Strategic planning guidelines for National Societies Developing and implementing a Strategic Plan in a National Society

Transcription

1 Strategic planning guidelines for National Societies Developing and implementing a Strategic Plan in a National Society Saving lives, changing minds.

2 Strategy 2020 voices the collective determination of the IFRC to move forward in tackling the major challenges that confront humanity in the next decade. Informed by the needs and vulnerabilities of the diverse communities with whom we work, as well as the basic rights and freedoms to which all are entitled, this strategy seeks to benefit all who look to Red Cross Red Crescent to help to build a more humane, dignified, and peaceful world. Over the next ten years, the collective focus of the IFRC will be on achieving the following strategic aims: 1. Save lives, protect livelihoods, and strengthen recovery from disasters and crises 2. Enable healthy and safe living 3. Promote social inclusion and a culture of non-violence and peace International Federation of Red Cross and Red Crescent Societies, Geneva, 2012 Any part of this publication may be cited, copied, translated into other languages or adapted to meet local needs without prior permission from the International Federation of Red Cross and Red Crescent Societies, provided that the source is clearly stated. Requests for commercial reproduction should be directed to the IFRC at secretariat@ifrc.org. All photos used in this study are copyright of the IFRC unless otherwise indicated. Cover photo: Daniel Cima/American Red Cross. An Ethiopian Red Cross vehicle travels between villages in the Oromiyo region. The recent rainfall has caused many roads to become impassable, thus cutting off access to many villages in need of assistance. Ethiopia, April IFRC secretariat P.O. Box 372 CH-1211 Geneva 19 Switzerland Telephone: Telefax: secretariat@ifrc.org Web site: Strategic planning guidelines for National Societies /2012 E 2,000 Africa zone office Woodlands Road (Off Dennis Pritt Road) PO BOX Nairobi Kenya Telephone: Telefax: zone.africa@ifrc.org Americas zone office Building 221 Jacinto Palacios Cobos street P.O. Box City of Knowledge, Clayton Panama Telephone: Telefax: zone.americas@ifrc.org Asia Pacific zone office The Amp Walk Suite (North Block) No 218 Japan Am pang Kuala Lumpur Malaysia Telephone: Telefax: zone.asiapacific@ifrc.org Europe zone office Berkenye street Budapest Hungary Telephone: Telefax: zone.europe@ifrc.org Middle East and North Africa zone office Brain Power Building Mar Roukoz Street Hazmieh, Beirut Lebanon Telephone: Telefax: info.mena@ifrc.org

3 Strategic planning guidelines for National Societies 3 Table of contents overview Introduction 4 1. Purpose of this guide 4 2. Overview of strategic planning in a National Society 5 Six steps for strategic planning in a National Society Prepare establishing the strategic planning process 11 î What do we need to do before starting the process? 11 î Do we need a strategic planning process? 11 î Are we all on the same page? 12 î Who will do all the work? 13 î How will we manage our strategic planning process? Assess and analyze looking inside and outside the National Society 17 î Where are we? Who are we? 17 î Who is vulnerable in our country? 18 î What is happening around us? 19 î What are our strengths and weaknesses? 20 î Who are we really? Define developing the Strategic Plan 25 î Where do we want to be? (what do we want to achieve?) 25 î What is our purpose? 26 î How do we work? 26 î How will we get there? 28 î What might go wrong? And how can we avoid it? 30 î How will we know when we get there? Agree finalizing, endorsing and disseminating the Strategic Plan 33 î Do we agree on our Strategic Plan? Implement making the Strategic Plan a reality 35 î How will the strategy bring positive change in people s lives? Measure, review and modify assess progress and make changes 39 î How can we know if our strategy is making a difference? 39 î How will we measure progress? 39 î Are we there yet? 43 î What should we change? 44

4 4 > introduction Strategic planning guidelines for National Societies Introduction 1. Purpose of this guide a) An overview for National Society leadership This guide provides an overview of the key aspects of strategic planning in a National Society, based on good practice and learning from around the world. This introduction answers a few key conceptual questions a leader may ask when setting out on the strategic planning journey. This is followed by an outline of common steps that can be followed to lead and manage a strategic planning process. However, this guide should not be seen as a prescriptive instruction to be followed to the letter, but rather as a road map illustrating the different routes that a National Society can travel on the way to the destination of having a relevant, useful, agreed and measureable Strategic Plan. c) A starting point There is a wealth of resources on strategic planning available in bookshops and on the internet, and many organizations whose sole or primary focus is on facilitating strategic planning. Many reference guides run to hundreds of pages, and new ideas are being developed all the time. All this information can be fairly overwhelming and it can be difficult to know where to start. This guide and toolkit provides provide the essential minimum information about managing a strategic planning process, specifically tailored to a National Society context, which we hope will be useful. However, once the decision has been made to embark on the process, it can be very useful to look at some of the more detailed resources available. A selection of resources is listed in relevant sections in the toolkit that accompanies this guide. b) Links to a toolkit of resources and examples for practitioners Each of the steps outlined in the main guide provides suggestions and links to tools and resources for the individuals within a National Society who will lead and manage the strategic planning process. These tools are generally given in boxes at the end of each relevant section, and in some cases specific tools are highlighted within the section. The toolkit incorporating these tools and resources are available on the CD ROM that accompanies this guide, as well as on FedNet (the IFRC s extranet located at where additional useful tools may be added in the future. While these tools should be sufficient, there are also many other methods and approaches available that strategic planning practitioners may find useful to use; in many cases practitioners may also find it most useful to create their own.

5 Strategic planning guidelines for National Societies 5 2. Overview of strategic planning in a National Society a) What is strategic planning? Strategic planning is a leadership-driven process of consultation and reflection to answer three important questions about an organization the ABC of strategic planning: 1 a. Where are we? Strategic planning helps an organization to have a clear understanding of its current situation and capacity, and on the basis of that to define a clear way forward in response to emerging opportunities and challenges in the external environment, while maintaining coherence and long-term sustainability. b. Where do we want to be? It guides the overall direction of an organization by defining its vision and mission. c. How will we get there? It defines the development of prioritized strategic objectives (goals and outcomes) necessary to achieve that vision and mission, and an outline of the best course of action to achieve those objectives. A Strategic Plan is the document resulting from this process and covers the long term (roughly a minimum of three or four years, up to ten years). One of the main functions of the Strategic Plan is to guide and influence the development of more detailed planning at the operational level. Therefore, a Strategic Plan is a key reference for project/programme managers when designing, implementing and evaluating a Red Cross Red Crescent intervention. Operational planning is the process of determining how the strategic goals and outcomes defined in the strategic plan will be achieved on the ground. This is often done by taking one or figure 1: The relationship between strategic and operational planning in the IFRC Experience gained from operations influences strategy development Experience gained from operations influences programme development more priority areas identified in the Strategic Plan and developing specific and detailed plans for projects 2, programmes that last from a few months up to two years. Appropriate planning for the continuation, development or improvement of long-term services 3 that National Societies provide (for example support to blood donation, health clinics, first aid training and early warning systems for disasters) should also be developed. The combination of these projects, programmes and services may be consolidated in the form of an overall operational plan. In order to translate strategic objectives into practical results, the additional lower level objectives (outputs and activities) necessary for the achievement of the identified goals and outcomes need to be defined. The activities identified need to be scheduled (in a work plan), along with their costs (in a budget), how the work will be funded (in a resource mobilization plan) and Strategic planning Operational Strategy 2020 National Society Strategic Plans (4-6 years) Overall National Society operational plan (1-2 years) Programmes and projects Services The broad direction of a Strategic Plan guides operational planning Broad programme directions guide project and service development 1 See John M. Bryson, 2011 referenced in toolkit section A A project is defined as a set of coordinated activities implemented to meet specific objectives within defined time, cost and performance parameters. A programme is a set of coordinated projects implemented to meet specific objectives 3 A service is defined as a long-term activity for vulnerable people, the resources for which are sustainable, and for which the National Society reports to its membership and is accountable to its constituency.

6 6 > introduction Strategic planning guidelines for National Societies Beginning the new Strategic Plan provided the trigger to review our current plan, to look at what had been achieved and what is still appropriate. It forced us to engage with all our stakeholders in a number of different ways which was useful for planning but which also resulted in additional benefits. I have found it an exciting and empowering process that has brought our whole organization together. This in turn has meant the nature of our future direction has been influenced by all those people who have a role in achieving our identified aims. We are all working together. President of a National Society 4 Branch is being used in this document to refer to an intermediary structure between national and community levels. Different terms (such as Chapter and Unit) are used in some National Societies for the similar organizational structures. 5 As defined in the Framework and principles for building strong National Societies see next page. who will carry out the work (see the IFRC Project/programme planning guidance manual section 6, towards implementation, p. 42). The relationship between strategic and operational planning is also a cyclical process, with the experience from operational planning being used to inform strategic planning, and strategic planning then informing the future general direction of operational planning. b) Why do strategic planning? Why should a busy president or secretary general commit valuable time and resources to a strategic planning process? What are the practical results for them, for staff in a branch 4 or a volunteer in the community? When designed and conducted by a National Society for its own reasons and its own benefit, strategic planning can achieve a number of very real and practical results; some of the most important ones are: ÔÔ Demonstrate leadership and give direction: Strategic planning is an important tool for senior figures in governance and management of a National Society to demonstrate leadership and give direction with a clear sense of purpose, integrity and strategic vision. Leadership skills involve assessing and understanding the trends in the external world and within the organization. Strategic planning is the vehicle by which we balance these different aspects in a dynamic change process, for the benefit of vulnerable people. It is this aspect of strategic planning which will enable leaders to tackle the challenges that will confront humanity in the new decade (Strategy 2020, p. 4). ÔÔ A vision that unifies and motivates: The vision created by successful strategic planning process can unite and inspire volunteers, staff, senior management and governance. It enables everyone to look up from their day-to-day work and understand the larger purpose of their individual efforts. Ultimately, working towards a compelling vision can lead a National Society to increased achievement and a more powerful role in society. ÔÔ Improving organizational effectiveness: Having a comprehensive Strategic Plan is the key to building a strong National Society 5. This is because it enables governance and management to make better decisions on the National Society s overall direction. These decisions are based on a coherent framework of priorities, capacities, competencies and consensus. It can help the National Society achieve a balance between what it would like to do and what it must do. ÔÔ Mobilizing resources: A Strategic Plan can clarify a National Society s identity and priorities, and this can help marketing and fundraising. Evidence of strategic thinking can increase the National Society s credibility and the confidence of its donors, who will be more willing to invest if they can see how their inputs will contribute towards larger goals.

7 Strategic planning guidelines for National Societies 7 ÔÔ Empowering a National Society to negotiate its partnerships: It is a fundamental concept within the International Federation of Red Cross and Red Crescent Societies (IFRC) that National Societies are responsible for managing their own development and that external partners and other National Societies should respect its priorities and objectives. A Strategic Plan makes these priorities explicit. Partners have a clear framework in which to align their support according to the needs of the host National Society and not the other way around. In this way, a good Strategic Plan is the basis for effective operational planning with partners. ÔÔ Balancing change with continuity: Strategic planning can help a National Society, particularly its leadership, recognize the need for change. But it can also identify and support the values of continuity. This can be especially useful if the National Society is about to enter a period of turbulence, when parts of the National Society must continue their work whilst the leadership focuses on specific priority issues. ÔÔ Clarifying roles and managing expectation: There may be high or even unreasonable levels of expectation within government or the public as to a National Society s capacities or role. A strategic planning process, by involving all those who have an interest in the process, can help align high expectations to a National Society s mandates, capacities and plans. A Strategic Plan document can also be a useful dissemination tool to help manage expectations. c) Why align and link with Strategy 2020? Strategy 2020 was adopted by the membership of the IFRC at its General Assembly in November The strategy reflects the collective determination of National Red Cross and Red Crescent Societies to tackle the major challenges confronting humanity in the next decade. It encourages National Societies to formulate their strategic directions based on Strategy 2020, in the context of the needs and vulnerabilities in their local communities. Similarly, Strategy 2020 provides direction to the figure 2: Strategy 2020 house summary Vision 2020 To inspire, encourage, facilitate, and promote at all times all forms of humanitarian activities by National Societies, with a view to preventing and alleviating human suffering, and thereby contributing to the maintenance and promotion of human dignity and peace in the world.* Strategic aim 1 Save lives, protect livelihoods, and strengthen recovery from disasters and crises Enabling action 2 Pursue humanitarian diplomacy to prevent and reduce vulnerability in a globalized world Strategic aim 2 Enable healthy and safe living Strategic aim 3 Promote social inclusion and a culture of non-violence and peace Enabling action 3 Function effectively as the IFRC Enabling action 1 Build strong National Red Cross and Red Crescent Societies *Article 4 (General object), Constitution (2007)

8 8 > introduction Strategic planning guidelines for National Societies Our strategic planning process marked the start of our sweeping reforms. It was a huge process relying on leadership, process and people. Every activity would go under the microscope. Every aspect of operations would be affected. Every staff member would find their working life changed. There was a more integrated, consistent approach to supporting members and volunteers with fundraising, information and communication needs. Secretary general of a National Society Strategic planning for us meant recognizing the need to drive internal reform, uncover new fundraising streams, strengthen our existing donor base, improve our budgetary planning and reserves policy, increase our volunteer pool, focus strategically on our core strengths, reduce duplication and identify more cost effective ways of doing business. Secretary general of a National Society 6 Endorsed by the 23rd Session of the Governing Board, Geneva, Switzerland, April 2011, available on FedNet page buildingstrong-nationalsocieties/ secretariat in setting its operational priorities in support of National Societies. The strategic framework of Strategy 2020 (the vision, aims and enabling actions and expected impact) is a dynamic framework that is responsive to differing contexts and changing circumstances. It invites all National Societies to engage with creativity and innovation in order to interpret or translate it into the national or local context. It serves as an agreed starting point from where National Societies who wish to engage on a strategic planning process can orientate themselves. The content within the framework also provides further navigation points for a National Society engaging in a strategic planning process. National Society or branch Strategic Plans developed on the basis of Strategy 2020 may well end up with a structure quite different from the strategic framework of Strategy However, maintaining a link with the overall drive of Strategy 2020 towards doing more, doing better, reaching further and the main elements included within the strategic framework will help both to guide the strategic planning process in National Societies, and result in more coherence across the IFRC and the wider International Red Cross and Red Crescent Movement in terms of conveying who we are, and practicing what we do. A thorough and detailed analysis was carried out during the process of developing Strategy The main conclusions are summarised in section 2.1 (and pages 7-9 in the Strategy 2020 document itself), and may be useful for National Societies to refer to when embarking on their own analysis for their own Strategic Plan. d) How strategic planning helps build strong National Societies Enabling Action 1 of Strategy 2020 seeks to build strong National Red Cross and Red Crescent Societies. It is the foundation stone on which all the successes of Strategy 2020 will be built. It is of particular relevance to the strategic planning process, which aims to maintain or improve the internal strengths of a National Society. There are many close links between building strong National Societies, organizational development, capacity enhancement and strategic planning. It should not be thought, however, that strategic planning and organizational development are synonymous. The Framework and principles for building strong National Societies 6 defines the processes through which Enabling Action 1 will be realized. It sets out the definition of a strong National Society as follows: one that is able to deliver country-wide, through a network of volunteer-based units, a relevant service to vulnerable people sustained for as long as needed. It goes on to state: a National Society can only become strong through its own, systematic work, led by a dedicated and convincing leadership. It emphasises the centrality of strategic planning to the process of National Society development: Systematic work starts with a clear strategy and plan. For a National Society to become strong, it needs an overall strategy setting out its objectives and services covering a period of at least four or five years. To realise its overall strategy and deliver its workplan [operational plan], the National Society will also need a self-development plan which outlines the needed organizational development and capacity expansion work. National Societies are always changing. A planned change process, utilizing strategic planning as an entry point for defining the next stage of a society s evolution, is called organizational development (OD). OD is work done within a National Society by its leaders to change what exists. The aim is a major increase or improvement result[ing in] a new quality a modification of structures, delivery systems or services including the adaptation of the organization to a new situation. Once a National Society acquires the right leadership, structure, systems, and services it is potentially fairly stable and sustainable. It has reached a turning point. The National Society can then gradually grow bigger by improving and duplicating or expanding

9 Strategic planning guidelines for National Societies 9 what already exists. This is known as capacity enhancement and recognizes that all communities and the National Societies which emerge from them have pre-existing capacities that can be built upon. As explained in detail in step 2 in the following section, the strategic planning process should include a detailed organizational and external assessment and analysis (where are we), on the basis of which it should define the strategic vision of the National Society s future as well as the mission (where do we want to be) and strategic priorities that describe how the society will achieve this mission (how will we get there). Depending on the results of the assessment and analysis, the National Society can decide whether the strategic priorities and self-development plan would focus more on organizational development, capacity enhancement, or consolidation of strengths already achieved. Strategic planning can assist a society to identify the steps that will lead it into either organizational development or capacity enhancement. This can be done primarily though building on the internal and external analysis carried out, and integrating questions related to organizational development and capacity enhancement into the phases of the process that look at defining where we want to be and how will we get there. Characteristics of successful strategic planning The process should produce a Strategic Plan that inspires the staff and volunteers; the leadership must champion the process and resulting plan, and communicate it whenever possible The leadership plays a crucial role in ensuring that it is an internal process driven by, and for, the National Society A strategic planning process should not be driven by external partners agendas, expectations or resources (though these can be seen as significant opportunities) Individuals within the leadership should involve staff, volunteers and beneficiaries in the development of the strategy External consultants or advisors should remember that their role is to advise and facilitate. They should not be overly influential in the process, nor write the plan In order to be effective, a National Society s Strategic Plan should be a document that sits at the heart of the organization s activities. It guides the direction of programming, capacity building, communications, partnerships and fundraising. Strategic planning can be used in this way as an adaptable process to support leadership to build focus and commitment during any of these phases of organizational self-development.

10 10 > six steps for strategic planning Strategic planning guidelines for National Societies Ricci Shryock/IFRC

11 Strategic planning guidelines for National Societies 11 Six steps for strategic planning in a National Society The six steps This section sets out a flexible framework of six steps to guide a strategic planning process in a National Society. In most cases, when starting a strategic planning process from the beginning, following these steps in order will help to provide a logical structure to the process e.g. analyzing the current situation before planning what to do in the future. Once the process has started, it may often be useful to go back to a previous step and explore one particular aspect in more detail, for example to look again at specific conclusions about the current situation as future plans began to take shape. The six steps are as follows: 1. Prepare: establishing the strategic planning process 2. Assess and analyze: looking inside and outside the National Society 3. Define: developing your Strategic Plan 4. Agree: finalizing, endorsing and disseminating the Strategic Plan 5. Implement: making the Strategic Plan a reality 6. Measure, review and modify: assessing progress at different stages. Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 1 Prepare establishing the strategic planning process ÔÔWhat do we need to do before starting the process? In this first step, leaders and participants of the strategic planning process will understand the benefits of developing a Strategic Plan, and that this development is a participatory process of reflection, consultation and action by leadership and other stakeholders analyzing where the National Society is now, defining where it would like to be in the future, and how it intends to get there. The main aims and related questions for this step are: 1. Affirm the rationale and purpose of the process Do we need a strategic planning process? 2. Ensure that there is widespread commitment to and ownership of the process How much understanding and commitment is there to the process? 3. Identify participants and assign roles and responsibilities Who will be involved? 4. Design the process, including information gathering and consultation methods, and the models and tools used for analysis, the timeline and budget How do we want to manage the strategic planning process, do we need an external facilitator? How long will it take? 1.1. The rationale and purpose of the strategic planning process ÔÔDo we need a strategic planning process? In order to ensure a successful strategic planning process, the National Society needs to affirm the rationale and purpose for the process, and ensure that key stakeholders within the National Society are committed to the process. The reasons should be clearly defined and understood within the leadership

12 12 > six steps for strategic planning Step 1 Strategic planning guidelines for National Societies We pay a lot of attention to information exchange processes where we invite branch people including volunteers, secretaries, staff and leaders to review what s actually been done to help us set up the next phase for the organization s development. It s very important to use a number of means to have interviews, round table discussions, seminars and workshops where we exchange information on what we need and what we should do to better serve the people, especially the vulnerable. Secretary general of a National Society of the National Society and communicated at all levels. This should lead to a firm commitment within the National Society to engage in the strategic planning process. At this early stage it is also important that the option of not conducting a strategic planning process is considered. It may not be the right time, for various reasons such as lack of commitment, funding, too soon after a recently completed change process, or lack of sufficiently qualified staff to lead and manage the process effectively. In these cases, proposals should be made of how to address these issues and by when a strategic planning process could be embarked on. Discussion and agreement can often happen during normal governance and management meetings, as long as sufficient time is set aside to discuss the issue. It may also be useful to organize a dedicated workshop or retreat for senior leadership and other stakeholders. If it is agreed that a strategic planning process is needed, an outline of the strategic planning process and the rationale for it should be communicated through the National Society, prior to consultations with the branches. TOOls and resources Tool 1.1 Do we need a strategic planning process? Tool 1.2 Example outline of an initial internal consultation Tool 1.3 Example timeline for a strategic planning process Tool 1.4 Example agenda for a preparatory workshop 1.2. Commitment, ownership and consultation ÔÔAre we all on the same page? Commitment How useful a strategic planning process is remains highly dependent on the leadership of a National Society. No National Society should begin a process of strategic planning without the full commitment of the leadership at both governance and senior management level. Staff and volunteers will also need to be involved in, and committed to, the process as they will be asked to help shape the Strategic Plan and its implementation Ownership An important characteristic of success is the feeling of ownership throughout the organization for the strategic planning process and resulting document. Without this, it will seem pointless and irrelevant to staff and volunteers daily work and experiences. If the leadership does not believe in the value of strategic planning, it will not insist on a thorough process, will not feel ownership of the resulting strategy, and will not push for its implementation Consultation Within the Movement, successful strategic planning Top down strategy combines a top-down with a bottom-up approach. Top-down strategies are policies and strategies approved by the IFRC General Bottom up planning Assembly and Governing Board, by regional conferences, and by National Societies own governance bodies. Bottom-up planning starts with vulnerability-based planning at the community level and moves up through branch planning to National Society planning (see step 2 for more detail). The vision, guidance, analysis and management of leadership are combined with a responsiveness to local vulnerability and capacity, as articulated by Strategy Consultation is a vital part of this process. It involves negotiation and exchange between representatives at all levels of the National Society. Genuine consultation may raise and address challenging questions. It is the qualities of the leadership that determine how

13 Strategic planning guidelines for National Societies 13 well these are reflected and addressed in the Strategic Plan. Exactly how consultation will be carried out needs to be examined carefully, and relates to who will be involved and with which roles and responsibilities (see section 1.4.1) Establishing responsibilities for managing the process ÔÔWho will do all the work? Like any process, a dedicated planning team is required to manage the development of a Strategic Plan. There are two main aspects to the management of the process: key decisions to be made, and the practical actions that have to be carried out in order to reach and implement those decisions. For this reason, it may often be useful for the planning team to consist of two groups a strategic advisory group to oversee the process (normally including more senior members of governance and management), and a strategic working group to organize and carry out the practical activities. It may also work better in some contexts to have a single group handling all aspects of the process, with different individuals taking on either advisory or practical roles. Whatever structure is created, key stakeholders at all levels of the National Society should be well represented, including those working at branch and community levels. It is also useful to designate a coordinator within the working group to lead the process internally, and act as the main point of contact for people from the branch level and outside the National Society. Below is a summary of the main tasks to be completed during the strategic planning process, and suggested role and responsibilities for an advisory group and a working group. Approaches to consider Establish a strategic advisory group and a strategic working group Designate one or member of the working group as a coordinator to be the primary internal facilitator(s) of the process, including carrying the process to the branch level Establish focal points in branches/districts. Table 1: Key tasks for the strategic planning process with suggested roles and responsibilities Strategy advisory group Strategy working group ÎÎ identify what we want to achieve with the strategic planning process ÎÎ sets objectives and duration of the strategic planning process ÎÎ decide if external facilitation is necessary ÎÎ guide the working group throughout the process ÎÎ review analysis reports ÎÎ participate in workshops ÎÎ report progress to governance ÎÎ share strategic planning process with partners, IFRC, ICRC and government ÎÎ review draft Strategic Plan and submit the final document for approval. ÎÎ identify methodologies that will be used during the process (in consultation with facilitator) ÎÎ review the terms of reference and recruit facilitators and consultants ÎÎ invites participants to be involved in the process ÎÎ mobilize resources required ÎÎ organize field trips, meetings, and workshops ÎÎ collect feedback and review various drafts ÎÎ analyzing and synthesizing the results of the research and assessments ÎÎ drafting the Strategic Plan

14 14 > six steps for strategic planning Step 1 Strategic planning guidelines for National Societies Using modern communications to engage at community level In many countries, there is a huge potential to use modern communications technology to connect with people at the community level. Social media (Facebook, Twitter, blogs and websites), SMS messaging have huge potential and have been used for consultation and beneficiary communication and accountability. Exploring how best to use such methods may be very useful for the strategic planning team. See tools and resources below for further resources on this issue Define the initial methodology, timing, duration and budget of the process ÔÔHow will we manage our strategic planning process? There are many different ways in which a strategic planning process can be managed, and many practical details to be worked out. These practical decisions for example when, where and how consultation meetings will be held have a very significant impact on how the planning process will progress. The strategic planning team should define all key aspects of the process. These include: 1. Define the roles and responsibilities of participants in the strategic planning process 2. Agree on the timing and duration of the strategic planning process 3. Design the process 4. Make a plan and budget for the process 5. Monitor the development of the process 6. Develop effective feedback mechanisms. If there is a separate advisory group, this would normally be closely involved only in the first of these tasks. The other tasks should be handled by the working group, and submitted for approval where necessary to the advisory group. These different tasks are outlined in more detail below Defining the roles and responsibilities of participants in the strategic planning process Strategic planning in a National Society context is a dynamic, interactive and participatory process which requires solid commitment of leaders who have a vision for the National Society to grow and an ability to see the big picture and inspire their staff, volunteers and members to move forward together to achieve this vision. Involvement of staff and volunteers at branch and headquarters levels is indispensable to ensuring a common understanding at all levels of the National Society of what the strategic planning process is trying to achieve. While the specific roles in the strategic planning process may vary in different contexts, some common roles are as follows: Staff and volunteers need to be involved throughout the process in order for it to be meaningful and relevant to the life of the organization. Their understanding of the communities needs, and the ability of the National Society to address these needs are the key to the creation and implementation of a good Strategic Plan. Serious consideration should therefore be given on how to ensure meaningful participation in the process by staff and volunteers at branch and headquarters. The governance of a National Society should initiate and be in charge of the strategic planning process. It is formally accountable for its overall direction and performance, and therefore has a central oversight role within the strategic planning process. Senior management is central to the design and implementation of the planning process, shaping the strategic framework and drafting the Strategic Plan. The personal leadership of the Secretary/Director General is crucial to the success of the entire process. Relevant external stakeholders should also be given the opportunity to be involved in key meetings and discussions, including staff from the relevant offices of the IFRC secretariat, ICRC and sister National Societies, as well as local partners, including working relations in the government. People in the community are the people for whom the entire strategic planning process is aimed to benefit, and therefore their participation in the process, and considering their ideas and opinions, is of vital relevance. Regarding the involvement of people in the community in the consultation it is important to note that to have a comprehensive picture of the perspectives of a range of people who benefit from a National Society s services is a lengthy and complex

15 Strategic planning guidelines for National Societies 15 process. Preferably, existing participatory process should be linked to the strategic planning process for example community leaders or representatives with whom the National Society already has a working relationship could be involved in consultations and meetings, and members of the planning team should include summaries of existing information from participatory consultations within programme areas. The importance of community consultation also means that one should avoid rushed and potentially unrepresentative consultations, therefore if there are few or no participatory processes already on-going in the National Society, it may not be practical or desirable to embark on a very wide consultation at the same time as a strategic planning process. In such cases, it may be useful to include improving such processes as an objective within the emerging strategy, in addition to finding ways to include consultation at the community level during the current process. It is important that specific groups who are at risk of being marginalized during the consultation process are identified (for all of the categories above). Ways should be found to ensure that their views are considered in the process. See the later sections 2.2 on vulnerability analysis and 2.3 on external analysis for more information Agree on the timing and duration of the strategic planning process The strategic planning process should have a definite start and end date. A good strategic planning process occurs during a period when there is sufficient stability within the organization and in the operating environment to ensure that staff are able to take part in the process Design the methodology of the process After identifying the most important stakeholders and relationships, the team should design the planning process in detail. In almost every strategic planning process there will be a number of meetings, workshops, consultations and other events to discuss and reach agreement on the questions outlined above (where are we, where do we want to be and how will we get there). Shorter, sector-specific meetings and focus group discussions spread throughout the strategic planning process tend to be more productive, but normally need to be balanced with larger consultative meetings to look at the broader issues beyond any one sector. Defining how these discussions and consultations will be carried out is an important task for the planning team in designing the methodology of the process, and would normally include: organizing consultative focus group meetings, workshops and other events and collating the results ensuring that research, analysis, consultation and debates are carried out identifying the need for external expertise - selecting appropriate facilitation and consultation support if needed choosing models and tools that will assist with the various stages these may include surveys, interviews, focus groups and plenary discussions, tools such as stakeholder analysis, SWOT analysis see the tools and approaches boxes throughout this document and the toolkit on the CD-ROM for a range of approaches that can be used Make a plan and budget for the process The team should develop an initial plan for the strategic planning process that includes activities, how much time is required for this process, and with what resources. The team leader should coordinate the collection of the relevant information with the team members. Human resource needs, travel costs and workshop costs are among the items that should be included in the budget. How the resource needs will be met also needs to be clear at this stage. It s important to budget for strategic planning and the change management that this implies, for example to allow more face to-face workshops with people affected by change beyond just sending out communications about what we are doing. For a volunteer and member organization change has to be more gradual, because people take time to adjust, and we don t want to lose them. President of a National Society

16 16 > six steps for strategic planning Step 1 Strategic planning guidelines for National Societies IFRC Monitor the development of the process The team must manage the sequence of steps relating to the strategic planning process in the same way as for any other project. Starting with the six steps suggested in these guidelines, it is important to set clear objectives, indicators to measure the progress towards them as well as time-bound targets. For example, one might set the objective of ensure sufficient and meaningful consultation from all branch secretaries, setting a target of a certain number of branch consultations per month, as well as a satisfaction survey to check whether those being consulted feel that their contributions are being properly listened to and acted on Regularly communicate on the development of the process As the process develops, the conclusions and recommendations emerging from different consultations will need to be regularly synthesized and communicated to the participants in the process for reflection and in order to develop consensus. Establishing an effective way to manage this process of sharing and consensus building will be essential to ensuring that the process is truly participatory and leading to a final product for which the entire National Society feels ownership. TOOls and resources The toolkit that accompanies this guide includes a range of tools that will be useful at different points in the planning process. Specific tools are highlighted in the respective sections. In addition there are some tools that will be commonly used throughout the process given in the general resources section, these are available in the toolkit under the following references: Toolkit Section A1 and A2 general tools and resources for facilitating a strategic planning process A 1.1 internal resources related to strategic planning Run a consultative meeting (Cooperation Agreement Strategy toolkit) Organizing a partnership meeting (CAS toolkit) Run a focus group (Vulnerability and Capacity Assessment toolkit) Semi-structured interview guide (VCA toolkit) Review of secondary sources (VCA toolkit) Guidance on data collection and analysis in the Monitoring and Evaluation Guide Resources related to beneficiary communication and accountability. Toolkit Section 1 Tool 1.1 Do we need a strategic planning process? Tool 1.2 Example outline of an initial internal consultation Tool 1.3 Example timeline for a strategic planning process Tool 1.4 Example agenda for a preparatory workshop Tool 1.5 Example of an activity plan for a strategic planning process.

17 Strategic planning guidelines for National Societies 17 Step 2 Assess and analyse looking inside and outside the National Society However, it should be stressed that the quality of the final Strategic Plan will only be as good as the National Society s understanding, assessment, and analysis of vulnerability in this first phase. This will lead to relevant and focused programmes and increased positioning and credibility overall. ÔÔWhere are we? Who are we? In order to make a meaningful Strategic Plan for the future, an accurate analysis of the National Society s internal and external working environments must be made by the planning team. The necessary information can come from statistics, reports, assessments and other documents. Consultation processes with internal and external stakeholders should also inform the analysis. While analysis should happen throughout every step of the planning process, the emphasis on analysis during this step is particularly strong. The planning team may organize public surveys, questionnaires, interviews, focus groups and plenary discussions to achieve this. A confidential interview process with stakeholders is always useful to identify the real issues and to involve those interviewed in the process of planning. Information from programme evaluations, Vulnerability and Capacity Assessments and an evaluation of the last Strategic Plan are important inputs. The IFRC initiatives Federation- Wide Databank and Reporting system and Organizational Capacity Assessment and Certification process are also important elements here; whatever information is available through these mechanisms should also be included in this step (see section 2.4.2). The length of this phase will vary for each National Society, depending on the range and complexity of the issues and of the stakeholder group. The benefits of an extensive consultation or comprehensive analysis phase must be balanced with the need for a short, uncomplicated process that will not lose momentum or direction Analysis behind Strategy 2020 Our changing world: trends 2020 International order Migration Climate change Disaster trends Violence Health trends Science and technology Globalization Communities Volunteering Humanitarian and development system Demographic changes Economic uncertainty Women as a force for change Urbanization Faith and culture As with all good strategic plans, the analysis behind the development of Strategy 2020 was far more detailed and complex in its scope than the resulting document. In looking at who we are and our place in the world, the strategic planning teams and many contributors examined a wide range of issues related to the complexities and challenges in our changing modern world. In particular, the analysis looked at: Changing patterns of vulnerabilities some improvement in broad areas, but combined with some increasing and some new vulnerabilities emerging The humanitarian landscape what is happening in the world of humanitarian and development aid geopolitical trends and changing dynamics connectedness of the world Trends within the Movement the changing roles and capacities of individual National Societies, changing relations The strategic review was really holding a mirror up to the organization and its work. As a result of that review it was clear to us that there were many marginalized and vulnerable groups in the community who were simply not being addressed by Red Cross services and programmes. Secretary general of a National Society

18 18 > six steps for strategic planning Step 2 Strategic planning guidelines for National Societies between National Societies, their IFRC and its secretariat, the influence of changing relations between governments and National Societies, and the changing strategic direction of the Movement as a whole. These complex issues require a clearly defined and common strategic direction and action that will enhance the internal strengths within the IFRC and the wider Movement allowing us to take full advantage of the available opportunities to more effectively prevent and alleviate human suffering. existing reliable secondary sources from other organizations that have carried out such research. If there is not sufficient information available to allow a thorough analysis to take place, it may be necessary to organize activities using participatory research methods (for example based on some of the tools included in the Vulnerability and Capacity Assessment toolkit) 7. Collecting this information may take a few months, but having this information is indispensable to developing a relevant Strategic Plan. Community consultation is very important for us to be informed about their needs. We promote participation for everyone, volunteers, communities, and affected people themselves. We have been informed that local communities have diverse needs. So if we do not go to local communities we will not know of their needs. Survey and assessment allows us, at the central level, to develop sound policies and strategic plans to respond to the needs of communities. Director of disaster management in a National Society A similar analysis would need to be carried out at the national level. A key advantage of aligning with Strategy 2020 is to benefit from the global analysis behind the framework that offers a common foundation to National Society strategic analysis and planning worldwide Vulnerability analysis ÔÔWho is vulnerable in our country? During this phase, existing information on the current and emerging vulnerabilities in the National Society s operating context should be collected and analysed by the strategic planning team and wider consultative group. In the case of National Societies operating internationally and domestically, this analysis would cover both the domestic and international operating context. Key questions for this phase include: Who are the most vulnerable people? What are the main causes of their vulnerability? What are the trends, positive and negative, that will affect vulnerability in future? However, if there are no existing participatory process or practices in the National Society, it may be difficult to develop these skills whilst also managing the strategic planning process. In this case, it may be useful to include the establishment of such processes as part of the new strategy, rather than trying to quickly include some brief and potentially unrepresentative assessment and analysis in the strategic planning process. In this case it may also be worth considering working with other organizations who have experience in this area, in order to collect some information on specific target groups, communities or issues of concern to the National Society. This may also be the first step in building capacity in this area of participatory research. 7 Note that the collection and analysis of information on vulnerabilities is different from consulting with beneficiaries on the development of the strategy (see section 1.4.1), however many of the methods may be the similar and the resulting information may be linked. Ideally, the necessary information about vulnerabilities in the operating environment would come from reliable statistical data from government sources, NGOs and the National Society itself. This should be combined with existing participatory research already carried out by the National Society, or from

19 Name of the National Red Cross Society Strategic planning guidelines for National Societies 19 Carrying out consultations with the community needs to be carefully considered to ensure representative views and opinions. TOOls and resources Toolkit section key resources for step 2, which includes references to: Vulnerability and Capacity Assessment What is VCA How to do VCA VCA toolbox VCA training guide The IFRC Project/programme planning guidance manual provides concise guidance on two tools for vulnerability analysis stakeholder analysis (p.16) and problem analysis (p22). VCA is a much more complete guide The Better Programming Initiative looks at vulnerability from the perspective of communities affected by social and cultural divisions and violence (VCA toolbox p38-46) 2.3. External assessment and analysis ÔÔWhat is happening around us? During this phase, existing information on the National Society s operating environment should be collected and analysed by the strategic planning team and wider consultative group. Key questions to be asked are: What are the resources, capacities and weaknesses of external actors in helping to address vulnerability or alter these trends? What are the main threats to the National Society and its work? What are the main opportunities that could benefit the National Society and its work? External analysis can be broad ranging, and the main focus should be clearly defined in the initial stage. It is often helpful to focus on two areas external stakeholders (institutions, associations and individuals) and external trends: a) Stakeholders Who are our stakeholders? (other than vulnerable people) Which other organizations are working to reduce vulnerability? Which other organizations have an interest in and/or influence on our work? What are our stakeholders priorities, interests and problems? How is our relationship with each stakeholder? b) External trends What are the social, political, economic and environmental trends that may affect vulnerabilities in the future? Which can we influence? Which can we not influence? What are the social, political, economic and environmental trends that may affect our work in other ways? Different contexts may require further external analysis based on different categories, but these would need to be defined according to the particular context. TOOls and resources Tool 2.2a SWOT analysis - external threats and opportunities A simple and commonly used tool for strategic external analysis is the focused on external opportunities and threats Tool 2.3 Stakeholder analysis See also the key resources Project/programme planning: guidance manual, and Project/programme monitoring and evaluation (M&E) guide for other examples of stakeholder analysis tools. Tool 2.4: Example questions to ask external stakeholders Resources section A 1.1 VCA Toolbox secondary data review (VCA toolbox RRS 1 p48) which outlines reviewing analysis documents from external organizations such as UN agencies / World Bank, international and national NGOs, government (individual ministries), relevant research institutes.

20 20 > six steps for strategic planning Step 2 Strategic planning guidelines for National Societies 8 Often the internal and external analysis using the SWOT tool may be split into internal strengths and weaknesses and external opportunities and threats. However, it is often important to look also at internal opportunities and threats. Crescent Society Name of the National Red 2.4. Internal assessment and analysis ÔÔWhat are our strengths and weaknesses? The overall objective here is for the National Society to assess its own capacity and performance so as to determine the best approaches for their self-development. This is also the general objective of the Organizational Capacity Assessment and Certification (OCAC) process, and therefore any National Society engaged in that process should use that as the basis for their Strategic Plan (see below for more detail). Internal analysis should address these basic questions: What are the main strengths (and opportunities) within the organization? How can they be built on and maximized? What are the main weaknesses (and threats) 8 within the organization? How can they be reduced and overcome? What is its unique competence: what can it offer that others do not? What needs to change to be able to meet the new challenges and trends in vulnerability in the external analysis? Part of the information that the planning team should look at when carrying out the internal analysis should always include: Reviews/evaluations of the previous Strategic Plan that were carried out Large-scale reviews and evaluations of programmes carried out over the past years Audits and financial records Internal and external annual reports. It will also include a number of different facilitated discussions, with individuals, in groups and sometimes without workshops or other organized events. Exactly how these discussions are organized and facilitated will need to be designed for each individual context by the strategic planning team (including external facilitators) Organizational culture An important aspect of internal analysis is considering the organizational culture that exists within the National Society. Within the internal operating environment, a National Society s culture is the climate in which people act, including the norms, values, behaviours and the unwritten rules that exist alongside formal mechanisms. Given the power of an organization s culture to help or hinder progress and change, it is important to identify the main characteristics of the National Society s culture, and to examine how these should be supported or changed. What are the strengths and weaknesses of the organizational culture and how should these be developed for the betterment of the National Society? Is the internal culture participatory and consultative enough, and are innovations and suggestions welcome at all levels? It should be noted that it is important to get the views of all levels of the National Society during this internal analysis stage. Exploring the National Society s strengths and weaknesses may require honesty, open debate and a willingness to hear and learn from criticism from within. This is often an indication that a meaningful and fundamental internal analysis is taking place and that the leadership really wants to strengthen the National Society. Are the voices of vulnerable people sought and listened to, and do they have a platform in the National Society and contribute to changes in policies and practices? If governance has carried out a self-assessment of its own capacity, what are the recommendations for areas of improvement? Organizational Capacity Assessment and Certification (OCAC) The Organizational Capacity Assessment and Certification process (OCAC) is a key tool developed by the IFRC secretariat to