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Planning in Government Forest Agencies

How to Balance Forest Use and


Conservation: Agenda for Training
Workshop
Table of Contents
Forestry Department
Policy and Planning Division
Planning and Statistics Branch
May 1998
This electronic document has been scanned using optical character recognition (OCR) software and careful manual
recorrection. Even if the quality of digitalisation is high, the FAO declines all responsibility for any discrepancies
that may exist between the present document and its original printed version.

Table of Contents
FOREWORD
INTRODUCTION
CHAPTER 1: FORESTRY PLANNING REVISITED

1.1 Planning as a Process of Continuous Improvement


1.2 At the End of a Process that Never ends: What are the Results of Planning?
1.3 Planning Cycle Stages: How it should work
CHAPTER 2: TYPOLOGY OF PLANNING METHODS AND TOOLS

2.1 Methods to Clarify Issues and Problems


2.2 Methods to Examine Spatial and Inter-Sectoral Relationships
2.3 Methods for Social, Environmental, and Economic Analysis
2.4 Methods to Discuss the Future
CHAPTER 3: INTEGRATING PARTICIPATION INTO THE PLANNING PROCESS

3.1 When Participation Works, What Does It Accomplish?


3.2 Design a Framework for Participation: Overview
3.3 Develop the Participation Plan
3.4 Work With Regions and Districts
3.5 Work With Other Agencies
3.6 Work With Interest Groups
3.7 Work With Advisory Committees
3.8 Prepare a Participation Summary
3.9 Hold the Door Open for Continued Participation
CHAPTER 4: INTEGRATING CONFLICT MANAGEMENT INTO THE PLANNING PROCESS

4.1 Understand Your Opportunities to Negotiate


4.2 Identify the Agency's Negotiating Goals

4.3 Choose the Agency's Negotiating Strategy


4.4 Create a Positive Climate for Negotiation
4.5 Improve the Agency's Negotiating Strength
4.6 Turn to Outside Negotiators
CHAPTER 5: ORIENTATIONS FOR EFFECTIVE PLANNING

5.1 Link Planning With Decisionmaking


5.2 Develop Skills for Strategic Planning
5.3 Allow Adequate Time and Budget
5.4 Establish Action Teams for Implementation
5.5 Keep Records
5.6 Provide for Management Review
APPENDIX I: GLOSSARY
APPENDIX II: SELECTED REFERENCES

A. The Nature and Scope of Development Planning


B. Planning with Emphasis on Forests, Land Use, and Rural Development
C. Planning in Relation to Management Science
D. Participatory Methods in Planning
E. Top-Down and Bottom-Up Coordination
F. Conflict Management
G. Methods to Assess Economic, Social, and Environmental Impacts
H. Forecasting Techniques and Futures Analysis
APPENDIX III: WORKSHEETS

Worksheet 1. Evolution in Planning: Toward New Ways of Thinking


Worksheet 2. The Contents of a Strategic Plan for Forest Use and Conservation
Worksheet 3. Questions to Define and Clarify the agency's Mission
Worksheet 4. Improvement Goals to Support Mission Elements
Worksheet 5. Cross-Cutting Improvement Goals: The Institutional Factors
Worksheet 6. Assigning Priorities to Improvement Goals
Worksheet 7. Guidelines for Writing Objectives
Worksheet 8. Actions in Support of Objectives.
Worksheet 9. Major Issues to be Negotiated.
Worksheet 10. What Problems Can an Agency Predict in Implementation?
Worksheet 11. How Will an Agency Monitor, Evaluate, and Adjust its Planning?
Worksheet 12. Guidelines for Effective Brainstorming.
Worksheet 13. Guidelines to Clarify the Statement of a Problem.
Worksheet 14. Strengths and Weaknesses, Opportunities and Threats.
Worksheet 15. Constructing Problem Trees.
Worksheet 16. The Logical Framework.
Worksheet 17. Force-Field Analysis.
Worksheet 18. Constructing a Comparison Matrix.
Worksheet 19. Role Playing.
Worksheet 20. Checklist of Information Needed in Maps.
Worksheet 21. Designing a Social Assessment.
Worksheet 22. Issues in an Environmental Assessment.
Worksheet 23. Frameworks of Benefit-Cost Analysis.

Worksheet 24. Exercises for Forecasting and Futures Analysis.


Worksheet 25. Participation in the Different Stages of Planning.
Worksheet 26. Proposing a Set of Participation Activities.
Worksheet 27. Schedule of the Participation Activities.
Worksheet 28. What Goes Into a Participation Plan?
Worksheet 29. Issues in Multi-Level Planning.
Worksheet 30. Issues in Working With Other Agencies.
Worksheet 31. Attitudes and Behaviors of People Who Are Good Negotiators
Worksheet 32. Goals, Compromises, and Alternatives in a Negotiation Framework
Worksheet 33. The Physical and Emotional Climate for Negotiation
Worksheet 34. Successful Behavior in Conflict Conciliation and Mediation.
Worksheet 35. Rewards and Threats for the Agency's Top Executives.
Worksheet 36. Evaluation of Team Skills for Strategic Planning.
Worksheet 37. Action Teams for Plan Implementation.
Worksheet 38. Questions to Guide a Management Review.

FOREWORD
Agenda 21 and the "Forest Principles" adopted by UNCED in 1992 emphasized the need to protect the environment
and for people's participation to achieve sustainable development in the long run, in addition to maintaining the
contribution of forests to economic development. With this shift in emphasis in forest development has come a need
for new approaches and processes for forestry planning.
The Planning and Statistics Branch of the Policy and Planning Division of the Forestry Department of FAO, under
the supervision of Yves C. Dub, Forestry Officer (Planning), with the support of an interdisciplinary group from
various Divisions in FAO, has issued in September 1996, a Working Paper titled "Planning for Forest Use and
Conservation: Guidelines for Improvement". Dr. Jan G. Laarman from the Forestry Department of the North
Carolina State University drafted the original version.
This Agenda for Training Workshop corresponds to a revised version of the September 1996 Working Paper,
following the recommendations of an expert meeting organized in Accra, Ghana, in January 1997, by the FAO
Regional Office for Africa in collaboration with the National Forestry Programme Coordinating Unit and the
Forestry Policy and Planning Division of the FAO Forestry Department.
It is hoped that this publication will be an important reference framework for senior managers, planning leaders and
trainers in government ministries and agencies as they review their planning systems for forest use and conservation
and that the approaches recommended will be widely tested and adopted and thus contribute to the enhancement of
capacities called for by UNCED's Agenda 21.
Lennart Ljungman
Director
Policy and Planning Division
Forestry Department

INTRODUCTION
The purpose of planning for forestry development is to establish a workable framework for forest use and
conservation which incorporates the economic, social and environmental dimensions on a sustainable basis. The
framework is about creating a shared vision of how forests will be used and protected. This can be summed up in a
single central question: Trees and forests for whom and for what? The question is not new but what is new is the
perception that so many different groups have an interest in the reply.
Forestry planning has traditionally been mainly concerned with the production of timber for industry and other wood
products, and with forest industry development. Planning for environmental goals also has a long history but was

largely restricted to designated areas for exclusive conservation. National forestry development agencies were
essentially responsible for the sustained yield management on protected public forest lands and for reserved forests.
The term "sustained yield" was mostly limited to wood production and therefore excluded the majority of other
forest products and services. Although most forestry agencies have made progress towards multiple-use
management, planning remains often biased towards timber in a wide range of countries. Many of the actions taken
in order to stimulate forestry development in the immediate failed to sustain the momentum of growth in the longer
term. Short term achievements sometimes resulted in degradation or destruction of the stock of natural capital
needed in order to maintain growth in the future or reduced options for future end uses by degrading the forest
capital.
Today, forestry planning must adapt to rapidly changing social, economic, and political circumstances. Around the
world, the forestry profession is challenged to embrace new goals, principles, and management approaches. These
changing perspectives (see Box 1) imply that forestry planning has to adjust as follows:

To manage forests not only for industrial timber, but also for nontimber products and
for aesthetic, spiritual, cultural, and environmental contributions;
To account for both the private and public goods supplied by forests, and to search for
helpful processes that determine how much of each to produce;
To apply multiple criteria in order to compare forest options in terms of biological
diversity, social acceptability, total economic value, and overall sustainability;
To expand the spatial scope of planning from individual forest sites to entire
ecosystems;
To conduct planning in a manner that will recognize biological, social, and
environmental uncertainties;
To make greater efforts to reflect the interaction of forestry with other sectors like
agriculture in particular with reference to food security;
To recognize that policies outside the forestry sector such as macroeconomic policies,
population growth, agricultural, energy or environmental policies play an important role
in forest use and conservation;
To emphasize the potential contribution to poverty alleviation and the priorities of
vulnerable groups such as indigenous people, women and children, people at the lowest
levels of subsistence, and those in future generations;
To recognize that disagreements about forest uses occur within a world of sharply
divided values and preferences, and that forest-based communities are local and global.
Among the leading themes in forestry planning are: (1) wide participation by interest groups, (2) negotiation of
competing rights to forest resources, and (3) decisions that lead to forest sustainability. These themes are relevant
everywhere, even though their context varies from one country to another.
Yesterday
Today
Forest products are timber, game,
Forest produces not only commodities, but also biological diversity, protection
fuelwood, and water.
benefits, indigenous homelands, preservation values, and other cultural and
spiritual benefits.
The natural world can be managed Humans have profound impacts on the natural world, and many of these
and controlled.
impacts are beyond our capacity to understand and control.
Forest-dependent communities are Communities which benefit from forests are local, regional, national, and

local farms and villages.


global.
Forest management should sustain Forest management should sustain the forest as a complex ecosystem.
harvests (of industrial wood, fuel,
etc.).
Private property owners have every Governments take an interest in property rights in order to protect the public
right to do as they wish with their
good.
forests.
The forester is expert and
The "public" is decisionmaker. The forester is technical advisor.
decisionmaker.
The shift in emphasis of forestry development towards improvement of the welfare of people and protection of
biological diversity and of long term local and global environmental benefits requires associated shifts in the
planning process. Many old ideas about planning are being discarded. Traditional planning has been too ambitious,
Utopian, and inflexible. Traditional planning has attempted to control, but has done little to empower. In principle,
the new emphasis is on planning as a means for empowerment.
This Agenda for Training Workshop provides a framework of principles, strategic approaches and new ways of
thinking (see Worksheet 1) regarding how to achieve sustainable forest development in the long run. First, the
concept of planning in relation to forests is revisited. Chapter 2 presents a typology of useful planning methods and
tools in relation to forests. Chapters 3 and 4 advocates the integration of participation and conflict management into
the planning process with a view to strengthening the (internal and external) planning environment and building
partnership. Finally, Chapter 5 proposes orientations for effective forestry planning. At the end of the publication,
three appendices are presented. The first is a glossary to define planning terms. Many terms have meanings not
found in ordinary dictionaries. Secondly, references are provide for those who want to go deeper into planning
concepts and methods. Thirdly, 38 training worksheets are provided. The worksheets are user-friendly and can be
used separately or group by sub-themes. They are also flexible insofar as the user can adapt, expand or reformulate
them to fit his own planning situation and needs.

CHAPTER 1: FORESTRY PLANNING


REVISITED
1.1 Planning as a Process of Continuous Improvement
1.2 At the End of a Process that Never ends: What are the Results of Planning?
1.3 Planning Cycle Stages: How it should work
Forestry planning could be organized by administrative levels, geographical units, and functional purposes (see Box
2). In this publication, the term "sector planning" is minimized. This is because much previous planning in relation
to forests has failed to cross sectoral boundaries. Instead, the term "strategic planning" is preferred where a strategy
is a careful plan or method to achieve defined goals.

1.1 Planning as a Process of Continuous Improvement


In recent years, management consultants have worked hard to give planning an action orientation. Planning aims for
"total quality management," also expressed as "continuous improvement." In relation to forest use and conservation,
planning is: a continuous process of decisions and actions about alternative ways of using and conserving trees and
forests, with the intent of achieving particular goals in the medium and long term. Planning is only as good as the
number of constructive actions that come from it. It is not an end in itself. Rather, it has to be an instrument of policy
and management. Even under the best of circumstances, planning may result in goals that are poorly selected, and
strategies that fail. But if the experience produces a kind of learning, then planning becomes more "intelligent" as it
learns from past mistakes. For most organizations, this is the most challenging part!

The planning cycle consists of seven stages (Box 3). In this planning cycle, success consists of small positive
accomplishments that reinforce each other through the years. Or as shown at the bottom of Box 3, progress expands
outward in the form of a spiral.
The process appears simple, but this can be deceptive. An organisation needs capable management in order to (1)
know when and how to organize and supervise the planning, (2) adapt planning to be appropriate for a country's
unique circumstances, and (3) learn from planning's successes and failures. The whole of the process relies on
management, creativity, and cooperation. Any of these can be limiting. But for each constraint, the response is the
same: to work for continuous improvement.

1.2 At the End of a Process that Never ends: What are the
Results of Planning?
Strategic planning in relation to forests has the following characteristics:

It is a means to visualize actions to increase the social, cultural, economic, and


environmental benefits from trees and forests;
It has a strong management orientation, since a strategy should state specific goals,
specific activities, and specific people;
It is much more than a short-term operational plan, since a strategy begins by reviewing
missions and goals;
It is much more than a set of projects, although projects can be one type of instrument
for achieving certain goals;
It often leads to questions about institutional capacity (and how to increase it); and
It is an iterative process of testing, evaluating, and learning from some actions that
succeed and others that fail.
National
Development
Planning

Development plans set economic and social targets in relation to population growth, economic
production, savings and investment, income distribution, and other macroeconomic measures.
National development planning determines the budgets for sectors, agencies, and programs (e.g., in
forestry).
Regional and
When it works well, planning in regions and local areas is coordinated with national development
Area Planning planning. In forestry, regional and area planning are important because of the way forests are
separated by gradients of climate, watersheds, transportation infrastructure, and other biophysical
aspects.
Sector Planning The forestry sector refers to linkages among the owners, managers, and users of trees and forests.
Sectoral planning considers the different ways these owners, managers, and users will gain and
lose because of alternative options for forest use and conservation.
Land-Use
Land-use planning occurs at different levels and scales, from continental to local. It indicates the
Planning
advantages and disadvantages of a specific use on a particular unit of land according to physical,
economic, and social criteria.
Project Planning Projects attempt to combine resources to achieve results in an efficient manner. Usually, projects
are defined by well-specified objectives, budgets, time frames, and beneficiaries. In top-down
planning, projects support goals at sectoral, regional, and national levels. In bottom-up planning,
projects are specified prior to being considered for plans at sectoral, regional, and national levels.
Forest
Management planning chooses among production and conservation options for specific forests.
Management
The "manager" is a person or an entire organization, depending on the context.
Planning
Forest Enterprise Enterprise planning refers to business operations (not always for profit) that use one or more forest

Planning

goods and services. Enterprises are owned and managed by governments, communities, private
companies, and individuals. Enterprise planning focuses on resource supply, production
technology, and product marketing.

Box 3. The Cycle of Continuous Improvement


1. Define missions and roles. What is the mission of the forestry agency and of other groups (governmental and nongovernmental) in protecting and managing forests? Planning begins by clarifying these purposes for one's group in
relation to others.
2. Select improvement goals. Goals state what the agency will do to carry out its mission. Because the agency is
searching for improvements, goals should aim for a higher level of accomplishment ("national good") than
previously.
3 Set objectives. Objectives are the details about expected accomplishments. What type of results does the agency
want, and in what quantity?
4 Select action strategies. Strategies are the operational means to achieve the improvement goals. Strategies are
specific actions.
5 Negotiate major issues. To carry out its strategies, the agency needs cooperation from people within and external
to it. Most of this cooperation has to be resolved in early stages of the planning. But for remaining issues, what are
the points to be negotiated, and with whom?
6. Implement the strategies. Specific people perform specific actions as part of specific strategies. Implementation
succeeds or fails in relation to communications, empowerment, supporting resources, and reward systems.
7. Evaluate results, make adjustments, and repeat the process. Are the strategies of the agency working? Are its
objectives being met? The agency cannot know this without checking and evaluation. When there are failures, who
is responsible for adjusting missions, goals, objectives, and strategies?

Strategic planning never truly ends, but there are milestones along the way to mark the progress. The results of
planning can be the following:

1. Bottom-up and top-down communications that help integrate the different units within
an agency. In this way, planning contributes to team building and a sense of shared
purpose. But when these communications are poorly managed, they create resentment
and frustrations.
2. Partnerships between the forestry agency, other agencies, and interest groups. For this
to be effective, the forestry agency must genuinely want and respect the ideas it receives
from persons not employed there. Just as importantly, the forestry agency cannot leave
out any key groups - since that creates more problems than it solves. The risks of badly

managing outside participation may partly explain the past reluctance of many forestry
agencies to invite it.
3. A vision of the future and a path to get there. To plan is to create a shared vision of the
future. Worksheet 2 presents a checklist of elements found in a good strategic plan for
forest use and conservation, although the format may be different between organisations.

1.3 Planning Cycle Stages: How it should work


The rest of this chapter examines each planning stage to provide more explanation on how it should work.
Planning Cycle - Stage 1
Mission: An Agency Cannot Plan Without One
Each forestry agency has functional, geographical, and legal responsibilities that are different from every other
organization. The mission - the broad general purposes for which an organization exists - of forestry agencies in
relation to other organizations - both public and private-are changing dramatically. The starting point is to focus on
the agency's mission in relation to the missions of all other groups whose actions affect forest use and conservation.
Almost everywhere, this list of groups is longer every year.
Most readers of this publication are familiar with the almost continuous restructuring of agencies responsible for
forests, watershed management, protected areas, wildlife, coastal zones, soils, and other natural resources. In
numerous countries, forestry is moving from agricultural ministries to new organizations for environment and
sustainable development. It is also quite common to find new units for agroforestry and community forestry. Some
forestry agencies are removing themselves from wood processing and marketing. Others are privatizing their tree
nurseries. For functional areas such as community forestry and protected areas, a number of NGOs now play a very
prominent role. These many re-organizations are one of the reasons that planning environments can be chaotic.
The planning environment is even more complex due to an inflow of new ideas, influence, and power affecting
forest use and conservation. Some people refer to this as a "paradigm shift." This refers to the increasing number of
people who oppose tree cutting, and who value forests primarily for preservation benefits.
Although these ideologies originate in the industrialized countries, they are by now increasingly attractive to opinion
leaders in the developing countries. This is a relatively new presence that now challenges forestry agencies on
matters of authority and competence in forest concessions, reforestation programs, and other traditional roles. In the
face of these challenges, the mission of government agencies for forests is increasingly difficult to define. Perhaps it
is broader than before? Perhaps it is narrower? For certain, it is changing.
For this reason, it is very important for strategic planning to begin by asking: (1) What does the agency do? (2) How
is this changing, and how should it be changing? (3) How does this affect where and how the agency should use its
influence and resources? In essence, the agency is trying to avoid the following frustrations:

Important functions for watersheds, coastal zones, etc., are neglected because there is
no accountability for them. Each agency (or department) assumes that "somebody else" is
responsible.
In a functional or geographical area, the agency is doing the same type of work as
another organization, but with conflicts or duplicated efforts.
In policy and program development, the organization is slow to act upon the directives
coming from top levels.
In a geographic area, the missions of other organizations (e.g., for agriculture, minerals,
roads, land reform, etc.) interfere with the agency's role to protect and manage forests.
Different agencies, NGOs, and interest groups misunderstand each other. Even worse,
many do not talk with each other.

These problems are widespread. Hundreds of management consultants agree that there is no easy way to solve them.
But for planning, the agency must attempt to define a clear and concise statement of its mission in relation to other
missions (Box 4). If this is done well at the national level, it can provide the basis for missions at subordinate levels
(e.g., for regions, provinces, and districts).
Box 4. What an Agency Should Expect in a Good Mission Statement
A good mission statement should........
cover all of its organization's functional, geographical, and service commitments;
complement (not conflict with) the missions of other government and private organizations;
be realistic, concise, and easy to understand.
Discussions about missions can be long and seemingly endless. This is a situation to be avoided. Management
experts make the following recommendations:

1. Convene workshops or meetings in a neutral place, and use the services of a preferably
neutral person (someone outside the organization) to facilitate group discussion about
roles and mission. Invite leaders from organizations (public and private) that have the
greatest interest and most questions about the mission of the agency.
2. Start by having everyone individually answer Worksheet 3. Then initiate group
discussions about these questions. This has to be handled carefully. Each special interest,
and each unit of the agency, will interpret the mission in a different way.
3. Based on these discussions, write a draft of a new or revised mission statement. This
can be the responsibility of a small team. Do not be overly constrained by laws,
regulations, and other legislation. In most agencies, many important roles are not written
in laws and documents. Moreover, the agency is aiming to produce a statement of what
its mission should be. This is the improvement you seek.
4. Circulate the draft to the invited leaders, as well as across and down the agency. Ask
for comments, and revise the draft accordingly. When properly managed, this can be a
powerful means of communication and team building.
Box 5 presents a sample mission statement for the fictional XYZ Forestry Department. The mission statement
cannot be a "dead document," but on the contrary should motivate the work of the whole agency. In countries where
it is appropriate, different regional and functional offices should write their own mission statements that start from
the national model - modifying it to reflect the special circumstances of that region or office. At all levels, a clear
statement of the mission is highly important for defining improvement goals, as follows.
Box 5. Example of a Mission Statement for a Forestry Agency
The XYZ Forestry Department contributes to the protection, utilization, and management of the nation's trees and
forests in ways that are socially, environmentally, and economically sustainable by:
1. Continuously assessing areas, conditions, and trends in tree and forest cover, and making the information widely
available.
2. Protecting public forestlands from encroachments, fires, insects, diseases, and other threats to the healthy
condition of trees, forests, and associated natural resources.
3. Maintaining a system of natural areas protected from harvesting and other intensive uses in order to promote
ecosystem preservation, environmental services, and scientific research.
4. Providing harvesting and other utilization rights to individuals, communities, and commercial enterprises in
selected zones of public forests, and insuring that harvesting is sustainable.
5. Assessing and efficiently collecting a fair revenue for government from the individuals, communities, and
enterprises which utilize products and services of the public forests.
6. Providing low-cost and efficient extension services in relation to trees, forests, and associated resources for
farmers, communities, and private businesses.
7. Providing policy analysis on forest-related issues to the highest level of national authority and decisionmaking.
8. Interacting cooperatively with international assistance agencies, donor groups, and NGOs in the programming of

external aid for forest protection and management.


Interacting cooperatively with authorities in public and private organizations on matters of shared concern relative to
trees and forests in national defense, agricultural and pastoral development, water and power supply, public health,
infrastructural development, and cultural and educational affairs.
Planning Cycle - Stage 2
Improvement Goals; Filling Performance Gaps
Goals are statements of what your organization intends to do in order to carry out its mission. But unlike missions,
which are indefinite and continuing, goals can be accomplished. At any point in time, an organization's goals should
determine its main activities.
The agency's search for continuous improvement is driven by the following question: In what main functions must
the agency perform well in order to succeed? This question can be asked for each element of a mission statement.
This will identify the key factors affecting the agency's performance.
Box 6 illustrates improvement goals for a mission element of the XYZ Forestry Department. An agency should
define its own improvement goals with the help of Worksheet 4. Worksheet 5 is a supplementary framework to
bring out institutional issues that cut across many different parts of a mission. Strategic planning cannot go far
without attention to institution building. The combined use of these two frameworks should produce many
improvement goals to be compared, sorted, and given priorities.
In view of past problems, many forestry agencies will do well to pursue socially-oriented improvement goals. It is
perfectly acceptable to state qualitative goals such as "to improve the Department's relationships with indigenous
communities." Other acceptable goals are "to employ more women in professional and technical positions," and so
on. Many such goals are not forestry goals per se, but they may be social goals for the country as a whole.
Therefore, the agency should include them.
Many people find it difficult to specify the factors that determine their performance. Their answers may be too
general, such as "the agency's budget is too small." And technical staff often leave out social goals. By convening
workshops and providing assistance, an agency may be able to raise the quality of how people state their
improvement goals.
Mission Element
Improvements Goals
Factors for Success
(Next Five Years)
"Providing harvesting and other utilization rights to
To increase field monitoring
Understanding where,
individuals, communities, and commercial enterprises in where harvesting takes place
when, and how
selected zones of public forests, and insuring that
harvesting is occurring.
harvesting is sustainable." (see fourth mission element in
Box 5)
To work with Dept. of Land
Resolving conflicting
Reform to improve where and tenure claims.
how concessions are granted.
To grant more forest
Revised criteria for
concessions to regional and
granting concessions.
local interests, especially in
South Region.
To refine and expand the
method of selling timber by
competitive pricing.
To obtain more support for the Improved relations with
Department's programs from
indigenous
indigenous leaders in South
communities.
Region.
To apply and evaluate positive Effective sanctions and
incentives for good logging.
incentives for
appropriate harvesting
methods.
Sometimes, a forestry agency can have so many improvement goals that they become meaningless. Any single goal
is lost in the middle of others, and it is impossible to monitor all of them. Almost always, there are more

improvement goals than can be implemented at one time. For obvious reasons, the effort to consolidate and
prioritize goals has to be a careful exercise in diplomacy.
Worksheet 6 classifies improvement goals by three levels of priority. Also, an agency can employ methods in
Chapter 3 to show how proposed goals relate to each other, to national priorities, and to feasibility factors. The mix
of goals should:

respond to the highest level of national priorities;


complement and reinforce each other; and
be within the capacity of the agency to supervise, monitor, and evaluate.
Planning Cycle - Stage 3
Objectives: Setting Targets
Objectives (see Box 3) state specific results to be achieved. For an improvement goal, an objective should be clear
about: what, who, when, and how much.
Objectives rely on indicators to quantify how much. For technical goals, this normally does not present a problem.
But for intangible and institutional goals, the desired improvements may be difficult to measure.
The higher is the administrative level, the more challenging it can be to quantify the objectives (e.g., objectives to
improve communications and public relations). But the planning is no less rigorous even though an agency cannot
quantify everything in it. Rather, the agency states its objectives in terms that are indirect and qualitative.
In setting its objectives, the agency needs to know where it is now! That one simple truth can cause enormous
frustrations. The frustrations are constructive if they lead to an honest search for information. They are not
constructive if they make planners invent "creative" numbers that have no basis in reality. But if the search for
baseline data is diligent and earnest, everyone will learn an enormous amount about current operations.
Worksheet 7 provides suggestions on how to write objectives, and Box 7 shows examples. For strategic planning
that looks ahead many years, do not invest too much time trying to make the objectives precise. The agency is
aiming for a reasonable approximation.
Planning Cycle - Stage 4
Strategies: Action Ideas
Strategies indicate how objectives will be achieved. For any objective, what obstacles stand in its way? And what
positive factors increase the chances that it can be achieved? These are excellent questions for group discussion,
such as through the techniques of brainstorming and force-field analysis (see Chapter 3). Each strategy group should
invite wide participation from outside the agency in order to enlarge the range of ideas. The various ideas are
screened, grouped, and studied for administrative and budget feasibility. The actions for each objective:

follow a logical sequence;


are placed in a time schedule;
specify resources (e.g. budget) to accomplish them; and
are assigned to individuals who are accountable for carrying them out.
Improvement Goals
Performance Indicators
(examples from Box 6)
To increase field monitoring No. of forest concessions
where harvesting takes place regularly inspected for
harvesting impacts

Objectives

To increase monitoring from present 30% of


concessions to target of 80% by end of year 2002.
Responsible: Chief of Forest Utilization Section,
XYZ For. Dept.
To grant more forest
Share of forest concessions (by To increase this share from current 18% to target of
concessions to regional and area) in hands of companies and > 40% by end of year 2002. Responsible: Executive
local interests, especially in individuals who live in South
Director, XYZ For. Dept.
South Region
Region
To obtain more support for the No. of "positive" exchanges
To increase the "positive" exchanges from current <
Department's programs from between Department and
50% to target of > 90% by end of 1999.
indigenous leaders in South indigenous groups in South
Responsibility: Regional Coordinator for South
Region
Region
Region

Planning often fails at this stage of proposing action ideas. For example, the agency usually makes a mistake when it
proposes actions "for" somebody who does not actually participate in the planning. Secondly, action ideas may
suffer due to unrealistic cost estimates. Often this is because of too little attention in the office to budget and
financial management.
Box 8 illustrates actions to accomplish objectives (and see Worksheet 8). The action statements should be prepared
by the persons directly responsible for the objectives. Note, too, that not all actions have to be written on paper,
especially if they do not need approval at higher levels.
Planning Cycle - Stage 5
Negotiation: Seeking Agreement and Compromise
If the planning is done well, many disagreements will have been resolved by this stage. Ideas are moving laterally as
well as up and down when people discuss mission, goals, objectives, and actions. Obviously, the quality of this
discussion varies with:

the amount of careful preparation to support the planning;


the diversity, knowledge, and creativity of the people who participate in the planning;
the level of genuine interest in making the planning succeed; and
the managerial skill to coordinate the planning.
Actions
Make at least one visit to every forest concession
to review harvesting practices
Select, hire, and train 7 staff members for
harvesting inspection teams
Obtain transportation and operational budget for
inspection teams (vehicles, fuel, travel
allowances)
Evaluate effectiveness of inspection teams

Responsibility
Self (Chief, Utilization Section, XYZ
Forestry Dept.), with staff assistance
Self in collaboration with Training
Director, Technical Services Division
Self in collaboration with Budget
Director, Central Office

Time Frame
By December 1998
1st group - June 1999
2nd group - Dec. 1999
By June 1999

Self in collaboration with Training


1st review - June 2000
Director, Technical Services Division 2nd review - June 2001
But even in the best circumstances, some issues will need further negotiation at this point. On this, there is a huge
difference across societies in the amount of bargaining and negotiating that is expected. There are also differences in
the amount of decision authority at subordinate levels of the agency.
Therefore, an agency needs to determine the major actions that need to be negotiated, both within and with people
external to it (Box 9 and Worksheet 9). This can be organized by objective, by administrative level, and so on.
Planning Cycle - Stage 6
Implementation: The Management Dimension
The time arrives when the planned actions need to be implemented. An agency should plan on having
implementation problems virtually 100 percent of the time. Many of these problems are impossible to foresee, but
others can be anticipated. For those difficulties that can be foreseen, what are the strategies to avoid or minimize
them? The leader of a planning team should make a simple worksheet to show: (1) potential problems, and (2)
strategies to avoid or minimize them (Worksheet 10).
Issues That Need Negotiation
With Whom Is Agreement Needed?
1. Hire personnel for inspection teams
Executive Director, Central Office
Personnel Manager, Central Office
Green Future Society (NGO that promotes forest
protection)
National Association of Forest Products Industries
(industry association)
2. Transportation and operational budget
Procurement Manager, Central Office
for inspection teams
Regional Coordinator, South Region
World Bank Representative (regarding grant funding)
3. Training for inspection teams
Training Director, Technical Services

Many planning guides rely heavily on the Critical Path Method, Program Evaluation and Review Technique (PERT),
and related scheduling methods. These methods indicate the most efficient way to schedule planned activities in
order for others to begin immediately after them. These techniques are widely available in computer software at
reasonable prices. The leaders of planning groups should become familiar with these techniques, and possibly apply
them.
However, not too much emphasis will be given to them here. They work best where organizational systems are
stable. They are far less useful where politics are volatile, the government is re-organizing every six months, and the
agency's budget may be cut by half. Many managers do just as well with a big chart on the wall, and an eraser to
correct it every month.
This publication is not about management per se. However, strategic planning implies a management orientation.
The strategies have to be broken down into the parts that can be implemented, evaluated, and improved. Essential
elements in this are communications and supporting resources (budget, training, organization, and supervision).
Additionally, the people who are responsible for carrying out objectives must have the authority to do so. Finally,
there must be a system of incentives to reward good performance. All of this is management.
Planning Cycle - Stage 7
Evaluation and Adjustment: Learning from Experience
An agency needs to anticipate how it will evaluate the successes and failures of its planning (Worksheet 11). How
will it know what went wrong? What has to be done better next time, and why? This is the self-correcting feedback
for continuous improvement.
There are ways to be conscious of both the planning process and its results. First, the agency should study the
previous strategic plan and evaluate its successes and failures, and the reasons for them. Secondly, the people who
participate in the current round of planning should discuss the strengths and weaknesses of the process. This also
refers to individuals outside of the agency who have been participating.
Finally, the individuals responsible for carrying out the specific actions of the plan will be reporting their problems
and progress over the years. Was the planning too ambitious? Or too cautious? Did anything happen that was totally
unexpected? What was the role of good luck and bad luck? Or was the luck created through human factors? Where
problems occurred, were they because of faulty concept or poor implementation? This kind of reporting is very
instructive. However, it demands an "institutional memory" to track results and make them available for the next
generation of planners.

CHAPTER 2: TYPOLOGY OF PLANNING


METHODS AND TOOLS
2.1 Methods to Clarify Issues and Problems
2.2 Methods to Examine Spatial and Inter-Sectoral Relationships
2.3 Methods for Social, Environmental, and Economic Analysis
2.4 Methods to Discuss the Future
Strategic planning relies on a number of methods and tools to define and interpret information for comparing
alternatives. This chapter identifies selected planning methods according to four purposes:

1. Methods to clarify issues and problems. - All planning teams need creativity and
analytical rigor to define problems and compare options. Several structured techniques
promote both creativity and rigor.
2. Methods to examine spatial and inter-sectoral relationships. - Strategic planning for
forests has to account for cross-cutting functional and spatial relationships. The methods
for this rely on maps and area planning, together with computer simulations and models
in regional economic geography.

3. Methods for social, environmental, and economic analysis. - The planning team needs
to anticipate the social, environmental, and economic impacts of its proposed goals and
strategies. Several frameworks are available for this.
4. Methods to discuss the future. -Planning is about forecasting the future and deciding
how to prepare for it. The planning team should practice and learn from techniques of
"futures analysis."
Planning tools do not have to be quantitative to be useful. Quantitative models can be important, but they are not the
only or best techniques to promote the "systems approach" in thinking about a problem and its possible solutions.
Box 10 presents criteria to help an agency evaluate the appropriateness of different planning methods and tools,
whether alone or in combination. Let these criteria guide its selection.
Insufficient application of planning tools leads to disorganized thinking. The discipline of the tools keeps the
planning focused and organized. But an agency wants the tools to serve your process, not to control it. It is often
easy to allow the tools to become ends in themselves. Especially in the industrialized countries, some expensive
efforts in forest planning have failed exactly for this reason.

2.1 Methods to Clarify Issues and Problems


All organizations, private and public, employ a variety of methods to clarify issues and problems. An agency needs
to develop competence in selecting these methods, and in assisting planning groups to use them. This can be
important for building up working relationships within the planning team, with the advisory committees, and with
the interest groups.
Criteria
Appropriateness
Relevance
In what ways does this method help an agency answer important
questions and focus on key issues?
Acceptability
How well is the method developed, and to what extent is it accepted
as a standard instrument? (In own country's context)
Cost
How much time and how many resources does an agency need to
adapt and apply this method?
Data Requirements
Does an agency have - or will it be able to generate - the data for a
reliable application of the method?
Breadth and Versatility
To what extent can the method represent cultural, intrinsic, aesthetic,
and other non-market aspects of forests?
Distributional Aspects
Does the method help address gains and losses: (i) across the society,
and (ii) between present and future generations?
Communications
To what extent can ordinary people understand this method?
Sustainability
What are the chances that you will continue to use this method (and
therefore to refine and improve it in the future)?
The best sources of problem-solving tools for an agency are books, articles, and videos in management science (see
Appendix II, Part C). These are increasingly available in even the remotest places of the world - and in an
increasing number of languages. Here, we briefly mention some of the classical methods that your planning team is
most likely to need:

Brainstorming. - Brainstorming is generally superior to conventional committee


meetings for rapid generation of creative ideas. Suppose that an improvement goal has
been defined, such as to increase the effectiveness of an agency's agroforestry program.
In brainstorming, team members make rapid suggestions on how to achieve this.
Somebody writes down all of the suggestions (e.g., on a large sheet of paper) - even those
that at first may seem strange or impractical. All ideas are acceptable, and nobody is
allowed to criticize another person's suggestion. The agency's aim is to quickly produce
ideas which only later will be evaluated for feasibility, cost, and other decision criteria. In
the end, it will arrive at a smaller set of proposals after the initial ideas are modified,

combined, or eliminated (Worksheet 12). Box 11 summarizes three variations of this


method.
1. Call Out Ideas Freely in Any Order
Each person calls out as many ideas as possible in random Advantages: Spontaneous and fast: no restrictions.
order. Each idea is recorded where everyone can see it.
Continue until the time limit is reached, or until nobody has
anything to add.
Disadvantages: Quiet persons may not speak out; a
few powerful persons may dominate; the process can
be chaotic if everyone talks at the same time.
2. Call Out Ideas in Orderly Sequence
Advantages: Everyone has the chance to participate;
it is more difficult for powerful personalities to control
the session.
Each person presents an idea in turn (e.g., by going
Disadvantages: People can be frustrated while
systematically around a table). If a person has nothing to
waiting for their turn.
add, the person says "pass." Continue until the time limit is
reached, or until nobody has anything to add.
3. Each Person Writes Ideas on Paper
Advantages: All contributions are anonymous; ideas
can be recorded in an organized way.
Each person writes down as many ideas as possible on a
Disadvantages: Creativity is lost because persons are
piece of paper. The papers are collected, and the ideas are
not able to react to the ideas suggested by others.
written where everybody can see them.

Problem Statement Guidelines. - Sometimes an agency's improvement goals are vague


and poorly defined. It applies problem statement guidelines to sharpen the definitions of
any problem into its what, when, where, who, why, and how dimensions. Each team
member is asked to state the problem according to these guidelines. In a subsequent step,
the agency compares these statements to make a final problem statement acceptable to
the group as a whole (Worksheet 13).
Strengths and Weaknesses, Opportunities and Threats (SWOT). - In relation to a given
goal or strategy, an agency wants to take advantage of its strengths and opportunities. At
the same time, it has to be aware of weaknesses and threats that will impede its progress.
The SWOT framework helps the agency think about this in a direct and systematic way
(Worksheet 14).
Problem Trees. - for complex issues, an agency systematically identifies causes and
effects with the help of a problem tree. A problem tree is a diagram of boxes and arrows
that show causes at a low level, leading to effects at a higher level (Worksheet 15). The
causes are the roots of the tree, and the effects are the fruits. The team lists different
problems, and then connects them with arrows to show linkages. It repeats this several
times until the problem tree is complete and logical. The problem tree directs the
attention of the team to fundamental, deep-rooted explanations. Box 12 presents an
example.
Box 12. Example of a Problem Tree
Insufficient Cooperation Between NGOs and The Forestry Agency in Policies and Actions for Forest Conservation

Source: Adapted from FAO, 1994, Formulation of Agricultural and Rural Investment Projects: Planning Tools,
Case Studies, and Exercises, Volume 2 (Reconnaissance), Rome, Italy, Tool No. 5.

Logical Framework. - The logical framework encourages planners to specify causeand-effect relationships, and to explicitly state all assumptions. At the top of the
framework is a clearly defined goal. Lower levels of the framework specify the why,
what, and how to achieve this goal (Worksheet 16). For these linkages to be possible, the
internal logic of planning must be sound, and the assumptions of the agency must be
valid. Box 13 illustrates for a strategy to reduce depletion pressures on fuelwood
supplies.
Summary
Indicators
Means to Verify
To reduce depletion Reduce fuelwood
No. of headloads removed
Rapid appraisals; spot
pressures on
removals from upland
checks; periodic surveys.
fuelwood supplies pine forests, South
Region.
(1) To lessen
(1) Fuelwood collection is (1) Number of hours per week per
(1) Focus groups; time
women's work;
time- consuming;
woman for fuelwood collection;
studies;
(2) To aid forest
(2) Trees are mutilated
(2) Field evidence of damaged trees and (2) Walk-through spot
regeneration and
and regeneration is poor regenerating trees
checks; forest inventories.
growth
Fuelwood is more Increase supply and
Reduce average walking distance per
Interviews; time studies;
available and better decrease demand
headload; fewer headloads per week;
physical measurements
utilized
smaller size of headloads.
(mass and volume).
(1) Grow energy
(1) Promote clean(1) Plant 5,000 trees per year of species (1) Walk-by inspections
trees in home
burning species;
X, Y, and Z, starting in year 1998;
and household surveys;
gardens;
(2) Increase the
(2) Only 1 in 50 families (2) Increase to 2 in 50 families by year (2) Household surveys;
adoption of cooking uses them now;
2001;
stoves;
(3) Seek kerosene (3) Debate through
(3) Reduce kerosene price 25% by 1999. (3) Market studies.
subsidies
political means

Force-Field Analysis. - Most goals are characterized by restraining forces that hold back
an agency and driving forces that push it forward. In force-field analysis, the agency
identifies these forces, and it assesses its degree of influence to control them. If the
agency knows which forces are holding it back and which can carry it forward, then the
planning focuses on how to reduce the former and exploit the latter. The agency rates the
different forces for both importance and the extent of its control over them. The agency
concentrates its actions on the high-rated forces (Worksheet 17). An example is
presented in Box 14 for improving success in afforestation and reforestation.
Figure

Rising prices of wood products


Genetically-improved planting
stock
Improved operational planning
Increasing public support
Decreasing agency budget
Irregular annual precipitation
Poor procedures for hiring and
paying field workers
Losses to fires and grazing

Importance
2
2

Your Control
2
4

Total
4
6

4
2

5
2

9
5

2
5

2
1

5
6

4
5

4
3

8
8

Comparison Matrix. - Frequently, an agency needs to rank several options in a


systematic way to arrive at a single choice. The comparison matrix does this through oneby-one comparisons, indicating how any one option (Choice A) compares with all others
(Choices B, C, ...Z). The agency constructs a frequency table which shows how many
times A, B, C, and Z are rated superior to the other options (Box 15 and Worksheet 18).
Social Equity
Option A
Option B
Option C
Option D

High
Neutral
High
Poor

Annual
Expenditure
Very Large
Large
Modest
Large

Biodiversity
++
++
+++
+++

Political
Acceptability
++
++
+
?

Role Playing. - An agency wants members of its planning team to interpret problems
and feel emotions in the same way as its actual interest groups. The use of role playing
can be surprisingly effective for this. The agency assigns different team members to "act"
as if they are personalities among its interest groups (Worksheet 19). Role playing is
never a substitute for genuine participation by these groups. But it can be used within the
planning team to widen perceptions, compare options, and prepare for comments by the
real personalities.

2.2 Methods to Examine Spatial and Inter-Sectoral


Relationships
Some of the most important information for strategic planning comes from good maps and land-use plans. To the
extent an agency relies on maps and land-use plans, it is likely to need the collaboration of other government
agencies. This can be an excellent opportunity for inter-agency and "inter-sectoral" dialogue. In addition to maps
and land-use plans, the agency may decide to explore spatial and inter-sectoral aspects with the help of simulation
models and regional economic models:

Maps and Land-Use Plans. - Worksheet 20 indicates several types of information that
the agency may want presented in the form of maps. Simple techniques, such as
overlaying different kinds of maps to show a composite picture of selected areas, can be
perfectly adequate in strategic planning. Seldom does an agency need Geographic
Information Systems (GIS) to cover all areas, particularly during the early stages of
identifying problems and issues. Rather, it relies on simpler and less expensive methods.

The agency considers GIS only where detailed analyses will be warranted because of
sensitive issues or particularly important land-use tradeoffs.

Computerized Simulations. - Some computerized simulations show how land uses will
change because of population growth and migration, agricultural expansion, and so on.
These simulations can be helpful for discussing where and how fast forests are likely to
be converted to non-forest uses. Some simulation models illustrate environmental
impacts of forest conversion at a regional scale. Others are able to project future demands
for forest products and services. An increasing number of these models will become
available as computer software continues to improve, and as more packages are adapted
for international use. At the same time, an agency wants its planning team to be aware of
the many intangible and non-quantitative details that simulations cannot address.
Models in Economic Geography. - Regional models are helpful for indicating how
different kinds of investments-such as in forest plantations, tourist facilities, etc. - will
create demands for credit, transport services, infrastructure, and employment. To explore
these issues, an agency may want to employ input-output models, regional trade flow
models, and production linkage studies. Other models show how populations locate in
response to economic and social "growth poles." These and related approaches are
described in the references on regional economic development (see Appendix II, Part
B).

2.3 Methods for Social, Environmental, and Economic


Analysis
All planned changes to use and conserve forests aim to stabilize or improve social, environmental, and economic
conditions. Good strategic planning has to anticipate the type and magnitude of impacts to be expected. The
principal techniques for this are social assessment, environmental assessment, and benefit-cost analysis. These
approaches are increasingly mixed and integrated, e.g., benefit-cost analysis of environmental changes, social
assessment of capital investments, and so on:
Social Assessments. - Social assessments have many forms, ranging from ethnographic studies to formal surveys.
Some ethnographic studies may take a trained anthropologist several years to complete. Formal surveys can also be
time-consuming and expensive, especially if they attempt to include hundreds of people. For these reasons, an
increasing number of practical cases aim at an intermediate level of analysis, such as "rapid rural appraisal" (RRA)
and "participatory rural appraisal" (PRA). In RRA and PRA, you rely on a combination of interviews, direct
observations, and small-group discussions to identify social issues and problems (see Worksheet 21). For most
medium and long-term strategic planning, this should be adequate. In other cases, your initial findings will suggest
that you need wider coverage or deeper analysis, leading to subsequent stages of fact finding.

Environmental Assessments - Ideally, environmental assessments provide an agency


with a complete ex ante forecast of biophysical impacts, their distribution in space and
time, and an analysis of the best ways to mitigate negative impacts. But in practice, it is
unlikely to achieve this within the time frame of the planning of the agency. Rather, the
agency may need to be satisfied with checklists that state possible impacts (Worksheet
22). In truly complex or controversial cases, the planning team has to allow for the time
and costs of a specialized environmental impact assessment (EIA). Manuals on EIA are
available from most of the United Nations agencies, international development banks,
and international aid agencies. These can be satisfactory if an agency adapts them for the

circumstances of its own country. Moreover, an increasing number of national


governments are writing their own EIA policies and procedures.
Benefit-Cost Analysis. - An agency wants its strategic actions to be measured by
standards that are financial and economic, e.g., through the application of benefit-cost
analysis (BCA). For each major component of a strategic plan, the agency should indicate
what levels of investments and recurrent expenditures will be needed. Moreover, the
agency tries to establish measures of private and social profitability to guide selection
among planning options. This demands a fairly complete set of prices and values, now
and into the future. This is almost always a large task, but is generally worth the effort if
the planned investments are large. The planning team needs to understand the difference
between financial vs. economic BCA, as well as techniques for extending BCA to cover
environmental benefits and costs (Worksheet 23).
Seldom an agency is able to completely estimate the social, environmental, financial, and economic impacts of a
strategic plan in quantitative terms. Even if possible, it has no way to combine these dimensions in one measure,
e.g., monetary value. In principle, planners solve this dilemma through multi-criteria analysis that uses mathematical
programming. But in practice, multi-criteria analysis is a sophisticated planning tool that few of the interest groups
and team members will be able to understand.
On the other hand, almost everyone should be able to understand a matrix for trade-off analysis. The agency
accomplishes this by ranking proposed actions according to different evaluation criteria (Box 16). This can be
another way to build participation into planning, and to favor a "systems approach" in comparing alternatives.
Strategy or Option

Social
Environmental
Economic Ranking*
Total Score**
Ranking*
Ranking*
A
2
1
3
6
B
1
3
4
8
C
5
4
5
14
D
3
5
2
10
E
4
2
1
7
To conclude, the social, environmental, and economic tools an agency selects for its strategic planning should be
determined by:

the importance and sensitivity of a proposed policy, program, or project;


the time and budget for conducting the analysis;
the technical and administrative capacity within the agency - or through the help of
external assistance - to undertake the analysis; and
the extent to which the interest groups will accept the analysis as useful and valid.

2.4 Methods to Discuss the Future


Planners are forecasters. In every country, events are occurring that will change the way people ask and answer the
question, "Trees and forests for whom and for what?" In the planning, an agency is expected to anticipate these
questions and answers, and to assess what consequences they have for its improvement goals and strategies. An
agency will be greatly assisted in this if it can apply a few techniques of forecasting and futures analysis. The
techniques help the agency add rigor to judgments that otherwise remain less than fully developed.
There are many books, articles, and training manuals on forecasting techniques. The approaches range from highly
quantitative to purely qualitative:

Trend extrapolation. - In this approach, an agency extends past and current observations
into the future, usually through quantitative relationships. For example, if the agency
knows fuelwood consumption per capita, and if you also have a forecast of population
growth, then you are able to project the growth of aggregate fuelwood consumption into
the future. At the same time, the agency needs to identify what may happen because of
possible new trend components (e.g., changes in subsidies for petroleum-based fuels). In
more complex situations, the demand for one or more forest products is related to several
explanatory variables simultaneously (e.g., population, income, prices of substitute
materials, and others). Similarly, an agency can attempt to project deforestation rates,
diffusion of agroforestry technologies, etc., in relation to their explanatory variables.
These types of projections require reliable data sets and experts capable in advanced
statistical methods, both of which may be limiting in many situations.
Scenario construction. - Here an agency uses perspectives from different people to
explore alternative states of the future. The agency asks individuals to describe how they
visualize future political, cultural, economic, and technological dimensions of a particular
issue related to forests. It then applies qualitative judgments to separate likely scenarios
from those which are less plausible. In another type of scenario construction, it asks
individuals to imagine the future they want (i.e., in reference to a particular issue), and
then to describe a series of events and conditions to achieve it.
Historical analogy. - Sometimes an agency asks its planning team to look backwards to
think about what may happen in the future. For example, it can ask everyone to view its
interest groups in an ongoing historical struggle of forces and counterforces, goals and
constraints, and actions and reactions. In a second kind of analysis, the agency asks its
planners to describe a particular problem about forests and humans in terms of past and
current social dilemmas. Then, what could happen in the future that would help the
country to solve these dilemmas? In both cases, the agency is looking for historical
patterns that signal that an important transformation is possible or even likely. (Also, see
"force-field analysis" in section 2.1.)
Delphi and other techniques based on collective opinions. - Several forecasting
techniques rely on group interactions to arrive at a collective opinion. In the Delphi
method, different persons respond individually and confidentially to a sequence of
questions. At each stage in the sequence, the results from the preceding questions are
revealed to everyone. Then, each member of the group is given the opportunity to change
his or her assumptions and predictions. Because these changes are made confidentially,
each individual is free to change a previous position without being influenced by personal
relationships. In a variation of this method, the discussions are open and shared.
However, this sometimes gives dominant personalities a great amount of influence, e.g.,
by getting other individuals to "agree" with them.
Note that all forecasts of the future apply the same basic approach. They identify patterns of behavior, and explore
how these patterns will change or stay the same as a basis for anticipating what will happen in the future. In
planning, an agency is doing its best to make the future "knowable" by carefully studying Factors A, B, and C that
lead to Result Z. The agency uses theories and concepts to predict the future in relation to the present and past. In
this sense, the planning team needs to appreciate that good forecasting is a science-it is not wild and undisciplined
guessing.

An agency should be alert to books, articles, and videos for forecasting approaches that may be helpful. Particularly
because of computer simulations, forecasting models are able to represent increasing numbers of variables and
relationships. However, an agency should never accept these in the form of "black boxes." Somebody has to reason
that A, B, and C lead to Z. For this, the methods of trend extrapolation, scenario construction, historical analogy,
Delphi technique, panel of experts, etc., are basic and indispensable. They require that planners apply structured
thinking, even if not always with the assistance of computers. The challenge of the agency is to practice these
techniques, and to learn how to adapt them to meet its objectives (see Worksheet 24).

CHAPTER 3: INTEGRATING
PARTICIPATION INTO THE PLANNING
PROCESS
3.1 When Participation Works, What Does It Accomplish?
3.2 Design a Framework for Participation: Overview
3.3 Develop the Participation Plan
3.4 Work With Regions and Districts
3.5 Work With Other Agencies
3.6 Work With Interest Groups
3.7 Work With Advisory Committees
3.8 Prepare a Participation Summary
3.9 Hold the Door Open for Continued Participation
Participation is instrumental to ensure that planning will work towards reflecting the priorities and interests of all
major groups and that they will be committed to playing their role in translating planning into action. Most public
agencies agree with the principle of inviting citizens and interest groups to participate in strategic planning. But
participation demands preparation, management, diplomacy, time, money, and hard work!
The challenge of an agency is to define who the different interest groups are, and then to interact effectively with
each of them. Many forms of participation, from passive to active, can be appropriate in different circumstances and
with different people. But when participation is not handled well, it can turn into a confrontation over competing
ideas and interests. The agency's aim is to prevent this from happening by learning and practicing the principles of
effective participation, as summarized in this chapter.
By inviting participation, a forestry agency will never satisfy everyone. On the other hand, the agency has to avoid
the isolation that leads to bad choices. It has to encourage partnerships that go beyond what any forestry agency can
do alone.

3.1 When Participation Works, What Does It Accomplish?


The interest groups are the individuals and organizations who claim rights and interests in the ways that forests are
used and managed, now and in the future. As noted in preceding chapters, strategic planning is less useful when
done for interest groups than when done by them. Key interest groups include:

Large numbers of mainly rural people who depend on trees and forests to provide
products and services for their subsistence (e.g., fuelwood, construction materials, food
products, medicinal plants, and the like);
Private businesses - both large and small - whose incomes derive entirely or in part
from the use of forest goods and services;

Environmental, educational, scientific, and related categories of NGOs;


The administration and personnel in government ministries and agencies whose policies
and programs affect forests.
The above interest groups are separated from each other by differences in power and influence, attitudes and values,
and education and outlook. Almost always, they have different answers to "Trees and forests for whom and for
what?" The purpose of having them participate in strategic planning for forests is to create a two-way exchange
about (1) what they know, (2) what they value and believe, (3) what they must have in order to support chosen goals
and strategies, and (4) what responsibilities they will accept for forest management.
When people see themselves as gaining or losing something in relation to forests, an agency must demonstrate the
fairness of its planning and decision-making. This is particularly true when some people believe they are losing
while others are gaining. If it is to be perceived as fair, the planning process must be highly visible and open. People
must be able to see how the planning is done in order to believe that it is equitable.
The second and related principle of fairness is that all groups must have access to the agency and its planning
process. If the agency director and planning team socialize regularly with an industry group but not with other
groups, the planning process will not appear to be fair. When the amount of access is unequal, people assume that
the amount of influence is unequal, as well.
Therefore, highly visible ways of participating must be made available so that people know how, where, and when to
participate if they choose to do so. The agency tries to have all types of interest groups represented among the
planning participants, even if it is difficult to know how much importance to give to each group. Secondly, the
agency wants all groups to have access to the planning team and its leaders. Admittedly, this can be very challenging
where communication is poor, where there is little history of participation in public planning, and where the
administrative culture is unfavorable. Yet when participation in strategic planning works well, it holds out the
promise of attractive results (Box 17).

3.2 Design a Framework for Participation: Overview


The participation of interest groups in strategic planning is not a casual matter to be organized at the last minute. On
the contrary, it takes considerable preparation to know when and how to invite it, apply it, and respond to it. The
main details are:

Defining who the interest groups are in the different stages of planning, and finding
effective means of seeking their participation in those stages;
Defining the information that interest groups need from the agency, and vice versa, for
participation to be productive;
Anticipating the issues and conflicts that will arise, and how to handle them; and
Preparing a participation plan that addresses the preceding points.
The ideal first step is to hold a series of interviews, community meetings, and focus groups to identify the pressing
issues in forest use and conservation as perceived by organized groups and individual citizens. This is done in the
forest regions, as well as in the main cities. This initial fact-finding (also known as "scoping") is the time to assess
(1) what the issues will be during the rest of the planning exercise, (2) how the different interest groups feel about
these issues, (3) which people hold the keys to the problems and solutions, and (4) what kinds of participation will
be desirable and feasible.
Box 17. When Participation is Successful, It Offers Attractive Results..........
1. PROVIDES OPENNESS (TRANSPARENCY), FAIRNESS, AND ACCOUNTABILITY. This saves the planning from
criticism by helping to make the process legitimate, credible, and socially responsive.
2. STRENGTHENS THE PLANNING BY INCREASING THE CONTRIBUTIONS OF INFORMATION AND IDEAS.
Participatory planning is a means of communication. Through it, people provide facts, questions, perceptions, and
opinions. This increases the quantity and accuracy of the "information" that goes into planning.
3. PROMOTES CONSIDERATION OF A BROAD RANGE OF INTERESTS IN FORESTS. Participation of a wide

diversity of people helps a country discover the variety of wants, needs, and preferences in forest conservation and
development.
4. ALLOWS DISAGREEMENTS AND COMPLAINTS TO BE EXPRESSED EARLY AND OPENLY. Participants who
disagree on goals and strategies have the opportunity to discuss them. In planning, certain disagreements can be
negotiated before they grow into major conflicts.
5. INFORMS INTEREST GROUPS ABOUT THE REALITY OF DIFFICULT CHOICES. By inviting outside
participation, a forestry agency strives to get other people to understand its issues and problems. In the long run, this
can help build political and citizen support.
6. INCREASES ACCEPTANCE OF PLANNING AND THE DECISIONS THAT RESULT FROM IT. Through
participatory planning, a forestry agency increases the probability that the plan will be accepted at the conclusion of
discussions ('the dialogue") about it. The participants who work in the planning develop an ownership of it, and this
helps create the commitments for successful implementation.
The early definition of problems and issues can be one of the most difficult tasks in strategic planning because:

The proposed solution for one group's issue is the problem for another group. To
illustrate, the farmers' group that wants free seedlings is a problem for the private
nurseries that want to sell them. The rural settlement that wants legal hunting rights in the
forest is opposed by the NGO that wants this land for wildlife conservation.
Many people will not say what they feel, especially in the presence of elites. It can
require special intermediaries to bring out issues at the bottom of the socioeconomic
ladder. Leaders of NGOs, local governments, community associations, etc., are
themselves elites who do not necessarily speak for the people they claim to represent.
For these reasons, it can be important to contact people who are not in organized groups. Unfortunately, many
planning teams feel obliged to interact with group leaders only. In other cases, people in the communities will not
speak out if a government official is present, particularly in a setting of illegal activities (e.g., game poaching and
clandestine logging). This poses an obvious problem for choosing who to send on the fact-finding teams. Sometimes
the agency avoids sending government personnel and relies instead on neutral intermediaries. This refers to
independent advisors, civic or religious leaders, respected teachers, and the like.
Following the initial fact finding, an agency may want to organize one or more advisory committees to work with
the planning team. Frequently, a citizens advisory committee is set up separately from a technical advisory
committee. The technical committee can be an inter-agency mix of professionals and staff, perhaps joined by
representatives of the key interest groups. The citizens committee can be a cross-section of community and civic
leaders who are well respected.
The choice of people for these committees is not easy where political, ethnic, and other kinds of tensions divide a
society. An agency has no formula other than to learn from committee structures that have worked in the past, either
with the agency or in another context.
In small countries, the staff of the forestry agency can usually name all of the interest groups. But in other settings,
the number of environmental and rural NGOs runs into the hundreds. This makes it more complicated to design a
framework for participation. The means of identifying interest groups is then a combination of several approaches
(Box 18).
Several studies conclude that, beyond a certain point, the list of key interest groups does not change, no matter how
many additional search techniques you apply. On the other hand, the participation of citizens is a more open-ended
selection.
In designing its participatory framework, an agency needs to think carefully about who should be active in the
different planning stages. For convenience, it should recognize different groups and levels of participants, such as:

1. Administrators and staff in the agency's central office;


2. Administrators and staff in the agency's subordinate offices, e.g., regions and districts;
3. Administrators and staff in other agencies whose policies and programs interact with
those of the forestry agency, or which affect forests;

4. High-level officials such as ministers and cabinet officers;


5. Leaders of forest products industries, environmental groups, peasant cooperatives,
indigenous societies, workers associations, women's associations, and other NGOs;
6. Individual members of the organized groups and identifiable interests in (#5)
preceding; and
7. Citizens not identified as members of organized groups.
Box 18. Approaches for Identifying Interest Groups
1 SELF-IDENTIFICATION. Some groups and individuals come forward and ask to participate in the planning. For
this to happen, the agency makes prior announcements about the planning through highly publicized meetings,
coverage in news media, and other information campaigns. However, the approach typically fails to reach people in
small towns and remote regions. Secondly, the approach works best for people who already have good access to the
agency, but not for people without these contacts.
2. STAFF IDENTIFICATION. Agency staff who have worked in an area for some time can identify groups and
individuals who have interests in forest issues, and who are well informed about them. Often, the agency's field staff
are the richest source of suggestions if the agency is seeking participation at decentralized levels.
3. CROSS-AGENCY IDENTIFICATION. This can be important when key problems are conflicting policies and the
limits of agency authority. For example, the forestry agency can request the agency for land reform not only to
represent itself in the planning, but also to recommend farmers and settlers who should participate, as well. The
same approach is applied for other cross-agency relationships.
4. IDENTIFICATION THROUGH ADVISORY COMMITTEES. The technical and citizens advisory groups can be
asked to recommend planning participants. However, an agency needs to insure the diversity of the people they
recommend.
5. IDENTIFICATION THROUGH WRITTEN RECORDS. Most forestry agencies keep records of permit holders,
attendees at important meetings, extension contacts, and other forms of registration. In many cases, these records
identify the people directly affected by agency strategies. These records can be a means to choose planning
participants, sometimes randomly so that their views will be representative.
During the first stages of planning, sometimes only the forestry agency (i.e., groups #1-2) defines the terms of
reference, lays out the time schedule, and designs the participation strategy. However, a big mistake is to narrow the
planning by not reaching other potential participants, even in these early stages.
The visibility and usually also the organization of the planning can improve by including people from categories #35 almost from the beginning. This is particularly true when the planning will cover issues that are controversial.
From the start, the planning effort has to be politically credible. The contributions of the technical and citizens
advisory committees can be very helpful at this point. Worksheet 25 will help an agency link participation with the
stages of planning.
As indicated in Box 19, planning leaders should think about the desired exchange of information that needs to occur
between the agency and the planning participants. This clarifies the methods of participation of the agency, and
helps it organize for the planning. Usually, the agency looks to interest groups to define perspectives on what they
perceive as improvement goals to use and protect forests. From communities and citizens, the agency needs
responses to these ideas in terms of who will be affected, and suggestions on how to make the strategies more
acceptable.
The best mix of participation approaches is determined by the special circumstances of the agency's planning
environment. These circumstances are carefully reviewed in deciding how the agency will structure the participation
(Box 20).

3.3 Develop the Participation Plan


Let us suppose that an agency has completed the work described in the preceding section. It held a series of
interviews, community meetings, and focus groups to identify issues that will be prominent in the planning. The
agency is able to recognize the diversity of interest groups, and it has preliminary ideas about how to involve them
in the planning. In particular, the agency is able to recommend people to participate in the technical and citizens
advisory committees. The agency has proposed a sequence of information exchanges between the planning

participants and the agency. Finally, the agency has studied the special circumstances of the planning context as a
guide to choosing participation approaches.
At this point, the ideas and proposals of an agency should come together in the form of a written participation plan.
The participation plan is developed in consultation with the agency's subordinate offices and with the other agencies,
interest groups, and citizens who will participate in the planning. The agency wants the planning to be visible and
politically accountable. This means asking people if they can be satisfied with the proposed process before the
agency actually implements it.
Planning Stage

Information Flow: From Agency to Participants

Information Flow: From


Participants to Agency
Pre-planning and initiation Purpose and scope of the planning
How different individuals define
and interpret issues
Types of issues that will be addressed
Intensity of feelings on issues
Opportunities for participation
Who wants to participate, and in
what ways?
Agency's mission
Agency's own statements of who it is and what it Critique of the agency's
does
statements .
Suggestions for change
Goals and objectives
Specific improvement goals and targets
Reactions to the goals as stated
Suggested additions and deletions
Action strategies
Proposed changes in laws, regulations, agency Perceived impacts of the actions
organization, policies, programs, and projects
Additional factors that should be
considered
Revisions that can make the actions
more acceptable
Negotiate issues
Legal and procedural frameworks that determine Interests and positions of the
the limits of available solutions
different interest groups
Ranges of options, and how to
expand them
Strategy implementation, Implementation plan
Reaction on feasibility
monitoring, and evaluation
Proposed roles and responsibilities of the interest Suggested modifications
groups as agency partners
Agreement (or not) to the final plan
and to later evaluation of it
Circumstances or Context
An agency is unable or unwilling to
provide strong management support
for the planning
An agency's credibility is low, or its
past planning record is poor
An agency's resources for the
planning are very limited

Implications for Participation


Obligates a minimum participation approach, and use of mainly traditional
methods (e.g., meetings).

Apply only the easiest participation strategies until they are mastered; do not
attempt approaches that are beyond your agency's capacity to manage.
Multiply the efforts by inviting selected "neutral" individuals or groups to cosponsor the planning; seek joint planning opportunities in the context of other
programs and initiatives.
Short or long duration of the planning A short planning process requires extensive preplanning and preparation; a
period
long process requires continuous visibility (e.g., via newsletters, media
events, and the like).
Technical complexity
Often demands a good technical advisory committee; can be an opportunity to

build inter-agency relationships.


Small or large geographical coverage Potential for workshops, meetings, and face-to-face discussions in small
areas; participation events have to be repeated in different places in large
areas.
Level of interest in forest issues
Where interest is low, use highly visible media announcements, public
meetings, and information campaigns. Where interests are intense and
competing, use conflict negotiation in workshops, advisory committees, and
mediation sessions.
Hostile interest groups
May require prolonged pre-planning to give hostile groups an opportunity to
express themselves early. May demand early mediation approaches to avoid
larger problems later.
As indicated in Worksheet 26 and 27, an agency can present the proposed participation activities to allow for easy
review and comment. The sequence of activities to accommodate the participation can be organized in a schedule.
The agency develops the participation plan for comment by the agency's director, and usually also by the technical
and citizens advisory committees. Worksheet 28 is a guide to help one think about the plan's contents and structure.
A good planning team schedules periodic reviews along the way to determine if the participation is effective.
Perhaps the agency overestimated participants' interest in some areas, and underestimated it in others. Or perhaps it
relied too much on large meetings, but too little on small-group negotiations. The review is the agency's feedback to
help it redirect the participation through the remaining parts of the planning cycle.

3.4 Work With Regions and Districts


Two main advantages of decentralized planning are: (1) it empowers regional, district, and other sub-national offices
with their own improvement goals, and (2) it allows these sub-national units to take advantage of their special
priorities, capabilities, and forest conditions. The more that planning is about empowerment, the more that it has to
rely on a bottom-up process. But for the decentralized approach to work effectively, you need to resolve several
issues (Box 21).
Box 21. Success Factors in Decentralized Planning
1. LEGATION OF AUTHORITY. Decentralized planning starts with authorization from the agency director. The
principal element in this is trust, accompanied by clear and practical definitions of what is to be planned at subnational levels. If this has not happened in the past, what could make it happen now?
2. RESOURCES FOR THE PLANNING. The lower-level units must control adequate resources in terms of
coordinators, advisory committees, support staff, travel budgets, and the like. The farther one moves down the
administrative ladder, the less likely one is to find these resources. What can the agency do to strengthen planning
resources at the bottom levels?
3. MECHANISMS TO ACCOMMODATE REGIONAL DISPARITIES. Sometimes one or two regions (or districts)
have adequate planning resources, and all others do not. This means that decentralized planning can widen crossregional and cross-district disparities. What are the possibilities to assist the weakest units?
4. MECHANISMS TO SUPPORT NATIONAL POLICIES. Regional and district planning usually concentrates on
projects and operations, but leaves out legal and policy considerations that can be addressed only at the national
level. What is the approach of the agency to make bottom-up projects consistent with top-down policy?
5. MECHANISMS FOR COORDINATION AND NEGOTIATION. Information sharing, "clearing house" functions,
cooperation and conflicts resolution are essential components of decentralized planning that call for close
coordination between different levels of planning.
Worksheet 29 helps an agency explores these issues. Decentralized planning is never easy. Its greatest danger is to
create false expectations. This occurs when low-level units send their plans to higher levels, which then ignore or
disapprove them because of apathy or disagreements (e.g., over budget and authority). The challenge is to insure that
the lower levels are truly empowered.

3.5 Work With Other Agencies


Participation in the planning should extend to government agencies for agriculture, national parks, energy, industry,
and other functional and sectoral areas. These agencies are interest groups because the strategies of the forestry
agency have consequences for each of them.
When they are partners, these other agencies can help create a favorable political climate for the planning. But if
they are ignored or consulted too late, they have less reason to support proposals from the forestry group.

As noted earlier, trees and forests are "inter-sectoral" resources that cut across divisions of land ownership and
government programs. For this reason, the approach to get other agencies to participate is critical. Generally, an
agency has several opportunities to encourage inter-agency participation (Box 22).
Box 22. Opportunities to Encourage A Variety of Government Agencies to Participate in the Planning for
Forests
1. PLANNING SCOPE AND DESIGN. The top administrators of key agencies need to participate in the early stages
of planning, especially in decisions about its scope and design. If reports merely given to these agencies to review
after the planning is underway, their "ownership" of the process is minimal. Moreover, they will not understand the
tradeoffs and conflicts unless they participate from the beginning.
2. TECHNICAL ADVISORY COMMITTEES. If it works well, inter-agency participation helps link strategic planning
for forests with initiatives and plans elsewhere in the government. In some cases, inter-agency cooperation provides
access to studies and data that otherwise would be difficult to obtain. Importantly, only an inter-agency group can
coordinate strategies for river basins and other bio-geographical regions. If the emphasis is ecosystem or land-use
planning, the agency relies on inter-agency cooperation for the "systems approach."
3. PERIODIC REVIEWS. As noted, a good participation plan provides for periodic reviews to evaluate progress and
problems. These reviews provide additional opportunities for the forestry agency to call upon the other agencies.
INTER-AGENCY COMMISSIONS AND TASK FORCES. In principle, improvement goals for forest use and
conservation can be distributed across several agencies. For example, a rural extension agency may have goals to
expand its agroforestry services, while a research institute has goals to expand its tree seed collection. Other
agencies take on responsibilities for yet other improvement goals, e.g., for wildlife and watersheds. In the end,
several agencies share responsibilities in a cross-organizational plan for land use.
Especially because of past fragmentation, inter-agency committees attract considerable attention. More and more
forestry officials will find themselves working within these new organizational structures, often in response to
government reorganizations for sustainable development.
In these inter-agency committees, the success of strategic planning for forests depends on accountability for results.
Accountability, in turn, depends on clear mission statements and clear lines of authority. It also depends on how the
new organizations deal with management complexities and inter-agency rivalries. Worksheet 30 helps an agency
discuss a number of key points.

3.6 Work With Interest Groups


Strategic planning provides an excellent opportunity to foster public-private partnerships for forest management. By
inviting them into the planning, the agency obtains the perspectives and advice of forest industries, social and
environmental NGOs, and other interest groups. But this must be done carefully (Box 23).
Principle
Explanation
1. The invitation to interest groups should be open and
The invitation to participate must be democratic and fair.
transparent. Do not deliberately exclude any of them.
2. If participation of community groups and small NGOs The effort to involve grass-roots groups often requires
will be extensive or new, consider using specialists to
facilitation skills and time not otherwise available.
support it.
3. Invite the participation of key groups early in the
Early participation promotes "ownership." Also, the
planning cycle.
agency needs early discussions to define issues and design
the planning.
4. Ensure that the groups understand the planning time
Participants need realistic expectations of what can be
frame, and the limits of the planning team's authority.
accomplished.
5. Verify the support base of each group's representatives Some "representatives" are not backed by the groups they
claim to represent.
6. If you anticipate antagonism, deal with these groups
Build as much trust as possible, and avoid unnecessary
separately and early. Make personal contacts in advance confrontations.
of meetings.
7. Practice approaches for managing hostile meetings
The facilitation style is more effective than the
(e.g., active listening, procedural rules, mediators, humor, authoritarian style.
etc.)
8. Use negotiation techniques in your meetings with
Negotiation helps disputing groups look for common

difficult groups (see CH 4).


ground and joint interests.
Unfortunately, partnerships are not always possible. This is clearest in the case of NGOs that exist because of their
opposition to a political party or government policy, e.g., on forests. If they participate as partners with the forestry
agency, these NGOs risk compromising their independence.
In a second situation, conflicts among interest groups can be too deep to allow them to sit together at the same table
with the agency. This is characteristic of struggles between environmental NGOs and industrial groups. Moreover,
many of the forest products enterprises compete with each other, just as different NGOs can be rivals for influence
and funding. The conflicts are not only between competing positions, but also among different individuals on any
side of them.
For these reasons, some groups perceive advantages in not participating. An agency may not be able to change this.
In other cases, the agency tries to work with difficult groups separately from others, and it applies approaches to
minimize potential hostilities. Chapter 5 will expand on principles and approaches of conflict negotiation.

3.7 Work With Advisory Committees


Advisory committees, working groups, and steering committees can determine the success or failure of the planning.
They usually are the main link between an agency and its external environment. In principle, the committees should
be able to represent the full range of views on issues and strategies. Additionally, committees may be able to resolve
differences on an informal basis rather than through major arguments at the end of the planning. An agency wants
advisory committees that are able to contribute in the following ways:

Help define issues and problems important for the design of the planning;
Serve as communications links between the forestry agency and other agencies, interest
groups, and communities;
Help design, organize, and co-sponsor the participation plan;
Assist in informing high levels of government, interest groups, and the communities
about the importance of the planning;
Help select individuals or groups to carry out background analyses, participatory
assessments, and other tasks in support of the planning;
Help evaluate the adequacy of technical, social, and environmental information that
goes into the planning;
Help resolve conflicts among various interests; and
Assess the quality control of planning reports before they are released more widely.
Obviously, these are important responsibilities. Yet when committees are poorly selected or organized, they cause
continuing frustrations for the agency and the committees themselves. The agency faces several potential problems
to be avoided or minimized (Box 24).
Box 24. Problems to be Avoided When An Agency Chooses Advisory Committees
1. DISTRUST BETWEEN A CITIZENS COMMITTEE AND A TECHNICAL COMMITTEE. This happens when one
committee perceives it has less status and influence than the other. To attempt to prevent this, the agency provides
both committees the same materials and access so that one committee does not feel neglected relative to the other.
The agency promotes communications between the committees by appointing some persons to sit on both of them.
They are the bridge of communications. Moreover, the agency insures that each committee is fully occupied with
genuinely important tasks.
2. UNCLEAR OR CONTESTED ROLE IN THE PLANNING DECISIONS. A forestry agency is striving to give
"ownership" of the planning to citizens and interest groups, but that can be carried too far when advisory committees

want control of final decisions. The final decisions rightfully remain with the agency. To avoid misunderstandings, it
clearly defines the limits of an advisory group's authority in advance of its participation, preferably in writing.
3. ADVISORY COMMITTEES AS POWER ELITES. Because of the information and influence they acquire, advisory
committees can turn into power elites. They can become the authorities on particular issues, and they can manipulate
decisions to suit personal interests. The longer a group exists, the greater are the possibilities for this to happen. One
way to try to prevent this is to limit the existence of advisory committees to the duration of the planning period.
4. MEMBERS OF ADVISORY COMMITTEES ARE NOT REPRESENTATIVE. When individuals participate in
advisory committees, they often moderate their views as they begin to appreciate the many tradeoffs in the issues
they face. This can be excellent for the agency and the country. But it may anger constituency groups if they do not
understand the reasoning behind various compromises. To these interest groups, their "representatives" are out of
touch with reality. The best prevention is to make sure that two-way communications keep flowing. This puts the
emphasis on frequent briefings, open meetings, and other means to facilitate information flows.
The main challenge in selecting people to serve on advisory committees is to satisfy everyone that the agency is
including the appropriate mix of interests. Box 25 reviews the advantages and disadvantages of several approaches.
Method
Comments
1. The agency directly chooses the committee
This can raise suspicions that the agency selects people that it can
members in order to try to balance different
control, while excluding its critics.
interests.
2. The agency chooses the interest groups and
The agency should be open to inviting a wide variety of interest
communities, and the interest groups and
groups and communities, including those it does not know well.
communities choose the committee members.
3. The agency turns to neutral organizations to
The agency asks a civic group, NGO, external aid agency, or other
choose the committee members.
third party to appoint the advisory committees. This requires trust
and good communications between your agency and the partner
organization so that each understands what the other needs.
4. The agency announces that it is seeking
This usually favors privileged interests and individuals. People
committee members, and individuals come
who are remote, poor, and politically inexperienced are least able
forward to volunteer (self-selection).
to volunteer.
5. The agency uses advisory committees that have The committee members have experience in working together (an
worked in the past, but perhaps for purposes
advantage). But they are not necessarily the main interest groups
unrelated to forests.
in forests (a disadvantage).
6. Members of advisory committees are elected byThis may work for a citizens committee where there is an election
popular vote.
infrastructure and a timely opportunity to vote. But ordinarily,
forest planning is not raised to this political level.
7. The agency combines two or more of the
For example, the agency selects some of the members. They, in
preceding methods.
turn, select others and also invite volunteers. The selection of the
first members is important, since they are responsible for
choosing others.
A forestry agency has two other primary responsibilities in working with advisory committees:

It responds to the requests of advisory committees for information and resources. The
potential goodwill with advisory groups is ruined if the agency does not meet their needs
for information, staffing, travel support, and other resources. Agreements about these
resources have to be established from the beginning.
It must assign the agency's top executives to interact with the advisory committees.
Advisory committees are seldom content to meet solely with an agency's liaison staff. If
the advisory groups cannot meet regularly with the leaders, then they are showing that
their priorities are elsewhere. This can be very damaging for an agency which claims a
commitment to a participatory process.

3.8 Prepare a Participation Summary


At some stage, the formal planning comes to a temporary end in the planning cycle. The "plan" is released. At that
point, it is very important for the agency to acknowledge the participation it received along the way. This is
accomplished in a brief report on:

The type of participation that occurred (drawing from the participation plan to
summarize what, when, where, who, why, etc.);
The issues and viewpoints raised by the planning participants; and
The ways in which this participation influenced the strategic plan of the agency.
The participation report helps protect the agency from potential accusations that its planning process was closed.
Secondly, the report informs citizens and interest groups that their participation matters. Finally, the report is a
valuable means to communicate on issues of forest use and conservation.
The participation report should use simple and direct language. It needs to be issued simultaneously with (or only
shortly after) the strategic plan. An agency can express its gratitude for the participation in a number of ways:

Letters sent by the agency to each participant;


An official document distributed to participants through the planning team and its
advisory committees;
News articles for newspapers, radio, and television; and
Speeches at conferences and public gatherings,
The agency is striving to indicate that it is both responsive to and grateful for the participation. To be avoided is a
report that defends unpopular elements in the agency's plan, or that neglects the viewpoints of some of the
participants. In other words, the participation summary has to be developed with considerable diplomacy by
individuals who have excellent skills in communications.

3.9 Hold the Door Open for Continued Participation


In this chapter, we discussed participation in the context of strategic planning. An agency should be able to learn
from participation successes and failures to expand and improve participation in the future. This is particularly
critical for agencies facing deep conflicts over forest uses and priorities. After the "plan" is finished, an agency
wants to pursue options to continue participatory interactions (Box 26).
Box 26. Ways to Continue the Participation of Citizens and Interest Groups in The Agency's Activities
1. MONITORING AND EVALUATION. An agency can engage citizens and interest groups to work as partners with
the agency in monitoring and evaluating the improvement goals, such as on a review cycle of every 2-3 years. These
details should be an integral part of the participation plan.
2. INFORMATION ACTIVITIES. These include radio and television messages, articles in newspapers, educational
programs in schools, art contests, celebrity dinners, and so on. Often, the strongest partners in this are NGOs and
international agencies.
3. FIELD TRIPS AND EDUCATIONAL EVENTS. Especially in the case of controversial issues, field trips give
people the opportunity to learn from direct experience. They hear and see for themselves. This demonstrates the
agency's concern, and may help to moderate extreme positions. These opportunities have to be built into the budget.
4. PERIODIC CONFERENCES AND WORKSHOPS. If an agency does not already schedule them, it should
consider periodic public meetings to discuss progress and problems in forest use and conservation. This can be a
forum to identify new issues, to discuss new options, and to respond to complaints before they grow into conflicts.
The meetings should be scheduled well in advance - and at a convenient time of the year - so that citizens and
interest groups can make plans to attend. An agency may need to rotate these by region, or hold both regional and
national events.

CHAPTER 4: INTEGRATING CONFLICT


MANAGEMENT INTO THE PLANNING
PROCESS
4.1 Understand Your Opportunities to Negotiate
4.2 Identify the Agency's Negotiating Goals
4.3 Choose the Agency's Negotiating Strategy
4.4 Create a Positive Climate for Negotiation
4.5 Improve the Agency's Negotiating Strength
4.6 Turn to Outside Negotiators
All planning for forest use and conservation faces conflicts over "Trees and forests for whom and for what?" (Box
27). These conflicts result from differences in what people want and value, and how they define priorities. Conflict
negotiation is when two or more persons with different priorities attempt to reach solutions that will be acceptable to
everyone.
A planning team faces several forms of conflict. First are disagreements within the planning team and its advisory
committees.. Second are disagreements between the forestry agency and one or more interest groups. Third are
disagreements between two or more interest groups external to the agency, but which need to be resolved in order
for the planning to move forward.
Depending on how well they are managed, these conflicts can be a productive aspect of the planning. They indicate
the existence of multiple viewpoints, and the competition of ideas. But when serious conflicts are not resolved, they
can totally destroy the planning process.
In this chapter, a few basic principles of effective negotiation are reviewed. The capacity of an agency to translate
these principles into results depends on its commitment and negotiating skills. Like other skills in planning,
negotiation needs to be continuously improved through a process of goals, actions, and feedback.

4.1 Understand Your Opportunities to Negotiate


An agency begins by distinguishing conflicts that are negotiable from those that are not. Each individual in a conflict
needs a clear view of what it wants, and how this requires the cooperation of another person. Each individual must
perceive that negotiation offers a positive gain or reduction of a potential loss. Third, each individual must recognize
what the other person's need is, and then be willing to discuss a range of solutions that may satisfy those needs. If
one or more of these conditions is not met, there can be no negotiation.
An agency is not in a good position to negotiate without a clear assessment of (1) the conflicting sides to an issue,
and (2) the behavioral strategies that people will employ to get their way. It needs to thoroughly research these
issues. Moreover, the agency needs to choose the leaders of the planning team and advisory committees for their
skills in negotiation. In many practical cases, this should be the primary criterion for their selection. Worksheet 31
helps an agency examine the attitudes and behavior of good negotiators.
Box 27. Frequent Conflicts in Strategic Planning for Forests
Land-use competition between forestry, grazing, agriculture, and minerals.
Disagreements over the size, location, and composition of a permanent forest estate.
Conflicts between de jure (legal) and de facto (traditional) tenure in forested regions.
Competition between commercial and subsistence interests in forested regions.
Outdated laws on lands and forests, and conflicts among these laws.
Overlapping concessions on public forest lands.
Impractical laws and regulations for trees and forests on private lands.
Concentration of forest use rights in the hands of politically influential persons.

Forced relocation of communities when forested lands are set aside for national parks, infrastructure projects, and
other developments.
Disagreements about use rights for timber, water, game, fuelwood, and other forest resources.
Inadequate consultation with women as forest users at the community level.
Disagreements over planting native vs. exotic tree species.
Disagreements about criteria and indicators of sustainable forest management.
Lack of communication between and among interest groups
Disagreements among the national government, external aid agencies, and NGOs on priorities for forest use and
conservation.

4.2 Identify the Agency's Negotiating Goals


Before an agency negotiates either formally or informally, it should try to anticipate the best and worst possible
results that could occur. Good negotiators are able to visualize the best possible outcome of a negotiation process,
and work hard to achieve it. This is the ideal goal, and the maximum an agency can expect when everything goes
well. At the same time, an agency must define the minimum it can accept. This minimum is the "walk away"
position of the agency, meaning that it has a better option than to continue the negotiation.
An agency must know its ideal goal, and introduce it early in the negotiation. It also must have a clear idea of its
"walk away" position, but it reserves it for later. An agency may have to adjust it frequently, since options tend to
appear and disappear with the dynamics of bargaining. Thus a good negotiator knows beforehand which trade-offs
he or she is prepared to make. At the same time, a good negotiator decides in advance which principles and points
not to concede under any circumstances. Worksheet 32 helps an agency think about the goals, compromises, and
alternatives that define the negotiation framework.

4.3 Choose the Agency's Negotiating Strategy


Negotiation often occurs without a well-prepared strategy. Instead, most people interact with each other according to
personal styles developed in their families, religions, and communities. Thus rather than pursuing a particular type
of strategy, many individuals negotiate on the basis of habit, intuition, and stereotypes about other persons.
In comparison, truly effective negotiators apply a variety of negotiating strategies in different situations. With
practice, each of these strategies can be learned. The planning team must be able to call upon a variety of negotiating
strategies that vary with the different types of conflicts it faces. Three basic strategies are:

1. Cooperative strategy. - This is also called the "soft bargaining" approach. It minimizes
the degree of conflict by generating trust and kindness. The agency is looking for
common ground and joint interests, and it wants everyone to benefit. The agency
compromises, and it expects other people to do the same. The approach is at its best when
other individuals similarly cooperate. But it does not work when others regard the
agency's "soft" approach as a weakness that they can exploit.
2. Competitive strategy. - This is "hard bargaining" in which the agency gives nothing and
demands everything. The agency applies pressure to get its way. This approach is
important when an agency absolutely must win, even if other persons will lose. The
approach works well when an agency faces weak or confused negotiators. It is less
appropriate when a long-term relationship has to be maintained, or when the opponents
are well prepared.
3. Analytical strategy. - In this approach, negotiation is a problem-solving exercise to
create options that benefit everyone. This is sometimes called "interest-based bargaining,"
or "principled negotiation." The agency tries to: (1) separate the people from the problem;
(2) focus on interests, not positions; (3) generate options for mutual gain; and (4) use
objective criteria to make decisions.

The negotiator who favors "principled negotiation" does not rely on a forceful personality, or on a position of power
in the relationship. Rather, he or she recognizes that everyone has legitimate interests to be satisfied. These interests
are met through a search for mutual agreement rather than by application of one-sided force.
Yet this analytical approach also has its limitations. The two or more sides to an argument are not always logical. It
can be impossible to avoid taking positions when individuals on the other side of a dispute are being irrational. This
is especially true when the conflict is largely about differences in beliefs and values.
A competent negotiator knows what kind of image he or she projects. Good negotiators also recognize and respond
to the negotiating styles on the opposite side of an argument. For example, is the conflict with someone who
generally needs social approval, and who therefore will favor cooperative negotiation? Or is the conflict with an
aggressive personality who enjoys defeating an opponent? Other styles include negotiators who are intuitive, naive,
deceptive, hostile, sarcastic, and so on. In each situation, an agency tries to understand its negotiating personality in
relation to others. This increases the prospects for the negotiation to succeed.
Box 28 presents the advantages and disadvantages of the different negotiation styles. An agency should review them
each time the planning team prepares to interact with people who strongly disagree with it, or with each other.

4.4 Create a Positive Climate for Negotiation


Especially in the presence of conflicts, the planning team needs a comfortable setting where people can talk openly
and productively. The climate for negotiation is determined by both physical and emotional factors. By paying
attention to these factors, an agency should be able to influence the quality of the discussion.
The choice of meeting sites is very important. An agency invites planning participants as honored guests, and it
helps them feel comfortable in terms of how one dresses, the food and drinks its serves, and the choice of meeting
room.
If an agency is making a special effort to have peasants and indigenous people participate in the planning, it may
decide not to meet in a government building. Rather, the agency should choose a more neutral place where its guests
will feel less intimidated. They may be particularly pleased if the planning team meets them in their own
communities. This sends the message, "We care enough to spend the time and money to travel here and talk with
you." On the other hand, an agency needs a completely different kind of setting in negotiations with forceful
personalities.
In negotiation, the physical climate contributes to the emotional climate. But the emotional climate also depends on
the manner in which an agency conducts the discussions. Generally, the leader of the planning team sets the tone for
communications. A good discussion leader wants the other side to speak freely and comfortably.
STRATEGY
STRENGTHS
WEAKNESSES
1. Cooperative
People respond positively to others Kindness can be perceived as a
who are friendly and agreeable.
weakness (i.e., you are "soft" and easy to
control).
You want an agreement that is Soft bargaining elevates a
If you represent a group, your
fair for everybody.
relationship (it shows that both sides cooperation with a conflicting interest
care about each other).
lessens your credibility with your
constituents.
You trust the other side.
The strategy works well for people In their desire to maintain a relationship,
who know each other, and who share a negotiators who use the cooperative
common picture of issues and choices. approach may give up more than they
should.
You compromise when
necessary, and you expect the
compromise to be reciprocated.
2. Competitive
"Hard bargaining" may be essential The competitive approach does not work
when there is too much at stake to
if there is a long-term relationship to
lose.
protect.
Your aim is to win, even if it
People often accept the proposals of Hard bargainers have to maintain force,
means a fight.
a competitive negotiator when they and this consumes their time and energy.
have no good alternatives of their
own.

You do not trust the other side,


and you believe they will take
advantage of you at every
opportunity.
You insist on your position, and
you apply as much pressure as
necessary to force it through.
3. Analytical

There may not be time or resources People avoid hard Bargainers in order to
to mount a defense against a strong interact with someone else.
competitor.
If "soft spots" are exposed in hard
bargainers, they lose effectiveness.

This offers advantages for a weak By refusing to take a position, you may
group that confronts a strong
unnecessarily prolong the time to settle a
opposition (by stressing principles, not conflict.
power).
You emphasize objectivity and The approach is one of the best
Analytical methods do not work when
the use of information.
means to create "win-win" solutions in the problem is the persons, not the issues.
a wide variety of conflicts.
You try to persuade the other side
"Objective standards" usually favor the
by presenting facts, standards,
status quo (i.e., what is, not what should
civility, and mutual benefit.
be).
People are quiet and defensive at meetings if their leaders:

Are preoccupied with maintaining their own control;


Draw attention to their own self-importance;
Use manipulation to get their way; and
Judge each person's ideas against their own opinions about "right" and "wrong"
thinking.
Conversely, negotiation goes better when participants feel a spontaneous and open
environment for discussion. Hence a good negotiation leader has more questions than
conclusions, and shows more empathy than superiority. An agency can refer to
Worksheet 33 to help determine whether it provides a comfortable negotiating climate.

4.5 Improve the Agency's Negotiating Strength


An agency cannot hope to negotiate a conflict in strategic planning - such as over competing forest uses - without a
source of negotiating strength (or "power"). The environmental NGOs, forest industries, and other interest groups
give conflicting answers to: "Trees and forests for whom and for what? In strategic planning, the agency is expected
to resolve these differences, often through negotiation. But what is its negotiating strength, and how and where does
it originate? Can an agency estimate how much negotiating strength it actually has? Specifically:

Does it have sufficient strength to convince the different interest groups to negotiate
(with it, and with each other)?
Does it have sufficient strength to produce an acceptable agreement?
The negotiating strength of the agency relative to the other side has three sources: (1) it applies pressure due to its
authority, status, and control.; (2) it has something the other side wants, and they are willing to trade for it; and (3) it
is credible because its arguments are legitimate and reasonable.
The first source of an agency's negotiating strength is force, i.e., it is bigger and stronger than the other side. The
forestry agency derives its authority from laws and regulations. But in reality, the agency may be small,
underfunded, and in other ways poorly positioned to negotiate on the basis of its authority. For example, its use of
the law is ineffective without adequate enforcement capacity. Its strength is measured by a large number of sanctions
and court judgments favorable to the agency. To date, many countries are unable to obtain this result. Moreover, the
application of top-down authority as a source of strength can be inconsistent with the spirit of empowerment, i.e.,
working through bottom-up incentives.

Hence an agency's second source of negotiating strength is to trade something of value with the other side. What
does the other side want that an agency can afford to give? The agency must accurately identify the needs of these
individuals, and then convince them that a negotiated solution can meet their needs. The agency's approach is: "Our
proposal is in your best interests".
Finally, negotiating strength depends on credibility. An agency is credible if the other side sees it as trustworthy,
competent, and dynamic:

1. Trustworthy - Credibility is achieved by making and keeping commitments. A


trustworthy agency is known for its integrity. It always fulfills its promises, and it always
carries out its threats.
2. Competent. - A good negotiator prepares extremely well, and argues from a base of
reliable facts and analysis. He or she speaks effectively, portrays confidence, and presents
an attractive image. The agency (or person) with a history of negotiation failures - or no
history at all - is not credible.
3. Dynamic. - The people who are credible deeply care about their issues. They fight hard
for their position because they sincerely believe in it. Their passion signals the other side
that they face an opponent who does not easily compromise.
An agency may not be able to call upon all of these strengths. For example, responsible forestry officials often seek
a "middle way" on the issues. But the middle way seldom lends itself to passionate expression. Moreover, an
agency's past experience in conflict management may be less than ideal. Thirdly, an agency may have a questionable
record in delivering on its promises. Each of these can be a problem that lessens the agency's negotiating strength. In
many cases, an agency may need to turn to one or more outside negotiators.

4.6 Turn to Outside Negotiators


In its strategic planning, an agency may need outside assistance to resolve conflicts that it cannot successfully
negotiate alone. Similarly, members of the planning team may sharply disagree with each other on points of
procedure or substance, and an agency may decide to invite an outside person to break the impasse. The use of such
third-party interventions is important in the following situations:

When the two or more persons in an argument recognize their own inability to reach an
agreement;
When one of the disputing persons judges another to be "irrational"; and
When neutral assistance is needed to add information, conduct technical evaluations,
and carry out other problem-solving tasks.
Third-party intervention is especially valuable in conflicts where consequences are serious, positions are rigid, and
arguments are personal. It is also valuable where one side has much more power than another, but the agency needs
a solution that will be fair to the weaker side. Outside persons may succeed because they have no immediate interest
in the outcome. This can be a huge advantage where feelings are intense, and where the conflicting sides are
struggling to win at all costs. Depending on the circumstances, an agency calls upon third parties for several
different roles (Box 29).
Box 29. Outside Negotiators Can Help An Agency in the Following Ways
1. FACT FINDING. This is when an agency asks someone outside the conflict to review the facts and evidence of the
situation, and to report his or her observations to the group.
2. CONCILIATION. The third party talks separately with the disputing sides in order to reduce tensions, and to
develop a resolution process that will be agreeable to everyone.
3. MEDIATION. The third party participates in the negotiation process, and attempts to help the disputing sides
reach an agreement. But he or she has no authority over the decisions that are reached.
4. ARBITRATION. The disputing sides select a third party who reviews the facts and makes a decision. In advance of

this decision, the disputing sides agree to abide by it.


In some cases, an agency is looking for experts to resolve arguments over scientific or technical issues in forest use
and conservation. Perhaps just as frequently, an agency is looking for a neutral person who can provide good
judgment when a conflict is more about fairness than about forestry. Wisdom comes in both sexes, and in many
colors and ages. In all circumstances, an agency needs someone who is widely trusted. This is almost always an
individual well-known to the conflicting sides, since there is too much at risk to be entrusted to strangers.
Worksheet 34 helps an agency define the characteristics it seeks in third-party negotiators.

CHAPTER 5: ORIENTATIONS FOR


EFFECTIVE PLANNING
5.1 Link Planning With Decisionmaking
5.2 Develop Skills for Strategic Planning
5.3 Allow Adequate Time and Budget
5.4 Establish Action Teams for Implementation
5.5 Keep Records
5.6 Provide for Management Review
This chapter contains recommendations to help a forestry agency orient itself for effective planning. The actions an
agency takes to organize, manage, and train for strategic planning have long-lasting impacts not only on the
planning, but also on the agency itself. When strategic planning works well, it usually implies changes in how
decisions should be made, how performance should be assessed, and how the different parts of an agency should
relate to each other.
Strategic planning does not succeed without strong support for it at the top levels of the agency. Especially in the
short term, some management factors are unchangeable. The institutional culture of philosophies, attitudes, and
management styles of an agency may be slow to change. But other management factors can be added or modified
through re-organization, training, and other administrative means.

5.1 Link Planning With Decisionmaking


Unfortunately, many agency officials regard strategic planning as "just one more requirement." This often happens
when the demands for planning are imposed from above or outside, e.g., by planning ministries, budget authorities,
executive commissions, and international organizations. Many forestry agencies engage in strategic planning mainly
to comply with these requirements, and only secondarily because they want it for self-improvement.
The typical result is that the planning is separated from decisionmaking. Strategic planning becomes a low-priority
task handed to a planning group with little or no real influence in the agency. This not only frustrates the agency's
personnel, but also angers the interest groups an agency invites to participate in the planning. They feel betrayed
when they discover they have been wasting their time in an exercise that has no real importance. This can be worse
for an agency's public relations than no outside participation at all.
Thus the only valid organizational model is one that fully integrates strategic planning with administrative
decisionmaking. In this model, the planning crosses all administrative and functional units. The planning is not the
responsibility of isolated specialists called "planners," but rather of every professional and technical person in the
agency. The planning team reports directly to the agency's highest administrator, not to the head of a division for
planning.
However, it is easy to understand why agency directors may resist this. At times, the recommendations of a strategic
plan for forest use and conservation may conflict with national policy. This can be the case of good intentions but
poor execution, e.g., due to an ineffective planning leader. Just as importantly, agency directors worry about how the
results of strategic planning will limit their power. In practical terms, it is almost always difficult to get an
authoritarian director to fully support strategic planning. On the other hand, the planning team must work hard to
win the confidence of the agency's top managers by:

Having the agency's director assume a lead role in the design of the planning;
Learning exactly what the director wants from the planning, and working hard to insure
that these needs can be met;
Scheduling frequent informal sessions so that the director is well informed of progress
and problems during all phases of the planning; and
Finding ways to give credit to the director for accomplishments that emerge from the
planning.
The wise planning team accepts the responsibility for failures in the planning, but generously attributes its successes
to the agency's director. To the extent that the director feels rewarded, he or she will be more likely to endorse the
planning and to implement its recommendations. Conversely, no director can embrace a strategic plan that threatens
his or her authority. The challenge is to create the right psychological and administrative setting for the strategic
planning to reward rather than threaten the agency's leaders (Worksheet 35). This is frequently the single most
important thing that can be done to promote the integration of strategic planning with decisionmaking.

5.2 Develop Skills for Strategic Planning


Almost anyone is a "planner" when he or she engages in planning activities. This is the situation of most people in
planning teams. However, only a smaller set of individuals are "professional" planners. In either case, the role of a
planner is defined in the same way (Box 30).
Box 30: The Role of a Planner Is
1. TO FACILITATE: support the planning process with reports, statistics, fact finding, interviews, meetings, media
events, and other inputs.
2. TO COORDINATE: insure that everyone who should be participating in the planning is able to do so and is kept
informed about changing circumstances, new information, and other events affecting the work.
3. TO NEGOTIATE: engage in the difficult task of resolving disagreements among individuals and interest groups
who may give conflicting answers to "Trees and forests for whom and for what?" A good planner is fair and realistic
- and does not impose his or her viewpoints on others. For many members of a planning team, this personal
dimension is a greater asset than any amount of technical knowledge.
Strategic planning demands a wide range of abilities. The planning team and advisory committees require people
who see planning problems from different viewpoints, and who have several different kinds of skills (Box 31).
In a typical forestry agency, a few key people may have several of these skills. Not all of these skills have to be
supplied from within an agency. In fact, an agency often creates good will by inviting outside individuals to join the
planning team. The amount of external participation is determined by: (1) the capacity of an agency to maintain
oversight and control over the process; and (2) its ability to choose outside members who get along with each other
and with the agency. In the final analysis, it is impossible to select for skills without also considering personalities.
Many of the necessary skills can be enhanced through training, although usually not solely for the purpose of
strategic planning. Skills in leadership, communication, and conflict negotiation are useful in almost all contexts.
Very likely, they are already among an agency's priorities for management development. Worksheet 36 helps an
agency think about the skills it must have in the planning team.
Box 31. Planning Relies on Several Kinds of Skills
1. LEADERSHIP. The leader generally has few controls over the people in the planning team or its advisory
committees. These groups usually function on the basis of good will and voluntary collaboration. The team leader
must be able to generate commitment and motivation so that everyone works cooperatively and efficiently.
2. PROFESSIONAL COMPETENCE IN FOREST MANAGEMENT. Not everyone in the planning team has to be a
forester, wildlife biologist, or other specialist in natural resources. Nor is it essential that the team leader have this
background. However, an agency cannot undertake a credible planning exercise without professional competence in
these technical areas.
3. COMMUNICATIONS. Planning is intensive in communications, especially speaking and writing skills. An agency
wants team members who are articulate and confident in their speaking abilities. Good planning reports are written
by persons who know how to be brief, focused, and understood by people who are not forestry specialists.
4. PARTICIPATION METHODS. An agency's planning team must be able to apply different techniques of

participation by citizens and interest groups. This requires team members who can define interest groups, and who
can choose among alternative methods to interact with them (CH 3).
5. CONFLICT NEGOTIATION. An agency needs team members who are good at developing options and
compromises when people disagree over goals and strategies in "Trees and forests for whom and for what." The best
negotiators are trustworthy, competent, and dynamic (CH 4).

5.3 Allow Adequate Time and Budget


Most forestry agencies have engaged in strategic planning in the past, but often not with a participatory emphasis.
When the planning is highly participatory, it requires considerably more time and budget than an "in-house"
exercise. Two of the most common flaws are: (1) to underestimate how much time and money will be required, and .
(2) to forget that strategic planning is a never-ending process that requires never-ending support.
An agency needs to budget both time and money for pre-planning discussions, reconnaissance visits to the field,
meetings with the agency's regional and district supervisors, meetings with interest groups and government agencies,
selection of advisory committees, special fact-finding analyses, media releases, and publication activities. An agency
is almost certain to have expenditures for travel, contracts, and report production and distribution. The estimates for
a time chart and budget are helped if the agency divides the planning into its component parts. The total planning is
broken down into a series of stages, each of which has action steps and an assigned schedule (see Worksheets 25,
26, and 27). An agency strives to realistically estimate what it will cost to accomplish each of the action steps, as
well as to cover administration and overheads. Finally, an agency includes contingencies to allow for the effects of:
"If anything can go wrong, it will."
As the planning moves into implementation stages, an agency will have an increasingly informed view of time and
budget requirements. This will enable it to make periodic revisions as it goes along.

5.4 Establish Action Teams for Implementation


How does an agency monitor the implementation of its improvement goals? Many management experts recommend
small action teams of about 3-5 persons per team. The leader of the action team is the person who proposed the
improvement goal. The others in the team have authority, knowledge, etc., to be able to influence the achievement of
this goal.
Normally, an action team does not require the formality of a committee structure. It is better to think of the action
teams as working groups, not committees. Depending on the goal, an action team may include persons from outside
the forestry agency. This can be a particularly effective way of building partnerships with the agency's interest
groups.
The leader of each action team defines the roles the team members. This refers to both individual and collective
responsibilities in observing progress, resolving difficulties, and reporting to the agency's director. Each action team
should meet according to a schedule. Worksheet 37 gives an agency a format for recording each team's
membership, role, and meeting schedule. Once or twice a year, the agency's director should gather the leaders of the
action teams to inquire:

What progress is the action team making?


What are examples of recent improvements?
What problems are the action team encountering?
What is the action team doing to resolve these problems?
These periodic evaluations demonstrate the director's interest in seeing that the planning goals are achieved. In
addition, they give the leaders of the action teams an opportunity to interact and coordinate with each other. The
evaluation sessions may form part of a larger management review (see section 5.6).

5.5 Keep Records


In order to determine whether an agency is meeting its goals, it needs to keep a record of observations. That is, it
sets up and maintains an information system. Depending on the context, this can be as simple as a notebook, or as
complex as a computerized data base. The agency's records are its means to monitor progress and problems, and its
way to report them within the agency. An agency wants to insure that each action team has a useful record-keeping
system, and that this system is periodically updated for adaptability and relevance.

5.6 Provide for Management Review


The agency's director, working through the leader of the planning team, needs to apply management oversight to
keep the planning on track. Management reviews are important during the planning itself, and in the implementation
which follows. The management reviews are a form of monitoring and evaluation to keep current with planning
successes and failures. In its simplest form, a management review asks:
What works? What needs improvement? How can the needed improvements be achieved? Worksheet 38 presents a
framework for the management review.
Frequently, the most effective management reviews are confidential interviews, and often with people who are not
leaders of the action teams. In this way, an agency is able to obtain candid evaluations from a variety of people, both
inside and outside of the agency. Also, some agencies use bulletin boards or suggestion boxes (Box 32). However,
an agency needs to validate all of this information in order to disregard erroneous information from people who are
uninformed, who are engaged in personal rivalries, or who in other ways are unable to provide objective comment.
Box 32. On Using Bulletin Boards and Suggestion Boxes
Some agencies use bulletin boards or suggestion boxes to encourage people to submit opinions and
recommendations. This demonstrates that comments are welcome. Suggestions can be signed or anonymous. Many
of the suggestions will have the form: "We should do more to _________" Other submissions will be complaints.
The capable administrator is able to find a constructive use for all of these comments.
The suggestions have to be acknowledged within two or three days. This indicates to team members and advisory
committees that their ideas are taken seriously. However, the agency cannot place too much emphasis on this
approach because it can lead to unrealistic expectations. Many of the institutional features about strategic planning
take years to change. When a recommendation cannot be addressed in the short term, the appropriate response is:
"We are holding your suggestion for later consideration."

APPENDIX I: GLOSSARY
Accountability: (in management science) The responsibility of an organization to provide evidence that its policies,
programs, and projects satisfy its interest groups.
Action team: (in planning) A group of people who are responsible for implementing a specific improvement goal.
Administrative culture: The prevailing attitudes, values, beliefs, and rules for acting within an organization.
Benefit-cost analysis: Relationship of projected outcomes to projected costs, with both outcomes and costs
expressed in monetary terms.
Bottom-up process: (in planning) To transmit ideas and recommendations from the bottom of an organization to its
higher levels
Brainstorming: A structured method to address problems by asking people to rapidly propose ideas, while the group
temporarily withholds its comments and criticisms.
Cause-and-effect analysis: (in planning) A method to help a group examine underlying explanations (causes) for
what they observe (effects).
Capacity building: (in relation to development planning) The process of improving organizations, human resources,
and legal and regulatory frameworks.
Consensus: A feeling within a group that its conclusion represents a fair summary of the conclusions reached by the
individual members of the group. Each individual accepts the group's conclusion on the basis of logic and feasibility.
Continuous improvement: To raise the performance of an organization through a never-ending process of choosing
and adjusting missions, goals, objectives, and action strategies.
Critical path method: (in planning and programming) A method of scheduling to show a logical and efficient order
of activities and events.
Decentralization: The distribution of decisionmaking and operations to lower levels of government (and sometimes
to non-governmental organizations).
Delegation: The transfer of planning and management functions to organizations which are funded by a central
government, but which do not come under its operational control.
Delivery system: (in management science) Organizational arrangements to provide program services to the interest
groups (activities, information, materials, physical outputs, etc.).
Delphi: (in forecasting the future) A method of obtaining forecasts from a panel of experts.

Distributional effects: The ways in which your policies, programs, and projects redistribute resources (and benefits
and costs) in the general population.
Efficiency evaluations: (in management science) Analyses of the costs (inputs) of programs in relation to their
benefits or effectiveness (outputs).
Empowerment: To transfer authority and resources to enable a person or organization to obtain a greater amount of
autonomy and control.
Environmental impact assessment: Analysis of how a particular policy, program, or project may affect water, soils,
flora, fauna, and human health and well-being.
Ex ante analysis: (e.g., in impact assessment) An examination of likely or probable effects prior to implementation
of a policy, program, or project.
Ex post analysis: (e.g., in impact assessment) An examination that looks back in time to see what happened. While
ex ante analysis is anticipatory, ex post analysis is historical.
Externalities: (in management science) Effects of a policy, program, or project that impose costs on (or give benefits
to) people who are not in the target population.
Facilitator: (in planning teams) A group member whose role is to help the group function more effectively.
Feedback: (in management science) The information that returns to your organization about the consequences of
your interventions. The feedback is available for "learning" so that behavior and decisions can be corrected to favor
positive outcomes. See monitoring.
Force field analysis: A method of identifying favorable and hindering factors relative to achieving a particular goal.
Forecasting: (in planning) Views on what will happen in an "unknown" future.
Goals: (in planning) The particular results that an organization strives to produce in carrying out its mission.
Impact: The net effects of a policy, program, or project. See impact assessment.
Impact assessment: (in management science) Evaluation of the extent to which a policy, program, or project causes
changes (e.g., economic, social, environmental) for a target population.
Inputs (in planning): The information, budget, personnel time, and other resources that go into and support a
planning process.
Institutional development: To improve the laws, regulations, and human resources affecting one or more
organizations (see capacity building).
Interest groups: (in relation to forests) Persons and groups who claim rights and interests in the ways that forests are
protected and managed, now and in the future.
Intervention: (in management science) A planned effort to produce favorable changes in a target population.
Key result areas: (in planning) The tasks and activities that are most important in determining if an organization or
individual will be successful (e.g., in achieving a goal).
Leadership: Guidance of a group of people to accomplish one or more goals.
Milestone: (in planning) The completion of an important event or activity in a longer sequence of events and
activities (i.e., a measure of progress).
Mission: (in planning) The broad general purposes for which an organization exists.
Model (in planning) A simplified physical, conceptual, or mathematical abstraction of the real world to help
understand relationships (such as cause and effect).
Monitoring: Assessing the extent to which a policy, program, or project is implemented in ways that are consistent
with its intention.
Needs assessment: Systematic appraisal of the type, depth, and scope of a problem.
NGOs: Non-governmental organizations such as rural development societies, private businesses, workers groups,
cooperatives, social and religious organizations, tribal associations, environmental organizations, and other
collective units that are not controlled by a sovereign State.
Objectives: (in planning) Details about goals in terms of what, how much, when, and by whom an action is to be
accomplished.
Opportunity cost: If you are following Plan A, then you give up the opportunity of alternative Plans B, C, etc. The
value of what you give up (i.e., sacrifice or forego) is the opportunity cost.
Outputs: (in planning) The products that emerge from a planning process in terms of information, actions, and other
results.
Ownership: (in planning) To agree with and accept a plan, especially because of having contributed to its
formulation.
Pareto principle: The concept that most of a given set of results are due to a small number of causal factors (e.g., 80
percent of the results can be explained by 20 percent of the causes).

Participatory planning: To invite people to express their beliefs, preferences, and recommendations during the
course of a planning exercise, especially when the participation extends to people outside the organization that does
the planning.
Performance indicator: (in planning) The measurement or other type of evidence that shows whether or not a goal is
being achieved.
Planning: The process of looking into the future and defining strategies (actions, interventions) to achieve goals.
Population at need: The elements of the population who have or will develop a particular need, want, or risk.
Role playing: Individuals (e.g., in a planning team) are assigned to act out opinions and behavior in a given
situation. This builds understanding of different perspectives, and helps the "players" anticipate real-world
interactions.
Root cause: The underlying reason for a symptom, problem, or result.
Scenario: An account or story about what may happen (actions) in a particular set of circumstances (possible
environment).
Social impact assessment: Analysis of how different elements of a population gain or lose because of a policy,
program, or project. Social impact assessment pays particular attention to the interests of the poor, ethnic minorities,
and women.
Social indicator: Measurement of a particular indicator of social welfare in order to track the course of a social issue
or problem through time.
Steering committee: A group of advisors who provide information and advice at an executive level.
Strategy: (in planning) A broad course of action, chosen from among alternatives, to attempt to achieve a stated goal.
Survey: Systematic collection of information about a defined population, often by means of interviews of a
subsample of the population.
Target population: The persons, households, organizations, and communities to be reached with your interventions
(policies, programs, projects).
Team: A group of people working together for a common purpose, e.g., a planning team.
Top-down process: (in planning) To transmit decisions and controls from the high levels of an organization to its
lower levels.
Transfer of functions: The handover of some planning and management powers from governments to nongovernmental organizations.
Uncertainty: (in planning) The lack of confidence associated with a particular set of predictions or forecasts about
the future.

APPENDIX III: WORKSHEETS


Worksheet 1. Evolution in Planning: Toward New Ways of Thinking
Worksheet 2. The Contents of a Strategic Plan for Forest Use and Conservation
Worksheet 3. Questions to Define and Clarify the agency's Mission
Worksheet 4. Improvement Goals to Support Mission Elements
Worksheet 5. Cross-Cutting Improvement Goals: The Institutional Factors
Worksheet 6. Assigning Priorities to Improvement Goals
Worksheet 7. Guidelines for Writing Objectives
Worksheet 8. Actions in Support of Objectives.
Worksheet 9. Major Issues to be Negotiated.
Worksheet 10. What Problems Can an Agency Predict in Implementation?
Worksheet 11. How Will an Agency Monitor, Evaluate, and Adjust its Planning?
Worksheet 12. Guidelines for Effective Brainstorming.
Worksheet 13. Guidelines to Clarify the Statement of a Problem.
Worksheet 14. Strengths and Weaknesses, Opportunities and Threats.
Worksheet 15. Constructing Problem Trees.
Worksheet 16. The Logical Framework.

Worksheet 17. Force-Field Analysis.


Worksheet 18. Constructing a Comparison Matrix.
Worksheet 19. Role Playing.
Worksheet 20. Checklist of Information Needed in Maps.
Worksheet 21. Designing a Social Assessment.
Worksheet 22. Issues in an Environmental Assessment.
Worksheet 23. Frameworks of Benefit-Cost Analysis.
Worksheet 24. Exercises for Forecasting and Futures Analysis.
Worksheet 25. Participation in the Different Stages of Planning.
Worksheet 26. Proposing a Set of Participation Activities.
Worksheet 27. Schedule of the Participation Activities.
Worksheet 28. What Goes Into a Participation Plan?
Worksheet 29. Issues in Multi-Level Planning.
Worksheet 30. Issues in Working With Other Agencies.
Worksheet 31. Attitudes and Behaviors of People Who Are Good Negotiators
Worksheet 32. Goals, Compromises, and Alternatives in a Negotiation Framework
Worksheet 33. The Physical and Emotional Climate for Negotiation
Worksheet 34. Successful Behavior in Conflict Conciliation and Mediation.
Worksheet 35. Rewards and Threats for the Agency's Top Executives.
Worksheet 36. Evaluation of Team Skills for Strategic Planning.
Worksheet 37. Action Teams for Plan Implementation.
Worksheet 38. Questions to Guide a Management Review.

Worksheet 1. Evolution in Planning: Toward New Ways of


Thinking
In each row, check the column (left or right) that best describes the prevailing philosophy in the agency. Is it
traditional? Or is it moving towards the new thinking? Each member of the planning team should answer
individually. Then, compare and discuss your points of agreement and disagreement.
TRADITIONAL PLANNING: PLANNING
NEW THINKING: PLANNING AS
AS CENTRAL CONTROL (TAKING
RECOGNIZING/SETTING ROLES, RESPONSABILITIES
POWER)
AND BENEFITS
Planning is the government's blueprint to move Planning is the government's method of learning how it can
the country in directions proposed by
support local communities, private enterprises, and other nongovernment planners.
governmental interests.
Planning concentrates on economic growth. Its Planning tries to harmonize economic growth, social equity, and
framework and tools are mainly those of
environmental quality. Its frameworks and tools are highly multieconomics.
disciplinary.
The product of a planning exercise is a document Planning does not always lead to a formal "plan." Alternative
called a "plan."
products of planning include organizational charts, budgets, and
memoranda on desired actions.
Governments first establish high-level policies, Policies and plans are mixed and overlapping. Policies are
and then draw up plans to fulfill them.
impractical without attention to how they will be implemented
(i.e., through planning).
Planning is about inventing an entirely different Planning moves forward in small and incremental steps. Planning
and wonderful future (a Utopian dream).
creates a better future by working to overcome practical problems
in the present.
The planning team spends most of its time in the The planning team spends most of its time in other agencies and

office to study documents and write a plan.


The main responsibility for planning is with
professional planners, who prepare plans for the
chief administrator.
Planning is a sequential and hierarchical process
that ends when a plan is officially approved.
A good plan can take years to write.

with interest groups to learn what they want, and why.


The main responsibility for planning is with your director, who
calls upon the whole organization to contribute to the planning.
Planning is a circular and iterative process of many simultaneous
actions, and it never ends.
Writing a plan take just a few days. But it can take months of factfinding, meetings, and consultations to know what to put into it.

Worksheet 2. The Contents of a Strategic Plan for Forest Use


and Conservation
Worksheet 2. The Contents of a Strategic Plan for Forest Use
and Conservation
Evaluate the agency's current planning document for forests. Does it contain the following elements? Use check
marks, and then discuss with others in the planning team.
Executive Summary
Opens with introduction by the minister, director, or other high-level executive
Gives brief statements of goals and expected benefits.
Highlights (very briefly) new or modified policies, institutions, programs, projects, and budgets to reach the goals.
Background and Scope
Defines the planning period, and states when and how the planning was done.
Describes relationships with other planning and plans (past, present, future).
Describes composition of planning team(s), and acknowledges all sources of collaboration and support.
Contributions of Forests in National Development: Present Situation and Future Possibilities
Summarizes the situation (problems, trends, opportunities) in forest resources (but puts most details into appendices)
Highlights the importance of forests in national policy according to functional areas such as: (1) economic
contributions, (2) social and cultural contributions, and (3) environmental contributions. Note: Keep this brief by
using tables, graphs, and charts to summarize.
For each of the functional areas, discusses (i) current issues and problems, and (ii) future possibilities. Strongly
emphasizes inter-sectoral support (forests in relation to agriculture, energy, parks and protected areas, industry and
commerce, tourism, education, and so on). Note: Keep this focused and brief.
Strategic Directions
Recommends strategic directions (actions and policies) to break constraints, fill gaps, and make progress towards the
selected goals. Discusses how the priority goals for forests contribute to priorities at top national levels. Describes
and quantifies (when possible) benefits and costs of the recommended strategic directions. Note: This is the core of
the plan, and it deserves corresponding attention.
Specifies objectives to be attained according to a time schedule (often presented as a matrix).
Implementation Plan
Presents requirements for re-organization, budget, personnel, and training to implement the initiatives (often
presented as tables or matrices).
Proposes when and how the plan will be reviewed and evaluated.
Note: This part of the document usually does not circulate widely. Sometimes, it is included in the appendices.
Appendices
Includes supporting materials (forest statistics, maps, consultants' reports, budget projections, and so on).

Worksheet 3. Questions to Define and Clarify the agency's


Mission
An organization's mission is the broad general reason for its existence. Answer the following questions, first
individually and then in group discussions. This can be helpful at both national and decentralized levels. It can
provide the focus for workshops that convene leaders from other agencies, NGOs, community groups, industry
associations, and other interest groups.
1. What are our principal functions and services? In other words, why does our organization exist? What is unique
about us?
2. What are our priority programs at the present time? What do we spend the most money on? What activities
occupy the most personnel? Should this be changing? How and why?
3. What philosophical issues are most important in our organization? (related to public image, environmental
matters, division of public and private activities, and so on)
4. What interest groups do we principally serve? Is this what is intended by existing legislation, national
development plans, and policy statements?
5. What groups and individuals do we not serve well? What are the reasons for this?
6. With what organizations do we compete or overlap (public and private), and in what ways?
7. In what ways are we different and the same than these other organizations? What are our special capabilities and
strengths? And what are our weaknesses?
8. For functions and services that we provide now, which could be transferred to other agencies, private enterprises,
NGOs, and community groups? What are the advantages and disadvantages of this (for each case)?
9. What is different about what we do now as compared with five years ago?
10. What will (or should) be different about our mission five years in the future?

Worksheet 4. Improvement Goals to Support Mission


Elements
This can be the format of tables the agency distributes to groups and individuals who participate in workshops and
planning. For elements in the agency's mission, use this format to specify success factors and improvement goals.
The framework applies at both national and decentralized levels. (For an illustration, see Box 6 in the text.)
Mission
Success Factors
Improvement Goals
Element.
Copy from Key problems to be fixed or opportunities to be
Keep the statements short. Focus on what, but omit
the
tried. Identify each item with no more than a few when and how. You can have several goals for each
mission words. Limit to just a few key factors for each
success factor. (He may need more paper than it is
statement mission element.
provided here.)

Worksheet 5. Cross-Cutting Improvement Goals: The


Institutional Factors
Many things that need to be improved are institutional factors like leadership, working relationships, professional
capacity, and public image. Make and photocopy a worksheet similar to this one (but specific to the agency
circumstances). These issues can be sensitive, and an agency needs to be very careful how it conducts this exercise.
Encourage participants to state improvement goals that lead to constructive actions. What specific improvements are
needed?
Issue (Questions and Problems)
Improvement Goals
(use additional paper to give you
space for writing)
1. Quality of Leadership and Vision in the Organization
2. Quality of Vertical Relations Between Forestry Agency and Top Government
Authorities (i.e., cabinet level)
3. Quality of Vertical Relations Between National and Subordinate Units (e.g.,
regional and district offices)
4. Quality of Horizontal Relations Between Forestry Agency and Other
Functional (Sectoral) Agencies
5. Quality of Legal and Regulatory Framework and Instruments
6. Capacity in Policy Analysis and Programming
7. Capacity in Budgeting and Financial Management
8. Capacity to Collect, Process, and Use Information (forest inventories,
production statistics, market and trade data, etc.)
9. Capacity of Field Staff (e.g., to implement programs and projects)
10. Quality of Relationships with Private Industries
11. Quality of Relationships with NGOs (social, environmental)
12. Quality of Relationships with Rural Communities
13. Quality of Relationships with News Media
14. Other Issues

Worksheet 6. Assigning Priorities to Improvement Goals


This should be clear in relation to the goals stated in Worksheets 4 and 5. Each administrative level should make its
own choices before sending them for review at higher levels.
LEVEL 1 - Absolute Highest Priority. Urgent and imperative; demanded by the highest levels; our survival
depends on this.
1..........................................................
2..........................................................
3..........................................................
LEVEL 2 - Necessary for Improved Performance. Vital for effective growth; important in the long run; will
contribute to our progress.
1..........................................................
2..........................................................
3..........................................................
LEVEL 3 - Desirable. New approaches; responses to outside suggestions.
1..........................................................

2..........................................................
3..........................................................

Worksheet 7. Guidelines for Writing Objectives


Study the existing planning document to determine if its objectives are well written. Does each objective meet the
criteria listed below? Use check marks to help you. Leaders of planning teams should refer to this checklist when
they help planning participants write objectives.
The Statement of an Objective Should Met The Following Criteria......
It starts with the word "to" and is followed by an action.
It states what and when; it purposely avoids why and how.
It is consistent with higher-level roles and missions.
It states one result to be accomplished.
It states a result that can be verified (i.e., observed, demonstrated, proved)
It is specific and quantifiable (when possible). But it avoids useless measures and false data.
It is realistic, but it represents a significant challenge.
It is easy to understand.
It is very clear about who has the responsibility for implementation. It avoids ambiguous and dual accountability.
It facilitates constructive discussion regarding how to assess performance.
For people who are not good at stating objectives, how can the agency help them? Consider workshops, training
courses, and the like.

Worksheet 8. Actions in Support of Objectives.


For each objective, list the actions to support it. Who has the responsibility for each action? And when will the
action be completed? (For an illustration, see Box 8 in the text.) Budget requirements is not shown in this table,
although many planning teams include them at this stage. (One may need additional paper.)
Action
Responsibility
Time Frame
No.

No.

Worksheet 9. Major Issues to be Negotiated.


This worksheet helps an agency organize issues that need to be negotiated. Photocopy it for the individuals in the
planning team. (For an illustration, see Box 9 in the text.)
Issues That Need Negotiation
With Whom Is Agreement Needed?

Worksheet 10. What Problems Can an Agency Predict in


Implementation?
With respect to carrying out the actions in the plan, what may go wrong? And what will an agency do to avoid or
minimize these problems? Use this worksheet to help the agency focus on these questions. (One may need
additional paper.)
Actions (from Worksheet 8)
Potential Problems
Strategies to Avoid or Minimize These Problems
No.

No.

No.

No.

Worksheet 11. How Will an Agency Monitor, Evaluate, and


Adjust its Planning?
From the beginning, the agency needs to consider how and when it will evaluate the successes and failures of its
planning. Ask each planning participant to answer the following questions. Then compare and discuss the responses.
1. For the improvement goals within a functional area, who will be responsible for monitoring progress and
problems?

2 What information and records will the agency need in order to evaluate successes and failures? And what steps is it
taking to insure that this information will be collected?

3. What is the agency's schedule for evaluation? What factors could change this?

4. How will the agency actually use the results of it monitoring and evaluation to help it adjust its goals and
strategies?

Worksheet 12. Guidelines for Effective Brainstorming.


Use this worksheet to decide how the agency will set up and summarize its brainstorming sessions. Choose a method
that fits its context.
1. Generate Ideas Rapidly
For a given period of time (e.g., 15 minutes), ask the members of your group to call out as many suggestions as
they can to solve a defined problem. Do not allow anyone to question or criticize any of the ideas at this stage.
Record these ideas on large sheets of paper where everyone can see them. Record all ideas, even the "crazy" ones.
The ideas can be serious or humorous.
2. Evaluate the Ideas

Ask the group to define criteria for choosing which ideas they want to explore in more detail (e.g., reasonable cost,
political feasibility, legal conformance, etc.). For the problem at hand, what are these criteria?
1............................................................................................................................................
2............................................................................................................................................
3............................................................................................................................................
4............................................................................................................................................
5............................................................................................................................................
3. Focus Your Attention
Combine, modify, and discard ideas according to criteria in Step 2 preceding. For all ideas that now remain, which
one(s) will you focus on?
1......................................................................................................................................
2......................................................................................................................................
3......................................................................................................................................

Worksheet 13. Guidelines to Clarify the Statement of a


Problem.
An agency can apply these guidelines to sharpen the definition of any problem. Ask each team member to
individually complete Steps 1-2. Then, share and discuss the worksheets among everyone (Step 3). At the end, get
the group to agree on the final wording of the problem (Step 4).
is the opportunity for improvement?
does the problem occur?
wins and loses from the situation as it is now?
wins and loses if the situation can be changed?
is it important to resolve this problem?
important are the consequences?
much is the cost (financial, political, psychological, etc.) to do
something, and not to do something?

Worksheet 14. Strengths and Weaknesses, Opportunities and


Threats.
An agency can explore the feasibility of any goal or strategy by listing strengths, weaknesses, opportunities, and
threats in a simple 2-column table. In the left column, list all strengths and opportunities. In the right column, list all
weaknesses and threats. A "threat" is any indication of a future problem or difficulty.
Strengths and Opportunities
Weaknesses and Threats
1....................................................................
1....................................................................
2....................................................................
2....................................................................
3....................................................................
3....................................................................
4....................................................................
4....................................................................
5....................................................................
5....................................................................
6....................................................................
6....................................................................
7....................................................................
7....................................................................
8....................................................................
8....................................................................
9....................................................................
9....................................................................
10..................................................................
10..................................................................

Worksheet 15. Constructing Problem Trees.


An agency can show causes and effects in the hierarchy of a problem tree. Begin by listing different problems on
small slips of paper. Move the slips around, and draw arrows to link each problem with its causes. Each of these

causes is itself a problem that may have other causes underneath it. Continue until you reach the most fundamental
causes at the bottom (roots) of the tree. (For an example, see Box 12 in the text.) Practice by constructing problem
trees for the following issues (if they are relevant):

1. poor data on forest cover and conditions;


2. costly and careless timber harvesting;
3. insufficient diffusion of agroforestry technologies;
4. insufficient investment in forest plantations;
5. low amount of revenues collected from the public forests;
6. other issues important in your planning agenda.
Draw your problem tree here:

Worksheet 16. The Logical Framework.


The vertical logic of the framework connects a goal at the top with supporting analysis (why, what, how) beneath it.
The horizontal logic has summary statements at the left, supported by indicators at the right. This technique has its
main applications in project analysis, but also tests the logic of proposed policies and programs. Use these column
headings and row headings to test the logic of goals in your strategic planning. (For an example, see Box 13 of the
text.) One will need to use additional paper for writing space. The cells are numbered 1-12 to help you organize for
this.
Summary
Indicators
Means to Verify
Main Goal
Cell 1
Cell 2
Cell 3
Why is this goal important?
Cell 4
Cell 5
Cell 6
What do you want to achieve?
Cell 7
Cell 8
Cell 9
How will yon achieve this goal?
Cell 10
Cell 11
Cell 12

Worksheet 17. Force-Field Analysis.


In trying to reach any goal, an agency takes advantage of helpful factors (the driving forces). It removes or decreases
factors that hold it back (the restraining forces). In force-field analysis, it lists these forces and rates their importance
and its degree of control over them. It concludes by identifying the key forces on which to focus its action strategies.
(For an example, see Box 14 of the text.)
Importance [Scale 1- Your Control [Scale 1Total
5]
5]
1 = low;
1 = low;
5 = high
5 = high
1.....................................................................
2.....................................................................
3.....................................................................
4.....................................................................
5.....................................................................
1.....................................................................
2.....................................................................
3.....................................................................
4.....................................................................
5.....................................................................

Worksheet 18. Constructing a Comparison Matrix.


Use this technique for multi-dimensional comparisons. Define the options, the criteria for comparing them, and then
make the one-by-one comparisons. (For an example, see Box 15 in the text.) Here we show space for five options
and four criteria, but you can apply this method with any number of options and criteria.
Step 1: Define The Options (write in a few words).

Option A............................................................................................................................
Option B............................................................................................................................
Option C............................................................................................................................
Option D............................................................................................................................
Option E............................................................................................................................
Step 2. Define The Criteria for Comparing the Options (write in a few words).

Criterion 1. ............................................................................................................................
Criterion 2. ............................................................................................................................
Criterion 3. ............................................................................................................................
Criterion 4. ............................................................................................................................
Step 3. Rate Each Option According to Each Criterion (fill each cell with words, symbols, or numbers to indicate
how each option meets each criterion). One will need to use additional paper for writing space.
Criterion 1
Criterion 2
Criterion 3
Criterion 4
Option A
Option B
Option C
Option D
Option E
Step 4. Construct the Comparison Matrix. In each pair below, which option is preferred? (in each cell, write the
superior option)
Criterion 1
Criterion 2
Criterion 3
Criterion 4
Option A
Option B
Option C
Option D
Step 5. Count the Number of Times Each Option Is Preferred Over Another.

Worksheet 19. Role Playing.


Many of the decisions an agency face in its planning are about conflicting interests, and about winning and losing
from different strategic actions. An agency can help members of the planning team understand these consequences if
it has them play ("act") the roles of key personalities.
An agency can assign different persons in the planning team to represent an entrepreneur, a speaker for the
indigenous group, a logging worker in South Region, the top political official in South Region, the director of the
wood products association, the agency's supervisor for South Region, and so on.
Additionally, an agency appoints someone to play the role of the agency's director, and to ask questions such as:
"How do you feel about this issue?" "What options should our agency be considering? " "How would you solve this
problem if you had the authority to do so? " To make the role playing as effective as possible:

Make sure that your "theater" is informal and relaxed.


Encourage your "actors" to truly think and speak like the persons they represent. Allow
them time to prepare. If this is not going well, make substitutions until the right persons
are found.
Use large name tags so that everyone can identify who is being represented.
Humor is good, so long as you do not attack the character of the real people is not
attached.

Exercise: Play out the drama described above for South Region, and answer the following questions. Or focus on a
conflict that the agency is facing now, choose "actors," and begin!
1. What are the strengths and weaknesses of this approach, based on what you observed?

2. If you will repeat this exercise in the future, how can it be improved? Consider place, time, choice of "actors," and
preparations.

Worksheet 20. Checklist of Information Needed in Maps.


Maps are one of the best methods to display and integrate a large amount of information for strategic planning.
Below are examples of information that an agency may want in mapped form. Use check marks to indicate which
maps are available and satisfactory. Then, specify additional maps that may be needed, but which are not presently
available. Also, which maps are not compatible with each other?
Climatic zones (precipitation, temperature, evapotranspiration)
Forest cover (vegetation classes, primary vs. Second-growth, open vs. closed, etc.)
Topography (and elevation)
Soil types (and geological factors)
Watersheds (drainage patterns)
Water availability
Eco-regions (based on combinations of climate, topography, soils, etc.)
Potential land uses (capability for irrigation, intensive farming, grazing, forestry, etc.)
Present land uses
Political boundaries (provinces, departments, districts, municipalities, etc.)
Population density
Population growth (current and projected)
Internal migration patterns (i.e., from Region X to Regions Y and Z).
Colonization zones (active forest clearing)
Land ownership
Indigenous territories
Transportation routes (present and future)
Pipelines, gaslines, electric grid, and other infrastructure (present and future)
Forest regions (administrative units)
Forest reserves, national parks, wildlife refuges, etc. (i.e., officially protected areas)
Forest concessions (i.e., leases and utilization contracts on public forests)
Areas of harvesting and processing forest products
Areas reforested or afforested (present and future)
Areas covered by forestry projects
Zones of greatest land-use conflict
What other information does the agency need in the form of maps? And which maps need to be re-made?
...................................................................................................................................
...................................................................................................................................

Worksheet 21. Designing a Social Assessment.


In social assessment, an agency obtains a range of perceptions about who will gain and lose because of alternative
plans, policies, programs, and projects. Most often, it does this through rapid rural appraisal (RRA) or participatory
rural appraisal (PRA). Below is a framework to help an agency design its assessment. Place check marks to describe
issues the agency will investigate, the type of team to conduct the assessment, and the methods it will use.
1. What Are the Issues The Agency Will Investigate?
Increased or decreased use rights on forested lands (tenure and control)
Gains and losses in economic livelihood (subsistence agriculture, paid employment, other)
Implications for cultural and religious values (tribal homelands, sacred forests, etc.)
Working conditions (e.g., in forest industries, plantation projects, etc.)
Implications for health and education (e.g., clinics and schools by forest industries)
Equity considerations (by region, ethnic group, gender, socioeconomic level)
Subjective views on changing quality-of-life (e.g., because of community growth, job training, regional migration,
etc.)
Working relationships with your agency (level of trust, respect, cooperation)
Other issues:
...................................................................................................................................
...................................................................................................................................
2. Who Will Conduct the Assessment?
No fewer than three people (to insure a diversity of perspectives)
Both men and women (for the same reason)
Mix of backgrounds (social sciences, technical fields)
Experienced team leaders (who in turn can teach others)
Individuals who personally know the people to be contacted (to establish confidence)
Individuals who can work well with outside partners (such as NGOs)
3. What Methods Will The Agency Use? And What Is Its Experience With Them?
Key informants (mayors, tribal leaders, association leaders, etc.)
Household interviews
Open meetings
Structured surveys
Conflict matrix, community map, land-use transect, rural calendar, etc.
Other methods:
................................................
................................................
Source: Adapted from Karen Schoonmaker Freudenberger, 1994, Tree and Land
Tenure: Rapid Appraisal Tools, FAO, Rome, Italy

Worksheet 22. Issues in an Environmental Assessment.


Most parts of the strategic plan will improve rather than harm environmental quality. But an agency cannot take this
for granted, especially if the plan proposes road building, forest harvesting, plantation establishment, and other highimpact activities. Here is where an agency needs structured environmental assessments. They give it preliminary
indications of environmental problems to be avoided, as well as possible mitigation measures. Which of the
following issues are important in the planning? What are the approaches to carry out the assessments?
In Reforestation and Plantation Development:
Soil erosion and compaction from site preparation
Smoke control (from vegetation burning)
Soil erosion and compaction from harvesting
Loss of nutrients by removing biomass from the site (in harvesting)
Pesticides, herbicides, and fertilizers affecting water quality
Depletion of soil moisture (in arid and semi-arid zones)
Fire hazard from built-up combustible materials
Displacement of natural ecosystems (reduced biodiversity)
Risk of massive loss by pests or pathogens

Risk of planted species becoming "weeds"


In Natural Forest Management:
Over-harvesting of rare or endangered species
Erosion and compaction of the forest floor (by logging)
Insufficient natural regeneration (logging's impact on light, temperature, and soil)
Invasion of weeds when the forest canopy is opened
Wind damage following logging
Disruption of habitat for fisheries and wildlife
Increased poaching of wildlife due to influx of people
Changes in water runoff (following logging)
Stream sedimentation (following logging)
Changes in water temperatures following canopy disturbance (alters aquatic biology)
In Road Construction and Use:
Changes in vegetation, landscape, and soil along the road corridor
Interruption of drainage patterns
Impacts to wetland ecosystems and wildlife corridors traversed by roads
Erosion from road cuts (sediment in surface waters)
Landslides, slips, and other mass soil movements
Wind-blown dust
Road damage (ruts and holes) because of heavy timber loads
Water contamination because of herbicides for vegetation control
Entry of shifting agriculture, wildlife poachers, and other uncontrolled land uses
In Transforming Raw Materials from the Forest (i.e., at Processing Sites):
Siting of processing operations near sensitive habitats (e.g., for fish and wildlife)
Water contamination from chemicals and organic wastes
Air pollution (smoke, dust, odors, and chemical pollutants)
Noise pollution
Accumulation of solid wastes in the area (e.g., wood scraps and residues)
Accidental release of hazardous materials (e.g., dangerous chemicals)
Occupational health risks because of preceding factors
Other Issues of Importance:
...............................................
...............................................
Source: Adapted from World Bank, 1992, Environmental Sourcebook, Washington, D.C.., Tables 8.1, 8.6, and 8.9

Worksheet 23. Frameworks of Benefit-Cost Analysis.


Use this worksheet to identify what forms of economic analysis an agency needs for the planning issues it faces.
Each member of the planning team should know the strengths and limitations of the methods-possibly through
training sessions. These techniques are complex, and their application is a matter for experienced economists.
Economic Framework
Applications in Your Strategic Planning
Financial Analysis. - Here an agency estimates the private
Private profitability has to be estimated for the
profitability of a proposed action using market prices. Taxes and following proposed actions:
subsidies are treated as costs and returns, respectively. The
analysis takes the viewpoint of individual enterprises and
landowners.
Social Benefit-Cost Analysis. - This determines the social
Social BCA is needed where resources have
attractiveness of a proposed action, using "shadow" or
social value but distorted market prices such as in
"accounting" prices. Taxes and subsidies are treated as transfer
the following proposed actions:
payments. The analysis takes the viewpoint of society as a whole.
It values resources that have no market prices, or that have
"incorrect" market prices (because of government controls,
monopolies, etc.)
Extended Benefit-Cost Analysis. -Social benefit-cost analysis is It is important for the agency to focus on TEV in
extended to include as many environmental impacts (both positive the following proposed actions:

and negative) as possible. This requires that you account for onsite and off-site impacts. The agency attempts to recognize and
quantify Total Economic Value (TEV) of the forest resources.
Cost-Effectiveness Analysis. - This approach is used when
benefits cannot be valued in monetary terms. For a given target in
your plan (e.g., number of community meetings in South Region),
the analysis specifies the most efficient (least-cost) means to
achieve it.
Weighted Social Benefit-Cost Analysis. - This method weights
benefits and costs according to who pays and who receives.
Benefits and costs are weighted heavily if they accrue to favored
socioeconomic group (e.g., women, landless people, tribal groups,
and so on). Conversely, the agency assign smaller weights to
benefits that accrue to "the rich."

An agency is able to estimate costs but not


benefits in the following proposed actions:

Proposed actions that require specific attention to


the distribution of benefits and costs include:

Worksheet 24. Exercises for Forecasting and Futures


Analysis.
Assign groups to determine the forecasting needs, and to suggest techniques for making the forecasts. Below the
types of forecasts that may be important. Are illustrated. Place check marks to indicate which forecasts are relevant
in your context. Use brainstorming (Worksheet 12) to add to and modify this list to fit your circumstances. Then,
convene the full planning team to discuss these recommendations.
Changes in the legal framework for forest protection and management - next 5 years. Your agency's budget and
organizational structure - 5 years from today.
The availability of skilled foresters, hydrologists, wildlife specialists, and related professionals in your country - 5
years from today.
Tendencies in international aid for forest development and conservation - next 5 years (funding levels, program
shifts, changing composition of aid agencies).
New social and demographic issues in relation to forests - next 10 years.
Changes in transportation routes and transportation technology that will affect the area and composition of forests next 10 years.
Changes in agricultural demands and agricultural technology that will affect the area and composition of forests next 10 years.
Emergence of new or larger enterprises that use raw materials from forests and woodlands - next 10 years.
Changes in domestic demand for pulp and paper - next 10 years. New markets for non-timber forest products - next
10 years.
Changes in the composition and quantity of imported and exported forest products - next 10 years.
The physical areas, types, and composition (species, age classes, stocking, etc.) of your country's forests and
woodlands - 10, 25, and 100 years from today.
Other forecasting needs (and modifications of the preceding topics):
........................................................
........................................................

Worksheet 25. Participation in the Different Stages of


Planning.
Below logical sets of participants are indicated in the various stages of the planning. On a separate sheet of paper,
write in the names of people who should participate in each stage, including people outside the forestry agency.
Distribute this worksheet to other individuals who can also supply names, and then compare your lists.
Planning Stage
Appropriate Participation
Sets out planning terms of reference, planning budget, guiding
Director of forestry agency.
philosophies, and identifies team leader(s)
Selected regional directors.

Identifies issues, designs participation plan, defines special background


studies and anal

Clarifies who the agency is, and what it does

What will be improved, when, by whom, an how much?

Compare alternative actions in terms of benefits and costs, fairness, and


environmental aspect

Selected cabinet officials.


Selected agency directors, other "sectors."
Leaders of organized interests, wide mix
Director of forestry agency.
Selected regional directors.
Selected agency directors, other "sectors."
Leaders of organized interests, wide mix
Director of forestry agency.
Selected regional directors.
Selected agency directors, other "sectors."
Leaders of organized interests, wide mix
Director of forestry agency.
All directors of regional and subordinate
office
Selected agency directors, other "sectors."
Leaders of organized interests, wide mix
Director of forestry agency.

All directors of regional and subordinate


offi
Many agency directors, other "sectors."
Selected cabinet officials.
Leaders and members of organized
interests, wide mix.
People speaking as citizens, e.g., citizens
advisory groups
Seek agreements, compromises, and cooperation
Variable, depending on the issues at stake
Implement scheduling, budgeting, training, reorganization, and so on
Director of forestry agency.
All directors of regional and subordinate
offices
Check progress and problems, and adjust missions, goals, objectives, and Director of forestry agency.
strategic activities
All directors of regional and subordinate
offices
Selected agency directors, other "sectors."
Leaders of organized interests, wide mix.

Worksheet 26. Proposing a Set of Participation Activities.


The agency needs to define participation activities in the planning. Normally, these activities correspond to the
desired flows of information from the agency to the participants, and from the participants to the agency (Box 19 in
the text).
Photocopy the following worksheet, and propose one activity (or event) per sheet. Each participant can fill in several
worksheets. Then discuss these ideas as a basis to combine, modify, and organize them. The Agency will develop the
participation schedule and workplan from this information (see Worksheets 27-28).
Participation Activity or Event
1. What is it? (briefly describe)

2. What does the agency need to achieve with it? (purpose)

3. When should it occur? (calendar dates, or before or after other events)

4. Who will be responsible for it? (which person?)

Worksheet 27. Schedule of the Participation Activities.


When everyone has agreed on the participation activities (Worksheet 26), an agency needs to organize them in a
logical schedule. The agency can distribute blank forms of this worksheet to members of the planning team. Ask
each individual to propose a schedule, and then compare the ideas.
Normally, the agency will need to add details in appendix pages. Each appendix page should summarize the activity,
the purpose to be achieved, the time schedule, and the person responsible for implementation (i.e., present the details
from Worksheet 26).
Planning Stage:_________________________________________________________________
Activities and Events:
1..............................................................................................................................................
2..............................................................................................................................................
3..............................................................................................................................................
4..............................................................................................................................................
5..............................................................................................................................................
6..............................................................................................................................................
7..............................................................................................................................................
8..............................................................................................................................................
9..............................................................................................................................................
10............................................................................................................................................

Worksheet 28. What Goes Into a Participation Plan?


Please review the following guide when an agency prepares its participation plan. Directly or indirectly, the plan
should address each of these topics, although the agency may prefer some other sequence of presentation.
Forestry agency, central office
Forestry agency, regional and other subordinate offices
Other government agencies, institutes, committees, etc.
Cabinet officials

Leaders of organized interests


Members of organized interests
Citizens (not representing groups)
1.
2.
3.
Etc.
Technical committee: (names, backgrounds, chairperson,
reporting mechanism)
Citizens committee: (names, backgrounds, chairperson,
reporting mechanism)

Worksheet 29. Issues in Multi-Level Planning.


Use this worksheet to think about how to coordinate strategic planning for forests at national, regional, and lower
(province, district, and municipal) levels. Allow each member of the planning team to answer the questions
individually. Then meet to compare the responses.
Scope and authority:
1. Which sub-national offices will participate in the planning, and when and how will their participation take place?
2. How will the national and sub-national offices coordinate efforts in the early fact-finding stages of the planning?
3. What are the terms of reference for each of the participating sub-national units? Who will prepare them, and
when?
4. How can your agency's director fully empower the sub-national units in the planning?
Resources for planning:
1. Indicate what an agency can do to strengthen planning resources at sub-national levels in terms of: (i) planning
leaders, (ii) advisory committees, (iii) meeting facilities, and (iv) support budgets.
2. Can planning resources be shared, such as between the national office and regional offices? Between regional
offices and district offices?
Mechanisms to accommodate disparities:
1. Which regions, districts, etc., are most disadvantaged for the planning? In what ways?
2. What special attention do they need, and how will this be provided?
Mechanisms to coordinate bottom-up initiatives with national policies:
1. What will be the opportunities for the sub-national planning leaders to meet personally with the national planning
team and the agency director?
2. What will be the process of bottom-up submission and top-down review of the sub-national plans?

Worksheet 30. Issues in Working With Other Agencies.


Inter-agency support is needed in order to establish credibility, win political support, and connect with other
planning efforts by the government. Use the following questions to guide discussions about how to invite
participation from other agencies.
1. In view of the issues that are likely to arise in the strategic planning, which other agencies, institutes, directorates,
and commissions need to be your partners? (for each agency, state the reasons for including it)
2. Exactly what does an agency need from each of the agency representatives that they will work with it? (be
specific by agency and by name of the official, if possible)
3. What is the agency's strategy to involve these agency representatives in the planning? (Who will participate in
design of the planning? In technical advisory committees? In period planning reviews? In inter-agency task forces?
In other ways?)
4. What is the agency's record of successes and failures in working with other agencies? What are the reasons for
this? (try to be specific in each case)
5. If its efforts to collaborate with other agencies have not worked well in the past, does the agency have new
approaches that may help it overcome old obstacles? (if yes, what are they?)
6. Are there new government groups with whom it has not worked previously that the agency should be contacting

how? Who are these new groups, and why does the agency want them to participate with it in the planning?
7. In what ways, if at all, will the agency have to adjust its procedures or share its authority if other agencies
participate with it?
8. What will the agency do to get participation from the highest administrative levels (where appropriate) rather than
from officials of lesser authority?
9. Does the agency anticipate a confrontation with any of the agencies it intends to invite? What will the agency do
to avoid or mitigate this? (link this with conflict negotiation, CH 4)
When an agency concludes with these questions, it lists the officials of other agencies that it wants to invite as
partners in the planning, specify their roles, and indicate how and when they will be contacted. Assign
responsibilities for this.
Source: Adapted from J.L. Creighton, 1981, The Public Involvement Manual, Abt Books, Cambridge, MA, pp. 159164

Worksheet 31. Attitudes and Behaviors of People Who Are


Good Negotiators
When there are conflicts in front of the agency, uses this worksheet to assess the attitudes and behaviors for
negotiation to succeed. Check the boxes for attitudes that are observed: and for attitudes that are not observed, what
can be improved?
Helpful Attitudes and Behaviors
Explanation
The people in the conflict try to preserve a positive
In most cases, your long-term relationship is worth more
relationship with the other side.
than your immediate issue.
The people in the conflict are good listeners. They force The agency improves your arguments by paying careful
themselves to seek and understand the other side's
attention to the challenges of your opponents. This
viewpoint, even when that viewpoint is contrary to their promotes discipline and organization so that you will not
own.
miss key points.
The people in the conflict are constantly looking for
People who want to continue conflicts can always find
opportunities to cooperate.
ways to do so. It is far more challenging to create
opportunities for agreement.
The people in the conflict seek the most favorable times The agency cannot settle conflicts in an uncomfortable
and places to communicate.
setting, or where one side has a clear advantage.
The people in the conflict show a large amount of respect The "other side" is a valued resource, and you use it to
for their opponents.
increase your information and to refine your arguments.
The people in the conflict encourage a free flow of
This increases the number and diversity of available
diverse ideas, especially during their preparations.
options.
The people in the conflict are not afraid to consider that This helps you stay realistic, flexible, and ready to
their ideas and positions may be wrong.
redefine arguments in revised terms.

Worksheet 32. Goals, Compromises, and Alternatives in a


Negotiation Framework
Use this framework to carefully frame the negotiation problem before an agency sits down with the individuals in
the conflict.
1. What is the agency's understanding of the negotiation goals of the other persons(s), especially those
whose interests are most different from its?
2. What is the agency's ideal goal in this negotiation? (the best result it can get from it)
3. Complete the following statement: "At the end of this negotiation, the agency will be very pleased
if...................
4. When and how will the agency modify these expectations as the negotiation moves forward?
1. What does the agency need from the other person(s), and what is it prepared to trade for it?
2. What is the value of each compromise to the other person(s), and what is its cost to the agency?
3. Can the agency rank the possible compromises by priority? (i.e., from most to least acceptable)

1. Has the agency invested sufficient time and effort to develop as many negotiating options as it needs?
2. What does the agency know about the options of the person(s) on the opposite side of the argument?
(i.e., few or many, weak or strong, etc.)
3. Does the agency have a clear and workable "walk away" position in case the negotiation should go badly
for it?

Worksheet 33. The Physical and Emotional Climate for


Negotiation
Has the planning team answer these questions about the negotiating climate. Does it create comfort and confidence?
Or anxiety and frustration?
?
Yes
No
Allowing for a free flow of discussion
points?
Making the participants feel equal
rather than inferior?
Expressing interest in all viewpoints
without judging them?
Showing interest in what people say
and feel (empathy)?
Avoiding early conclusions and
generalizations?
Admitting "I don't know" (when
appropriate)?

Worksheet 34. Successful Behavior in Conflict Conciliation


and Mediation.
This checklist shows qualities that usually work well in conflict mediation. If the agency is asking someone to help
it mediate a conflict, use this worksheet to evaluate whether that person shows the desired characteristics.
A good mediator:
Separates the people from the problem (i.e., does not personalize the argument)
Focuses on satisfying the interests behind the positions
Precisely states the areas of agreement and disagreement
Interprets the immediate conflict in terms of its long-term implications and its connection to other issues
Gets all the issues into the open (i.e., leaves no secrets that can destroy an agreement at a later time)
Quickly learns the motives and desires of each person in the dispute, and learns what each of them has to trade
Separates complex issues into their component parts so that each part can be discussed individually
Develops many alternative options (courses of action) for each disputed issue
Finds an alternative to the destructive method of attack and counter-attack
Assists each side of an argument to expand and clarify its ideas
Speeds up or slows down the discussion in order to achieve an appropriate pace
Asks questions in a neutral manner that does not offend or insult
Disagrees constructively and politely
Helps everyone advance their thinking towards logical conclusions
Asks for criticism and advice, and gratefully accepts that which is offered
Source: Adapted from P. Casse, 1992, The One-Hour Negotiator, Butterworth-Heinemann Ltd. Oxford, pp. 102-106

Worksheet 35. Rewards and Threats for the Agency's Top


Executives.
Focus on how to make strategic planning a rewarding activity for the agency's director and other top executives.
What can the agency do to maximize the rewards and minimize the threats?
What can the agency do to encourage the agency's director to take a lead role in the design of the strategic planning,
and to be positively recognized for this?

What can the agency do to learn exactly what the director wants from the planning? How can it set up the planning
so that these needs will be met?

How will the agency keep the director informed of progress and problems during all stages of the planning process?

How will the agency give the director positive recognition for the successes that come out of the planning process?

What else should the agency do to create a positive administrative and psychological setting so that the agency's
leaders will gladly claim "ownership" of the planning?

Worksheet 36. Evaluation of Team Skills for Strategic


Planning.
How does the agency rate its planning team in terms of the skills it needs for strategic planning in forest use and
conservation? Where skills are weak, what can be done to improve them? (Answers may need to be kept confidential
if they will cause people to be jealous or defensive.)
Skills
Who Will Supply These Skills in the What Should Be Done to Upgrade
Planning Team? (names of those
These Skills? (training, practice,
persons)
etc.)
Leadership
(to promote respect, commitment,
cooperation, enthusiasm, efficiency)
Forest protection and management
(technical and professional
competence)
Communications

(in meetings and written reports)


Participation methods
(in different settings and for different
purposes)
Conflict negotiation
(to create options and compromises)

Worksheet 37. Action Teams for Plan Implementation.


The agency relies on action teams to observe progress and problems for each of its improvement goals. The
composition and responsibilities of the action teams should be determined before the main planning effort comes to
an end. Normally an agency will have several action teams, each of which should complete this worksheet.
People in the action team (usually 3-5, including people not in the forestry agency):
1 Team Leader..................................................................................................................
2........................................................................................................................................
3........................................................................................................................................
4........................................................................................................................................
5........................................................................................................................................
Purpose of the action team (this statement should be developed by the team itself, not by the agency's
administration):
This team has the following responsibilities:

Meeting schedule (and topics for the first meetings, if possible):


This team will meet, as follows:
1..............................................................................................................................................
2..............................................................................................................................................
3..............................................................................................................................................
Source: Adapted from I. Mayo-Smith and K Rather, 1986, Achieving Improved Performance in Public
Organizations, Kumarian Press: West Hartford, CT, pp.: 96-97.

Worksheet 38. Questions to Guide a Management Review.


This worksheet will help an agency evaluate successes and weaknesses in its planning framework and process. It can
lead to practical improvements for the rest of its current planning cycle, or for the design of the next one.
1. Which skills (i.e., knowledge and capacities) have been strongest and weakest in the planning? (Consider
leadership, technical knowledge in forestry, communications, participation, and conflict negotiation.) What are the
agency's recommendations to build up the weakest areas while not compromising its strengths?
2. If the planning has been carried out in different groups or teams, which groups have realized the most success?
What factors separate the successful planning groups from the others? What lessons can be learned from this?
3. Is the agency satisfied with the contributions of the technical and citizens advisory committees? If not, what

should it do to make them more effective?


4. Which participants have been most central in the planning, and which have been less involved or overlooked?
(Consider subordinate offices of the agency, other government agencies, private enterprises, NGOs, community and
indigenous groups, and interested citizens.) What factors explain this pattern of participation? What improvements
does the agency suggest, and what is the best way to work towards them?
5. To what extent have the views of the participants shaped the procedures and content of the planning? Conversely,
what is still lacking in this interaction? How can the agency improve next time?
6. How well has the agency been able to negotiate conflicts over "Trees and forests for whom and for what?" What
negotiating approaches has it relied on? What can be improved, and how?
7. How good or bad were the estimates of budget and time requirements to complete the planning tasks? What were
the greatest sources of error? What adjustments should the agency make for the future?
8. Regarding the planning tools (see CH 2), which have been the most useful? Least useful? How can the agency use
these tools more effectively?
9. What has the agency done to recognize and reward good performance in planning? Should it continue with this
type of recognition, or is there an alternative that it should try?
10. In view of the agency's responses to the preceding questions, what actions will help the agency build up its
institutional strength to carry on strategic planning in the future? (Consider agency organization, personnel mix and
responsibilities, training possibilities, and the like.)

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