Worksheet 1. Evolution in Planning: Toward New Ways of Thinking
Worksheet 2. The Contents of a Strategic Plan for Forest Use and Conservation
Worksheet 3. Questions to Define and Clarify the agency's Mission
Worksheet 4. Improvement Goals to Support Mission Elements
Worksheet 5. Cross-Cutting Improvement Goals: The Institutional Factors
Worksheet 6. Assigning Priorities to Improvement Goals
Worksheet 7. Guidelines for Writing Objectives
Worksheet 8. Actions in Support of Objectives.
Worksheet 9. Major Issues to be Negotiated.
Worksheet 10. What Problems Can an Agency Predict in Implementation?
Worksheet 11. How Will an Agency Monitor, Evaluate, and Adjust its Planning?
Worksheet 12. Guidelines for Effective Brainstorming.
Worksheet 13. Guidelines to Clarify the Statement of a Problem.
Worksheet 14. Strengths and Weaknesses, Opportunities and Threats.
Worksheet 15. Constructing Problem Trees.
Worksheet 16. The Logical Framework.
Worksheet 17. Force-Field Analysis.
Worksheet 18. Constructing a Comparison Matrix.
Worksheet 19. Role Playing.
Worksheet 20. Checklist of Information Needed in Maps.
Worksheet 21. Designing a Social Assessment.
Worksheet 22. Issues in an Environmental Assessment.
Worksheet 23. Frameworks of Benefit-Cost Analysis.
Worksheet 24. Exercises for Forecasting and Futures Analysis.
Worksheet 25. Participation in the Different Stages of Planning.
Worksheet 26. Proposing a Set of Participation Activities.
Worksheet 27. Schedule of the Participation Activities.
Worksheet 28. What Goes Into a Participation Plan?
Worksheet 29. Issues in Multi-Level Planning.
Worksheet 30. Issues in Working With Other Agencies.
Worksheet 31. Attitudes and Behaviors of People Who Are Good Negotiators
Worksheet 32. Goals, Compromises, and Alternatives in a Negotiation Framework
Worksheet 33. The Physical and Emotional Climate for Negotiation
Worksheet 34. Successful Behavior in Conflict Conciliation and Mediation.
Worksheet 35. Rewards and Threats for the Agency's Top Executives.
Worksheet 36. Evaluation of Team Skills for Strategic Planning.
Worksheet 37. Action Teams for Plan Implementation.
Worksheet 38. Questions to Guide a Management Review.
In each row, check the column (left or right) that best describes the prevailing philosophy in the agency. Is it traditional? Or is it moving towards the new thinking? Each member of the planning team should answer individually. Then, compare and discuss your points of agreement and disagreement.
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TRADITIONAL PLANNING: PLANNING AS CENTRAL CONTROL (TAKING POWER) |
NEW THINKING: PLANNING AS RECOGNIZING/SETTING ROLES, RESPONSABILITIES AND BENEFITS |
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Planning is the government's blueprint to move the country in directions proposed by government planners. |
Planning is the government's method of learning how it can support local communities, private enterprises, and other non-governmental interests. |
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Planning concentrates on economic growth. Its framework and tools are mainly those of economics. |
Planning tries to harmonize economic growth, social equity, and environmental quality. Its frameworks and tools are highly multi-disciplinary. |
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The product of a planning exercise is a document called a "plan." |
Planning does not always lead to a formal "plan." Alternative products of planning include organizational charts, budgets, and memoranda on desired actions. |
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Governments first establish high-level policies, and then draw up plans to fulfill them. |
Policies and plans are mixed and overlapping. Policies are impractical without attention to how they will be implemented (i.e., through planning). |
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Planning is about inventing an entirely different and wonderful future (a Utopian dream). |
Planning moves forward in small and incremental steps. Planning creates a better future by working to overcome practical problems in the present. |
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The planning team spends most of its time in the office to study documents and write a plan. |
The planning team spends most of its time in other agencies and with interest groups to learn what they want, and why. |
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The main responsibility for planning is with professional planners, who prepare plans for the chief administrator. |
The main responsibility for planning is with your director, who calls upon the whole organization to contribute to the planning. |
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Planning is a sequential and hierarchical process that ends when a plan is officially approved. |
Planning is a circular and iterative process of many simultaneous actions, and it never ends. |
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A good plan can take years to write. |
Writing a plan take just a few days. But it can take months of fact-finding, meetings, and consultations to know what to put into it. |
Evaluate the agency's current planning document for forests. Does it contain the following elements? Use check marks, and then discuss with others in the planning team.
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Executive Summary |
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Opens with introduction by the minister, director, or other high-level executive |
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Gives brief statements of goals and expected benefits. |
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Highlights (very briefly) new or modified policies, institutions, programs, projects, and budgets to reach the goals. |
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Background and Scope |
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Defines the planning period, and states when and how the planning was done. |
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Describes relationships with other planning and plans (past, present, future). |
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Describes composition of planning team(s), and acknowledges all sources of collaboration and support. |
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Contributions of Forests in National Development: Present Situation and Future Possibilities |
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Summarizes the situation (problems, trends, opportunities) in forest resources (but puts most details into appendices) |
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Highlights the importance of forests in national policy according to functional areas such as: (1) economic contributions, (2) social and cultural contributions, and (3) environmental contributions. Note: Keep this brief by using tables, graphs, and charts to summarize. |
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For each of the functional areas, discusses (i) current issues and problems, and (ii) future possibilities. Strongly emphasizes inter-sectoral support (forests in relation to agriculture, energy, parks and protected areas, industry and commerce, tourism, education, and so on). Note: Keep this focused and brief. |
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Strategic Directions |
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Recommends strategic directions (actions and policies) to break constraints, fill gaps, and make progress towards the selected goals. Discusses how the priority goals for forests contribute to priorities at top national levels. Describes and quantifies (when possible) benefits and costs of the recommended strategic directions. Note: This is the core of the plan, and it deserves corresponding attention. |
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Implementation Plan |
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Presents requirements for re-organization, budget, personnel, and training to implement the initiatives (often presented as tables or matrices). |
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Proposes when and how the plan will be reviewed and evaluated. |
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Note: This part of the document usually does not circulate widely. Sometimes, it is included in the appendices. |
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Appendices |
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Includes supporting materials (forest statistics, maps, consultants' reports, budget projections, and so on). |
An organization's mission is the broad general reason for its existence. Answer the following questions, first individually and then in group discussions. This can be helpful at both national and decentralized levels. It can provide the focus for workshops that convene leaders from other agencies, NGOs, community groups, industry associations, and other interest groups.
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1. What are our principal functions and services? In other words, why does our organization exist? What is unique about us? 2. What are our priority programs at the present time? What do we spend the most money on? What activities occupy the most personnel? Should this be changing? How and why? 3. What philosophical issues are most important in our organization? (related to public image, environmental matters, division of public and private activities, and so on) 4. What interest groups do we principally serve? Is this what is intended by existing legislation, national development plans, and policy statements? 5. What groups and individuals do we not serve well? What are the reasons for this? 6. With what organizations do we compete or overlap (public and private), and in what ways? 7. In what ways are we different and the same than these other organizations? What are our special capabilities and strengths? And what are our weaknesses? 8. For functions and services that we provide now, which could be transferred to other agencies, private enterprises, NGOs, and community groups? What are the advantages and disadvantages of this (for each case)? 9. What is different about what we do now as compared with five years ago? 10. What will (or should) be different about our mission five years in the future? |
This can be the format of tables the agency distributes to groups and individuals who participate in workshops and planning. For elements in the agency's mission, use this format to specify success factors and improvement goals. The framework applies at both national and decentralized levels. (For an illustration, see Box 6 in the text.)
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Mission Element. |
Success Factors |
Improvement Goals |
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Copy from the mission statement |
Key problems to be fixed or opportunities to be tried. Identify each item with no more than a few words. Limit to just a few key factors for each mission element. |
Keep the statements short. Focus on what, but omit when and how. You can have several goals for each success factor. (He may need more paper than it is provided here.) |
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Many things that need to be improved are institutional factors like leadership, working relationships, professional capacity, and public image. Make and photocopy a worksheet similar to this one (but specific to the agency circumstances). These issues can be sensitive, and an agency needs to be very careful how it conducts this exercise. Encourage participants to state improvement goals that lead to constructive actions. What specific improvements are needed?
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Issue (Questions and Problems) |
Improvement Goals |
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1. Quality of Leadership and Vision in the Organization |
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2. Quality of Vertical Relations Between Forestry Agency and Top Government Authorities (i.e., cabinet level) |
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3. Quality of Vertical Relations Between National and Subordinate Units (e.g., regional and district offices) |
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4. Quality of Horizontal Relations Between Forestry Agency and Other Functional (Sectoral) Agencies |
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5. Quality of Legal and Regulatory Framework and Instruments |
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6. Capacity in Policy Analysis and Programming |
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7. Capacity in Budgeting and Financial Management |
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8. Capacity to Collect, Process, and Use Information (forest inventories, production statistics, market and trade data, etc.) |
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9. Capacity of Field Staff (e.g., to implement programs and projects) |
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10. Quality of Relationships with Private Industries |
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11. Quality of Relationships with NGOs (social, environmental) |
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12. Quality of Relationships with Rural Communities |
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13. Quality of Relationships with News Media |
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14. Other Issues |
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This should be clear in relation to the goals stated in Worksheets 4 and 5. Each administrative level should make its own choices before sending them for review at higher levels.
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LEVEL 1 - Absolute Highest Priority. Urgent and imperative; demanded by the highest levels; our survival depends on this. |
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1.......................................................... |
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2.......................................................... |
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3.......................................................... |
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LEVEL 2 - Necessary for Improved Performance. Vital for effective growth; important in the long run; will contribute to our progress. |
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1.......................................................... |
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2.......................................................... |
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3.......................................................... |
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LEVEL 3 - Desirable. New approaches; responses to outside suggestions. |
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1.......................................................... |
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2.......................................................... |
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3.......................................................... |
Study the existing planning document to determine if its objectives are well written. Does each objective meet the criteria listed below? Use check marks to help you. Leaders of planning teams should refer to this checklist when they help planning participants write objectives.
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The Statement of an Objective Should Met The Following Criteria...... |
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It starts with the word "to" and is followed by an action. |
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It states what and when; it purposely avoids why and how. |
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It is consistent with higher-level roles and missions. |
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It states one result to be accomplished. |
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It states a result that can be verified (i.e., observed, demonstrated, proved) |
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It is specific and quantifiable (when possible). But it avoids useless measures and false data. |
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It is realistic, but it represents a significant challenge. |
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It is easy to understand. |
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It is very clear about who has the responsibility for implementation. It avoids ambiguous and dual accountability. |
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It facilitates constructive discussion regarding how to assess performance. |
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For people who are not good at stating objectives, how can the agency help them? Consider workshops, training courses, and the like. |
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For each objective, list the actions to support it. Who has the responsibility for each action? And when will the action be completed? (For an illustration, see Box 8 in the text.) Budget requirements is not shown in this table, although many planning teams include them at this stage. (One may need additional paper.)
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Objective: | ||
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Action |
Responsibility |
Time Frame |
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No. |
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No. |
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This worksheet helps an agency organize issues that need to be negotiated. Photocopy it for the individuals in the planning team. (For an illustration, see Box 9 in the text.)
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Objective: | |
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Issues That Need Negotiation |
With Whom Is Agreement Needed? |
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With respect to carrying out the actions in the plan, what may go wrong? And what will an agency do to avoid or minimize these problems? Use this worksheet to help the agency focus on these questions. (One may need additional paper.)
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Actions (from Worksheet 8) |
Potential Problems |
Strategies to Avoid or Minimize These Problems |
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No. |
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No. |
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No. |
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No. |
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From the beginning, the agency needs to consider how and when it will evaluate the successes and failures of its planning. Ask each planning participant to answer the following questions. Then compare and discuss the responses.
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1. For the improvement goals within a functional area, who will be responsible for monitoring progress and problems? |
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2 What information and records will the agency need in order to evaluate successes and failures? And what steps is it taking to insure that this information will be collected? |
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3. What is the agency's schedule for evaluation? What factors could change this? |
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4. How will the agency actually use the results of it monitoring and evaluation to help it adjust its goals and strategies? |
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Use this worksheet to decide how the agency will set up and summarize its brainstorming sessions. Choose a method that fits its context.
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1. Generate Ideas Rapidly · For a given period of time (e.g., 15 minutes), ask the members of your group to call out as many suggestions as they can to solve a defined problem. Do not allow anyone to question or criticize any of the ideas at this stage. · Record these ideas on large sheets of paper where everyone can see them. Record all ideas, even the "crazy" ones. The ideas can be serious or humorous. |
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2. Evaluate the Ideas · Ask the group to define criteria for choosing which ideas they want to explore in more detail (e.g., reasonable cost, political feasibility, legal conformance, etc.). For the problem at hand, what are these criteria? 1............................................................................................................................................ |
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3. Focus Your Attention · Combine, modify, and discard ideas according to criteria in Step 2 preceding. For all ideas that now remain, which one(s) will you focus on? 1...................................................................................................................................... |
An agency can apply these guidelines to sharpen the definition of any problem. Ask each team member to individually complete Steps 1-2. Then, share and discuss the worksheets among everyone (Step 3). At the end, get the group to agree on the final wording of the problem (Step 4).
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Step 1. Answer the following questions (some may not apply): |
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What... |
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· is the opportunity for improvement? |
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When and where.... |
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· does the problem occur? |
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Who..... |
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· wins and loses from the situation as it is now? |
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· wins and loses if the situation can be changed? |
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Why..... |
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· is it important to resolve this problem? |
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How.... |
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· important are the consequences? |
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· much is the cost (financial, political, psychological, etc.) to do something, and not to do something? |
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Step 2: Based on your responses above, write a brief and clear statement of the problem here: |
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Step 3: Discuss what you wrote in Step 2 with other team members. |
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Step 4: Now re-state the problem, based on your discussion in Step 3. |
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Source: Adapted from Clive Shearer, 1994, Practical Continuous Improvement for Professional Services, ASQC Quality Press, Milwaukee, Wisconsin, p. 163-165. |
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An agency can explore the feasibility of any goal or strategy by listing strengths, weaknesses, opportunities, and threats in a simple 2-column table. In the left column, list all strengths and opportunities. In the right column, list all weaknesses and threats. A "threat" is any indication of a future problem or difficulty.
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Improvement Goal or Strategy: | |
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Strengths and Opportunities |
Weaknesses and Threats |
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1.................................................................... |
1.................................................................... |
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2.................................................................... |
2.................................................................... |
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3.................................................................... |
3.................................................................... |
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4.................................................................... |
4.................................................................... |
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5.................................................................... |
5.................................................................... |
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6.................................................................... |
6.................................................................... |
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7.................................................................... |
7.................................................................... |
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8.................................................................... |
8.................................................................... |
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9.................................................................... |
9.................................................................... |
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10.................................................................. |
10.................................................................. |
An agency can show causes and effects in the hierarchy of a problem tree. Begin by listing different problems on small slips of paper. Move the slips around, and draw arrows to link each problem with its causes. Each of these causes is itself a problem that may have other causes underneath it. Continue until you reach the most fundamental causes at the bottom (roots) of the tree. (For an example, see Box 12 in the text.) Practice by constructing problem trees for the following issues (if they are relevant):
1. poor data on forest cover and conditions;
2. costly and careless timber harvesting;
3. insufficient diffusion of agroforestry technologies;
4. insufficient investment in forest plantations;
5. low amount of revenues collected from the public forests;
6. other issues important in your planning agenda.
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Draw your problem tree here: |
The vertical logic of the framework connects a goal at the top with supporting analysis (why, what, how) beneath it. The horizontal logic has summary statements at the left, supported by indicators at the right. This technique has its main applications in project analysis, but also tests the logic of proposed policies and programs. Use these column headings and row headings to test the logic of goals in your strategic planning. (For an example, see Box 13 of the text.) One will need to use additional paper for writing space. The cells are numbered 1-12 to help you organize for this.
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Summary |
Indicators |
Means to Verify |
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Main Goal |
Cell 1 |
Cell 2 |
Cell 3 |
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Why is this goal important? |
Cell 4 |
Cell 5 |
Cell 6 |
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What do you want to achieve? |
Cell 7 |
Cell 8 |
Cell 9 |
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How will yon achieve this goal? |
Cell 10 |
Cell 11 |
Cell 12 |
In trying to reach any goal, an agency takes advantage of helpful factors (the driving forces). It removes or decreases factors that hold it back (the restraining forces). In force-field analysis, it lists these forces and rates their importance and its degree of control over them. It concludes by identifying the key forces on which to focus its action strategies. (For an example, see Box 14 of the text.)
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Importance [Scale 1-5] |
Your Control [Scale 1-5] |
Total |
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Driving Forces: | |||
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1..................................................................... |
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2..................................................................... |
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3..................................................................... |
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4..................................................................... |
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5..................................................................... |
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Restraining Forces: | |||
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1..................................................................... |
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2..................................................................... |
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3..................................................................... |
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4..................................................................... |
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5..................................................................... |
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Cross Impacts: Among the high-rated forces above, which are the most important in explaining others? List them below as a focus for your actions. | |||
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1.............................................................................................................................................. | |||
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2.............................................................................................................................................. | |||
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3.............................................................................................................................................. | |||
Use this technique for multi-dimensional comparisons. Define the options, the criteria for comparing them, and then make the one-by-one comparisons. (For an example, see Box 15 in the text.) Here we show space for five options and four criteria, but you can apply this method with any number of options and criteria.
Step 1: Define The Options (write in a few words).
Option A............................................................................................................................
Option B............................................................................................................................
Option C............................................................................................................................
Option D............................................................................................................................
Option E............................................................................................................................
Step 2. Define The Criteria for Comparing the Options (write in a few words).
Criterion 1. ............................................................................................................................
Criterion 2. ............................................................................................................................
Criterion 3. ............................................................................................................................
Criterion 4. ............................................................................................................................
Step 3. Rate Each Option According to Each Criterion (fill each cell with words, symbols, or numbers to indicate how each option meets each criterion). One will need to use additional paper for writing space.
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Criterion 1 |
Criterion 2 |
Criterion 3 |
Criterion 4 |
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Option A |
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Option B |
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Option C |
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Option D |
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Option E |
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Step 4. Construct the Comparison Matrix. In each pair below, which option is preferred? (in each cell, write the superior option)
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Criterion 1 |
Criterion 2 |
Criterion 3 |
Criterion 4 |
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Option A |
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Option B |
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Option C |
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Option D |
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Step 5. Count the Number of Times Each Option Is Preferred Over Another.
Many of the decisions an agency face in its planning are about conflicting interests, and about winning and losing from different strategic actions. An agency can help members of the planning team understand these consequences if it has them play ("act") the roles of key personalities.
An agency can assign different persons in the planning team to represent an entrepreneur, a speaker for the indigenous group, a logging worker in South Region, the top political official in South Region, the director of the wood products association, the agency's supervisor for South Region, and so on.
Additionally, an agency appoints someone to play the role of the agency's director, and to ask questions such as: "How do you feel about this issue?" "What options should our agency be considering? " "How would you solve this problem if you had the authority to do so? " To make the role playing as effective as possible:
· Make sure that your "theater" is informal and relaxed.· Encourage your "actors" to truly think and speak like the persons they represent. Allow them time to prepare. If this is not going well, make substitutions until the right persons are found.
· Use large name tags so that everyone can identify who is being represented.
· Humor is good, so long as you do not attack the character of the real people is not attached.
Exercise: Play out the drama described above for South Region, and answer the following questions. Or focus on a conflict that the agency is facing now, choose "actors," and begin!
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1. What are the strengths and weaknesses of this approach, based on what you observed? |
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2. If you will repeat this exercise in the future, how can it be improved? Consider place, time, choice of "actors," and preparations. |
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Maps are one of the best methods to display and integrate a large amount of information for strategic planning. Below are examples of information that an agency may want in mapped form. Use check marks to indicate which maps are available and satisfactory. Then, specify additional maps that may be needed, but which are not presently available. Also, which maps are not compatible with each other?
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Climatic zones (precipitation, temperature, evapotranspiration) Political boundaries (provinces, departments, districts, municipalities, etc.) Forest regions (administrative units) What other information does the agency need in the form of maps? And which maps need to be re-made? |
In social assessment, an agency obtains a range of perceptions about who will gain and lose because of alternative plans, policies, programs, and projects. Most often, it does this through rapid rural appraisal (RRA) or participatory rural appraisal (PRA). Below is a framework to help an agency design its assessment. Place check marks to describe issues the agency will investigate, the type of team to conduct the assessment, and the methods it will use.
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1. What Are the Issues The Agency Will Investigate? Increased or decreased use rights on forested lands (tenure and control) |
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2. Who Will Conduct the Assessment? No fewer than three people (to insure a diversity of perspectives) |
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3. What Methods Will The Agency Use? And What Is Its Experience With Them? Key informants (mayors, tribal leaders, association leaders, etc.) |
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Source: Adapted from Karen Schoonmaker Freudenberger, 1994, Tree and Land |
Most parts of the strategic plan will improve rather than harm environmental quality. But an agency cannot take this for granted, especially if the plan proposes road building, forest harvesting, plantation establishment, and other high-impact activities. Here is where an agency needs structured environmental assessments. They give it preliminary indications of environmental problems to be avoided, as well as possible mitigation measures. Which of the following issues are important in the planning? What are the approaches to carry out the assessments?
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In Reforestation and Plantation Development: Soil erosion and compaction from site preparation In Natural Forest Management: Over-harvesting of rare or endangered species In Road Construction and Use: Changes in vegetation, landscape, and soil along the road corridor In Transforming Raw Materials from the Forest (i.e., at Processing Sites): Siting of processing operations near sensitive habitats (e.g., for fish and wildlife) Other Issues of Importance: ............................................... Source: Adapted from World Bank, 1992, Environmental Sourcebook, Washington, D.C.., Tables 8.1, 8.6, and 8.9 |
Use this worksheet to identify what forms of economic analysis an agency needs for the planning issues it faces. Each member of the planning team should know the strengths and limitations of the methods-possibly through training sessions. These techniques are complex, and their application is a matter for experienced economists.
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Economic Framework |
Applications in Your Strategic Planning |
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Financial Analysis. - Here an agency estimates the private profitability of a proposed action using market prices. Taxes and subsidies are treated as costs and returns, respectively. The analysis takes the viewpoint of individual enterprises and landowners. |
Private profitability has to be estimated for the following proposed actions: |
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Social Benefit-Cost Analysis. - This determines the social attractiveness of a proposed action, using "shadow" or "accounting" prices. Taxes and subsidies are treated as transfer payments. The analysis takes the viewpoint of society as a whole. It values resources that have no market prices, or that have "incorrect" market prices (because of government controls, monopolies, etc.) |
Social BCA is needed where resources have social value but distorted market prices such as in the following proposed actions: |
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Extended Benefit-Cost Analysis. -Social benefit-cost analysis is extended to include as many environmental impacts (both positive and negative) as possible. This requires that you account for on-site and off-site impacts. The agency attempts to recognize and quantify Total Economic Value (TEV) of the forest resources. |
It is important for the agency to focus on TEV in the following proposed actions: |
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Cost-Effectiveness Analysis. - This approach is used when benefits cannot be valued in monetary terms. For a given target in your plan (e.g., number of community meetings in South Region), the analysis specifies the most efficient (least-cost) means to achieve it. |
An agency is able to estimate costs but not benefits in the following proposed actions: |
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Weighted Social Benefit-Cost Analysis. - This method weights benefits and costs according to who pays and who receives. Benefits and costs are weighted heavily if they accrue to favored socioeconomic group (e.g., women, landless people, tribal groups, and so on). Conversely, the agency assign smaller weights to benefits that accrue to "the rich." |
Proposed actions that require specific attention to the distribution of benefits and costs include: |
Assign groups to determine the forecasting needs, and to suggest techniques for making the forecasts. Below the types of forecasts that may be important. Are illustrated. Place check marks to indicate which forecasts are relevant in your context. Use brainstorming (Worksheet 12) to add to and modify this list to fit your circumstances. Then, convene the full planning team to discuss these recommendations.
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Changes in the legal framework for forest protection and management - next 5 years. Your agency's budget and organizational structure - 5 years from today. The availability of skilled foresters, hydrologists, wildlife specialists, and related professionals in your country - 5 years from today. Tendencies in international aid for forest development and conservation - next 5 years (funding levels, program shifts, changing composition of aid agencies). New social and demographic issues in relation to forests - next 10 years. Changes in transportation routes and transportation technology that will affect the area and composition of forests - next 10 years. Changes in agricultural demands and agricultural technology that will affect the area and composition of forests - next 10 years. Emergence of new or larger enterprises that use raw materials from forests and woodlands - next 10 years. Changes in domestic demand for pulp and paper - next 10 years. New markets for non-timber forest products - next 10 years. Changes in the composition and quantity of imported and exported forest products - next 10 years. The physical areas, types, and composition (species, age classes, stocking, etc.) of your country's forests and woodlands - 10, 25, and 100 years from today. Other forecasting needs (and modifications of the preceding topics): |
Below logical sets of participants are indicated in the various stages of the planning. On a separate sheet of paper, write in the names of people who should participate in each stage, including people outside the forestry agency. Distribute this worksheet to other individuals who can also supply names, and then compare your lists.
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Planning Stage |
Appropriate Participation |
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Pre-planning: | |
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Sets out planning terms of reference, planning budget, guiding philosophies, and identifies team leader(s) |
Director of forestry agency. |
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Selected regional directors. |
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Selected cabinet officials. |
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Selected agency directors, other "sectors." |
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Leaders of organized interests, wide mix |
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Initiation: | |
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Identifies issues, designs participation plan, defines special background studies and anal |
Director of forestry agency. |
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Selected regional directors. |
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Selected agency directors, other "sectors." |
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Leaders of organized interests, wide mix |
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Agency's mission: | |
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Clarifies who the agency is, and what it does |
Director of forestry agency. |
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Selected regional directors. |
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Selected agency directors, other "sectors." |
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Leaders of organized interests, wide mix |
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Goals and objectives: | |
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What will be improved, when, by whom, an how much? |
Director of forestry agency. |
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All directors of regional and subordinate office |
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Selected agency directors, other "sectors." |
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Leaders of organized interests, wide mix |
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Action strategies: | |
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Compare alternative actions in terms of benefits and costs, fairness, and environmental aspect |
Director of forestry agency. |
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All directors of regional and subordinate offi |
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Many agency directors, other "sectors." |
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Selected cabinet officials. |
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Leaders and members of organized interests, wide mix. |
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People speaking as citizens, e.g., citizens advisory groups |
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Negotiate issues: | |
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Seek agreements, compromises, and cooperation |
Variable, depending on the issues at stake |
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Strategy implementation: | |
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Implement scheduling, budgeting, training, reorganization, and so on |
Director of forestry agency. |
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All directors of regional and subordinate offices |
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Monitoring and evaluation: | |
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Check progress and problems, and adjust missions, goals, objectives, and strategic activities |
Director of forestry agency. |
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All directors of regional and subordinate offices |
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Selected agency directors, other "sectors." |
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Leaders of organized interests, wide mix. |
The agency needs to define participation activities in the planning. Normally, these activities correspond to the desired flows of information from the agency to the participants, and from the participants to the agency (Box 19 in the text).
Photocopy the following worksheet, and propose one activity (or event) per sheet. Each participant can fill in several worksheets. Then discuss these ideas as a basis to combine, modify, and organize them. The Agency will develop the participation schedule and workplan from this information (see Worksheets 27-28).
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Participation Activity or Event |
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1. What is it? (briefly describe) |
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2. What does the agency need to achieve with it? (purpose) |
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3. When should it occur? (calendar dates, or before or after other events) |
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4. Who will be responsible for it? (which person?) |
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When everyone has agreed on the participation activities (Worksheet 26), an agency needs to organize them in a logical schedule. The agency can distribute blank forms of this worksheet to members of the planning team. Ask each individual to propose a schedule, and then compare the ideas.
Normally, the agency will need to add details in appendix pages. Each appendix page should summarize the activity, the purpose to be achieved, the time schedule, and the person responsible for implementation (i.e., present the details from Worksheet 26).
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Planning Stage:_________________________________________________________________ |
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Activities and Events: |
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1.............................................................................................................................................. |
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2.............................................................................................................................................. |
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3.............................................................................................................................................. |
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4.............................................................................................................................................. |
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5.............................................................................................................................................. |
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6.............................................................................................................................................. |
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7.............................................................................................................................................. |
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8.............................................................................................................................................. |
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9.............................................................................................................................................. |
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10............................................................................................................................................ |
Please review the following guide when an agency prepares its participation plan. Directly or indirectly, the plan should address each of these topics, although the agency may prefer some other sequence of presentation.
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Summary of initial visits and consultations ("fact finding "and "scoping"): With whom did you discuss the proposed strategic planning? (Give names, dates, and circumstances.) |
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Forestry agency, central office |
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Forestry agency, regional and other subordinate offices |
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Other government agencies, institutes, committees, etc. |
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Cabinet officials |
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Leaders of organized interests |
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Members of organized interests |
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Citizens (not representing groups) |
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Major issues likely to arise in the planning: Briefly identify concerns, interests, and positions. Comment on the intensity of feelings. |
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Etc. |
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People to participate in the advisory committees: Gives names and reasons for the people you recommend to be on the technical committee and the citizens committee (where appropriate). Who should be the chairpersons? How will the committees interact with the agency? |
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Technical committee: (names, backgrounds, chairperson, reporting mechanism) |
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Citizens committee: (names, backgrounds, chairperson, reporting mechanism) |
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Strengths and weaknesses of the forestry agency to conduct participatory planning: Consider personnel, external relationships, previous experience, etc. Where there are weaknesses, what can be done to overcome them? Consider outside guidance, contracted specialists, assistance of other institutions, etc. |
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Schedule of participation activities: This should show the projected sequence of participation activities and events through all planning stages, including periodic reviews (see Worksheet 27.) |
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Means of recording the participation: How will your agency keep a complete and accurate record of the participation it will receive? Consider careful attendance records, appointing people to take notes, use of tape recorders, and so on. |
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Proposed budget: Prepare itemized budget for the planning to include travel and communications, rentals of meeting places, secretarial services, specialists' services, report production and distribution, and other direct and indirect expenditures. |
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Use this worksheet to think about how to coordinate strategic planning for forests at national, regional, and lower (province, district, and municipal) levels. Allow each member of the planning team to answer the questions individually. Then meet to compare the responses.
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Scope and authority: 1. Which sub-national offices will participate in the planning, and when and how will their participation take place? 2. How will the national and sub-national offices coordinate efforts in the early fact-finding stages of the planning? 3. What are the terms of reference for each of the participating sub-national units? Who will prepare them, and when? 4. How can your agency's director fully empower the sub-national units in the planning? |
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Resources for planning: 1. Indicate what an agency can do to strengthen planning resources at sub-national levels in terms of: (i) planning leaders, (ii) advisory committees, (iii) meeting facilities, and (iv) support budgets. 2. Can planning resources be shared, such as between the national office and regional offices? Between regional offices and district offices? |
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Mechanisms to accommodate disparities: 1. Which regions, districts, etc., are most disadvantaged for the planning? In what ways? 2. What special attention do they need, and how will this be provided? |
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Mechanisms to coordinate bottom-up initiatives with national policies: 1. What will be the opportunities for the sub-national planning leaders to meet personally with the national planning team and the agency director? 2. What will be the process of bottom-up submission and top-down review of the sub-national plans? |
Inter-agency support is needed in order to establish credibility, win political support, and connect with other planning efforts by the government. Use the following questions to guide discussions about how to invite participation from other agencies.
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1. In view of the issues that are likely to arise in the strategic planning, which other agencies, institutes, directorates, and commissions need to be your partners? (for each agency, state the reasons for including it) 2. Exactly what does an agency need from each of the agency representatives that they will work with it? (be specific by agency and by name of the official, if possible) 3. What is the agency's strategy to involve these agency representatives in the planning? (Who will participate in design of the planning? In technical advisory committees? In period planning reviews? In inter-agency task forces? In other ways?) 4. What is the agency's record of successes and failures in working with other agencies? What are the reasons for this? (try to be specific in each case) 5. If its efforts to collaborate with other agencies have not worked well in the past, does the agency have new approaches that may help it overcome old obstacles? (if yes, what are they?) 6. Are there new government groups with whom it has not worked previously that the agency should be contacting how? Who are these new groups, and why does the agency want them to participate with it in the planning? 7. In what ways, if at all, will the agency have to adjust its procedures or share its authority if other agencies participate with it? 8. What will the agency do to get participation from the highest administrative levels (where appropriate) rather than from officials of lesser authority? 9. Does the agency anticipate a confrontation with any of the agencies it intends to invite? What will the agency do to avoid or mitigate this? (link this with conflict negotiation, CH 4) When an agency concludes with these questions, it lists the officials of other agencies that it wants to invite as partners in the planning, specify their roles, and indicate how and when they will be contacted. Assign responsibilities for this. Source: Adapted from J.L. Creighton, 1981, The Public Involvement Manual, Abt Books, Cambridge, MA, pp. 159-164 |
When there are conflicts in front of the agency, uses this worksheet to assess the attitudes and behaviors for negotiation to succeed. Check the boxes for attitudes that are observed: and for attitudes that are not observed, what can be improved?
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Helpful Attitudes and Behaviors |
Explanation |
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The people in the conflict try to preserve a positive relationship with the other side. |
In most cases, your long-term relationship is worth more than your immediate issue. |
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The people in the conflict are good listeners. They force themselves to seek and understand the other side's viewpoint, even when that viewpoint is contrary to their own. |
The agency improves your arguments by paying careful attention to the challenges of your opponents. This promotes discipline and organization so that you will not miss key points. |
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The people in the conflict are constantly looking for opportunities to cooperate. |
People who want to continue conflicts can always find ways to do so. It is far more challenging to create opportunities for agreement. |
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The people in the conflict seek the most favorable times and places to communicate. |
The agency cannot settle conflicts in an uncomfortable setting, or where one side has a clear advantage. |
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The people in the conflict show a large amount of respect for their opponents. |
The "other side" is a valued resource, and you use it to increase your information and to refine your arguments. |
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The people in the conflict encourage a free flow of diverse ideas, especially during their preparations. |
This increases the number and diversity of available options. |
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The people in the conflict are not afraid to consider that their ideas and positions may be wrong. |
This helps you stay realistic, flexible, and ready to redefine arguments in revised terms. |
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What Can Be Improved About Attitudes and Behaviors So That Negotiations Can Succeed? | |
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Use this framework to carefully frame the negotiation problem before an agency sits down with the individuals in the conflict.
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Goals and Expectations: |
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1. What is the agency's understanding of the negotiation goals of the other persons(s), especially those whose interests are most different from its? |
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2. What is the agency's ideal goal in this negotiation? (the best result it can get from it) |
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3. Complete the following statement: "At the end of this negotiation, the agency will be very pleased if................... |
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4. When and how will the agency modify these expectations as the negotiation moves forward? |
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Compromises and Tradeoffs: |
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1. What does the agency need from the other person(s), and what is it prepared to trade for it? |
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2. What is the value of each compromise to the other person(s), and what is its cost to the agency? |
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3. Can the agency rank the possible compromises by priority? (i.e., from most to least acceptable) |
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Alternatives and Options: |
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1. Has the agency invested sufficient time and effort to develop as many negotiating options as it needs? |
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2. What does the agency know about the options of the person(s) on the opposite side of the argument? (i.e., few or many, weak or strong, etc.) |
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3. Does the agency have a clear and workable "walk away" position in case the negotiation should go badly for it? |
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Has the planning team answer these questions about the negotiating climate. Does it create comfort and confidence? Or anxiety and frustration?
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1. The Physical Climate: With respect to the negotiation in front of it..... | ||
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· How can the agency use the physical environment so that participants feel comfortable and confident? (Consider: place, time, room size, seating arrangement, dress, food and drink, special guests, etc.) | ||
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· Should the agency negotiate at an alternative site that offers a more productive setting for the discussions? (What is its alternative, and why does it recommend it?) | ||
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· If the agency has no choice but to meet in a place that is not fully satisfactory, what specific things can it change so that the environment will be more comfortable? | ||
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2. The Emotional Climate: Answer "yes" or "no" to the following questions about the negotiation leader. Does the leader contribute to a positive emotional climate by: | ||
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No |
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· Allowing for a free flow of discussion points? |
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· Making the participants feel equal rather than inferior? |
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· Expressing interest in all viewpoints without judging them? |
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· Showing interest in what people say and feel (empathy)? |
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· Avoiding early conclusions and generalizations? |
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· Admitting "I don't know" (when appropriate)? |
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3. Needed Improvements: If the agency frequently marked "No" above: What can it change about the negotiation leader, or about the way the discussions take place? | ||
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Source: Adapted from R.A. Johnson, 1993, Negotiation Basics: Sage Publications, London, pp. 144-147. | ||
This checklist shows qualities that usually work well in conflict mediation. If the agency is asking someone to help it mediate a conflict, use this worksheet to evaluate whether that person shows the desired characteristics.
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A good mediator: Separates the people from the problem (i.e., does not personalize the argument) Focuses on satisfying the interests behind the positions Precisely states the areas of agreement and disagreement Interprets the immediate conflict in terms of its long-term implications and its connection to other issues Gets all the issues into the open (i.e., leaves no secrets that can destroy an agreement at a later time) Quickly learns the motives and desires of each person in the dispute, and learns what each of them has to trade Separates complex issues into their component parts so that each part can be discussed individually Develops many alternative options (courses of action) for each disputed issue Finds an alternative to the destructive method of attack and counter-attack Assists each side of an argument to expand and clarify its ideas Speeds up or slows down the discussion in order to achieve an appropriate pace Asks questions in a neutral manner that does not offend or insult Disagrees constructively and politely Helps everyone advance their thinking towards logical conclusions Asks for criticism and advice, and gratefully accepts that which is offered Source: Adapted from P. Casse, 1992, The One-Hour Negotiator, Butterworth-Heinemann Ltd. Oxford, pp. 102-106 |
Focus on how to make strategic planning a rewarding activity for the agency's director and other top executives. What can the agency do to maximize the rewards and minimize the threats?
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What can the agency do to encourage the agency's director to take a lead role in the design of the strategic planning, and to be positively recognized for this? |
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What can the agency do to learn exactly what the director wants from the planning? How can it set up the planning so that these needs will be met? |
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How will the agency keep the director informed of progress and problems during all stages of the planning process? |
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How will the agency give the director positive recognition for the successes that come out of the planning process? |
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What else should the agency do to create a positive administrative and psychological setting so that the agency's leaders will gladly claim "ownership" of the planning? |
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How does the agency rate its planning team in terms of the skills it needs for strategic planning in forest use and conservation? Where skills are weak, what can be done to improve them? (Answers may need to be kept confidential if they will cause people to be jealous or defensive.)
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Skills |
Who Will Supply These Skills in the Planning Team? (names of those persons) |
What Should Be Done to Upgrade These Skills? (training, practice, etc.) |
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Leadership |
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Forest protection and management |
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Communications |
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Participation methods |
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Conflict negotiation |
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The agency relies on action teams to observe progress and problems for each of its improvement goals. The composition and responsibilities of the action teams should be determined before the main planning effort comes to an end. Normally an agency will have several action teams, each of which should complete this worksheet.
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People in the action team (usually 3-5, including people not in the forestry agency): |
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1 Team Leader.................................................................................................................. |
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2........................................................................................................................................ |
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3........................................................................................................................................ |
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4........................................................................................................................................ |
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5........................................................................................................................................ |
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Purpose of the action team (this statement should be developed by the team itself, not by the agency's administration): |
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This team has the following responsibilities: |
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Meeting schedule (and topics for the first meetings, if possible): |
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This team will meet, as follows: |
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Source: Adapted from I. Mayo-Smith and K Rather, 1986, Achieving Improved Performance in Public Organizations, Kumarian Press: West Hartford, CT, pp.: 96-97. |
This worksheet will help an agency evaluate successes and weaknesses in its planning framework and process. It can lead to practical improvements for the rest of its current planning cycle, or for the design of the next one.
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1. Which skills (i.e., knowledge and capacities) have been strongest and weakest in the planning? (Consider leadership, technical knowledge in forestry, communications, participation, and conflict negotiation.) What are the agency's recommendations to build up the weakest areas while not compromising its strengths? 2. If the planning has been carried out in different groups or teams, which groups have realized the most success? What factors separate the successful planning groups from the others? What lessons can be learned from this? 3. Is the agency satisfied with the contributions of the technical and citizens advisory committees? If not, what should it do to make them more effective? 4. Which participants have been most central in the planning, and which have been less involved or overlooked? (Consider subordinate offices of the agency, other government agencies, private enterprises, NGOs, community and indigenous groups, and interested citizens.) What factors explain this pattern of participation? What improvements does the agency suggest, and what is the best way to work towards them? 5. To what extent have the views of the participants shaped the procedures and content of the planning? Conversely, what is still lacking in this interaction? How can the agency improve next time? 6. How well has the agency been able to negotiate conflicts over "Trees and forests for whom and for what?" What negotiating approaches has it relied on? What can be improved, and how? 7. How good or bad were the estimates of budget and time requirements to complete the planning tasks? What were the greatest sources of error? What adjustments should the agency make for the future? 8. Regarding the planning tools (see CH 2), which have been the most useful? Least useful? How can the agency use these tools more effectively? 9. What has the agency done to recognize and reward good performance in planning? Should it continue with this type of recognition, or is there an alternative that it should try? 10. In view of the agency's responses to the preceding questions, what actions will help the agency build up its institutional strength to carry on strategic planning in the future? (Consider agency organization, personnel mix and responsibilities, training possibilities, and the like.) |
