Conversion of Vision into Prog Objs

CONVERSION OF VISION INTO PROGRAMME OBJECTIVES

This paper is part of an effort to develop didactic material for the Management Certificate Curriculum of the International Atomic Energy Agency. It is included in the course as an example of how an international organization approaches the matter of defining a vision and translating it into programs through the planning process. It is drawn from work by Frederick Williams, Office of Programme Support and Evaluation, International Atomic Energy Agency. The specific examples given are from the Medium-term Strategy presented to the IAEA Board of Governors for its review in June 1999. The material is in draft form and does not necessarily represent the view of the Agency and may not be quoted or reproduced in any way.

Definition: A vision needs to be converted into terms that express what will be achieved. In other words, it must be interpreted or translated so it describes what the overall scenario situation envisioned will be like after (a) the programme intervention and (b) the its resulting changes or improvements are made.

The articulation of objectives is an essential part of planning. Objectives are the expression of an overall desired achievement, involving a process of change and aimed at meeting certain needs and /interests of identified target groups, including especially /Member States within a given period of time.

They describe the end-use made of an organization's services or products and the changes related to Member State needs and priorities that are expected as a result. They are:

stated in results-oriented language in programme (in its generic sense) objectives, that will help Secretariat staff and Member States clients have a clearer view of what they are trying to accomplish and what must be done to achieve their shared objectives;
should be aimed at meeting specific needs/interests of identified target groups within Member States; and
by definition time-limited and should be verifiable ("measurable"). The time frame of Specific Objectives covered by the biennium are specified by the planning document for which they are written.

Use: By establishing an "end-state" or result, the Strategic Planning process and resulting document help:

set directions that maps what the Agency aims to accomplish;
provide a guide for a programmatic and organisational actions;
provide a set of shared expectations within the Secretariat and between the Agency and Member States, and thus the basis for a common commitment;
foster co-operation and co-operation across organisational lines; and
provide the basis to develop verifiable objectives and guide actions.

Strategic planning produces fundamental decisions and actions that shape and guide what a programme or organisation is, what it does, and why it does it.

Characteristics: It is often easier to state what objectives are not than to describe what they are.

First, objectives should not be confused with activities. There is a tendency for programme managers to confuse what they do with what they intend to accomplish. This usually involves use of terms like "to promote, to develop, to contribute to, to assist or to strengthen". Examples of this error in the draft medium-term strategy include:

"to identify and assess nuclear technologies which could be used…", "assisting Member States in the application of radiation and isotope technologies", "to promote technological solutions for improving safety…", "to provide greater assurances to the international community that countries are fulfilling their non-proliferation commitments" or "to optimise synergies with traditional partners .. by fostering co-operation with existing partners.."

They should also not be confused with pious hopes. An objective that talks about achieving world peace would not be achievable by a given programme and would not be very convincing, however laudable. Objectives have to be realistic and achievable within a reasonable time.

In addition, several key features are:

Good objectives describe an expected end-state at a distinct point in time - the changes that are expected as a result of a programme.
Objectives represent what the Agency wants to accomplish, not how it should do it.
They should be realistic and attainable, modest but contributory. Don’t overreach or promise what cannot realistically be achieved.

Other Tips/Helpful Hints: Other suggestions to help make their selection/formulation easier:

To describe the end-state requires imagining (i.e., "visioning") what should be seen at the end of a specific time period if the programme is successful.
Objectives should be concrete and "measurable" (i.e., "verifiable").
They are by definition time-limited.
Don’t confuse activities which is what is to be done (activity) with objectives which is the intention of what is to be accomplished.

Procedures: A number of "tools" are provided to help facilitate the conversion of the vision into objectives:

Establishing a Hierarchy of Programme Objectives
A step-by-step process for formulating objectives. It includes an accompanying examples and "frames" Also a part of this includes an overall framework for relating those steps one to another.
Comparable piece to No 1 above on Developing Performance Indicators

Conversion Tool No. 1:

CONVERTING VISION INTO PROGRAMME OBJECTIVES

Establishing a Hierarchy of Programme Objectives in a given time period

Programme objectives can be seen in term of two hierarchies: over time and within a given time period. Over time, achievement of objectives in one period contribute to achievement of others in a later time period.

Within a given time period, A a programme objective hierarchy or structure is the relationship (linkage) between programme objectives of each of the programme levels (i.e., Major Programme, Programme, Subprogramme, project) one to another. The presumption is that lower order (level) objectives are related to the next higher level and contribute thereto. The broader (or higher) objectives are ends and the lower are means for achieving them. For example, all the projects comprising a subprogramme should contribute one way or another to achievement of the subprogramme objective.

While the logical is most easily explainable from the lowest (project) level up, in fact programme objectives should be deductive, not inductive, when formulated and planned. Thus the expression "planning backwards" means that objectives are derived from the vision, which in turn is reflective of the organization's mandate, and formulating objectives are the first highest (Major Programme) level, followed by the next (Programme) level, then Subprogramme, and, finally, Project level. This has the effect of ensuring that lower levels are in fact contributing to the realisation of the organization's overall vision, as captured in a medium term strategy.

The attached form titled "Programme Objective Hierarchy" provides a common technique for displaying (what should be) the logical hierarchical relationship among the levels of objectives. It illustrates the levels of objectives required for each of the organization's respective programme levels. This tool:

helps to impose a logical discipline on the programme in the (re)formulation of objectives by forcing careful examination of the interdependence of the programme levels; and
helps to determine whether objectives can or cannot be achieved and whether they do or do not relate to a larger end.

In working with this, it may become evident that some objectives may be inappropriate, unrealistic or, beyond the purview of the organization. Like many other tools, it is most effective when staff prepare it jointly so they learn from each other and provide constructive input.

Conversion Tool No. 2:

CONVERTING VISION INTO PROGRAMME OBJECTIVES

Formulating Programme Objectives

How are objectives formulated?

Objectives (should) describe the end-state that should be accomplished within a defined period of time. As such they should be concrete and therefore observable ("verifiable" or "measurable"). They are the expression of a desired achievement, involving the process of change and aimed at meeting certain needs/interests of identified target groups in Member States within a given period of time.

Some of the terms that describe an end-state include "achieve, complete and have in place". The exercise of description can be difficult. It means imagining (visioning) what should be seen at the end of a specific time period if the programme is successful.

Step 1: Specifying Overall Objective: The first step is to try to describe the situation that should be seen in the future, in terms of conditions, structures and behaviours in terms of the subject matter being planned in the context of Member State needs/priorities. Objectives are outcomes reflecting changes in the behaviour of the parties involved or in the structure of the environment. They are derived from the organization's overarching goals in the medium term strategy, a more general, less-time limited statement of purpose.

To describe the end-state requires imagining (visioning) what should be seen at the end of a specific time period if the programme is successful. [Some terms that describe such an "end state" include "achieve, complete, have in place.]

Exercise One: What are the objectives of your programme? Describe them in such a way that they can circumscribe the subject matter and really indicate what is supposed to be achieved in the longer run.

Example: Goal B of the Agency's Draft Medium-term Strategy is to achieve " A comprehensive and effective world-wide nuclear safety culture" It goes on to define the broad characteristics of its context by stating:

The issue of safety is key to the future of nuclear technologies. If the benefits of nuclear power and radiation and isotope techniques are to be realized, it is essential that high standards of safety and environmental protection be achieved and maintained globally. …

As expressed, the objective does not define what is meant by a "world-wide nuclear safety culture" and that should be elaborated. It would define what would be seen if the objective were to be achieved. It can be assumed, for the purpose of the exercise, that what is meant is a situation where the planning and management of nuclear facilities is such that the probability of accidents is reduced to zero, or near zero.

Frame for Applying the Step

Current Formulation	Critique/Analysis

Reformulation of Overall Objective:

Completion of Frame: an Illustrative Example based on draft MTS

Current Formulation	Critique/Analysis
A.2: To achieve a more effective use of current applications of nuclear technologies	Objective does not define what is meant by a "more efficient use" and that should be elaborated. It should define what would be seen if the objective were to be achieved. etc.
Reformulation of Overall Objective: To achieve, relative to the application of nuclear technologies, of an intergovernmental consensus on standards for the handling of high level, long lived waste, including retrievability, as part of the safe, environmentally acceptable and efficient management of radioactive waste from both nuclear power and non-power sources; and/or the implementation of national waste repositories, in particular for high level, long lived waste in at least ten countries.

Step 2: Defining Areas for SPECIFIC (Enroute) Objective: The second step is to see what changes in the intervening period are needed to be made in order to arrive at that state. This involves defining the specific areas in which action must be taken.

Exercise Two: What are the areas in which action must be taken to make progress toward the goal? Describe them in such a way that they can define narrower areas around which objectives can be written and try to determine the sequence in which they should be achieved.

Example: In terms of Goal B of the Agency's Draft Medium-term Strategy these are set out as follows:

… The achievement of a world-wide safety culture will be aided by the existence of a comprehensive body of international legally binding instruments and generally accepted standards, and by assistance to Member States in their implementation.

There are three areas where action needs to be taken. Standards need to be elaborated and generally agreed, they have to be embodied in international legally binding instruments, and assistance has to be given to train managers and operators in their application on the ground.

Frame for Applying the Step

Current Formulation	Critique/Analysis

Reformulation of Areas for Specific Objectives: identify the areas below [e.g., comparative assessment [e.g., agreement on dimensions of the issue etc.]

Step 3: Designing the SPECIFIC (Enroute or Interim) Objectives: The third step is to define end-states within a specific time period in each of the areas. These are the objectives. They are precise, time-limited and should be observable. The visioning effort consists of answering the question "if we are successful in this period, what will we see in the world?"

Exercise Three: For one of the objective areas, what would be the end-state that should be observable in 2005? Describe the conditions as precisely as possible.

Example: In terms of Goal B of the Agency's Draft Medium-term Strategy Objective B.2 reads as follows:

To develop and update standards in all areas of nuclear, radiation, transport and waste safety by:

(i) Reviewing and updating safety standards in consultation with Member States and relevant expert institutions and bodies;

(ii) Developing new generally accepted standards in such areas as radioactive waste safety (including geological disposal, the management of mining and milling waste, long lived sources and residual waste) and environmental protection.

This is not a well-formulated objective, since it does not describe an end-state that would be observable by 2005. However, it is possible to see the vision of the drafters in the text. They could expect, by 2005, that a review of existing safety standards would have been completed and that, as a result, new standards in specific areas would have been drafted, reviewed and adopted by the Member States. In 2005, one would expect to see agreed texts that Member States were willing to put into practice, particularly in the area of waste safety.

Frame for Applying the Step

Current Formulation

Critique/Analysis

Reformulation of Specific (Enroute/Interim) Objectives:

1^st Biennium:

2nd Biennium (as needed):

3rd Biennium (if needed):

Completion of Frame: an Illustrative Example based on draft MTS

Current Formulation

Critique/Analysis

A.2: Contributing to the building of international consensus on solutions for the safe, environmentally acceptable and efficient management of radioactive waste from both nuclear power and non-power sources by providing technical guidance and facilitating the exchange of information on matters such as ..

Contributing to is an activity and an undefined one at that: what does contributing mean? [It could be just sending a letter!]
when is the international consensus expected to be achieved? Within the next five years? Will it be a complete consensus on everything, or is there some specific consensus on some specific solutions that is foreseen?
what is meant by "safe, environmentally acceptable and efficient management of radioactive waste"? These are undefined activities
etc.

Reformulation of SPECIFIC (Enroute/Interim) Objectives:

1^st Biennium:

Completion of a comparative assessment of the different potential techniques for the management of high level, long lived waste (e.g. partitioning and transmutation) and agreement on the most promising;
Completion of an assessment of retrievability in high level waste repositories and agreement on the dimensions of the issue;

2nd Biennium (as needed):

Acceptance by at least ten governments of technical assistance by the Agency in the area of waste management based on the above agreements; and

3rd Biennium (if needed):

Completion of a feasibility study on regional repositories in at least one region and initial discussions on implementation.

Step 4: Do a Reality Check: The fourth step is to look at each objective and ask the question, "can we reasonably expect to reach that end-state in the time allowed?" This step involves examining both the organization's capacity, based on past performance as well as expectations for the future, and the external factors that would condition achievement. Has enough of a basis been prepared today on which to build? Is there an emerging international consensus? Are the tools available to the organization adequate?

Exercise Four: For the objectives, make a feasibility assessment, indicating the internal and external factors that lead you to believe that the objective is feasible. Based on your assessment, revise the objective to make it more realistic.

Example: Objective B.2 presupposes that the technical studies of alternative means of geological disposal, the management of mining and milling waste, long lived sources and residual waste are either in place or can be completed within a five year period. It assumes that Member States agree that current standards are not adequate. It assumes that both the technical work, drafting of proposed rules, their negotiation and agreement over all areas can be completed.

Whether these assumptions are correct depends on past experience as well as a perception of likely progress. In the past, could a complete review and updating process be completed in five years? It would seem unlikely, unless the technical basis was well-advanced. Has the issue of nuclear waste disposal reached a level of political salience that governments are willing to give it priority? Based on these, it may be that Objective B.2 should not encompass all areas of nuclear, radiation, transport and waste safety, but rather only a few. For example, transport might be a more likely candidate because of the political questions involved in transporting waste over national boundaries (as indicated by public protests, for example).

Now

Rewrite and improve the formulation of the Overall Objective

Are the specific objectives specific?:

Yes No

directed towards results? o o
actions leading towards the accomplishment of the overall objective? o o
achievable? o o
specific and verifiable? o o
dated or time phased? o o
properly sequenced? o o

Accomplishment of the specific objectives leads to the fulfilment of the overall objective.

Step 5: Map the Outcomes and Outputs: The fifth step is to set out, for each objective, the outcomes – changes in behaviour desired -- if the objective is to be achieved. Outcomes are changes in the behaviour of the parties involved or in the structure of the environment. Most objectives can be achieved only because a number of outcomes occur. These often have to take place in a logical sequence. The task is to set out what changes will have to be induced, in what order, in order to arrive at the specified end-state defined in the objective.

Outcomes are sometimes difficult to envision, in part because they are usually outside the complete control of the organization. Governmental agreement, for example, is an outcome that if often needed in international management, but this is influenced by state politics as well as by the work of the organization. Assuming that one can control one's own programme activities, the question to ask, for each objective, is "what do I have to induce in areas outside my control in order to reach the end-state."

The reality testing of the objective should have provided a basis for judging whether inducing the outcomes is realistic or not. However, it is important to estimate how long it will take to induce each outcome. If the total time exceeds five years, it will be necessary to go back and look at the way the objective is formulated.

Exercise Five: For one of the objectives, map the outcomes that will be needed in the proper sequence and specify them in terms of changes in behaviour or alterations of structure. Determine in which biennium each outcome is expected.

Example: Objective B.2 presupposes that expert institutions and bodies will agree on the results of Agency reviews of existing safety standards. This in turn will lead to an agreement about those areas in which new standards are needed. This in turn should lead to the completion of drafting of the new standards, which will require agreement by experts first and then Member States. There are therefore four outcomes that have to be induced in approximate sequence. Whether the sequence is realistic depends on a judgement of how long it will take to complete the reviews of existing standards and the difficulties in reaching agreement. The review of standards might be completed during the first biennium, while the drafting of new standards might be completed in the second biennium. This means that the third and fourth outcomes may not be realistic within the plan period. If the technical work is largely in place, the pace of inducing outcomes may be more rapid, but if it is not, a reality check may be needed.

Step 6: Programme the Outputs that will be Needed: The sixth step is define in output terms what the Agency will need to do in order to induce the outcomes. What reports will be needed? How many technical assistance missions? How many expert groups will have to be serviced? Since these outputs will be the basis of the programme parts of the budget, they will have to be carefully defined. Only output that can demonstrably lead to an intended outcome should be programmed.

If objectives are ends, then outputs – products or services – are means. The relationship of ends and means – objectives and outputs is seen below:

Overall Objectives	main purpose for which a program exists
Specific Objectives	specifically planned achievements to further the overall objective
Outcomes	changes or events necessary if objective is to be achieved
Outputs	(products or services) that contribute towards achieving an objectiveinducing the preconditioning outcomes

Outputs are the immediate products or services to be delivered to target groups in Member States. Part of the process involves determining what is the best mix of services and products to provide to induce the desired change. Outputs are characterised as follows:

Delivering the selected outputs should lead to the achievement of the objectives of the programme.
The sum of the outputs should constitute the optimal combination of deliverables (products and services) for achieving the objective.
Choice of a particular mix of outputs should be justified.
Outputs are the result of activities and should not be confused with activities.

Exercise Six: For one of the outcomes, specify the output that the Agency will need to produce ..

Example: Objective B.2 needs first the completion of a review of existing nuclear safety standards. For that to happen, the Agency presumably will have to prepare a comparative study of standards. It may have to do some technical work on specific subjects such as geological disposal. It will probably have to organize and service a series of technical consultations and expert group meetings. It will probably have to prepare and submit a report on findings to the Board.

Here again, there should be a reality check. Can the output be produced within the desired time period? Can the meetings be organized in time? To what extent are their synergies that can alter the picture. For example, the diagnosis of need and the outlining of the new standards could be part of the same activity, thus reducing the time needed.

The next steps involve prioritising objectives and, subsequently, determining (i.e. at the macro level the resources in terms of overall order of magnitude. These are discussed in other subsequent parts of the Handbook.

Conversion Tool No. 3:

CONVERTING VISION INTO PROGRAMME OBJECTIVES

Formulating Performance Indicators

What are Performance Indicators?

Performance Indicators are predicted features (characteristics, signs, checkpoints, yardsticks) used to verify or measure whether objectives have been or are being achieved. They indicate the progress of the programme in reaching its objective and provide a basis for early problem identification and solution as part of programme monitoring and to evaluation programme results.

These "expected results" are the tangible outcomes that are the direct consequence or effect of the generation of organization outputs (products or services), leading to the fulfilment of a specified objective.

Features:

Because Performance Indicators reflect objectives, both must be "performance" or "result-oriented" – not activity oriented (as characterised by verb actions) – and, therefore, must focus on outcomes and benefits.
The "measured" value of performance indicators should tell if and to what extent the outcomes essential to achieving the objectives have been achieved. The performance indicators should be achievable by the end of the programme cycle but be consistent with and contribute to objectives over a longer period of time.
Performance indicators should be measurable or observable, relevant, meaningful and verifiable.
Performance indicators can be expressed in a quantitative and/or qualitative (for abstract or intangible results) way. The number of indicators should be limited, dealing only with the most critical.
Performance indicators will be the basis for determining whether the objectives were actually accomplished on time and with the intended quality and quantity.
Performance indicators should be chosen so as to allow their measurement in a cost-effective manner. Only performance indicators should be selected for which performance data, including baseline (current) information, can be collected and appraised at least annually.

Other Tips/Helpful Hints: Other suggestions to help make their selection/formulation easier:

Involve those doing the work, those managing the work, and those affected by the work Stakeholders should agree a priori on the indicators that will be used to assess and judge performance. Therefore, they should be involved at an appropriate stage in this process.
Focus only identifying those that will tell you what you really need to know to ensure that expected results are achieved as and when required. Include those which you find useful and therefore "live with"
Take a minimalist approach: the fewer the better – only deal with the most critical, developing one quantitative and one qualitative indicator.
The KISS form of instruction is to say they should be articulated in terms of use or application of Agency products/services or changes or benefits resulting therefrom.
Since they are the means to measure achievement of objectives, only select indicators for which performance data can collected and performance information can be appraised at least annually, to help fulfil reporting requirements.
Performance Indicators should be consistent with and reflective of objectives that lead to wider programme objectives and therefore are, directly or indirectly, linked to the achievement of an Agency Goal.
Ensure they are developed in close co-operation with other customers and users

Procedures: How are Performance Indicators formulated?

The indicators should be directly linked to the programme objective. They should be chosen and expressed in such a way as to permit a reasonable judgement to be made of the degree of success achieved.

Step 1. Review the need objectives identifying the types of results you wish to achieve, ensuring you understand them and their rationale, significance.

Ask such key questions as:

• what specific results are we seeking?

• how are we going to achieve them?

• how will we know we are making progress and what adjustments to make?

• how will we know we are getting the desired results?

Step 2: Brainstorm: select the best indicators:

• What are our criteria for success?

• Do they point to the desired results?

• Is this really something we want to spend our time monitoring (tracking) and "verifying?"

Begin with the basic indicator: ensure it is numerically quantifiable if possible or at least verifiable; then add Quality and other dimension (e.g., time). Often they are expressed in terms of: Quantity: how much, how many; quality: how good or how well; Target group: for whom; Time and location: by when and where.

Step 3: Articulate and agree on:

- credible: are they acceptable and meaningful?
- useful: will they assist the programme manager (e.g., monitoring implementation) and are they meaningful to Member States?
- verifiable can they be confirmed or "measured"
- can performance information be collected in a timely fashion at a reasonable cost?
- consistent: are they understood and mean same thing to everyone?
- valid: do they best relate to agreed programme objectives and indicate both positive and negative effects?
- balanced: as a set, do they span all the major dimensions?

Good indicators are useful, balanced, valid, credible, specific, and consistent. They:

Step 4: Identify key assumptions

Step 5: Determine how to collect and verify information/data

Step 6: Write them

Frame for Performance Indicators:

Current Formulation	Critique/Analysis
A. 2: Improvement in the safe and efficient management of nuclear power programmes Effectiveness and sustainability of the support and advice provided Number of MS that have become capable Degree of donor support for projects Progress toward establishment of repositories
Reformulation: Whether the appropriate Agency intergovernmental body actually adopted the standards; Whether the ten countries (or more) implemented the waste repositories.