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1
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
2
! Action Plan: SMART
! Specific
! Measurable
! Achievable
! Realistic
! Timebound
ACTION PLAN DEVELOPMENT
! 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
ACTION PLAN DEVELOPMENT
3
! 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
ACTION PLAN DEVELOPMENT
! 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?
ACTION PLAN DEVELOPMENT
4
! 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?
ACTION PLAN DEVELOPMENT
! 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
ACTION PLAN DEVELOPMENT
5
! 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.
ACTION PLAN DEVELOPMENT
! 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
ACTION PLAN DEVELOPMENT
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! 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.
ACTION PLAN DEVELOPMENT
! 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
ACTION PLAN DEVELOPMENT
7
! 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
ACTION PLAN DEVELOPMENT
! 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?
ACTION PLAN DEVELOPMENT
8
! 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?
ACTION PLAN DEVELOPMENT
! 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
9
! Action Plan Development
ACTION PLAN DEVELOPMENT
Problem Statement
Activity Activity
Task Task
Objective Objective
Goal
Activity
Task
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
ACTION PLAN DEVELOPMENT
10
! 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
ACTION PLAN DEVELOPMENT
! 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.
ACTION PLAN DEVELOPMENT
11
! 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?
ACTION PLAN DEVELOPMENT
! 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)
ACTION PLAN DEVELOPMENT
12
! 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 (!!)
ACTION PLAN DEVELOPMENT
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
xxx xx xx xx x xxx xx xxx.
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
xxx xx xx xx x xxx xx xxx.
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
ACTION PLAN DEVELOPMENT
13
! 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
ACTION PLAN DEVELOPMENT
! 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
ACTION PLAN DEVELOPMENT
14
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
15
! 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
PROMOTING STAKEHOLDER INVOLVEMENT: KEY PRINCIPLES
! 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
PROMOTING STAKEHOLDER INVOLVEMENT: KEY PRINCIPLES
16
! 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
17
! 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
18
! 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
DEVELOPING A STAKEHOLDER INVOLVEMENT POLICY
! 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
DEVELOPING A STAKEHOLDER INVOLVEMENT POLICY
19
! 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
DEVELOPING A STAKEHOLDER INVOLVEMENT POLICY
! 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
20
! 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
STAKEHOLDER INVOLVEMENT POLICY: SAMPLE TABLE OF CONTENTS
21
! 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
STAKEHOLDER INVOLVEMENT POLICY: SAMPLE TABLE OF CONTENTS
! 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
STAKEHOLDER INVOLVEMENT POLICY: SAMPLE TABLE OF CONTENTS
22
! 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
STAKEHOLDER INVOLVEMENT POLICY: SAMPLE TABLE OF CONTENTS
Action Plan Development and Strategic
Implementation
UNITAR Mustofi Fellowship Hiroshima, Japan
18 – 22 February 2012