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LIST OF EXHIBITS FOR STANDARD 1

EXHIBIT  1e.10

THE PLANNING PROCESS

Developed by

Dr. Frederick L. Dembowski

Endowed Professor of Educational Leadership

Southeastern Louisiana University 

"Failing to plan is planning to fail!" 

Planning in all its forms is an essential process for any organization, large or small. It can take many forms but fundamentally an organization must have a strategic intent or plan for where the organization intends to be in the future. An organization must have an operational plan that clearly says how it will achieve its strategic intents.

 THE THREE FUNCTIONS OF PLANNING (Dembowski & Eckstrom, 1999)

(See Figure 1 - Hierarchy of Planning Diagram at the end of this document.) 

I.      Maintenance (short term) of the Operations of the Organization,

        Including:

        a. Budgeting

        b. Review of Policies, Rules & Regs.

        c. Review of Operating Procedures

        d. Program Review & Planning 

II.     Improvement (longer term) of Operations

        a. Problem Solving & Systems Analysis

        b. Continuous Improvement (TQM)

        c. Reform 

III.    Organizational Development (long term)

        a. Strategic Planning

        b. Restructuring & Re-Engineering 

Maintenance & Improvement are short-term planning activities that should be conducted regularly (annually). 

Organizational Development is a long term planning activity that should be conducted periodically (i.e. every five years.)
 

           CONSIDERATIONS IN USING PLANNING 

1. Realize that planning is not a single concept, procedure, or tool. 

2. It emphasizes different aspects of the process. 

3. Every process application is a hybrid adapted to the unique situation. 

4. the most effective planners include strategic planning in their repertoire. 

5. The role of the planner is important. 

6. Planning processes for specific situations must be developed.
 

STEPS IN THE STRATEGIC PLANNING PROCESS:

(See Figure 2. THE STRATEGIC PLANNING PROCESS at the end of this document) 

1.     Initiating and agreeing on a strategic planning process 

2.     Clarifying Vision, Mission and Values 

3.     Identifying organizational mandates 

4.     Assessing the external environment strengths and weaknesses (PEST) 

5.     Assessing the internal environment strengths and weaknesses (SWOT) 

6.     Identifying the strategic issues facing an organization 

7.     Formulating strategies to manage the issues 

8.     Establishing an effective vision for the future 

  INITIATING AND AGREEING ON A STRATEGIC PLAN

1.     Need agreement on four issues: 

        a.     worth of planning effort

        b.     who should be informed & involved (leaks)

        c.      steps to be followed (mechanisms of process)

        d.     form & timing of reports 

2.     Benefits of Agreement Process: 

        a.     introduces concepts of planning to key actors

        b.     develops understanding of practical realities of planning

        c.      forces thinking through of important implications (resources needed)

        d.     develops a commitment

        e.     reaches an actual agreement 

        PROCESS GUIDELINES FOR AGREEMENT PHASE: 

1.     Someone must take initial leadership role. 

2.     Someone must sponsor process for legitimacy. 

3.     Decide on nature of agreement  

4.     Form strategic planning task force. 

5.     Use task force properly (consultation, negotiation, liaison, problem solving). 

6.     Members of task force are effective policy makers. 

7.     Form strategic planning team. 

8.     Key decision makers require special treatment. 

9.                Obtain initial agreements before proceeding. 

10.           Initial agreement is first big decision point.
 

VISION, MISSION AND VALUES

(Note: One of the course assignments is to develop/analyze a Mission statement – see below. You do not have to develop a Vision or a Value statement.) 

Vision –

A vision helps unite people towards a purpose. Creating and living a vision is the role of leaders in organizations. They have to espouse it and help others to believe it.

Visions are aesthetic and moral, they come from within as well as outside.

A successful vision accomplishes six goals:

  • gives a sense of the future
  • guides decision making and strategy
  • creates a shared purpose
  • provides guidelines that determine behavior
  • inspires emotion
  • connects to values

Mission -

A mission statement is a unifying statement of what an organization is in business to do. It is a key reference point in the planning and implementation of change.

A mission statement is a description of the organization's key purposes.

Values -

Values are the beliefs of an organization, the expression of what it stands for and how it will conduct itself. Values are the core of an organization's being. They underpin policies, objectives, procedures and strategies because they provide an anchor and a reference point for all things that happen.

Sources used include:

Brefigroup - http://www.brefigroup.co.uk/facilitation/vision.html

http://www.managementhelp.org/plan_dec/str_plan/stmnts.htm

A VISION STATEMENT

 An organization's vision conveys a compelling, conceptual image of the desired future for the unit. It provides inspiration and challenge to all members of the unit towards an ideal of what the unit can become. It should be purposefully articulated to bridge the present and future and to serve as a critical impetus for change. Thus it should be brief enough to be memorable and complete enough to direct effort.

 Characteristics of a "Good" Vision:

Future-oriented, deriving from reasonable assumptions about the future

Idealistic, envisioning a future that is beyond the present

Appropriate, fitting with the unit’s history and culture

Inspirational, encouraging enthusiasm and commitment

Purposeful, articulating an image of the desired future

Ambitious, causing members of the unit to stretch to reach it.

:

Questions to ask when developing a vision":

What type of organization is this?

What markets/clients does it serve?

What is the geographic scope?

Who are the target customers?

What are the key products and/or services?

How will the organization look like?  

How to develop a vision statement

So what does a vision statement look like?

A vision statement contains key phrases that express the following:

…. the ideal, ultimate, realistic and achievable outcome or goal…the preferred and plausible future…when you've 'made it'… strategic direction… customer oriented…

Characteristics

Your vision statement will incorporate the following characteristics:

·               specific, realistic

·               outcomes based not activities based

·               focused on external as well as internal impacts

·               challenging but not "pie in the sky"

·               consistent with values, philosophy

·               completed within a reasonable timeframe

Why have a vision?

·               helps with team building

·               focuses energy

·               becomes self-fulfilling

·               establishes the big picture

·               illustrates the target and what is important not what is urgent

·               promotes trust and interdependence

Developing the vision

When developing the vision you should:

·               have a mental picture of the preferred organization

·               ask, do our values fit in with the vision?

·               recognize that it should not just be a better version of the present without today's problems

·               develop the ability for scenario building, moving beyond the probable future (usually a perfect present)

Scenario building

When in the process of scenario building you should:

·               take stock of the current scenario by actively undertaking a SWOT analysis (Strengths, Weaknesses, Opportunities and Threats)

·               create a time frame

·               recognize impacts that will definitely occur during this timeframe

·               recognize variables that could make or break the organization

·               develop outcomes or pictures of the future

Testing future scenarios

Now that the scenarios have been created, use the following criteria to rank each scenario to see if it will stand within the plans of the organization.

·               does it fit in with our philosophy, values?

·               is it feasible, given our past and present?

·               is that where we want to be?

·               does this change our mission?
 

THE MISSION STATEMENT

 

DOES IT PROVIDE A SENSE OF PURPOSE?

DOES IT ADDRESS THE FOLLOWING QUESTIONS?

 

1.   Does it clarify the purpose or desired outcomes (What Org. should look like and how it should or could behave?)

2.   Is there agreement on the Mission?

3.   Is it used to focus thinking?

4.   Is it used to clarify thinking?

5.   Is it used to control thinking?

6.   Is it used to disclose philosophies and values?

7.   Has it been made "operational"?

 

STEPS IN DEVELOPING AND ASSESSING A MISSION STATEMENT:

1.   STAKEHOLDER ANALYSIS

      a.     Are stakeholders identified?

      b.     Are the criteria used by stakeholders to assess org. performance specified?

      c.      How well does the organization perform using those criteria? 

2. COMPONENTS OF A MISSION STATEMENT

      a.     Who are we?

      b.     Why do we exist?

      c.      How do we respond to this need?

      d.     How do we respond to stakeholders?

      e.     What are our philosophy and key values?

              (Do we do what is right or what is politically or economically expedient?)

      f.      What makes us distinctive or unique?

 

PROCESS GUIDELINES FOR MISSION DEVELOPMENT PHASE 

1.   Someone should be in charge

2.   Undertake a formal stakeholder analysis using worksheets

3.   Develop mission statement individually first then discuss jointly

4.   Leader draft mission statement

5.   Record salient points of discussions

6.   Revise mission statement as needed throughout the planning process

7.   Mission statement should be well publicized and be a physical presence

 Adoption of mission statement is an important decision point in planning process!

 

 ASSIGNMENT 3: MISSION STATEMENT DEVELOPMENT/ANALYSIS 

Using the rubric on your CD, either develop a Mission Statement for your organization, or analyze the Mission Statement for your organization.  Use the rubric as an outline for your mission statement.  Write a report of this project by:

1.          State the Mission Statement,

2.          Evaluate the Mission Statement using the rubric, and

3.          Include a summary regarding the mission statement, including your self reflection regarding what you learned about mission statements, and what did you learn about yourself.

4.          Add the Mission statement report as an artifact in your PSS-PORT Portfolio.

 

A VALUES STATEMENT

Values are the beliefs of an organization, the expression of what it stands for and how it will conduct itself. Values are the core of an organization's being. They underpin policies, objectives, procedures and strategies because they provide an anchor and a reference point for all things that happen.

Developing a Values Statement
1. Values represent the core priorities in the organization’s culture, including what drives members’ priorities and how they truly act in the organization, etc. Values are increasingly important in strategic planning. They often drive the intent and direction for “organic” planners.
2. Developing a values statement can be quick culture-specific, i.e., participants may use methods ranging from highly analytical and rational to highly creative and divergent, e.g., focused discussions, divergent experiences around daydreams, sharing stories, etc. Therefore, visit with the participants how they might like to arrive at description of their organizational values.
3. Establish four to six core values from which the organization would like to operate. Consider values of customers, shareholders, employees and the community.
4. Notice any differences between the organization’s preferred values and its true values (the values actually reflected by members’ behaviors in the organization). Record each preferred value on a flash card, then have each member “rank” the values with 1, 2, or 3 in terms of the priority needed by the organization with 3 indicating the value is very important to the organization and 1 is least important. Then go through the cards again to rank how people think the values are actually being enacted in the organization with 3 indicating the values are fully enacted and 1 indicating the value is hardly reflected at all. Then address discrepancies where a value is highly preferred (ranked with a 3), but hardly enacted (ranked with a 1).
5. Incorporate into the strategic plan, actions to align actual behavior with preferred behaviors.

 

http://www.managementhelp.org/plan_dec/str_plan/stmnts.htm

 YOU WILL EXPLORE YOUR VALUES IN THE PROCESS OF CONDUCTING THE SWOT & PEST ANALYSIS!

MANDATES:  WHAT IS THE ORGANIZATION REQUIRED TO DO AND NOT TO DO?

 1.   Compile list of formal and informal mandates 

2.   Interpret requirements resulting from mandates 

3.   Agree on unconstrained field of action:

      …liberal or strict interpretation of mandates?

      …Prescriptive or Proscriptive?)

 

         PURPOSES OF STRATEGIC PLANNING 

The Major Purposes Of Strategic Planning Are To Prepare An Organization To Respond Effectively To Internal Problems & External Threats Before A Crisis Emerges And To Prepare For The Future. 

Strategic Planning Aids In Finding The Best Fit Between An Organization And Its Environment. 

The Strategic Planning Process Accomplishes This Task By Conducting Formal Assessments Of The Organization's: 

Internal Environment – SWOTs

(Strengths, Weaknesses, Opportunities, and Threats)                        

                                    And 

External Environment – PESTs:

(Political, Economic, Social & Technological Factors & Trends) 

The Result Of These Assessments Is The Identification & Listing Of Strategic Issues Facing The Organization. 

This Process Is Also Called An

     “Environmental Scan”. 

(ALSO SEE FIGURE 3.  A FRAMEWORK FOR MANAGERIAL PERFORMANCE)

 

ASSIGNMENTS 4 & 5

CONDUCT OF PEST & SWOT ANALYSES 

Assignments 4 and 5 of this course are the conduct of a PEST and SWOT Analysis for your organization. Use the rubrics provided as an outline for your report. 

Add both the PEST and SWOT reports as artifacts in your PASS-PORT Portfolio.
 

THE SWOT & PEST ANALYSES        

A.   ASSESSING THE EXTERNAL ENVIRONMENT – THE PESTS

Examining The Forces And Trends Affecting Our Organization?

1.          Political – Lobbying, Political Influence, Interest

      Groups. 

2.   Economic – The General State Of The Economy (local, state and national), Suppliers of Raw Materials (Physical, Human, Financial), Demand for Products (Customers and Competitors) 

3.   Social -  Demographic Trends (Age, Income, Education,

      Geographic Movement), Cultural Factors (Political- Legal Factors, Economic Factors, Sociological Factors), Individual Needs (Career Aspirations, Lifestyle Changes, Family Formations, Leisure Time). 

4.   Technological - Process Of Innovation (New Products: R & D),

      Process of Technology Transfer (Using Current Technologies in A New Way), Increased Product Obsolescence and Competition Increased Use of Monitoring and Forecasting Methods. 

B.       ASSESSING THE INTERNAL ENVIRONMENT: THE SWOTS

      An Assessment of the Internal Environment

      By an Examination Of:

      Inputs - Resources

      Process - Present Strategy

      Outputs - Performance

      Feedback - Assessment & Planning 

1.   Assess Strengths:

      ..What Do We Do Best?

      ..What Are Our Best Resources?

              A. People

              B. Economic

              C. Information

              D. Competencies 

2.   Assess Weaknesses

      ..What Are Our Best Product (S)?

              A. Current Results

              B. History

              C. Where Are Problem Areas?

              D. Where Are We Weak?

              E. What Products Are Substandard? 

3.   Where Are Our Opportunities -

      Clients, Customers & Payers:

      ..Where Can We Gain Support?

      ..Where Can We Gain Resources?

      ..What New Programs Are Needed?

      ..What Opportunities For Cost Savings Are Available? 

4.   What Are The Threats To Our Organization?

      Who Are Our Competitors & Collaborators?

      ..What Are Main Lobby Groups?

      ..Who Are Key Players In Our Org.?

      ..What Is The Future Of Key Resources? 

Environmental Scan Results:

1.          What Are The Most Likely Scenarios?

2.          What Do We Do From Here?

3.          Identify Strategic Issues 

SWOT & PEST Analysis Process Guidelines: 

1.   Use the KISS Principle - the simpler the better 

2.   Use a facilitator and have someone document discussions and results 

3.   Analyze external environment before the internal environment 

4.   Look for patterns and focus on implications and required actions 

5.   Follow-up analyses of the SWOTs and PESTs 

6.   Conduct these analyses on a regular, reoccurring basis (during budgeting process).


WHEN & HOW DO STRATEGIC ISSUES ARISE? 

1.   when events beyond control of decision makers prevent accomplishment of mission.

2.   when technology, cost, financing, staffing, management, or politics change, and

3.   when internal or external events suggest present or future opportunities to:

              a.   make improvements in quality or quantity of outputs

              b.   achieve significant reductions in cost

              c.    introduce new products or services

              d.   combine, reduce, or eliminate products or services.

     Why Identify Strategic Issues? 

1.   focuses attention on key issues

2.   focuses on issues, not answer

3.   process creates tension that promotes change

4.   issue identification is first step in problem solution

5.   planning process becomes "real"
 

              IDENTIFICATION OF STRATEGIC ISSUES: 

      Three Kinds of Strategic Issues: 

1.   issues where no action required but monitoring is necessary 

2.   issues handled by regular program and processes 

3.   issues requiring immediate response that cannot be handled through routine decision making 

For Every strategic Issue, The Who, What Where, When, Why, & How Needs to be Established Through

The Strategy Development Process!
 

STRATEGY DEVELOPMENT PROCESS: 

1. What are the practical alternatives to meeting this (vision, goal, objective, and scenario)?

2. What are the barriers to realization?

3. What major proposals should we present?

4. What major actions must be taken to implement proposals?

5. What specific steps must be taken now?

6. Make sure that you establish the 5W's! 

PROCESS GUIDELINES FOR STRATEGY DEVELOPMENT:

  1. review SWOT's & identify issues

  2. select approach specifically

  3. prioritize strategic issues

  4. apply "Litmus Test" for issue

  5. discuss thoroughly

  6. remember there are 3 kinds of strategic issues

  7. focus on issues not answers

  8. reach agreement that key decision makers spend time on strategic issues

  9. Keep it light

10. realize agreement on strategic issues to be addressed is an important Org. decision point

11. management of transition from strategic issue identification to strategy development is crucial.
 

              BENEFITS OF THE STRATEGY DEVELOPMENT PROCESS: 

1.   a clear picture will emerge 

2.   many alternatives will have been considered 

3.   the strategy will be real 

4.   early implementation facilitates learning 

5.   emotional bonding will emerge 

6.   increased morale of planners 

7.   increased planning team development 

8.   coalitions form for implementation 

9.   opposition will co-opted 

10.  order amid change & change amid order achieved
 

Components of a Written Strategic Plan: 

1.   mission statement

2.   mandates statement

3.   sub-strategy statements

4.   functional strategy statements

5.   program plans

6.   staffing plans

7.   financial plans

8.   implementation plans

 

Optional Sections of Strategic Plan: 

1.   statement of needs, goals, problems, etc.

2.   vision of success

3.   current and proposed org. structure

4.   governance procedures

5.   key org. policies (current & proposed)

6.   relationships with stakeholders

7.   assumptions

8.   marketing plans

9.   facilities plans

10.  contingency plans 

Strategic Plan Development Process Guidelines: 

1.   action is more important than a particular process

2.   the Org. must be interested in moving away from business as usual

3.   go either for big change or many managed small changes over time.

4.   strategy formulation usually occurs deep in the org. structure

5.   pick an approach to strategy development

6.   describe strategies in detail for implementation

7.   alternative strategies should be evaluated against agreed upon criteria

8.   the larger more complex the org. the more formal a strategic plan should be

9.   in any plan, written statements should be prepared

10. plans should be thoroughly reviewed before public presentation

11. strategies should be evaluated vis-à-vis key stakeholders

12. budget planning should complement strategic planning

13. plan how to deal with emotional concerns

14. this phase of planning is necessarily interactive

15. have a sense of closure of process

16. Completion in an important decision point

 

 

 

 

 

FIGURE 1.

 

THE PLANNING HIERARCHY

 

(Dembowski & Eckstrom, 1999)
 

 

 

 

 

FIGURE 2

 

THE STRATEGIC PLANNING PROCESS 

(Adapted from: Bryson, John M. (1989) A Guide to Strengthening and Sustaining Organizational Achievement, Jossey-Bass.)

Bibliography 

Brefigroup - http://www.brefigroup.co.uk/facilitation/vision.html

Bryson, John M. (1989) A Guide to Strengthening and Sustaining Organizational Achievement, Jossey-Bass.

 Cameron, Kim S., and Whetton, David A. (1983) Organizational Effectiveness: a comparison of Multiple Models, Academic Press 

Dembowski, F.L., & Ekstrom, C.  (1999). Effective School District Management: A S elf-Review Instrument and Guide. Arlington, VA: The American Association of School Administrators (1999) and Scarecrow Press (2001).

http://www.managementhelp.org/plan_dec/str_plan/stmnts.htm

http://www.managementhelp.org/plan_dec/str_plan/stmnts.htm
 

EDL 811

ASSIGNMENT 5: SWOT ANALYSIS PROJECT

EVALUATION RUBRIC

Assessing the SWOTs: An assessment of the internal environment by an examination of:

Inputs- resources                                                                         ______/ ( 4)

Process- present strategy                                                             ______/ ( 4)

Outputs- performance                                                                  ______/ ( 4)

Feedback- assessment and planning                                              ______/ ( 4)

 

1. Assess Strengths: What do we do best and what are our best resources?:

A. People                                                                                      ______/ ( 4)

B. Economic                                                                                  ______/ ( 4)

C. Information                                                                                ______/ ( 4)

D. Competencies                                                                            ______/ ( 4)

 

2. Assess Weaknesses:                             

A. Current Results                                                                           ______/ ( 4)

B. History                                                                                        ______/ ( 4)

C. Problem areas                                                                              ______/ ( 4)

D. Where are we weak?                                                                    ______/ ( 4)

E. What products are substandard?                                                    ______/ ( 4)

 

3. Where are our opportunities: clients, customers, payers?:

Where can we gain:

A. Support                                                                                         ______/ ( 4)

B. Resources                                                                                       ______/ ( 4)

C. Programs needed                                                                             ______/ ( 4)

D. Opportunities for cost savings available                                              ______/ ( 4)

 

4. What are threats to our organization?:

A. Competitors and Collaborators                                                            ______/ ( 4)

B. Main lobby groups                                                                               ______/ ( 4)

C. Key players in our organization                                                            ______/ ( 4)

D. Future of key resources                                                                        ______/ ( 4)

 

What Strategic Issues Arose During This Analysis?                             ______/ (4)

What Did I Learn About The Process?                                               ______/ (4)

What Did I Learn About Myself?                                                        ______/ (4)

Summary                                                                                             ______/ (4)

 

                                                                                    TOTAL:           ______/ (100)


 

EDL 811

PEST ASSIGNMENT

EVALUATION RUBRIC

                  Assessing the External Environment- PESTs

                  Examining the forces and trends affecting our organization:

1. Political:                                                                                       

            Lobbying                                                                                       ______/ (5)

            political influence                                                                            ______/ (5)

            interest groups                                                                                ______/ (5)

            Other?                                                                                            ______/ (3)      

 

2.  Economic:                                                                                   

            - economy                                                                                          ______/ (5)

            - suppliers of raw materials                                                                   ______/ (5)      

            - demand of Products                                                                           ______/ (5)

              Other?                                                                                                 ______/ (3)

 

3. Social

            -  demographic trends                                                                            ______/ (5)

             - Cultural factors                                                                                   ______/ (5)

            - Individual needs                                                                                   ______/ (5)

              Other?                                                                                                  ______/ (3)

 

4. Technological                                                                                         

             - Process of innovation                                                                  ______/ (5)

             - Process of technology                                                                 ______/ (5)

             - Increased product obsolescence and competition

            -  increased of monitoring and                                                          ______/ (5)

            - forecasting methods.                                                                       ______/ (5)

              Other?                                                                                            ______/ (4)

 

WHAT STRATEGIC ISSUES AROSE DURING THIS ANALYSIS?            ______/ (5)

WHAT DID I LEARN ABOUT THE PROCESS?                                           ______/ (5)

WHAT DID I LEARN ABOUT MYSELF?                                                     ______/ (5)

SUMMARY                                                                                                     ______/ (5)

 

                                                                                    TOTAL:                       ______/ (100)

     



 

  

 


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