic

plans

óHow engagement with poor and excluded groups and other keystakeholders will be secured and their views and recommendations

ó Outline o key partners, allies and institutions

ó Clear statement o how ongoing learning, monitoring and evaluation will

take place and processes or developing distinctive competencies

ó Organisational implications and resources required (including sta ng,

type o income and undraising capacity, organisational development and

training)

ó Communications plan

ó Internal governance and board development

ó Funding plan or 5 years, including income projections, type, growth, source

etc

ó Risk analysis

ó Appendices to include a simple ramework or monitoring progress against

the strategy.

Time to complete: About 3-6 months

Length: About 20 pages

Frequency: At least once every 5 years

Approval process: The Country Director and the Senior Management team in the country discuss

and agree beore sending to the Regional Director and the National Board or

approval. The Regional Director organises discussion and endorsement in the

Regional meeting beore approving country strategy. The Chair o the Boardand Country Director present the strategy or the nal approval by the General

Assembly as applicable.

Approval: ó The Regional Director in consultation with the Regional Management team

will approve or an ActionAid International Country Programme

ó The National Board o Trustees will approve or an A liate Country

ó The General Assembly provides nal ratication, in the case o a liates with

general assemblies.

S T R A T E G I E S

“To be serious about rights, we have tobe serious about participation and power”

Robert Chambers



Strategic plansActionAid International requires strategic plans or the ollowing:

ó International themes

ó Regional and international campaigns

ó Regions

ó International unctions

ó Programmes (DA/DI).

Strategic plans explain how the international strategy will be delivered by international themes,

regions, unctions, and international campaigns. Strategic plans are also required rom programmes

(DAs/DIs) and these explain how country strategies will be supported at the DA/DI level. Strategic

plans are more operational than a strategy but less detailed than an annual plan.

Strategic plans or international themes, regions, international unctions and international campaigns

outline the key objectives, priorities, planned strategic actions and key expected outcomes towards

achieving goals and objectives in the ActionAid international strategy. They set out the broad

allocation o resources or the plan period and provide the guiding ramework or the annual plan and

budget process.

Programme level (DA/DI) strategic plans address strategic issues at local level and indicate how they

will contribute to the goals and objectives in the relevant country strategy and towards ActionAid’s

international themes. They give ocus to our work at programme level and project how changes in the

lives o poor and excluded people will occur.

Programme Partners who enter into a longer-term programme agreement with ActionAid

International and who already have their own strategy and/or strategic plan in place will not be

required to develop a separate strategic plan. The appraisal and agreement process will set out those

areas o the partners’ strategy that ActionAid International will support as well as agreed areas o

mutual accountability, shared principles and objectives etc. This will be based on the discussions

during the initial period o developing the partnership agreement and/or memorandum o

understanding.

Special projects i.e. national, o cial donor unded projects and or/multi country, regional and

international initiatives and bids will produce strategic plans, budgets and reports as per donor

requirements. These will be negotiated between ActionAid International and the unding partner, in

line with the principles o Alps and in line with the goals, objectives, policies, positions and strategic

priorities set out in international and/or country strategies and strategic plan at the relevant level.

The method o writing a strategic plan will vary with diferent people and places. The lead team or

any strategic plan process should include at least one person with relevant skills and experience to

concentrate on gender and women’s rights issues.

ST RAT EGICPLANS



The process o developing a strategic plan will be inormed by:

ó Key lessons rom reviews (thematic, country or global or peer reviews,

audits and relevant studies, participatory review and reection processes,

stakeholder perspectives, research and documentation).

The strategic plans will include (except or international unctions):

ó Context analysis (poverty, social, political), gender and power analysis

ó Key priorities or impact, broad strategic actions and expected outcomes

ó How priorities link to, and will be implemented by, the diferent management

units within ActionAid International, as relevant

ó How engagement with poor and excluded groups and other key

stakeholders will be secured and their perspectives and views

ó Key allies, networks, institutions and potential partners at international level

ó Sta ng requirements

ó Communications plan

ó Resource projection and unding plan or 5 years. Include income projections,

type, growth, source etc

ó Risk analysis


the strategic plan.

S T R A T EG IC P LA N S

S T R A T E G I C P L A N S

Strategic plans are a

mechanism by which specifc

units and programmes detail

their contribution over fve

years to international and

country strategies. They

provide a ramework or annual plans.

Liba Taylor / ActionAid



International theme strategic plansPurpose: The strategic plans or the international themes set out key priorities or impact

internationally. They provide direction to our global work and campaigns;

identiy key priorities or action and analyse linkages to other themes, countries

and campaigns.

Process: International Thematic Heads, with their International Director, will leadthe process, in consultation with core team members and all other relevant

stakeholders, including international unctions and regions. Any country

expected to deliver the thematic objectives must be involved.

Time to complete: About 3 months

Length: About 20 pages

Frequency: Once during each global strategy period

Approval process: The rst drat strategy plan will be circulated to regions, unctions, other

themes and other relevant internal and external stakeholders or eedback and

comments. The nal drat will be ratied by the International Directors’ team or

submission to the International Board.

Approval: Chie Executive, with the International Directors’ team.

Regional and international campaign strategic plansPurpose: Regional and international campaigns add value to other programme work

by addressing policies and practices that are obstacles to achieving ActionAid

International goals.

Process: The Regional Director (or regional campaigns) and International Policy Director

(or international campaigns) will lead the process in consultation with theRegional Policy Head and relevant Thematic Heads and must involve everyone

who is responsible or the theme, region, and unction involved in the campaign.

The strategic plan development and design must also involve communications

and marketing. It is also important to include in the planning all potential allies

and partner organisations and/or representatives o those whom the campaign

aims to benet.

The process o developing the strategic plan will be inormed by:

ó The ActionAid International campaign criteria

ó Lessons and learning rom previous campaigns and stakeholder surveys.

Time to complete: 3 months

Length: About 10-15 pages

Approval process: The drat strategic plan will be circulated to relevant stakeholders or eedback

and comments. The Regional Director/International Policy Director must secure

the agreement o the International Communications Director to recommend

approval o the nal strategic plan to the International Directors’ team.

Approval: ó The Chie Executive, with the International Directors’ team or the

international campaign

ó The Regional Director, with the Regional Management team or regional

campaigns.





International unction strategic plansPurpose: To clearly dene what the unction will do in support o ActionAid International’s

global strategy

Process: The International Director with direct responsibility or the unction will lead

the process with the involvement o their core team including unction heads

in ActionAid regional and country o ces, a liates and other relevant internalstakeholders.

The strategic plan document will include:

ó Purpose o the unction

ó Brie analysis o internal context

ó Key goals, objectives and broad activities and expected outcomes or the

period

ó Sta ng

ó 5 year resource projection and unding plan

ó Risk assessment


the strategic plan.



Frequency: Once in each global strategy period

Approval process: The drat strategic plan must be circulated to the relevant internal stakeholders

or eedback and comments prior to ratication by the International Directors

team.

Approval: The Chie Executive with the International Directors’ team.


“The greatest thing in the world is not so much where we are, but in what

direction we are moving.” Oliver Wendell Holmes



Regional strategic plansPurpose: To clearly dene what the region will do to deliver the ActionAid International

Global strategy and themes at the regional level and to articulate value-adding

regional initiatives and broad strategic actions. They are not meant to summarise

or consolidate country strategy plans.

Process: Regional Directors will lead the process in consultation with a liate and countryprogrammes, strategic partners, themes and unctions and other relevant

stakeholders. Involvement o an international trustee is essential. The drat

strategic plan must be circulated to the relevant stakeholders or eedback and

comments prior to approval.

Time to complete: About 2 to 3 months


Frequency: Once in each global strategy period

Approval: The Chie Executive, with the International Directors’ team.






Programme strategic plansPurpose: To show how each programme (DA/DI) will achieve its own goals and contribute

to the relevant country strategy

Process: The DA/DI Programme Manager is responsible or leading the process in

consultation with poor and excluded groups and other key stakeholders. The

team will include a person competent to deal with gender and women’s rights

issues. The team will work with all stakeholder groups, particularly poor and

excluded members o the community and the major unding partners.

The process should be as participatory as possible and reect stakeholders’

perspectives, ideas, suggestions, aims and commitments. The process will be

transparent at all levels over potential unds, sponsorship arrangements and

decisions about nancial expenditure.

In the case o long-term programmes unded by sponsorship, the strategic plan

will be developed in the rst to second year ater an approved appraisal process.

Partners who enter into a contractual/unding arrangement with ActionAid

International and who already have their own strategy and/or strategic plan inplace will not generally be required to develop a separate strategic plan.


Length: 10-15 pages

Frequency: At least once every 5 years

Approval process: The drat strategic plan must be circulated to the relevant stakeholders or

eedback and comments prior to sign of rom Country Director and/or national

board in a liate countries. Programmes unded by sponsorship must involve

the designated sponsorship ocal person and nance manager in the approval

process prior to sign of.

Approval: ó The Country Director or country programmes

ó The National Board or a liates.



Involving poor and excluded

people, particularly women, in all

elements o the planning cycle is a

central requirement o Alps.

Community process, Magoro, Uganda

Jenny Matthews/ ActionAid



Annual plan

and budgets(with expenditure projections or a urther two years)

Annual plans and budgets are required rom all units within ActionAid International represented by:

ó DA/DI/ programmes/special projects

ó Country programmes and a liates

ó Regions

ó

International themesó International unctions

ó ActionAid International (consolidated).

The plan is primarily a tool or management, to enable the systematic achievement o strategic

objectives. It is also a key accountability mechanism with stakeholders.

Annual plans and budgets

should be inormed by

outcomes o review and

reection processes.

Action Aid UK staf conerence, London,

2005

Kristian Buus/ActionAid

P LA N S &B U D G ET

“To make preparations does not spoil the trip.”

Guinea Proverb



A P P R A I S A L S

P L A N S & B U D G E T

Annual plans and budgetsPurpose: To describe activities and allocate resources (money and people) to achieve the

objectives o strategies and strategic plans

Process: The annual plan should address lessons rom the review and reection process,

other reviews and studies. The management team needs to be engaged as

well as other key stakeholders. At programme level, the process will involvecommunities, partners and other relevant stakeholders. All efort must be made

to involve women and excluded groups in these processes. Trustees and general

assembly members will also be engaged in discussing proposed plans in a liate

countries. The process should encourage critical reection on progress and

challenges aced. Country plans must reer to the international themes and vice

versa. Overly detailed planning is likely to be a hindrance, rather than a help to

improved perormance. It is important to remain open to opportunities to change

or re-direct work plans as circumstances change.

The plan narrative will include:

ó Brie contextual update or country/region/theme, highlighting major trends

and outlook or the plan period

ó Outline o major learning rom review and reection processes, reviews

and other impact assessment material that have inuence on the strategic

objectives or the plan period

ó Denition o major proposed activities and key actions

ó Comments on how the plan contributes to relevant strategies, strategic plans

and themes

ó Commentary on income/expenditure/reserve gures, including comment

on trends, changes, perormance and projections or expenditure/income

gures and re-estimates against budget orecasts in strategies and strategicplans or the two years ollowing the plan period

ó Explanation o changes rom the headline budget gures produced in the

strategy, strategic plan or appraisal document

ó Commentary on undraising and communications plans

ó HR/OD update and sta ng plans, including highlights o staf development

plans

ó Risk analysis.

Timing: September to November

Length: 15 pages maximum

Frequency: Annually

Approval: A liate countries by national board o trustees, country programmes by

Regional Directors. Plans o regions, themes and unctions are approved by the

Chie Executive and the International Directors team. The International Board o

Trustees will approve the organisation-wide plan.



Participatory

review andreflectionprocesses(PRRPs)In the spirit o increasing accountability to the poor, our partners and other key stakeholders Alps

requires countries, regions, themes and unctions to carry out a set o participatory review andreection processes on an annual basis.

In essence, Alps asks us to work with stakeholder groups to:

ó Assess what has been done

ó What has been learnt

ó And, within this analysis, articulate what will be done diferently in the uture.

P R R P S

PRRPs should happen

at every level o

the organisation.

Innovative methods

are required to

ensure stakeholder

participation especially

at international level.

P R R P

Jack Picone/ActionAid

“Never doubt that a small group of

thoughtful citizens can change the world. Indeed, it is the only thingthat ever has.”

Margaret Mead



Participatory review and refection processPurpose: To learn and share learning (achievements and ailures) so that we can improve

the responsiveness and quality o ongoing work. To increase our accountability

and transparency to stakeholder groups.

Process: The Unit Head at every level will determine this. The process should be ully

transparent and participative. The process should involve as many stakeholdergroups as possible (including poor and excluded people, partners and donors

and supporters) and provide space or them to express their ideas, priorities

and concerns. Note that involvement o poor and excluded people along with

donors and other stakeholders requires very sensitive acilitating so that all eel

comortable to contribute. For a liate and associate countries, a national level

review and reection process will be conducted with the General Assembly on an

annual basis prior to the annual planning process.

It may not always be possible or teams to meet up with all stakeholders.

Stakeholder surveys, social audit and similar methods o enquiry should also be

encouraged to elicit stakeholder perspectives and views on our work. Funding

patterns and grant decisions, as well as expenditure analyses, need to be sharedopenly.

The lessons and ndings o the review and reection processes and agreed

actions arising should be noted and eed into the annual learning and review

reports.

Frequency and timing:

At least once a year, at the discretion o the relevant managers and their teams, in

consultation with partners and the community groups with whom they work.

Approval: PRRPs need no approval. They should be shared widely by unit heads.

P R R P S

P R R P s


P R R P s





Annual reportsPurpose: To share and report progress, income and expenditure, outcomes, lessons and challenges

against the relevant strategy, strategic plan, or appraisal document and reect how the

lessons will translate into subsequent changed actions and plans.

Process: Participatory reviews and reections, together with the cumulative inormation

and knowledge o the management team will orm the basis o the annual report. The relevant unit head leads this process. It is intended to be more than a simple

documentation exercise and should serve to increase transparency and accountability.

Diferent instruments o learning should be used such as participatory review and

reection processes, and any specic commissioned review or learning rom ongoing

monitoring and learning systems.

Content: Only one annual report rom each unit is required and all units should provide guidance

to other units on the type o inormation they require. Ideally, this document should also

su ce or donors and other key external annual reporting requirements.

Annual reports will include:

ó Key areas o progress and outcomes against strategic objectives and work onthematic programmes and global campaigns

ó A summary o “prouds and sorry’s” and key summary achievements, challenges and

lessons should be included

ó A review o nancial perormance, income and expenditure trends, against strategic

objectives and themes and comments on cost versus impact and perormance

ó Progress on developing internal governance and board development, where

applicable

ó The perspectives and testimonies o our key stakeholders in their assessment o

change and ActionAid’s contribution (both positive and negative)

ó Case studies, oral testimonies and stories o change that reect lessons and

outcomes o work during the year

ó Stories capturing what has been achieved as a result o the shit in power

relationships

ó Appendices, as well as the nance tables produced or the annual nance report and

staf development report

ó Financial and quantitative data to back up our analysis o trends, change and

progress

ó Units are encouraged to be innovative on how they wish to report their progress and

lessons e.g. this might be in the orm o a pamphlet, photo essay, poster, CD-Rom, orvideo report.

Length o the report:

A maximum o 15 pages, depending on the nature o the unit i.e. programme, unctional

unit, country, regional, theme or global

Frequency: Country reports by the end o February and theme, unction and other units by the end

o March each year. The global progress report to be produced by the end April and

published and distributed in May.

Approval: By the National Board o Trustees (or delegate) or ActionAid a liate and associate

countries. The CEO or international unction, region and theme reports. The

international Board o Trustees or the ActionAid International annual report.

A N N U A L R E P O R T S



External reviewsAt least one independent external review will be carried out beore the end o each strategy/strategic

plan period, resulting in a written report. Other interim reviews may also be commissioned.

External reviews are required or:

ó ActionAid International as a whole

ó ActionAid International a liates and country programmes

ó ActionAid International themes

ó ActionAid International campaigns.

Such reviews are not needed or regions or global level unctions, as they will be evaluated as part

o the global or organisation-wide review. Programmes (DA/DI’s), partnerships and unctions in-

country will be reviewed as part o the country programme or a liate review. All reviews will include

(as applicable) consultations with poor and excluded people and supporters, staf, board members,donors and other key stakeholders.

Note or review processes or:

ó A liate/associate and country programme reviews

ó International theme reviews

ó International and regional campaign reviews.

The review process will:

ó Involve all key stakeholders, especially the poor and excluded people we work with and/

or our supporters

óAssess the impact and changes brought about (positive and negative) in the lives o poorand excluded men, women, girls and boys

ó Assess perormance against strategic objectives set out in the strategy/strategic plan and

in support o ActionAid International’s global goals and thematic priorities

ó Judge the efectiveness o accountability processes to poor and excluded groups,

partners, allies and other key stakeholders

ó Assess the changes in the nature and quality o relationships and partnerships

ó Assess and analyse the costs incurred in work on strategic objectives and international

thematic work vis-à-vis perormance and impact

ó An analysis o nancial perormance as applicable(undraising, sponsorship, income

planning etc)

ó Assess organisational efectiveness and organisational development processes and

outcomes

ó For country and a liate reviews, assess how unctions have perormed vis-à-vis

objectives

ó For country and a liate reviews, assess the internal governance and board development

processes

ó Capture the main learning which should eed into the next strategy/strategic plan.

ó Capture stories about what has been achieved as a result o the shit in power

relationships are critical

ó Set out key recommendations and issues to reect on during the peer review process

and strategy or strategic plan development process.

E X T E R N A L R E V I E W S



ActionAid International reviewPurpose: This external review assesses perormance against the ActionAid International strategy,

generates learning to improve uture work and makes recommendations about uture

strategic directions.

Process: The Chie Executive leads the process, in consultation with the international trustees and

other relevant stakeholders

A multi-disciplinary team o external reviewers are essential to the process. At least one o the external

reviewers should be a gender specialist. The review team will interact and interace with a sample cross-

section o people and organisations internally within ActionAid and externally (particularly poor and excluded

people and their organisations, and movements that we work with. A separate independent stakeholder

survey will be an integral part o the review process. The review will also take into account all the key reviews

o ActionAid’s work in a liates, countries, themes, unctions and regions. The nal drat o the review

report will be presented to the International Directors team and International Board and discussed at the

International Conerence beore being nalised. A management response to the review report will be an

integral part o the review process

The review process will:

ó Involve all key stakeholders, especially the poor and excluded people we work with

and our supporters

ó Assess the impact and changes brought about (positive and negative) in the lives o

poor and excluded men, women, girls and boys

ó Assess perormance against strategic objectives set out in the strategy/strategic plan

and in support o ActionAid International’s global goals and thematic priorities

ó Judge the efectiveness o accountability processes to poor and excluded groups,

partners, allies and other key stakeholders

ó Assess the changes in the nature and quality o relationships and partnerships

ó Assess and analyse the costs incurred in work on strategic objectives and

international thematic work vis-à-vis perormance and impactó An analysis o nancial perormance as applicable(undraising, sponsorship, income

planning etc)

ó Assess organisational efectiveness and organisational development processes and

outcomes

ó Assess the internal governance and board development processes

ó Capture the main learning which should eed into the next strategy/strategic plan.

ó Capture stories about what has been achieved as a result o the shit in power

relationships

ó Set out key recommendations and issues to reect on during the peer review

process and strategy development process.

Time to complete: 3-6 months

Length o the report(s):

Maximum 15 pages or individual reports. Consolidated report should be no longer than

30 pages. Each report will include an executive summary o key ndings, lessons and

recommendations.

Frequency: In the last year o the strategy period

Approval process: The international Board o Trustees will sign of the terms o reerence and budget and

approve the team and team leader conducting the review.

The Chie Executive, in consultation with the International Director’s team will produce

a management response and present this, together with the external review report, or

approval by the International Board.

Approval: International Board o Trustees.






International theme reviewPurpose: This external review assesses perormance against the strategic plan and

generates learning to improve uture work.

Process: The International Director or the theme is responsible or leading the process,

in consultation with the Theme Head and core team members o the theme.

External reviewers are essential, and at least one member o the team should becompetent to examine women’s rights and gender issues. Finance staf should be

involved in developing the nancial aspects o the review.

Drat terms o reerence and methodology must be shared with theme

representatives in countries and regions and with other themes, regions and

unctions. The International Director responsible or the theme will approve the

terms o reerence, budget and composition o the review team.

Time to complete: About 2-3 months

Length o report: Maximum 25 pages

Frequency: At least once in 3 years

Approval process: The drat review report and results will be circulated to:

ó All theme team members and country programmes

ó All regions, themes and unctions

ó Other relevant internal stakeholders

ó Key external stakeholders.

Approval: Chie Executive, with the International Directors’ team.

International campaign reviewPurpose: This external review assesses perormance against the strategic plan o the

campaign and generates learning to improve uture work.

Process: The International Policy Director is responsible or leading the process, in

consultation with Head o the Campaign, and country programmes and thematic

teams involved in the campaign and nance. At least one external reviewer is

essential.


Length o report: Maximum 15 pages

Frequency: To depend on the overall campaign duration; at least once every two years

Approval process: The drat review report and results will be circulated to key stakeholders within

ActionAid or eedback and learning purposes, including other themes, unctions

and regions.

Approval: The Chie Executive and International Directors’ team.




Peer reviewsPurpose: Peer reviews are required only or country programmes, a liates and associates.

Peer reviews are international reviews o ActionAid’s work in countries with multiple

purposes o accountability and learning, helping to shape uture improvements

and strategies. Peer reviews also have the purpose o discussion and conclusion

o the country review between country management/board and international

management/board. International themes, DA/DI and special projects are

encouraged to conduct peer reviews, designing their own methodology. This is not,

however, a requirement.

P E E R R E V I E W S

Peer reviews are a key

mechanism or ActionAid

International colleagues to

hold each other accountable

to the strategies and standards o ActionAId. Peer

reviews help build a cohesive

organisation and promote

cross-programme learning.

Jack Picone/ActionAid

“It is good to see ourselves as otherssee us. Try as we may, we are never able to know ourselves fully as we are,especially the evil side of us.This we can do only if we are not angry with our critics but will take in

good heart whatever they might have tosay.”Mohondas Gandhi





Governance reviewIn the spirit o ensuring accountability, transparency and the integrity o our structures and systems

Alps asks the Board o Trustees to carry out an annual board review and reection on their role as

governors and custodians o ActionAid International.

Governance annual reviews are required or:

ó International Board o Trustees

ó National A liate and Associate Board o Trustees.

Purpose: To assess and improve perormance o the board. To encourage accountability,

identiy required changes and potential new governance initiatives. The review

will enable the board to identiy areas o development and support needs. It will

recognise and reinorce areas o governance success. In addition, this will also

help the boards to establish their annual perormance plan.

Areas o review ocus on:

ó Progress against the perormance plan and key achievements

ó Board as a team (including board sub-committee)

ó Relationship with the management

ó Risk and accountability management

ó Relationship with a liates and associates

ó Lessons learnt and improvement plans.

Process: The review will be in accordance with the Governance Manual and ActionAid

International’s constitution. The Board Development Committee will agree the

Board review process with the Chair o the Board and other board members.

The Chie Executive/Country Director and Head o A liate Development will

identiy an external consultant to acilitate the process. The acilitator will work with the board members individually and as a team or review. Consulting and

getting eedback rom the Chie Executive, International Directors and other staf

who have worked with the board will be essential. A report o the review will be

written up, managed by the Chie Executive/Country Director.

Frequency: Once a year

Length: 5-10 pages

Approval: By the ull board.

P E E R R E V I E W S

“We must use time wisely and forever realize that the time is always ripe to doright.”

Nelson Mandela



Staff climate

surveyPurpose: The purpose o a staf climate survey is to take stock o the institutional climate

and consider responsive strategies.

Independent climate surveys are required or:

ó Country programmes, a liates and associates

ó ActionAid International globally.

Process: The international organisational efectiveness unction will manage this task or

the global survey o ActionAid International. Each country HR/OD manager orCountry Director will be responsible or individual country surveys. The award o

consultancy to an external person or organisation to undertake the survey/audit

will be decided through a tendering process.

The staf climate survey is both a product and a process. The product is the survey

itsel, which assesses the expectations and perceptions o staf at various levels.

The process involves consultant engagement with all levels o management and

with staf ocus groups, survey implementation, survey reporting processes and

discussions, action planning and ollow up.

The climate survey/audit will include an analysis o:

ó Work acilitation and work environment

ó Policies, systems and support

ó Power and participation (empowerment)

ó Attitudes and behaviour

ó Team building and team unctioning

ó Internal communications

ó Learning and reection

ó Women’s rights and gender equity

ó Leadership.

Frequency: Once every two years


Approval process: The mix o questionnaire, ocus group and one-to-one interviews will lead to

the development o a drat report which will be circulated to the country senior

management team (International Directors’ team or the global climate survey).

Comments and responses will be incorporated into the nal report.

Approval: Country Directors sign of the nal survey report and ndings or countries. The

Chie Executive signs of or ActionAid International.

S T A F F C L I M A T E S U R V E

Y



AuditBoth internal audit and external audit are non-negotiable requirements or the whole o ActionAid

and are a key part o its accountability system

External auditPurpose: To independently examine records, procedures and activities, and provide a

legally valid report outlining the auditor’s opinion on the state o afairs.

External audits are required or:

ó ActionAid International consolidated statutory accounts (every year)

ó A liates, associates and country programmes (as per local law).

Process: An external audit rm is appointed by national boards/international board or

Country Programme Director, in consultation with the Senior Management team.

All books o account, policies, procedures and activities are made available or

scrutiny and all possible cooperation is provided to the auditors.

ó For the audit o worldwide aggregated accounts o ActionAid International,

the Audit Committee has approved an arrangement where country

programmes are subject to a risk-based audit in areas deemed necessary or

the purposes o the audit o the aggregated accounts.

ó Countries to be audited are agreed annually between the international

nance unctions and the external auditors (currently KPMG), then approved

by the International Audit Committee.

ó Audit arrangements are made directly between the country programmes

and the local audit o ce, but the scope o the audit is laid down in the audit

instructions issued by KPMG’s London o ce.

ó Heads o Finance should ensure compliance with local laws and regulations

regarding the conduct o external audits.

ó All country external audit reports should be circulated to the regional

director, regional nance coordinator and international head o audit within

2 weeks o issue.

Approval: Legally authorised signatories.

A U D IT

A U D IT

“Recall the face of the poorest person you have ever seen, then ask yourself if the step you now contemplate is going tobe any use to them.” Mohondas Gandhi



Internal auditPurpose: The unction is responsible or ensuring the economical, efective and e cient

utilisation o charitable unds and the management o the organisation’s approach to

risk management.

Internal Audits are required or:

ó Country programmes and a liates (every 2 years)

ó International themes (every 2 years)

ó Regions (every 2 years)

ó International secretariat (every 2 years)

ó International unctions (based on risk criteria).

Processes:

ó The international internal audit team undertakes a nancial and operational

audit o every country programme, a liate, associate and regional o ce and

international thematic programme at least once every 2 years, based on an

annual work plan. In some cases, annual visits may be necessary.ó The timing o audits and terms o reerence will be agreed with the relevant

head o o ce (Country Director/Regional Director/International Thematic

Head) prior to the commencement o the audit. This should include specic

areas requested by the country programme, regional o ce or International

Directors, i appropriate.

ó Most country programmes/a liates also have a local internal audit unction

reporting to the country management team/national board and the

international head o internal audit.

Standard terms o reerence or an audit will include:

óReview o nancial and management controls (in countries this will includeboth in country o ce and in at least 1 DA/partner organisations)

ó Identication o major risk areas and a review o risk management

ó Review o progress against strategy/strategic plan.

Major areas to be covered in each audit:

ó Asset control

ó Payments

ó Financial reporting, including management accounts, reporting to

institutional donors/sponsors etc, cost classication, perormance measures

(including partners), donor relationship management, revolving unds and

savings and credit schemes (i applicable)

ó Other support unctions, including local internal audit unction (i

applicable), work with partners and partner relations, inormation

technology, compliance with local laws (tax etc).

A U D I T



ó Alps core requirements, including how Alps core requirements, processes

and standards have been implemented and includes appraisals, strategies/

strategic plans, external reviews, annual review and reection processes,

annual review and learning reports

ó

How countries/regions and themes have applied the principles o accountability to stakeholders especially to poor and excluded groups

and their organisations. This will include budget transparency processes,

implementation o open inormation policy etc.

Reporting and ollow-up process:

The internal auditor(s) will prepare a drat report during the visit or discussion

with management outlining key recommendations:

ó The report will be sent to the country programme/regional o ce/

International Theme Head or ormal management response. The nal report

will be issued incorporating management responses.

óManagement is expected to state actions taken against majorrecommendations six months ater the audit.

ó Each audited management unit will ormally discuss the audit report and

remedial actions.

ó The Audit Committee o the International Board receives all audit reports and

meets twice annually to review internal audit, risk management and nancial

management.

A U D I T

A U D IT

Audits help ensure the

economical, eective,

and e cient utilisation o charitable unds and are

a central accountability

mechanism.

Jenny Matthews / ActionAid



Open information

policyActionAid International believes that the timely, ree ow o inormation, in accessible language, orm and

ormat is essential or ensuring accountability, learning, trust and good perormance. This policy is guided

by ActionAid International’s commitment to transparency and to sharing o inormation primarily with poor

and excluded people and their organisations. We are also directly accountable to our staf, partners, donors

and host governments.

Open inormation policyPurpose: The purpose o this policy is to guide all staf and the whole organisation in the

open sharing o inormation. Another purpose is to inorm people outside ActionAid

International what they can expect or demand, in terms o inormation, rom ActionAid

International.

Coverage: The ollowing sets o inormation will be shared reely, openly and proactively:

Category Inormation to be shared

A. Fundamentals 1. Vision, mission, values, goals and objectives

2. Legal representation and status

3. Registered o ce address

B. Governance

and Key

Functionaries

1. Names and brie biographies o key unctionaries

2. Governing article or equivalent

3. Summary o board/executive body meetings

4. Remuneration and expenses o trustees/advisory board members

C. Organisational

Policies

1. Accountability/Learning & Planning Systems (and or equivalents)

2. Finance policies

3. Gender policies

4. Fundraising policies

5. Open inormation policy

6. Human resource/organisational development policies (including staf

recruitment, perormance and appraisal, renumeration, staf welare, HIV/AIDS

terminal illness, harassment, working rom home, child-care leave, work-

lie balance, staf development, compassionate leave, maternity/paternity

leave, sickness, study leave, exi-time, time in lieu, disciplinary and grievanceprocedures, redundancy, equal opportunities and diversity, retirement and

pension, staf insurance, staf saety and welare, Health and Saety policies)

7. Partnership policies and agreements

D. Sta 1. Staf employment data (nos/gender/caste/ ethnicity etc)

2. Staf grades and salary bands

3. Staf costs/allowances

E. Strategies,

three year plans

and budgets

1. Strategy papers

2. Three year plans

3. Annual budget

O P EN IN FO R MA T IO N

O P E N I N F O R M A T I O N



F. Perormance

and Feedback

1. Reviews

2. Annual reports

3. Annual participatory review and reection process outputs

4. Annual nancial reports

5. Annual audit statements

G. Funds and

Finance

1. Grants to partners

2. Fund usage policy

3. Related party transactions

4. Connected partner organisations

5. Investment and returns on markets

6. Type and place o investment and trading entities

H. Relationships 1. Groups o people we work with

2. Partners (unding & non-unding)

3. Donors

4. Auditors

5. Bankers

6. Investment managers

I. Positions 1. Issue-based policy positions

2. ActionAid International guidelines on policy and political positioning

Ways and means o sharing inormationó Representative o ces at the international secretariat (including regional)

and national level will be primarily responsible or sharing inormation

related to their own areas and domains o responsibilities according to this

policy.

ó This policy is relevant only i poor and excluded people and their

organisations have access to timely and quality inormation in accessible

orms and ormats. It is thereore essential that local arrangements be made

to ensure that sharing o inormation takes place in the language suitable or

the people o the locality.

ó ActionAid International websites will be the main venue or sharing

inormation proactively to a wider range o audiences. ActionAid

International, within the limits o its resources, will also send inormation as

requested (as per this policy) in electronic or printed orm to an authentic

address o the person or organisation requesting inormation. Anonymous

requests or inormation may not be responded to.


“If you talk to a man in a language he understands, that goes to his head. If youtalk to him in his language, that goes to hisheart.”

Nelson Mandela



CondentialityActionAid International shall not disclose the ollowing kinds o inormation:

ó Personal details o staf: address, amily details, income, property, sexual

orientation, illness and similar inormation.ó Intellectual property or other inormation which has been disclosed or

provided to ActionAid International under any obligation o condentiality

or which is subject to legal disclosure restrictions, or intellectual property o

ActionAid International, unless consent o such disclosure has been obtained

rom the owner o such intellectual property.

ó Legal advice and matters in dispute or under negotiation including

disciplinary and investigative inormation generated in, or or, ActionAid

International.

ó Inormation dealing entirely with internal administration or operating

systems which has no direct efect outside the organisation, or internaldocuments written by staf to their colleagues, supervisors or subordinates,

unless those documents are intended or public circulation.

ó Fundraising inormation, sharing o which will jeopardise ActionAid

International’s competitiveness in undraising capacity.

It is only in exceptional cases and circumstances that ActionAid International can temporarily suspend

part or whole o this policy. Such suspension will require approval rom ActionAid International’s Chie

Executive. Suspension o the policy will be clearly explained with reasons to people we work with and

the general public, through the mechanisms mentioned above.

In unusual situations (e.g., war, insurgency) o insecurity, threat and vulnerability to the organisation,

staf or partners. ActionAid International may choose not to share any or selected inormation or a

specied period.

Similarly, i sharing o certain inormation in the specic local situation will make staf and the

organisation highly insecure and vulnerable, the relevant ActionAid International o ce may choose

not to share the particular inormation or a specied period.

Custodiansó Heads o diferent levels o the organisation – international (Chie Executive), regional

(Regional Directors), national (Country Directors) – will be the custodians o this

policy but the day-to-day responsibility o implementation and management will

be the responsibility o the person appointed by them to be responsible or external

communications.

Complianceó Reviewing compliance o this policy will be the unction o such staf and units

responsible or the ActionAid International Accountability, Learning and Planning

System (Alps). Such review reports will be presented and discussed in regional meetings,

international directors’ meetings and trustees meetings at least once year and at the time

o annual reviews and plans.

O P EN IN FO R MA T IO N




Other supporting

policiesActionAid International has a range o sel-regulatory systems, core principles, standards and legal

measures in place that contribute to our internal and external accountability.

A summary o these systems and their linkages with Alps are set out below:

ActionAid International nancial management ramework: establishes the nancial standards,

policies and procedures or ActionAid International. This ramework establishes our upward nancial

accountability and demonstrates ActionAid’s concern or nancial integrity; as such it is important

evidence o our accountability to all stakeholders.

Finance unctions across the organisation are charged with establishing and communicating the

policies and procedures contained in the ramework. Financial management is the responsibility o

everyone in the organisation.

The ramework contains the entire key nancial policies approved by the board, including reserves,

key nancial management processes: nancial planning and budgeting, reporting and audit and key

accounting policies and procedures. Its custodian is the International Finance Director.

ó The statutory accounts ull our accountability to our o cial regulators, trustees

and are used to provide donors and others with nancial inormation on the agency.

Inormation or the trustees’ report, which orms part o the statutory accounts, may be

derived rom the annual review and learning reports and external reviews.

ó Management accounts, nancial control and audit. These systems are described

in the ActionAid International nancial management ramework. Their purpose is to

acilitate and protect the nancial integrity o the agency and provide managers with

current nancial inormation. The ramework sets out detailed control and accounting

procedures.

ó Funding relations with partners. The nancial management ramework sets out the

key nancial accountability systems and procedures or partners with which ActionAid

has a unding relationship. Organisations include government bodies, registered NGOs,

community based organisations or other groupings o individuals or organisations. For

long term unding partners, the ramework sets out principles and standards or ensuring

nancial integrity, budgeting and reporting mechanisms, cost analysis, measures and

procedures or dealing with raud, audit etc.

S U P P O R T I N G P O L I C I E S



ActionAid International global HR/OD ramework: This ramework provides the whole o ActionAid

International, its a liates and branches with a common ramework against which HR/OD principles,

policies and standard practices can be veried with a view to encouraging consistency and coherence

o organisational behaviour. The aim is to build a shared culture and identity, and support the

internationalisation o ActionAid.ó The HR/OD unctions at various levels also help managers develop their sta’s skills so

that they can make a relevant contribution to the overall mission o the organisation and

in support o Alps processes. The perormance appraisal processes help us to meet our

internal and external accountability as individuals and teams.

ó Each location will have an appropriately designed perormance management

system. A multiple eedback mechanism (360º) is a norm that meets the accountability

aspirations o Alps and is implemented at the senior levels o the organisations.

ó ActionAid International has a risk management system which ensures that each country

programme or a liate, region, theme and unction have identied the risks to the

achievement o their objectives and are taking actions to manage the risks. The national

and international trustees also identiy and review the major strategic, business and

operational risks, which the organisation aces and conrm that appropriate systems are

in place to manage and mitigate those risks. The internal audit department coordinates

the organisations’ risk management process.

ó Risk assessment analysis is a key part o strategy development and review processes

in Alps. All country programmes, a liates, regions, themes and unctions submit an

updated risk register as part o their annual plan.

Long term unding links policy: This policy provides the standards to ensure the implementation o

Long Term Funding links is in alignment with ActionAid’s values, mission and strategy. The document

sets out agreed international policies and standards in the management o child sponsorship and

other long-term partnership links between nancial supporters and communities and countries in thesouth, such as Next Steps (Il Prossimo Passo).

ó Child sponsorship: In communities where the child lives, ActionAid makes certain

commitments about how the child and the community will be partners in the process o

their empowerment. How this process will be carried out, what rights will be ensured or

the children and community, what unds are being raised and how they are spent and

what changes the programme will seek to bring about in their lives. At the supporter end

o the link, ActionAid makes commitments as to how the supporter’s contributions will

be spent, the expected outcomes as a result o this partnership, how they can engage

with the child and community and what communications they will receive.

Governance manual: The manual describes the relationships between the ActionAid International

Board, the International Secretariat, a liates, associates and country programmes, sets out the key

responsibilities o board members o ActionAid International and national boards, and summarises the

processes o the International Board.

S U P P O R T IN G P O LIC IE

S

S U P P O R T I N G P O L I C I E S



GlossaryAAI ActionAid International

CD Country Director

A liates National organisations that are ormally a liated to ActionAid

International. Founding a liates o AAI are ActionAid Brazil, ActionAid

Hellas (Greece), ActionAid Ireland, ActionAid UK, ActionAid USA and

ActionAid Italy.

Associates Other organisations who are in the process o becoming ormally a liated

to ActionAid International. This term is also used to reer to ActionAid

International Country Programmes who are developing into a liates. In

2005, these included Kenya, India, Ghana and Uganda.

Development Areas This is the term that ActionAid has historically used or its localdevelopment programmes, which were usually organised in a contiguous

and dened geographical area.

Development Initiatives This term evolved when ActionAid started working on a thematic basis and

no longer worked only in contiguous geographical areas. DIs emphasise

the role o local community organisations in planning and managing

development projects.

International Board The International Board provides overall governance and assesses and

approves AAI’s global strategies, plans and resource allocation.

International Secretariat The secretariat has overall responsibility or developing a global

ramework or AAI’s work, and ensuring that all parts o the organisation

work together with an agreed set o common goals. It is also responsible

or representing AAI at regional and international levels, and ensuring that

communications and action between diferent parts o the organisation, as

well as between AAI and other organisations, are efective. The secretariat

is not a central head o ce as such, but rather one o the units in the

larger collective o AAI o ces – many o it unctions are dispersed across

countries, regions and continents. The secretariat is headed by a Chie

Executive who works rom the secretariat’s main centre in South Arica.

Special Projects This is the term ActionAid uses or any project or programme which is

not a Development Area or Development Initiative. Special projects

can be within one country or cover several countries as multi-country

programmes.

CEO Chie Executive O cer o ActionAid International. Appointed by the Board.

International Directors’ team

Most senior level o management within ActionAid International, including

the CEO and eight International Directors. There is an International

Director or Asia, Arica, Europe Coordination, Americas, Finance,

Fundraising, Organisational Efectiveness and Communications.

HR/OD Human Resources and Organisational Development. Within the

international secretariat, these are two distinct units within the

Organisational Efectiveness team. Country programmes, a liates, and

regions may combine the two unctions.

G LO S S A R Y





A P P R A IS A LS

Alps is the Accountability, Learning,and Planning System o ActionAidInternational.

Alps is a ramework that sets out the key

accountability requirements, guidelines, and

processes in ActionAid International. Not only in

terms o organisational processes or planning,

monitoring, strategy ormulation, learning,

reviews and audit but also personal attitudes and

behaviours.

Alps denes our standards, not only about what we

do but also how we do it. Alps requires processes

and ways o working that are crucial to supporting

and strengthening ActionAid’s rights based work.

Alps – in both the rst edition and thisversion updated in 2005 – is designed to:

• deepen our accountability to all our

stakeholders, particularly to the poor and

excluded people with whom we work

• ensure that all our processes create the space

or innovation, learning and critical reection

and reduce unnecessary bureaucracy

• ensure that our planning is participatory

and puts analysis o power relations

and a commitment to addressing rights

– particularly women’s rights – at the heart o

all our processes. L a y o u t & D e s i g n b y L i m e b l u e

Documents

ActionAid ALPS 2006