actionaid alps 2006
TRANSCRIPT
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 1/48
A P P R A I S A L S
AlpsAccountability,Learning andPlanning System
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 2/48
Our visionA world without poverty and injustice in which
every person enjoys their right to a lie withdignity.
Our mission To work with poor and excluded people to
eradicate poverty and injustice.
Our valuesActionAid International lives by the ollowing
values:
ó Mutual respect, requiring us to recognise
the innate worth o all people and the value
o diversity
ó Equity and justice, requiring us to work
to ensure equal opportunity to everyone,
irrespective o race, age, gender, sexual
orientation, HIV status, colour, class,
ethnicity, disability, location and religion
ó Honesty and transparency, being
accountable at all levels or theefectiveness o our actions and open in
our judgements and communications with
others
ó Solidarity with the poor, powerless and
excluded will be the only bias in our
commitment to the ght against poverty
and injustice
ó Courage o conviction, requiring us to be
creative and radical, bold and innovative
– without ear o ailure – in pursuit o
making the greatest possible impact on the
causes o poverty
ó Independence rom any religious or party-
political a liation
ó Humility in our presentation and behaviour,
recognising that we are part o a wider
alliance against poverty and injustice.
Our International Themes 2005-2010International Theme 1: Women’s rights
International Theme 2: The right to education
International Theme 3: The right to ood
International Theme 4: The right to human security duringconicts and emergencies
International Theme 5: The right to lie and dignity in the ace
o HIV/AIDS
International Theme 6: The right to just and democraticgovernance
Our Goals
1. Poor and excluded people and communities will exercisepower to secure their rights.
2. Women and girls will gain power to secure their rights.
3. Citizens and civil society across the world will ght or rightsand justice.
4. States and their institutions will be accountable and
democratic and will promote, protect and ull human rightsor all.
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 3/48
contents page
Introduction 4
Overview o Alps 5
Key principles 7
Attitudes and behaviours 9
Core elements o Alps 10
Appraisals 12
Strategies 14
- ActionAid International strategy 15
- Country strategies 16
Strategic plans 18
- International themes 20
- Regional and international campaign 20
- International unction 21
- Regions 22
- Programmes (DA/DI) 23
Annual plan and budget 24
Participatory review and refection 26
Annual reports 28
External reviews 30
- ActionAid International 31
- A liate, associate and country programme 32
- International theme 33
- International campaign 33
Peer reviews 34
- A liate, associate and country programme 35
- Governance review 36
Sta climate survey 37
Audit 38
Open inormation policy 42
Other supporting policies 44
Glossary 46
Summary chart o organisational processes 47
AlpsAccountability,
Learning andPlanningSystem
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 4/484
A P P R A IS A LS
Alps-ActionAid International 2006
IntroductionActionAid International’s strategy ‘Rights to end poverty’ rea rms its
commitment to the ght against poverty and injustice. It requires us to release
and ocus our energy and creativity towards the achievement o our common
goals. It demands that in all our relationships we exercise trust, live and share
our values and be accountable or our actions at all levels. It also requires
creative commitment, continuous learning, critical reection and personal
change.
In ActionAid we have multiple accountabilities – to the poor and excluded
people and groups with whom we work, supporters, volunteers, partners,
donors, governments, staf and trustees. Alps emphasises accountability to
all our stakeholders – but most o all to poor and excluded people, especially
women and girls.
Alps is a ramework that sets out the key accountability requirements,
guidelines, and processes in ActionAid International. Not only in terms o
organisational processes or planning, monitoring, strategy ormulation,
learning, reviews and audit but also personal attitudes and behaviours.
Alps denes our standards, not only about what we do but also how we do it.
Alps requires processes and ways o working that are crucial to supporting and
strengthening ActionAid’s rights-based work.
Over the years, we have learnt much rom implementing Alps – inspiring stories
o change and a great deal o honesty and reection about the challenges it
has presented to staf and partners across the globe in its implementation.
The spirit o Alps and what it stands or continues to inspire staf, partners, ourstakeholders and the poor and excluded groups we work with. There is still a
great deal more to be done.
This revision o Alps seeks to remain true to its original intention: to reduce
unnecessary bureaucracy, while retaining core accountability
As ActionAid International moves into a new phase in its evolution, it is
important that we align our systems in support o our International goals and
priority themes. As with the previous Alps document, we will continue to revise
Alps as our experience grows.
The challenge now is to deepen and extend our practice o the principles and
spirit behind Alps which has been re-designed to support our new strategy“Rights to end poverty.” I trust all staf will amiliarise themselves with this
revised Alps and implement it efectively.
Ramesh Singh
Chie Executive
ActionAid International
A P P R A I S A L S
IN T R O D U C T IO N
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 5/48
A P P R A I S A L S
Alps-ActionAid International 2006 5
What is Alps?
Alps is the Accountability, Learning, and Planning System o ActionAid International.Alps – in both the rst edition and this updated version – is designed to:
ó deepen our accountability to all our stakeholders, particularly to the poor and
excluded people with whom we work
ó ensure that all our processes create the space or innovation, learning and critical
reection, and reduce unnecessary bureaucracy
ó ensure that our planning is participatory and puts analysis o power relations and a
commitment to addressing rights – particularly women’s rights – at the heart o all
our processes.
The core elements o Alps are:Principles. Alps seeks to strengthen accountability to the poor and excluded people
and to strengthen commitment to women’s rights. It emphasises critical reection and
promotes transparency. It requires a constant analysis o power.
Attitudes and behaviours. Alps can only be efective i ActionAid staf, volunteers,
activists, trustees and partners hold attitudes and behave in ways that t with our
shared vision, mission and values.
Organisational policies and processes. Alps integrates cycles o appraisal, strategy
ormulation, planning and reviews. Alps also includes auditing processes to urtherstrengthen the accountability o the system. Alps requires transparency in all that we
do; this is described in the Open Inormation Policy.
5
W H A T I S A l p s
O p e n I n f o rm a t i o n P o l i c y
Principles
Attitudes&
Behaviours
Appraisals
Plans
Reviews &Audits
Strategies
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 6/486
A P P R A IS A LS
Alps-ActionAid International 2006
Alps applies to the whole o ActionAid and orms the basis or its partnerships:
ó Alps applies to the whole o ActionAid International including a liates, country
programmes and all parts o the international secretariat. All staf, volunteers and
trustees should reer to it as the core requirement o key accountability procedures
and processes.
ó Alps also orms the basis o our partnership with other organisations. While it is not
expected that all our partners will subscribe to Alps in its entirety, ActionAid will not
be able to enter into partnership with any organisation which states or practices
values and principles inconsistent with those mentioned in Alps. In addition, all
partnerships related to the ow o nancial resources rom ActionAid, particularly
those who manage long term Development Initiatives (DI), should enable
ActionAid to deliver against the requirements o Alps.
ó Alps sets out minimum core requirements and standards. Boards and managers
can go urther (e.g. do more reviews than required) and staf are encouraged to
innovate with new processes but should adhere to the core principles, attitudes
and behaviours set out in Alps.
The overall custodian o Alps is the Chie Executive who will seek approval o the International Board
o Trustees or any substantive changes to the system.
W H A T IS A l
Respect for people,
particularly poor and
excluded people, and
thei r rights, are at th e hea rt of Alps.
Respect or people,
particularly poor and
excluded people, and their
rights, are at the heart o Alps.
“It is absolutely essential that the oppressed participate in the revolutionary
process with an increasingly critical awareness of their role as subjects of the transformation”
Paulo Freire
Gideon Mendel/ Corbis/ ActionAid
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 7/48
A P P R A I S A L S
Alps-ActionAid International 2006 7
Power
Womens’ Rights
Accountability
Key principlesAlps strengthens ActionAid International’s main accountability, which is to the poor and excludedpeople with whom we and our partners work.
ó Alps requires that poor and excluded people take part directly in all processes o
local programme appraisal, analysis, research planning, monitoring, implementation,
research and reviews, including recruiting and appraising rontline staf. Poor and
excluded people have a right to take part in decisions that afect them.
ó Alps requires us to work with poor and excluded people to acilitate their analyses,
respecting and critically engaging with what comes out o it. It means that the priorities
and perspectives o poor people must inorm the decisions made at all levels by
ActionAid and its partners.
ó Alps requires us to work with poor and excluded people, their communities,
movements, organisations to inorm our research, analysis and advocacy.
Alps strengthens ActionAid’s commitment to women’s rights and gender equity.
ó All ActionAid programmes, including those o unded partners, must use gender
analysis and must have components to advance women’s rights. Women must be
centrally involved in decision making.
ó All ActionAid units and unded partners must seek to address women’s rights and
advance women’s leadership within their own organisations.
ó Where gender analysis, women’s rights programming and organisational gender
equity are weak, there must be clear plans to strengthen these. ActionAid will not und
partners who are not at least seeking to improve their work on gender and women’s
rights.
ó ActionAid will actively seek to inuence all allies and non-unded partners to take up
stronger positions and actions in avour o women’s rights.
Alps requires a constant analysis o and action on power imbalances.
ó Power imbalances lie at the heart o poverty and injustice. Power reers to the degree o
control over material, human, intellectual and nancial resources exercised by diferentindividuals, groups and institutions. It also means the power to make decisions
and choices. Rights cannot be truly realised without changes in the structure and
relationships o power.
ó ActionAiders will seek to rst understand personal power: how we make use o our own
power positively in our relationships, in our amilies, in our work. We will seek to use our
power to advance equity and justice, particularly women’s rights.
ó All strategies, appraisals, research initiatives, plans, reviews or reports must have an
analysis o power and clear actions to address power imbalances.
ó Alps requires us to examine ActionAid’s power in relation to partners and communities.
K E Y P R I C I P L E S
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 8/488 Alps-ActionAid International 2006
Transparency
Learning
K EYP R IN C IP LES
We must recognise the power we wield in our alliances to shape positions as
we provide unding and technical advice. Similarly, when we are working with
community-based organisations, we need to be aware o the power dynamics that we
cause (through our relative wealth and status) and recognise how powerul groups
oten deny poor people the right to participate.
ó Alps encourages us to create sustained spaces or poor people to do their own analysis
o power. We must ensure that engagement in Alps processes provides opportunities
or poor and excluded people to challenge and hold us, as well as others, accountable.
Alps aims to simpliy reporting requirements and promote processes which emphasise critical
engagement, mutual learning and downward accountability.
ó Alps aims to optimise staf and partner time spent on critical reection and learning.
ó Alps requires that staf learn with and rom poor and excluded people, our partners
and others so that better decisions about our actions are made and good practices and
solutions can be shared.
ó Alps encourages the use o creative media and alternate orms o communication otherthan lengthy written reports. People’s art, oral traditions, theatre and song are some o
the ways by which people can engage their ull creative talents and develop insights
that surprise, inspire and generate new ways o looking at and doing their work.
ó Alps requires us to learn not only rom our successes but also rom our ailures.
ó Alps reports and documents are approved in most cases by only one level up in the line
management, to prevent unnecessary duplication and bureaucracy.
Alps requires transparency, and the proactive sharing o inormation in relevant orms with all our
stakeholders, particularly poor and excluded people.
ó Alps requires all ActionAid inormation, including appraisals, strategies, plans, budgets,
reviews and reports to be open to all stakeholders, especially poor and excluded
people. It promotes such openness in an active way by requiring translations o key
documents to local languages and promoting visible public sharing o inormation as a
right.
ó Alps requires us to constantly assess what we spend and determine value or money in
relation to the quality o our work and the impact it has achieved. Alps requires us to
make record books public, including nancial inormation, to ensure this assessment is
done with our partners and the involvement o poor and marginalised people.
ó Alps written inormation must be relevant and useul primarily to the people who
produce it, receive it and who need it to make decisions and or learning. It should bewritten in a way that is easily understood by most people and in the language o the
majority o users. No inormation should be required which is not used in signicant
ways – all inormation gathered should receive eedback, acknowledgement, and
clarity on what it has been used or.
ó Alps encourages open inormation through bulletin boards and posters easily
accessible to communities with details o our own plans and budgets.
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 9/48
A P P R A I S A L S
Alps-ActionAid International 2006 9
Attitudes and
behavioursAlps can only be efective i our staf, volunteers, activists, trustees and partners hold attitudes and
behave in ways that t with our shared vision, mission and values. These include:
ó Behaviour that is not domineering or patronising but that genuinely shares power with
others rather than keeps it or onesel.
ó Behaving in a way that genuinely supports those who are excluded to ully participate,
bringing poor and excluded people into the heart o decision-making, rather than
simply inorming and consulting them.
ó Behaving with condence and commitment to address discrimination due to sex, age,caste, ethnic identity, race, colour, class, sexuality, disability, religion and HIV/AIDS
status, in all o our work.
ó Actively seeking to learn rom and build alliances with others who are aiming or
similar goals by diferent methods. In so doing, we are aware that we are not working in
isolation in searching or a lasting solution to eradicating poverty and injustice.
ó Reecting a desire or the best knowledge, even i such knowledge ails to support or
undermines one’s preconceptions, belies or sel interests.
ó Actively seeking to learn rom and share our knowledge, skills and experience with our
colleagues internationally and others working or equity and justice.
ó Demonstrating a willingness to listen, understand and take account o the diferent
cultural, language and communications characteristics o others.
ó Striving to achieve efective communications within ActionAid, recognising that people
are aced with diferent demands and taking initiative in writing and communicating
lessons and experiences which are in accessible ormats and language.
Facilitating behaviour and attitudinal change is a continual process. ActionAid will provide the
space and opportunities to support its staf, volunteers, activists, trustees and partners to examine
contradictions, personal behaviours and values. This will require diferent approaches, including
coaching, mentoring and eedback mechanisms.
A T T I T U D E S &
B E H A V I O U R S
“Knowing others is intelligence Knowing yourself is true wisdomMastering others is strengthMastering yourself is true power.”
Tao Te Ching
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 10/4810 Alps-ActionAid International 2006
Other core
elements of AlpsAlps organisational processes
ó Appraisals
ó Strategies
ó Strategic plans
ó Annual plans and budgets
ó Strategic reviews
ó Peer reviews
ó Organisational climate reviews
ó Annual participatory review and reection
processes
ó Annual reports
ó Internal governance annual review
ó External and internal audits
ó Open inormation policy.
ActionAid’s organisational processes and planning cycles are designed to increase the inuence o
poor and excluded people on ActionAid’s work. Plans, budgets and strategies at the grass roots level
are developed with poor and excluded people. These help determine country strategies, which in turn
inuence the overall ActionAid International strategy.
ActionAid works primarily with and through partners. At the grassroots level, programmes are
designed with community involvement at all stages – rom the initial appraisal through the ve-yearly
strategic planning cycle and the annual planning and review cycle. The participatory review and
reection process is a key mechanism promoting the direct involvement o poor and excluded people
and other local stakeholders.
Country programmes, a liates and associates in over orty countries collectively make up ActionAid
International. Each has its own country strategy, developed with its stakeholders every 5-6 years.
Annual plans and reviews guide the detail o work. Participatory review and reections are held
annually at the national level to ensure efective involvement and eedback rom all stakeholders.
External reviews are required at the end o each strategy period. In addition, a peer review o eachcountry by a team composed o trustees and staf rom across the larger ActionAid International is
organised to learn and comment consistency with ActionAid International’s shared core strategies
and policies.
ActionAid International’s work is guided by an international strategy which is agreed collectively
every 5-6 years. It is supported by an international secretariat made up o regions, unctions and
themes. Each o these has strategic plans that explain how each unit works to support the strategy.
International campaigns also have strategic plans and external reviews. Each o these units urther has
an annual review and planning cycle within which participatory review and reections play a central
role. An external review o the whole o ActionAid International is required every ve years.
Audits and climate surveys are carried out periodically to provide additional insights into the health
o the organisation and its various parts. Governance reviews on the perormance o boards are also
carried out by a liates and ActionAid International.
C O R EELEMEN T S
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 11/48
A P P R A I S A L S
Alps-ActionAid International 2006 11
C O R E E L E M E N T S
Strategicplan
Annualreports
Annualplans
PRRPs
Strategicplan
Annualreports
Annualplans
PRRPs
Externalreviews
Strategicplan
Annualreports
Annualplans
PRRPs
Externalreviews
Strategicplan
Annualreports
Annualplans
PRRPs
FUNCTIONS CAMPAIGNS THEMES REGIONS
ACTIONAID INTERNATIONAL
INTERNATIONAL SECRETARIAT
COUNTRY PROGRAMMES & AFFILIATES
of which there are over forty
DEVELOPMENT AREAS AND DEVELOPMENT INITIATIVES,
SPECIAL PROJECTS AND PROGRAMMES
of which there are hundreds
Strategy Annual
reports
Annual
plans
PRRPs
External
reviews
Peerreviews
Strategic
plans Annual
plans
PRRPs
Peer
reviews
Appraisals
Peerreviews Peer
reviewsPeer
reviews
• E x t e r n a l a n d i n t e
r n a l a u d i t
• G o v e r n a n c e r e v i e w •
S t a f c l i m a t e s u r v e y
Open sharing
o inormationis a core Alpsrequirement
detailed in theopen inormation
policy
Appraisals
Alps organisational processes – diagram
ActionAid International is indicated as a red ramework. The diagram shows how all levels o the
organisation t within the ramework o ActionAid International.
The cycles within each
level
• The inner loop o eachcycle shows the annual
planning cycle
• The outer loop shows the
longer strategic cycle
• The arrows between levels
indicate that all processes
at the diferent levels
inorm and eed into each
other
• Where peer reviews are
optional, it is indicated by
a dotted line.
Strategy Annualreports
Externalreview
ACTIONAID INTERNATIONAL
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 12/48 Alps-ActionAid International 200612
A P P R A IS A LS
AppraisalsAn appraisal is an exercise undertaken to explore and understand the contexts, easibility, propositions
and value o any new project, programme or initiative beore they are started. In ActionAid, they are
particularly relevant or starting up any new:
ó Programmes (DA/DI) within countries
ó Special projects
ó New country selection
ó New regional and international campaigns.
All ActionAid initiatives to set up a new programme, special project, new country, regional or
international campaign should go through an appraisal process to assess their value in contributing to
ActionAid’s goals and objectives at diferent levels. The content and detail in each appraisal will vary
and we encourage discretion and exibility in deciding the details.
An approved appraisal document will be the key document on which the decision to start longer-term
work (including the specic work agenda or the rst one or two years o work) will be based beore
a ully-edged strategy (or strategic plan) will be designed or developed. These documents make
recommendations about potential programmes, strategies, partners and key areas o intervention.
They also project nancial and other implications.
A P P R A I S A L S
Extensive community
involvement, oten acilitated
with Participatory Rural Appraisal (PRA) techniques,
is central to appraisals.
A P P R A I S A L S
Aghanistan Community Planning
Meeting
Jenny Matthews, ActionAid
“If you are trying to transform abrutalised society into one where people can live in dignity and hope, you beginwith the empowering of the most
powerless. You build from the ground up.” Adrienne Rich
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 13/48
A P P R A I S A L S
A P P R A I S A L S
AppraisalsPurpose: To determine the relevance and easibility o a new programme, special project,
country, regional or international campaign on the basis o nancial, technical
and political considerations.
Process: The Regional Director will initiate the process or a new country and Country
Director or a new programme (DA/DI) or special project, and Policy Director ornew regional and international campaigns.
Key internal stakeholder groups (including nance, sponsorship, unding a liates
and thematic staf) and external stakeholders (including poor and excluded
members o the community, potential partners, donors and government), must
be involved.
A gender-balanced team will conduct the appraisal. This will include a person
specically assigned to consider women’s rights issues and people who are
experts in the geographic or subject area.
Time to complete: Up to 2 months
Length: 10-20 pages
Approval process: The drat appraisal document will be circulated to key internal/external
stakeholder groups or eedback and comments. These will be identied in the
terms o reerence.
A new country appraisal and any regional or international campaign appraisal
will be signed of by the Regional Director and Policy Director respectively, in
consultation with the Regional Management team and International Directors’
team respectively.
A new programme (DA/DI) and special project appraisal will be circulated to
the appropriate unding country/unction or initial eedback and comments
and discussed by the country senior management team, including nance and
sponsorship staf.
Approval: ó New country selection and international campaigns appraisal by the trustees
ó Regional campaigns appraisals by the CEO and International Directors’ team
ó Programme (DA/DI) and special project appraisal by Country Director and
country management team (national boards in the case o a liates).
13 Alps-ActionAid International 2006
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 14/48
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 15/48
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 16/4816 Alps-ActionAid International 2006
Country strategiesPurpose: To set out clear objectives and strategies that are relevant to the country, and in
delivering the goals and themes o ActionAid’s international strategy.
Process: Country Directors and country management teams will lead the process in
consultation with National Boards o Trustees (in a liate and associate country
programmes), country staf, strategic partners, particularly poor and excludedpeople, and all other relevant stakeholders.
A dedicated team composed o a cross section o staf rom across the
organisation develops the strategy, in consultation with staf and trustees and
other key stakeholders, particularly partners, communities and organisations o
poor and excluded people. The team should have a minimum o 50% women
staf members and include someone with gender expertise. The process
should be open and consultative, with opportunity or every member o
staf to contribute and be heard. A structured consultation process with staf,
communities and partners will be undertaken and their eedback responded to.
The consultation process is managed by the strategy development team
The Regional Director, regional teams and international theme heads must be
involved in the process right rom the start or consultation and contributions to
ensure lessons and perspectives rom country strategies both link to and inorm
the strategic direction o our work at international level and our international
campaigning eforts. The Regional Director will ensure that the Chie Executive
and International Directors have considered and commented upon the country
strategy beore It is approved.
The Regional Director or the National Board, depending upon whether this is or
country programmes or a liates, will approve the nal terms o reerence or the
strategy drating process.
The process o developing a country strategy will be inormed by:
ó Key lessons and recommendations rom the external review o the previous
strategy period
ó A specially commissioned stakeholder survey
ó Lessons and recommendations rom other external DA and programme
reviews
ó Lessons and outputs rom a staf conerence or retreat discussing external
reviews and new strategy
ó External contributions rom selected leaders and experts rom social
movements, civil society organisations and academia.
The country strategy document will include:
ó Context analysis (poverty, social, political, human rights), gender and power
analysis
ó Clear objectives, strategies, approaches, methods and priorities both
or community-based programme work as well as or policy advocacy,
campaigning and lobbying
ó Key expected outcomes
ó How the strategy builds on an analysis o past programme perormance
and learning rom that perormance and poor peoples perspectives and
aspirations
ó What added value ActionAid will bring to new areas o work/issues
16
S T R A T E G I E S
S T R A T EG IES
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 17/48 Alps-ActionAid International 2006 17
A P P R A I S A L S
ó Clear alignment with the international strategy, as well as any linkages and
contributions to the international themes, campaigns and regional strategic
plans
óHow engagement with poor and excluded groups and other keystakeholders will be secured and their views and recommendations
ó Outline o key partners, allies and institutions
ó Clear statement o how ongoing learning, monitoring and evaluation will
take place and processes or developing distinctive competencies
ó Organisational implications and resources required (including sta ng,
type o income and undraising capacity, organisational development and
training)
ó Communications plan
ó Internal governance and board development
ó Funding plan or 5 years, including income projections, type, growth, source
etc
ó Risk analysis
ó Appendices to include a simple ramework or monitoring progress against
the strategy.
Time to complete: About 3-6 months
Length: About 20 pages
Frequency: At least once every 5 years
Approval process: The Country Director and the Senior Management team in the country discuss
and agree beore sending to the Regional Director and the National Board or
approval. The Regional Director organises discussion and endorsement in the
Regional meeting beore approving country strategy. The Chair o the Boardand Country Director present the strategy or the nal approval by the General
Assembly as applicable.
Approval: ó The Regional Director in consultation with the Regional Management team
will approve or an ActionAid International Country Programme
ó The National Board o Trustees will approve or an A liate Country
ó The General Assembly provides nal ratication, in the case o a liates with
general assemblies.
S T R A T E G I E S
“To be serious about rights, we have tobe serious about participation and power”
Robert Chambers
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 18/48 Alps-ActionAid International 200618
Strategic plansActionAid International requires strategic plans or the ollowing:
ó International themes
ó Regional and international campaigns
ó Regions
ó International unctions
ó Programmes (DA/DI).
Strategic plans explain how the international strategy will be delivered by international themes,
regions, unctions, and international campaigns. Strategic plans are also required rom programmes
(DAs/DIs) and these explain how country strategies will be supported at the DA/DI level. Strategic
plans are more operational than a strategy but less detailed than an annual plan.
Strategic plans or international themes, regions, international unctions and international campaigns
outline the key objectives, priorities, planned strategic actions and key expected outcomes towards
achieving goals and objectives in the ActionAid international strategy. They set out the broad
allocation o resources or the plan period and provide the guiding ramework or the annual plan and
budget process.
Programme level (DA/DI) strategic plans address strategic issues at local level and indicate how they
will contribute to the goals and objectives in the relevant country strategy and towards ActionAid’s
international themes. They give ocus to our work at programme level and project how changes in the
lives o poor and excluded people will occur.
Programme Partners who enter into a longer-term programme agreement with ActionAid
International and who already have their own strategy and/or strategic plan in place will not be
required to develop a separate strategic plan. The appraisal and agreement process will set out those
areas o the partners’ strategy that ActionAid International will support as well as agreed areas o
mutual accountability, shared principles and objectives etc. This will be based on the discussions
during the initial period o developing the partnership agreement and/or memorandum o
understanding.
Special projects i.e. national, o cial donor unded projects and or/multi country, regional and
international initiatives and bids will produce strategic plans, budgets and reports as per donor
requirements. These will be negotiated between ActionAid International and the unding partner, in
line with the principles o Alps and in line with the goals, objectives, policies, positions and strategic
priorities set out in international and/or country strategies and strategic plan at the relevant level.
The method o writing a strategic plan will vary with diferent people and places. The lead team or
any strategic plan process should include at least one person with relevant skills and experience to
concentrate on gender and women’s rights issues.
ST RAT EGICPLANS
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 19/48 Alps-ActionAid International 2006 19
The process o developing a strategic plan will be inormed by:
ó Key lessons rom reviews (thematic, country or global or peer reviews,
audits and relevant studies, participatory review and reection processes,
stakeholder perspectives, research and documentation).
The strategic plans will include (except or international unctions):
ó Context analysis (poverty, social, political), gender and power analysis
ó Key priorities or impact, broad strategic actions and expected outcomes
ó How priorities link to, and will be implemented by, the diferent management
units within ActionAid International, as relevant
ó How engagement with poor and excluded groups and other key
stakeholders will be secured and their perspectives and views
ó Key allies, networks, institutions and potential partners at international level
ó Sta ng requirements
ó Communications plan
ó Resource projection and unding plan or 5 years. Include income projections,
type, growth, source etc
ó Risk analysis
ó Appendices to include a simple ramework or monitoring progress against
the strategic plan.
S T R A T EG IC P LA N S
S T R A T E G I C P L A N S
Strategic plans are a
mechanism by which specifc
units and programmes detail
their contribution over fve
years to international and
country strategies. They
provide a ramework or annual plans.
Liba Taylor / ActionAid
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 20/48 Alps-ActionAid International 200620
International theme strategic plansPurpose: The strategic plans or the international themes set out key priorities or impact
internationally. They provide direction to our global work and campaigns;
identiy key priorities or action and analyse linkages to other themes, countries
and campaigns.
Process: International Thematic Heads, with their International Director, will leadthe process, in consultation with core team members and all other relevant
stakeholders, including international unctions and regions. Any country
expected to deliver the thematic objectives must be involved.
Time to complete: About 3 months
Length: About 20 pages
Frequency: Once during each global strategy period
Approval process: The rst drat strategy plan will be circulated to regions, unctions, other
themes and other relevant internal and external stakeholders or eedback and
comments. The nal drat will be ratied by the International Directors’ team or
submission to the International Board.
Approval: Chie Executive, with the International Directors’ team.
Regional and international campaign strategic plansPurpose: Regional and international campaigns add value to other programme work
by addressing policies and practices that are obstacles to achieving ActionAid
International goals.
Process: The Regional Director (or regional campaigns) and International Policy Director
(or international campaigns) will lead the process in consultation with theRegional Policy Head and relevant Thematic Heads and must involve everyone
who is responsible or the theme, region, and unction involved in the campaign.
The strategic plan development and design must also involve communications
and marketing. It is also important to include in the planning all potential allies
and partner organisations and/or representatives o those whom the campaign
aims to benet.
The process o developing the strategic plan will be inormed by:
ó The ActionAid International campaign criteria
ó Lessons and learning rom previous campaigns and stakeholder surveys.
Time to complete: 3 months
Length: About 10-15 pages
Approval process: The drat strategic plan will be circulated to relevant stakeholders or eedback
and comments. The Regional Director/International Policy Director must secure
the agreement o the International Communications Director to recommend
approval o the nal strategic plan to the International Directors’ team.
Approval: ó The Chie Executive, with the International Directors’ team or the
international campaign
ó The Regional Director, with the Regional Management team or regional
campaigns.
S T R A T E G I C P L A N S
S T R A T EG IC P LA N S
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 21/48 Alps-ActionAid International 2006 21
International unction strategic plansPurpose: To clearly dene what the unction will do in support o ActionAid International’s
global strategy
Process: The International Director with direct responsibility or the unction will lead
the process with the involvement o their core team including unction heads
in ActionAid regional and country o ces, a liates and other relevant internalstakeholders.
The strategic plan document will include:
ó Purpose o the unction
ó Brie analysis o internal context
ó Key goals, objectives and broad activities and expected outcomes or the
period
ó Sta ng
ó 5 year resource projection and unding plan
ó Risk assessment
ó Appendices to include a simple ramework or monitoring progress against
the strategic plan.
Time to complete: About 2 months
Length: About 10-15 pages
Frequency: Once in each global strategy period
Approval process: The drat strategic plan must be circulated to the relevant internal stakeholders
or eedback and comments prior to ratication by the International Directors
team.
Approval: The Chie Executive with the International Directors’ team.
S T R A T E G I C P L A N S
“The greatest thing in the world is not so much where we are, but in what
direction we are moving.” Oliver Wendell Holmes
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 22/48
Regional strategic plansPurpose: To clearly dene what the region will do to deliver the ActionAid International
Global strategy and themes at the regional level and to articulate value-adding
regional initiatives and broad strategic actions. They are not meant to summarise
or consolidate country strategy plans.
Process: Regional Directors will lead the process in consultation with a liate and countryprogrammes, strategic partners, themes and unctions and other relevant
stakeholders. Involvement o an international trustee is essential. The drat
strategic plan must be circulated to the relevant stakeholders or eedback and
comments prior to approval.
Time to complete: About 2 to 3 months
Length: About 10-15 pages
Frequency: Once in each global strategy period
Approval: The Chie Executive, with the International Directors’ team.
S T R A T EG IC P LA N S
Alps-ActionAid International 200622
S T R A T E G I C P L A N S
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 23/48 Alps-ActionAid International 2006 23
Programme strategic plansPurpose: To show how each programme (DA/DI) will achieve its own goals and contribute
to the relevant country strategy
Process: The DA/DI Programme Manager is responsible or leading the process in
consultation with poor and excluded groups and other key stakeholders. The
team will include a person competent to deal with gender and women’s rights
issues. The team will work with all stakeholder groups, particularly poor and
excluded members o the community and the major unding partners.
The process should be as participatory as possible and reect stakeholders’
perspectives, ideas, suggestions, aims and commitments. The process will be
transparent at all levels over potential unds, sponsorship arrangements and
decisions about nancial expenditure.
In the case o long-term programmes unded by sponsorship, the strategic plan
will be developed in the rst to second year ater an approved appraisal process.
Partners who enter into a contractual/unding arrangement with ActionAid
International and who already have their own strategy and/or strategic plan inplace will not generally be required to develop a separate strategic plan.
Time to complete: About 3 months
Length: 10-15 pages
Frequency: At least once every 5 years
Approval process: The drat strategic plan must be circulated to the relevant stakeholders or
eedback and comments prior to sign of rom Country Director and/or national
board in a liate countries. Programmes unded by sponsorship must involve
the designated sponsorship ocal person and nance manager in the approval
process prior to sign of.
Approval: ó The Country Director or country programmes
ó The National Board or a liates.
S T R A T EG IC P LA N S
S T R A T E G I C P L A N S
Involving poor and excluded
people, particularly women, in all
elements o the planning cycle is a
central requirement o Alps.
Community process, Magoro, Uganda
Jenny Matthews/ ActionAid
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 24/48 Alps-ActionAid International 200624
Annual plan
and budgets(with expenditure projections or a urther two years)
Annual plans and budgets are required rom all units within ActionAid International represented by:
ó DA/DI/ programmes/special projects
ó Country programmes and a liates
ó Regions
ó
International themesó International unctions
ó ActionAid International (consolidated).
The plan is primarily a tool or management, to enable the systematic achievement o strategic
objectives. It is also a key accountability mechanism with stakeholders.
Annual plans and budgets
should be inormed by
outcomes o review and
reection processes.
Action Aid UK staf conerence, London,
2005
Kristian Buus/ActionAid
P LA N S &B U D G ET
“To make preparations does not spoil the trip.”
Guinea Proverb
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 25/48 Alps-ActionAid International 2006 25
A P P R A I S A L S
P L A N S & B U D G E T
Annual plans and budgetsPurpose: To describe activities and allocate resources (money and people) to achieve the
objectives o strategies and strategic plans
Process: The annual plan should address lessons rom the review and reection process,
other reviews and studies. The management team needs to be engaged as
well as other key stakeholders. At programme level, the process will involvecommunities, partners and other relevant stakeholders. All efort must be made
to involve women and excluded groups in these processes. Trustees and general
assembly members will also be engaged in discussing proposed plans in a liate
countries. The process should encourage critical reection on progress and
challenges aced. Country plans must reer to the international themes and vice
versa. Overly detailed planning is likely to be a hindrance, rather than a help to
improved perormance. It is important to remain open to opportunities to change
or re-direct work plans as circumstances change.
The plan narrative will include:
ó Brie contextual update or country/region/theme, highlighting major trends
and outlook or the plan period
ó Outline o major learning rom review and reection processes, reviews
and other impact assessment material that have inuence on the strategic
objectives or the plan period
ó Denition o major proposed activities and key actions
ó Comments on how the plan contributes to relevant strategies, strategic plans
and themes
ó Commentary on income/expenditure/reserve gures, including comment
on trends, changes, perormance and projections or expenditure/income
gures and re-estimates against budget orecasts in strategies and strategicplans or the two years ollowing the plan period
ó Explanation o changes rom the headline budget gures produced in the
strategy, strategic plan or appraisal document
ó Commentary on undraising and communications plans
ó HR/OD update and sta ng plans, including highlights o staf development
plans
ó Risk analysis.
Timing: September to November
Length: 15 pages maximum
Frequency: Annually
Approval: A liate countries by national board o trustees, country programmes by
Regional Directors. Plans o regions, themes and unctions are approved by the
Chie Executive and the International Directors team. The International Board o
Trustees will approve the organisation-wide plan.
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 26/48 Alps-ActionAid International 200626
Participatory
review andreflectionprocesses(PRRPs)In the spirit o increasing accountability to the poor, our partners and other key stakeholders Alps
requires countries, regions, themes and unctions to carry out a set o participatory review andreection processes on an annual basis.
In essence, Alps asks us to work with stakeholder groups to:
ó Assess what has been done
ó What has been learnt
ó And, within this analysis, articulate what will be done diferently in the uture.
P R R P S
PRRPs should happen
at every level o
the organisation.
Innovative methods
are required to
ensure stakeholder
participation especially
at international level.
P R R P
Jack Picone/ActionAid
“Never doubt that a small group of
thoughtful citizens can change the world. Indeed, it is the only thingthat ever has.”
Margaret Mead
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 27/48
Participatory review and refection processPurpose: To learn and share learning (achievements and ailures) so that we can improve
the responsiveness and quality o ongoing work. To increase our accountability
and transparency to stakeholder groups.
Process: The Unit Head at every level will determine this. The process should be ully
transparent and participative. The process should involve as many stakeholdergroups as possible (including poor and excluded people, partners and donors
and supporters) and provide space or them to express their ideas, priorities
and concerns. Note that involvement o poor and excluded people along with
donors and other stakeholders requires very sensitive acilitating so that all eel
comortable to contribute. For a liate and associate countries, a national level
review and reection process will be conducted with the General Assembly on an
annual basis prior to the annual planning process.
It may not always be possible or teams to meet up with all stakeholders.
Stakeholder surveys, social audit and similar methods o enquiry should also be
encouraged to elicit stakeholder perspectives and views on our work. Funding
patterns and grant decisions, as well as expenditure analyses, need to be sharedopenly.
The lessons and ndings o the review and reection processes and agreed
actions arising should be noted and eed into the annual learning and review
reports.
Frequency and timing:
At least once a year, at the discretion o the relevant managers and their teams, in
consultation with partners and the community groups with whom they work.
Approval: PRRPs need no approval. They should be shared widely by unit heads.
P R R P S
P R R P s
Alps-ActionAid International 2006 27
P R R P s
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 28/48
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 29/48 Alps-ActionAid International 2006 29
Annual reportsPurpose: To share and report progress, income and expenditure, outcomes, lessons and challenges
against the relevant strategy, strategic plan, or appraisal document and reect how the
lessons will translate into subsequent changed actions and plans.
Process: Participatory reviews and reections, together with the cumulative inormation
and knowledge o the management team will orm the basis o the annual report. The relevant unit head leads this process. It is intended to be more than a simple
documentation exercise and should serve to increase transparency and accountability.
Diferent instruments o learning should be used such as participatory review and
reection processes, and any specic commissioned review or learning rom ongoing
monitoring and learning systems.
Content: Only one annual report rom each unit is required and all units should provide guidance
to other units on the type o inormation they require. Ideally, this document should also
su ce or donors and other key external annual reporting requirements.
Annual reports will include:
ó Key areas o progress and outcomes against strategic objectives and work onthematic programmes and global campaigns
ó A summary o “prouds and sorry’s” and key summary achievements, challenges and
lessons should be included
ó A review o nancial perormance, income and expenditure trends, against strategic
objectives and themes and comments on cost versus impact and perormance
ó Progress on developing internal governance and board development, where
applicable
ó The perspectives and testimonies o our key stakeholders in their assessment o
change and ActionAid’s contribution (both positive and negative)
ó Case studies, oral testimonies and stories o change that reect lessons and
outcomes o work during the year
ó Stories capturing what has been achieved as a result o the shit in power
relationships
ó Appendices, as well as the nance tables produced or the annual nance report and
staf development report
ó Financial and quantitative data to back up our analysis o trends, change and
progress
ó Units are encouraged to be innovative on how they wish to report their progress and
lessons e.g. this might be in the orm o a pamphlet, photo essay, poster, CD-Rom, orvideo report.
Length o the report:
A maximum o 15 pages, depending on the nature o the unit i.e. programme, unctional
unit, country, regional, theme or global
Frequency: Country reports by the end o February and theme, unction and other units by the end
o March each year. The global progress report to be produced by the end April and
published and distributed in May.
Approval: By the National Board o Trustees (or delegate) or ActionAid a liate and associate
countries. The CEO or international unction, region and theme reports. The
international Board o Trustees or the ActionAid International annual report.
A N N U A L R E P O R T S
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 30/48 Alps-ActionAid International 200630
External reviewsAt least one independent external review will be carried out beore the end o each strategy/strategic
plan period, resulting in a written report. Other interim reviews may also be commissioned.
External reviews are required or:
ó ActionAid International as a whole
ó ActionAid International a liates and country programmes
ó ActionAid International themes
ó ActionAid International campaigns.
Such reviews are not needed or regions or global level unctions, as they will be evaluated as part
o the global or organisation-wide review. Programmes (DA/DI’s), partnerships and unctions in-
country will be reviewed as part o the country programme or a liate review. All reviews will include
(as applicable) consultations with poor and excluded people and supporters, staf, board members,donors and other key stakeholders.
Note or review processes or:
ó A liate/associate and country programme reviews
ó International theme reviews
ó International and regional campaign reviews.
The review process will:
ó Involve all key stakeholders, especially the poor and excluded people we work with and/
or our supporters
óAssess the impact and changes brought about (positive and negative) in the lives o poorand excluded men, women, girls and boys
ó Assess perormance against strategic objectives set out in the strategy/strategic plan and
in support o ActionAid International’s global goals and thematic priorities
ó Judge the efectiveness o accountability processes to poor and excluded groups,
partners, allies and other key stakeholders
ó Assess the changes in the nature and quality o relationships and partnerships
ó Assess and analyse the costs incurred in work on strategic objectives and international
thematic work vis-à-vis perormance and impact
ó An analysis o nancial perormance as applicable(undraising, sponsorship, income
planning etc)
ó Assess organisational efectiveness and organisational development processes and
outcomes
ó For country and a liate reviews, assess how unctions have perormed vis-à-vis
objectives
ó For country and a liate reviews, assess the internal governance and board development
processes
ó Capture the main learning which should eed into the next strategy/strategic plan.
ó Capture stories about what has been achieved as a result o the shit in power
relationships are critical
ó Set out key recommendations and issues to reect on during the peer review process
and strategy or strategic plan development process.
E X T E R N A L R E V I E W S
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 31/48 Alps-ActionAid International 2006 31
ActionAid International reviewPurpose: This external review assesses perormance against the ActionAid International strategy,
generates learning to improve uture work and makes recommendations about uture
strategic directions.
Process: The Chie Executive leads the process, in consultation with the international trustees and
other relevant stakeholders
A multi-disciplinary team o external reviewers are essential to the process. At least one o the external
reviewers should be a gender specialist. The review team will interact and interace with a sample cross-
section o people and organisations internally within ActionAid and externally (particularly poor and excluded
people and their organisations, and movements that we work with. A separate independent stakeholder
survey will be an integral part o the review process. The review will also take into account all the key reviews
o ActionAid’s work in a liates, countries, themes, unctions and regions. The nal drat o the review
report will be presented to the International Directors team and International Board and discussed at the
International Conerence beore being nalised. A management response to the review report will be an
integral part o the review process
The review process will:
ó Involve all key stakeholders, especially the poor and excluded people we work with
and our supporters
ó Assess the impact and changes brought about (positive and negative) in the lives o
poor and excluded men, women, girls and boys
ó Assess perormance against strategic objectives set out in the strategy/strategic plan
and in support o ActionAid International’s global goals and thematic priorities
ó Judge the efectiveness o accountability processes to poor and excluded groups,
partners, allies and other key stakeholders
ó Assess the changes in the nature and quality o relationships and partnerships
ó Assess and analyse the costs incurred in work on strategic objectives and
international thematic work vis-à-vis perormance and impactó An analysis o nancial perormance as applicable(undraising, sponsorship, income
planning etc)
ó Assess organisational efectiveness and organisational development processes and
outcomes
ó Assess the internal governance and board development processes
ó Capture the main learning which should eed into the next strategy/strategic plan.
ó Capture stories about what has been achieved as a result o the shit in power
relationships
ó Set out key recommendations and issues to reect on during the peer review
process and strategy development process.
Time to complete: 3-6 months
Length o the report(s):
Maximum 15 pages or individual reports. Consolidated report should be no longer than
30 pages. Each report will include an executive summary o key ndings, lessons and
recommendations.
Frequency: In the last year o the strategy period
Approval process: The international Board o Trustees will sign of the terms o reerence and budget and
approve the team and team leader conducting the review.
The Chie Executive, in consultation with the International Director’s team will produce
a management response and present this, together with the external review report, or
approval by the International Board.
Approval: International Board o Trustees.
E X T E R N A L R E V I E W S
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 32/48
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 33/48 Alps-ActionAid International 2006 33
International theme reviewPurpose: This external review assesses perormance against the strategic plan and
generates learning to improve uture work.
Process: The International Director or the theme is responsible or leading the process,
in consultation with the Theme Head and core team members o the theme.
External reviewers are essential, and at least one member o the team should becompetent to examine women’s rights and gender issues. Finance staf should be
involved in developing the nancial aspects o the review.
Drat terms o reerence and methodology must be shared with theme
representatives in countries and regions and with other themes, regions and
unctions. The International Director responsible or the theme will approve the
terms o reerence, budget and composition o the review team.
Time to complete: About 2-3 months
Length o report: Maximum 25 pages
Frequency: At least once in 3 years
Approval process: The drat review report and results will be circulated to:
ó All theme team members and country programmes
ó All regions, themes and unctions
ó Other relevant internal stakeholders
ó Key external stakeholders.
Approval: Chie Executive, with the International Directors’ team.
International campaign reviewPurpose: This external review assesses perormance against the strategic plan o the
campaign and generates learning to improve uture work.
Process: The International Policy Director is responsible or leading the process, in
consultation with Head o the Campaign, and country programmes and thematic
teams involved in the campaign and nance. At least one external reviewer is
essential.
Time to complete: 1-2 months
Length o report: Maximum 15 pages
Frequency: To depend on the overall campaign duration; at least once every two years
Approval process: The drat review report and results will be circulated to key stakeholders within
ActionAid or eedback and learning purposes, including other themes, unctions
and regions.
Approval: The Chie Executive and International Directors’ team.
E X T E R N A L R E V I E W S
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 34/48 Alps-ActionAid International 200634
Peer reviewsPurpose: Peer reviews are required only or country programmes, a liates and associates.
Peer reviews are international reviews o ActionAid’s work in countries with multiple
purposes o accountability and learning, helping to shape uture improvements
and strategies. Peer reviews also have the purpose o discussion and conclusion
o the country review between country management/board and international
management/board. International themes, DA/DI and special projects are
encouraged to conduct peer reviews, designing their own methodology. This is not,
however, a requirement.
P E E R R E V I E W S
Peer reviews are a key
mechanism or ActionAid
International colleagues to
hold each other accountable
to the strategies and standards o ActionAId. Peer
reviews help build a cohesive
organisation and promote
cross-programme learning.
Jack Picone/ActionAid
“It is good to see ourselves as otherssee us. Try as we may, we are never able to know ourselves fully as we are,especially the evil side of us.This we can do only if we are not angry with our critics but will take in
good heart whatever they might have tosay.”Mohondas Gandhi
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 35/48
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 36/48 Alps-ActionAid International 200636
Governance reviewIn the spirit o ensuring accountability, transparency and the integrity o our structures and systems
Alps asks the Board o Trustees to carry out an annual board review and reection on their role as
governors and custodians o ActionAid International.
Governance annual reviews are required or:
ó International Board o Trustees
ó National A liate and Associate Board o Trustees.
Purpose: To assess and improve perormance o the board. To encourage accountability,
identiy required changes and potential new governance initiatives. The review
will enable the board to identiy areas o development and support needs. It will
recognise and reinorce areas o governance success. In addition, this will also
help the boards to establish their annual perormance plan.
Areas o review ocus on:
ó Progress against the perormance plan and key achievements
ó Board as a team (including board sub-committee)
ó Relationship with the management
ó Risk and accountability management
ó Relationship with a liates and associates
ó Lessons learnt and improvement plans.
Process: The review will be in accordance with the Governance Manual and ActionAid
International’s constitution. The Board Development Committee will agree the
Board review process with the Chair o the Board and other board members.
The Chie Executive/Country Director and Head o A liate Development will
identiy an external consultant to acilitate the process. The acilitator will work with the board members individually and as a team or review. Consulting and
getting eedback rom the Chie Executive, International Directors and other staf
who have worked with the board will be essential. A report o the review will be
written up, managed by the Chie Executive/Country Director.
Frequency: Once a year
Length: 5-10 pages
Approval: By the ull board.
P E E R R E V I E W S
“We must use time wisely and forever realize that the time is always ripe to doright.”
Nelson Mandela
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 37/48 Alps-ActionAid International 2006 37
Staff climate
surveyPurpose: The purpose o a staf climate survey is to take stock o the institutional climate
and consider responsive strategies.
Independent climate surveys are required or:
ó Country programmes, a liates and associates
ó ActionAid International globally.
Process: The international organisational efectiveness unction will manage this task or
the global survey o ActionAid International. Each country HR/OD manager orCountry Director will be responsible or individual country surveys. The award o
consultancy to an external person or organisation to undertake the survey/audit
will be decided through a tendering process.
The staf climate survey is both a product and a process. The product is the survey
itsel, which assesses the expectations and perceptions o staf at various levels.
The process involves consultant engagement with all levels o management and
with staf ocus groups, survey implementation, survey reporting processes and
discussions, action planning and ollow up.
The climate survey/audit will include an analysis o:
ó Work acilitation and work environment
ó Policies, systems and support
ó Power and participation (empowerment)
ó Attitudes and behaviour
ó Team building and team unctioning
ó Internal communications
ó Learning and reection
ó Women’s rights and gender equity
ó Leadership.
Frequency: Once every two years
Time to complete: 1-2 months
Approval process: The mix o questionnaire, ocus group and one-to-one interviews will lead to
the development o a drat report which will be circulated to the country senior
management team (International Directors’ team or the global climate survey).
Comments and responses will be incorporated into the nal report.
Approval: Country Directors sign of the nal survey report and ndings or countries. The
Chie Executive signs of or ActionAid International.
S T A F F C L I M A T E S U R V E
Y
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 38/48 Alps-ActionAid International 200638
AuditBoth internal audit and external audit are non-negotiable requirements or the whole o ActionAid
and are a key part o its accountability system
External auditPurpose: To independently examine records, procedures and activities, and provide a
legally valid report outlining the auditor’s opinion on the state o afairs.
External audits are required or:
ó ActionAid International consolidated statutory accounts (every year)
ó A liates, associates and country programmes (as per local law).
Process: An external audit rm is appointed by national boards/international board or
Country Programme Director, in consultation with the Senior Management team.
All books o account, policies, procedures and activities are made available or
scrutiny and all possible cooperation is provided to the auditors.
ó For the audit o worldwide aggregated accounts o ActionAid International,
the Audit Committee has approved an arrangement where country
programmes are subject to a risk-based audit in areas deemed necessary or
the purposes o the audit o the aggregated accounts.
ó Countries to be audited are agreed annually between the international
nance unctions and the external auditors (currently KPMG), then approved
by the International Audit Committee.
ó Audit arrangements are made directly between the country programmes
and the local audit o ce, but the scope o the audit is laid down in the audit
instructions issued by KPMG’s London o ce.
ó Heads o Finance should ensure compliance with local laws and regulations
regarding the conduct o external audits.
ó All country external audit reports should be circulated to the regional
director, regional nance coordinator and international head o audit within
2 weeks o issue.
Approval: Legally authorised signatories.
A U D IT
A U D IT
“Recall the face of the poorest person you have ever seen, then ask yourself if the step you now contemplate is going tobe any use to them.” Mohondas Gandhi
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 39/48 Alps-ActionAid International 2006 39
Internal auditPurpose: The unction is responsible or ensuring the economical, efective and e cient
utilisation o charitable unds and the management o the organisation’s approach to
risk management.
Internal Audits are required or:
ó Country programmes and a liates (every 2 years)
ó International themes (every 2 years)
ó Regions (every 2 years)
ó International secretariat (every 2 years)
ó International unctions (based on risk criteria).
Processes:
ó The international internal audit team undertakes a nancial and operational
audit o every country programme, a liate, associate and regional o ce and
international thematic programme at least once every 2 years, based on an
annual work plan. In some cases, annual visits may be necessary.ó The timing o audits and terms o reerence will be agreed with the relevant
head o o ce (Country Director/Regional Director/International Thematic
Head) prior to the commencement o the audit. This should include specic
areas requested by the country programme, regional o ce or International
Directors, i appropriate.
ó Most country programmes/a liates also have a local internal audit unction
reporting to the country management team/national board and the
international head o internal audit.
Standard terms o reerence or an audit will include:
óReview o nancial and management controls (in countries this will includeboth in country o ce and in at least 1 DA/partner organisations)
ó Identication o major risk areas and a review o risk management
ó Review o progress against strategy/strategic plan.
Major areas to be covered in each audit:
ó Asset control
ó Payments
ó Financial reporting, including management accounts, reporting to
institutional donors/sponsors etc, cost classication, perormance measures
(including partners), donor relationship management, revolving unds and
savings and credit schemes (i applicable)
ó Other support unctions, including local internal audit unction (i
applicable), work with partners and partner relations, inormation
technology, compliance with local laws (tax etc).
A U D I T
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 40/48 Alps-ActionAid International 200640
ó Alps core requirements, including how Alps core requirements, processes
and standards have been implemented and includes appraisals, strategies/
strategic plans, external reviews, annual review and reection processes,
annual review and learning reports
ó
How countries/regions and themes have applied the principles o accountability to stakeholders especially to poor and excluded groups
and their organisations. This will include budget transparency processes,
implementation o open inormation policy etc.
Reporting and ollow-up process:
The internal auditor(s) will prepare a drat report during the visit or discussion
with management outlining key recommendations:
ó The report will be sent to the country programme/regional o ce/
International Theme Head or ormal management response. The nal report
will be issued incorporating management responses.
óManagement is expected to state actions taken against majorrecommendations six months ater the audit.
ó Each audited management unit will ormally discuss the audit report and
remedial actions.
ó The Audit Committee o the International Board receives all audit reports and
meets twice annually to review internal audit, risk management and nancial
management.
A U D I T
A U D IT
Audits help ensure the
economical, eective,
and e cient utilisation o charitable unds and are
a central accountability
mechanism.
Jenny Matthews / ActionAid
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 41/48 Alps-ActionAid International 2006 41
Open information
policyActionAid International believes that the timely, ree ow o inormation, in accessible language, orm and
ormat is essential or ensuring accountability, learning, trust and good perormance. This policy is guided
by ActionAid International’s commitment to transparency and to sharing o inormation primarily with poor
and excluded people and their organisations. We are also directly accountable to our staf, partners, donors
and host governments.
Open inormation policyPurpose: The purpose o this policy is to guide all staf and the whole organisation in the
open sharing o inormation. Another purpose is to inorm people outside ActionAid
International what they can expect or demand, in terms o inormation, rom ActionAid
International.
Coverage: The ollowing sets o inormation will be shared reely, openly and proactively:
Category Inormation to be shared
A. Fundamentals 1. Vision, mission, values, goals and objectives
2. Legal representation and status
3. Registered o ce address
B. Governance
and Key
Functionaries
1. Names and brie biographies o key unctionaries
2. Governing article or equivalent
3. Summary o board/executive body meetings
4. Remuneration and expenses o trustees/advisory board members
C. Organisational
Policies
1. Accountability/Learning & Planning Systems (and or equivalents)
2. Finance policies
3. Gender policies
4. Fundraising policies
5. Open inormation policy
6. Human resource/organisational development policies (including staf
recruitment, perormance and appraisal, renumeration, staf welare, HIV/AIDS
terminal illness, harassment, working rom home, child-care leave, work-
lie balance, staf development, compassionate leave, maternity/paternity
leave, sickness, study leave, exi-time, time in lieu, disciplinary and grievanceprocedures, redundancy, equal opportunities and diversity, retirement and
pension, staf insurance, staf saety and welare, Health and Saety policies)
7. Partnership policies and agreements
D. Sta 1. Staf employment data (nos/gender/caste/ ethnicity etc)
2. Staf grades and salary bands
3. Staf costs/allowances
E. Strategies,
three year plans
and budgets
1. Strategy papers
2. Three year plans
3. Annual budget
O P EN IN FO R MA T IO N
O P E N I N F O R M A T I O N
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 42/48 Alps-ActionAid International 200642
F. Perormance
and Feedback
1. Reviews
2. Annual reports
3. Annual participatory review and reection process outputs
4. Annual nancial reports
5. Annual audit statements
G. Funds and
Finance
1. Grants to partners
2. Fund usage policy
3. Related party transactions
4. Connected partner organisations
5. Investment and returns on markets
6. Type and place o investment and trading entities
H. Relationships 1. Groups o people we work with
2. Partners (unding & non-unding)
3. Donors
4. Auditors
5. Bankers
6. Investment managers
I. Positions 1. Issue-based policy positions
2. ActionAid International guidelines on policy and political positioning
Ways and means o sharing inormationó Representative o ces at the international secretariat (including regional)
and national level will be primarily responsible or sharing inormation
related to their own areas and domains o responsibilities according to this
policy.
ó This policy is relevant only i poor and excluded people and their
organisations have access to timely and quality inormation in accessible
orms and ormats. It is thereore essential that local arrangements be made
to ensure that sharing o inormation takes place in the language suitable or
the people o the locality.
ó ActionAid International websites will be the main venue or sharing
inormation proactively to a wider range o audiences. ActionAid
International, within the limits o its resources, will also send inormation as
requested (as per this policy) in electronic or printed orm to an authentic
address o the person or organisation requesting inormation. Anonymous
requests or inormation may not be responded to.
O P E N I N F O R M A T I O N
“If you talk to a man in a language he understands, that goes to his head. If youtalk to him in his language, that goes to hisheart.”
Nelson Mandela
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 43/48 Alps-ActionAid International 2006 43
CondentialityActionAid International shall not disclose the ollowing kinds o inormation:
ó Personal details o staf: address, amily details, income, property, sexual
orientation, illness and similar inormation.ó Intellectual property or other inormation which has been disclosed or
provided to ActionAid International under any obligation o condentiality
or which is subject to legal disclosure restrictions, or intellectual property o
ActionAid International, unless consent o such disclosure has been obtained
rom the owner o such intellectual property.
ó Legal advice and matters in dispute or under negotiation including
disciplinary and investigative inormation generated in, or or, ActionAid
International.
ó Inormation dealing entirely with internal administration or operating
systems which has no direct efect outside the organisation, or internaldocuments written by staf to their colleagues, supervisors or subordinates,
unless those documents are intended or public circulation.
ó Fundraising inormation, sharing o which will jeopardise ActionAid
International’s competitiveness in undraising capacity.
It is only in exceptional cases and circumstances that ActionAid International can temporarily suspend
part or whole o this policy. Such suspension will require approval rom ActionAid International’s Chie
Executive. Suspension o the policy will be clearly explained with reasons to people we work with and
the general public, through the mechanisms mentioned above.
In unusual situations (e.g., war, insurgency) o insecurity, threat and vulnerability to the organisation,
staf or partners. ActionAid International may choose not to share any or selected inormation or a
specied period.
Similarly, i sharing o certain inormation in the specic local situation will make staf and the
organisation highly insecure and vulnerable, the relevant ActionAid International o ce may choose
not to share the particular inormation or a specied period.
Custodiansó Heads o diferent levels o the organisation – international (Chie Executive), regional
(Regional Directors), national (Country Directors) – will be the custodians o this
policy but the day-to-day responsibility o implementation and management will
be the responsibility o the person appointed by them to be responsible or external
communications.
Complianceó Reviewing compliance o this policy will be the unction o such staf and units
responsible or the ActionAid International Accountability, Learning and Planning
System (Alps). Such review reports will be presented and discussed in regional meetings,
international directors’ meetings and trustees meetings at least once year and at the time
o annual reviews and plans.
O P EN IN FO R MA T IO N
O P E N I N F O R M A T I O N
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 44/48 Alps-ActionAid International 200644
Other supporting
policiesActionAid International has a range o sel-regulatory systems, core principles, standards and legal
measures in place that contribute to our internal and external accountability.
A summary o these systems and their linkages with Alps are set out below:
ActionAid International nancial management ramework: establishes the nancial standards,
policies and procedures or ActionAid International. This ramework establishes our upward nancial
accountability and demonstrates ActionAid’s concern or nancial integrity; as such it is important
evidence o our accountability to all stakeholders.
Finance unctions across the organisation are charged with establishing and communicating the
policies and procedures contained in the ramework. Financial management is the responsibility o
everyone in the organisation.
The ramework contains the entire key nancial policies approved by the board, including reserves,
key nancial management processes: nancial planning and budgeting, reporting and audit and key
accounting policies and procedures. Its custodian is the International Finance Director.
ó The statutory accounts ull our accountability to our o cial regulators, trustees
and are used to provide donors and others with nancial inormation on the agency.
Inormation or the trustees’ report, which orms part o the statutory accounts, may be
derived rom the annual review and learning reports and external reviews.
ó Management accounts, nancial control and audit. These systems are described
in the ActionAid International nancial management ramework. Their purpose is to
acilitate and protect the nancial integrity o the agency and provide managers with
current nancial inormation. The ramework sets out detailed control and accounting
procedures.
ó Funding relations with partners. The nancial management ramework sets out the
key nancial accountability systems and procedures or partners with which ActionAid
has a unding relationship. Organisations include government bodies, registered NGOs,
community based organisations or other groupings o individuals or organisations. For
long term unding partners, the ramework sets out principles and standards or ensuring
nancial integrity, budgeting and reporting mechanisms, cost analysis, measures and
procedures or dealing with raud, audit etc.
S U P P O R T I N G P O L I C I E S
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 45/48 Alps-ActionAid International 2006 45
ActionAid International global HR/OD ramework: This ramework provides the whole o ActionAid
International, its a liates and branches with a common ramework against which HR/OD principles,
policies and standard practices can be veried with a view to encouraging consistency and coherence
o organisational behaviour. The aim is to build a shared culture and identity, and support the
internationalisation o ActionAid.ó The HR/OD unctions at various levels also help managers develop their sta’s skills so
that they can make a relevant contribution to the overall mission o the organisation and
in support o Alps processes. The perormance appraisal processes help us to meet our
internal and external accountability as individuals and teams.
ó Each location will have an appropriately designed perormance management
system. A multiple eedback mechanism (360º) is a norm that meets the accountability
aspirations o Alps and is implemented at the senior levels o the organisations.
ó ActionAid International has a risk management system which ensures that each country
programme or a liate, region, theme and unction have identied the risks to the
achievement o their objectives and are taking actions to manage the risks. The national
and international trustees also identiy and review the major strategic, business and
operational risks, which the organisation aces and conrm that appropriate systems are
in place to manage and mitigate those risks. The internal audit department coordinates
the organisations’ risk management process.
ó Risk assessment analysis is a key part o strategy development and review processes
in Alps. All country programmes, a liates, regions, themes and unctions submit an
updated risk register as part o their annual plan.
Long term unding links policy: This policy provides the standards to ensure the implementation o
Long Term Funding links is in alignment with ActionAid’s values, mission and strategy. The document
sets out agreed international policies and standards in the management o child sponsorship and
other long-term partnership links between nancial supporters and communities and countries in thesouth, such as Next Steps (Il Prossimo Passo).
ó Child sponsorship: In communities where the child lives, ActionAid makes certain
commitments about how the child and the community will be partners in the process o
their empowerment. How this process will be carried out, what rights will be ensured or
the children and community, what unds are being raised and how they are spent and
what changes the programme will seek to bring about in their lives. At the supporter end
o the link, ActionAid makes commitments as to how the supporter’s contributions will
be spent, the expected outcomes as a result o this partnership, how they can engage
with the child and community and what communications they will receive.
Governance manual: The manual describes the relationships between the ActionAid International
Board, the International Secretariat, a liates, associates and country programmes, sets out the key
responsibilities o board members o ActionAid International and national boards, and summarises the
processes o the International Board.
S U P P O R T IN G P O LIC IE
S
S U P P O R T I N G P O L I C I E S
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 46/48 Alps-ActionAid International 200646
GlossaryAAI ActionAid International
CD Country Director
A liates National organisations that are ormally a liated to ActionAid
International. Founding a liates o AAI are ActionAid Brazil, ActionAid
Hellas (Greece), ActionAid Ireland, ActionAid UK, ActionAid USA and
ActionAid Italy.
Associates Other organisations who are in the process o becoming ormally a liated
to ActionAid International. This term is also used to reer to ActionAid
International Country Programmes who are developing into a liates. In
2005, these included Kenya, India, Ghana and Uganda.
Development Areas This is the term that ActionAid has historically used or its localdevelopment programmes, which were usually organised in a contiguous
and dened geographical area.
Development Initiatives This term evolved when ActionAid started working on a thematic basis and
no longer worked only in contiguous geographical areas. DIs emphasise
the role o local community organisations in planning and managing
development projects.
International Board The International Board provides overall governance and assesses and
approves AAI’s global strategies, plans and resource allocation.
International Secretariat The secretariat has overall responsibility or developing a global
ramework or AAI’s work, and ensuring that all parts o the organisation
work together with an agreed set o common goals. It is also responsible
or representing AAI at regional and international levels, and ensuring that
communications and action between diferent parts o the organisation, as
well as between AAI and other organisations, are efective. The secretariat
is not a central head o ce as such, but rather one o the units in the
larger collective o AAI o ces – many o it unctions are dispersed across
countries, regions and continents. The secretariat is headed by a Chie
Executive who works rom the secretariat’s main centre in South Arica.
Special Projects This is the term ActionAid uses or any project or programme which is
not a Development Area or Development Initiative. Special projects
can be within one country or cover several countries as multi-country
programmes.
CEO Chie Executive O cer o ActionAid International. Appointed by the Board.
International Directors’ team
Most senior level o management within ActionAid International, including
the CEO and eight International Directors. There is an International
Director or Asia, Arica, Europe Coordination, Americas, Finance,
Fundraising, Organisational Efectiveness and Communications.
HR/OD Human Resources and Organisational Development. Within the
international secretariat, these are two distinct units within the
Organisational Efectiveness team. Country programmes, a liates, and
regions may combine the two unctions.
G LO S S A R Y
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 47/48
8/8/2019 ActionAid ALPS 2006
http://slidepdf.com/reader/full/actionaid-alps-2006 48/48
A P P R A IS A LS
Alps is the Accountability, Learning,and Planning System o ActionAidInternational.
Alps is a ramework that sets out the key
accountability requirements, guidelines, and
processes in ActionAid International. Not only in
terms o organisational processes or planning,
monitoring, strategy ormulation, learning,
reviews and audit but also personal attitudes and
behaviours.
Alps denes our standards, not only about what we
do but also how we do it. Alps requires processes
and ways o working that are crucial to supporting
and strengthening ActionAid’s rights based work.
Alps – in both the rst edition and thisversion updated in 2005 – is designed to:
• deepen our accountability to all our
stakeholders, particularly to the poor and
excluded people with whom we work
• ensure that all our processes create the space
or innovation, learning and critical reection
and reduce unnecessary bureaucracy
• ensure that our planning is participatory
and puts analysis o power relations
and a commitment to addressing rights
– particularly women’s rights – at the heart o
all our processes. L a y o u t & D e s i g n b y L i m e b l u e