Action Plan Development and Strategic Implementation

Transcription

1 Action Plan Development and Strategic Implementation UNITAR Mustofi Fellowship Hiroshima, Japan 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 1

2 ! Action Plan: SMART! Specific! Measurable! Achievable! Realistic! Timebound! Establish a Problem Statement:! A brief description of the specific problem that the action plan will address.! Should include enough contextual detail to establish why it is important.! Outlines the need for the action plan; an essential fact for decision-makers.! Might be based on, inter alia:! Decisions at the international level! The establishment of a convention! An accident or other event 2

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! 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 nonregulatory mechanisms exist?! What relevant ministries, agencies, and other governmental institutions exist?! What relevant industry, public interest groups, and bodies in the research sector exist? 3

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?! 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 4

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.! 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 5

6 ! Defining Indicators:! Relevancy and Accuracy! Should reflect what is being measured in an accurate way! Sensitivity! Should be capable of detecting changes over the desired time period! Unbiased! Should not be open to more than one interpretation about what is being measured and what data are being collected! Should have clear operational definitions that are independent of the person conducting the measurement! Adequate! The number of indicators tracked for a given result should be the minimum necessary to ensure that progress toward the end result is sufficiently captured.! Defining Indicators:! Action Indicators! Objective: A programme to ensure tax explanation systems in place in X number of communities between 2012 and 2015! Indicator: Numbers of communities with tax explanation systems in place each year since 2012! Binary Response (Yes/No)! Often provide the simplest approach yet may still ensure effective evaluation of the impact.! Indicator: Parliament has adopted legislation to have tax explanation systems in place in X number of communities between 2012 and

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! 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? 7

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?! 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 8

9 ! Action Plan Development Problem Statement Goal Situation and Gap Analysis Objective Objective Objective Activity Activity Activity Activity Activity Activity Task Task Task 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 9

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! 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. 10

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?! 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) 11

12 TITLE DATE! 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 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! Contact information! Spelling and grammar (!!)! 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 12

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! 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 13

14 Identifying and Integrating Stakeholders PROMOTING STAKEHOLDER INVOLVEMENT: KEY PRINCIPLES! 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 capacitybuilding and awareness-raising activities 14

15 PROMOTING STAKEHOLDER INVOLVEMENT: KEY PRINCIPLES! Stakeholder Involvement relies on:! Transparency! All stakeholders need to have the opportunity to have their views adequately heard, considered and responded to! Clear Roles and Responsibilities! Coordination with stakeholders should commence with the development of sound terms of reference! Comprehensive Participation! Involve stakeholders, where possible and appropriate, throughout the process! From decision-making and planning to implementation and review! Two-way communication! In order to maximise the gains from comprehensive stakeholder participation, a communicative relationship between and among stakeholders and management must exist 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 15

16 GATHERING STAKEHOLDER SUPPORT! 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 POSSIBLE OBSTACLES! 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 16

17 ADDRESSING OBSTACLES! Addressing Obstacles:! Identify stakeholders that have an interest in participating! Address assistance requirements! Distribute information in an appropriate format! Provide/obtain support for networking and communication structures! Enable stakeholders to organize themselves more effectively and identify common positions! Provide/obtain training! Technical training! Policy development training! Lobbying Techniques! Communication and Advocacy! Strategy development! Financial support provided?! Transparency must be ensured DEVELOPING A STAKEHOLDER INVOLVEMENT POLICY! 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 17

18 DEVELOPING A STAKEHOLDER INVOLVEMENT POLICY! Get in Early! Relationship-building takes time! Trust, mutual respect, understanding! Portrays a proactive approach! Signals stakeholders that their views are considered important! Provides an opportunity to influence public perception! Sets a positive tone! Be clear upfront that there are still! Can stand as a predictor of potential issues and risks 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 18

19 DEVELOPING A STAKEHOLDER INVOLVEMENT POLICY! 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 ENGAGEMENT OF STAKEHOLDERS! 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 19

20 STAKEHOLDER INVOLVEMENT POLICY: SAMPLE TABLE OF CONTENTS! 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 20

21 STAKEHOLDER INVOLVEMENT POLICY: SAMPLE TABLE OF CONTENTS! 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 subgroups 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! 6) Timetable! Participatory processes! Joint decision-making! Partnerships undertaken with local communities, NGOs, or other project stakeholders! Outline dates and locations for Stakeholder engagement activities! 7) Resources and Responsibilities! Outline what staff and resources to committed 21

22 STAKEHOLDER INVOLVEMENT POLICY: SAMPLE TABLE OF CONTENTS! Sample Table of Contents! 8) Grievance Mechanism! Outline the process by which people affected by the project can bring their grievances to management! How and by whom will they be resolved?! How will the response be communicated back to the complainant?! 9) Monitoring and Reporting! Outline how stakeholders or third-party monitors in the monitoring of project impact and mitigation processes will be incorporated.! Outline how and when the results of stakeholder engagement activities will be reported back to affected stakeholders as well as broader stakeholder groups! 10) Budget! 11) Contact Information Action Plan Development and Strategic Implementation UNITAR Mustofi Fellowship Hiroshima, Japan February