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Empowering Staff Through Institute
Planning (ESTIP)
Steering group workshop
Institute Name: XXXXXXPresenter: XXXXXXDate: XXXXXX
© institutes of technology ireland 2009
Welcome, introductions & objectives
The purpose of this two day programme is to ensure that all members of this planning steering group have the requisite knowledge, skills & abilities to fulfill their role as a steering group as defined in their terms of reference
Day 1: Programme outline
09.15 - Welcome, introductions, objectives 09.45 - Planning Exercise 10.45 - Break 11.00 - Self-Assessment & Discussion 12.00 - Developing Plans Lunch 14.00 - Role of Steering Group 15.15 - Break 15.30 - Empowering staff 16.30 - Close
© institutes of technology ireland 2009
Planning Exercise-‘Roscommon IT Leisure Centre’ You are members of the new Strategic Planning steering
group – it is now January 2009 You have been asked to review the existing strategy &
plans & assess their viability - will they be achieved If you decide a new plan is necessary,how would you go
about preparing it?– What type of plan(s) would you need?– How would you prepare the plan(s)?– What information would you need?– How would you get it?– Who would you ask / involve?– How would you ensure that the plans are achieved?
Please discuss with your colleagues & agree a group response & feedback in the plenary session
© institutes of technology ireland 2009
Steering Group self-assessment & discussion Objective
– To enable group to recognise their strengths & areas that need development
– To enable this steering group to reflect on their ability to fulfill their role
– To facilitate a discussion on how to improve effectiveness as a steering group
© institutes of technology ireland 2009
Module objective
To ensure that the group understand – The models & phases which could be
used in any planning process– Emerging good practice in planning
processes– To provide an opportunity to discuss the
strengths & weaknesses of the different models
– To identify where they currently are in the planning cycle
© institutes of technology ireland 2009
Group exercise
Break into 3 groups Each group discuss one of the 3 approaches
to developing a Strategic Plan (use Framework Reference Manual)
– Group 1 - Classical approach– Group 2 - Rolling Planning approach– Group 3 - Strategic/operational (integrated)
planning approach Take a few moments to read the approach
related to your group
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Group exercise continued
As a group discuss:– The key elements of the approach – Its strengths & weaknesses– How it relates to planning in this IoT
Prepare feedback for the whole group on the above
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The ESTIP Planning Process Model
ESTIP planning model – an overview
Phase 1: Pre-planning phase Phase 1.1: Executive considerations
– Time frames– Method to be used– Type of plan– How decisions will be made– Review of previous plan– Strategic Management Processes eg
Information & consultation; Environmental scanning; knowledge management, integrating processes etc.
© institutes of technology ireland 2009
Phase 1.2: Steering Groups
Strategic Planning steering group Thematic planning sub groups Planning Process communications Planning Process duration Managing staff expectations Resource assessment Authoring/editing of final document
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Phase 1.3: Wider Considerations
Aligning with other operational processes
Spanning academic, financial & calendar year
Strategic planning drivers Training for the planning process Determining staff expectations Identifying barriers
© institutes of technology ireland 2009
Phase 2: Data collection
Environmental scanning– Usually done once every 3-5 years – Alternative approaches e.g. PEST– Decide who to scan– Ask so what?
Current state analysis - internal scan– Institutional research; SWOT analysis, EFQM
excellence model; Balanced Scorecard approach; Programme Development; satisfaction surveys, IR
© institutes of technology ireland 2009
Data collection continued
Stakeholder consultation– external, – Who? How? When? On what? – Interviews, focus groups etc
Staff consultation– Many opportunities through different
phases– Trade unions
© institutes of technology ireland 2009
Phase 3: - Plan development
Phase 3.1: - Develop themes– Vision, mission, values– Analysis of data collected– Developing themes– Communication with wider audience
Phase 3.2: - Operational planning– Principles; SMART;PMDS; KPI’;s
Phase 3.3: - Plan collation Phase 3.4: - Plan publication
© institutes of technology ireland 2009
Phase 4: Managing & Implementing Plans
Phase 4.1: - Strategic Plan Phase 4.2: - Operational Plan Phase 4.3: - PMDS
Importance of recognising interdependencies, links, timing etc.
© institutes of technology ireland 2009
Group exercise
Consider– Where are you currently in terms of
these phases? Do you recognise where you as an IoT? Map yourselves onto these phases?
– What has worked well?– What was problematic?– What might be useful going forward?
© institutes of technology ireland 2009
Module objective
To provide participants with an overview of the types of steering groups used in planning
To allow participants an opportunity to discuss their own terms of reference
To allow a discussion on possible uses of steering groups going forwards
© institutes of technology ireland 2009
Role of Steering groups in planning
Wide range of steering groups used Different types of groups useful for
different types of plans, processes or phases
Size is an issue– Too big -unwieldy & loss of focus– Too small-anonymity & communication
difficulties with the whole organisation
© institutes of technology ireland 2009
A. Advisory group to Director/President
Role - advise on the process & final plan; does not steer the process
Small, maximum 5 members Members have
– No self-interest in outcomes of process– Expertise in specific aspects of process– Highly trusted by Director/President– Expresses frank & constructive views
© institutes of technology ireland 2009
B. Expert panel used in rolling planning
Supports thematic/functional area One representative from each
thematic/functional area Representatives bring expertise on
theme/function Ensures broad perspective Depending on themes the group may
also be the Executive acting as Steering Group
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C. Editorial Committee
Small, maximum three, subgroup Act as principal drafters of document One person full responsibility for the
document Other two carry out specific tasks
– Make editorial comment– Ensure consistency between document content
& input– Ensure transparency & link to other documents
© institutes of technology ireland 2009
D. Mixed Role Group
Two - four people form core of group At start of each phase of planning the core
is augmented by additional members to deal with specific issues
Purpose of group– Ensure consistency across all phases of
planning process through core group– Ensure clear responsibility for group activities– Ensures best mix of experience etc– Maximises staff involvement
© institutes of technology ireland 2009
E. Rolling framework steering group
A standing steering group Can include permanent members from
executive & leaders of thematic groups Group membership changes as themes
change Key challenges
– Ensuring effective communication across theme
– Developing a presentation format for plan robust enough to deal with frequent changes
© institutes of technology ireland 2009
F. Academic Council sub-group
Could already exist or be formed for this purpose
Would act with full authority of Council & impra mater of one of the three Institute statutory bodies
Provide progress reports to AC & Director
Mix of council members co-opted for task
© institutes of technology ireland 2009
Group discussion
TOR of this group Previous types of Steering Group
used Benefits & drawbacks of each type Possible best uses of steering group
types for next step of planning process (revisit this in last session day 2)
© institutes of technology ireland 2009
Module objectives
To outline the principles that underpin staff empowerment through Institute Planning
To look at the ways of involving staff To reflect on these lessons & past
experiences To focus on possible best ways
forward
© institutes of technology ireland 2009
Purpose of ESTIP Framework
To provide guidelines for “Empowering staff locally, by linking team & individual development plans to focussed, supported & transparent strategic plans.”
Emphasis is on engaging staff in strategic & operational planning processes
At a time & level appropriate to individual staff, their interests & abilities
Some key principles for empowerment
© institutes of technology ireland 2009
Research across IoT sector shows
Poor awareness of strategic plan & its content Apathy towards the plan Low awareness of link between staff activities &
long term goals in the plan Lack of structured operational plans to achieve
objectives of plan Staff aware of plans but limited knowledge of
where they came from Minimal sense of ownership of plans At outset be aware of these problems & design
process to ensure they absent at conclusion
© institutes of technology ireland 2009
Group discussion
What has been the sense of empowerment of staff in this IoT through your last/current planning process?
At this stage feedback should be given on any evaluations carried out e.g. staff survey
© institutes of technology ireland 2009
How planning can be structured to empower staff fully Close integration with other
processes including PMDS There is a need to plan the planning
– Initially agree broad planning approach- this defines how interactions will occur with stakeholders
– Then the detailed pre-planning of phases
– Phases outline essential activities
© institutes of technology ireland 2009
Empowerment through communications
Clear, timely communication to staff helps develop empowerment as much as direct involvement
A detailed communication plan is an essential underpinning of all planning processes- agree in pre-planning phase
Staff need to be kept aware of progress at all phases of the process
Remember staff entitlements under Information & Consultation Legislation
© institutes of technology ireland 2009
Importance of transparency & consistency Clarity & transparency between the inputs
made by staff during the planning process & the final plan is important
If aspects of the final plan only come to light in the late stages of the process there needs to be a clear explanation for the new material
Not honouring this principle can result in staff disempowerment & disillusionment & a loss of confidence in the process
© institutes of technology ireland 2009
Avoid duplication - integrate processes
There are a wide range of Institute wide processes & groups
These need to be taken into account when developing an approach to planning
Integration of activities is important Evidence shows that where duplication
occurs it leads to frustration & disempowerment for staff
Map the processes in pre-planning phase to optimise use of staff time & effort
© institutes of technology ireland 2009
Clarify type of Strategic Plan needed & level of detail at outset Lack of clarity may lead to plan been seen
as a glossy PR doc instead of a real plan relevant to staff who must implement it
Clear rationale for the decision on the type of plan should be communicated to all staff as early as possible before leaving the pre-planning phase.
Staff understanding enhances willingness to be involved
© institutes of technology ireland 2009
Managing staff expectations
Staff have an expectation of being consulted.
Use PMDS as a method whereby staff can indicate their preferred level of involvement in SPL process
Seek agreement from staff & managers to increase the frequency of informal meetings under PMDS
Make explicit who has responsibility for each phase & sub-phase
© institutes of technology ireland 2009
Staff consultation
Encourage staff who want to take part to get involved
Give reassurance that involvement is real & meaningful
© institutes of technology ireland 2009
Ways of involving staff
Phase 1: Pre-planning-on preplanning committee or Steering Group
Phase 2: Data gathering– Current state analysis e.g. functional group
self-assessment, SWOT, EFQM– Stakeholder consultation ee.g.g meetings with
employers, schools etc.– As member of general or specialised working
group or standing committees carrying out environmental scanning
© institutes of technology ireland 2009
Staff involvement continued
Phase 3: Plan preparation– Developing themes as member of
Strategic Planning steering group or specialised working sub-group etc
– Plan collation- as member of Strategic Planning steering group & specialised editorial group
© institutes of technology ireland 2009
General staff consultation
Publish the work plans, progress etc. of Strategic Planning committees & groups on intranet (plan carefully in phase 1)
– Make staff aware that this is expected method of interaction for those not wanting active involvement
Consultation by working/theme groups Consultation with Trade unions Institute omnibus survey
© institutes of technology ireland 2009
Operational planning
The PMDS process aims to provide a way of prioritising a teams activities in line with the Institutes strategic objectives
Use TDP & PDP processes to involve staff in planning
Finally Plan Publication– Recognise staff involvement; Formal
launch; Send copy to all involved© institutes of technology ireland 2009
Group discussion
How were staff involved in this Institute?
Strengths & weaknesses of these methods?
Thoughts on best way moving forward?
© institutes of technology ireland 2009
Outline of Day 2 09.15-09.30 - Introduction, Objectives 09.30-11.00 - Effective Steering Groups Break 11.15-13.00 - Optional Modules Lunch 14.00 - Interdependencies/Integration 15.30 - Break 15.45-16.30 - Next Steps 16.30-17.00 - Evaluation
© institutes of technology ireland 2009
Module objectives
To provide an opportunity for the group to focus on how to work together as a team in an open honest environment & reach consensus
To allow the group to reflect on their own modus operandi as a group & plan for effective team-working
© institutes of technology ireland 2009
Characteristics of an effective Steering Group
Clarity, agreement & focus on Terms of Reference (TOR), objectives & goals
Appropriate membership (no’s, knowledge, skills etc.) for task
Good communication Regular meetings that start & finish on time An atmosphere of openness, honesty &
mutual respect
© institutes of technology ireland 2009
Effective steering groups continued
An ability to reach consensus An ability to manage conflict Good meeting procedures
– Ground-rules– Appropriate chairing– Agenda in advance– Action oriented minutes
Clear & agreed roles & responsibilities
© institutes of technology ireland 2009
Ineffective Steering Groups
Work overload Decision-making
delays Poor scheduling Uneven work
distribution Poor information
flow General hostility
Poor relations with others
Confusion Apathy No initiative Decisions poorly
executed No TOR or lack of
clarity
© institutes of technology ireland 2009
What happens once a group is formed?
Individuals feel wary, cautious & even sceptical based on past experiences
Groups are often hampered by problems, which are clear at the start but get worse:– Gate keeping of information– Not really listening, only being polite– Personalising issues– Taking an aggressive or defensive stance at the
first sign of anything going wrong– Keeping real opinions & feelings to one’s self
What happens once a group is formed? continued
Groups take time to develop & can be muddled to start with
The immature group will mature with time & effort– Forming– Storming – Norming – Performing
Conflict within groups is both normal & desirable
Active listening
Avoid preoccupation/ distraction Make appropriate eye contact Be aware of your own emotions Suspend judgement for awhile Wait before responding Develop paraphrasing into own words/context Continually reflect Don’t interrupt or change topic Question & clarify Be ready to respond when speaker is ready
© institutes of technology ireland 2009
Group discussion
Look back to yesterdays self assessment, reflect on your last meeting now identify– What is working well for this group?– What problems do we have?
– Lead a group discussion on how to improve effectiveness of the group
© institutes of technology ireland 2009
Module objectives
This module has optional content depending on type of planning steering group
The aim is to provide the group with an opportunity to familiarise themselves with relevant planning tools such as
PEST analysis, Balanced Scorecard, SWOT analysis & SMART Action Planning
© institutes of technology ireland 2009
© institutes of technology ireland 2009
Analytical & scanning tools
PEST Analysis SWOT Analysis EFQM Balanced Scorecard Gap Analysis Cost analysis Scenario planning
PEST analysis
A simple, widely used tool for scanning the external environment & grouping factors together under the mnemonic PEST
Political Economic Socio-cultural Technological
Helps develop an understanding of the ‘whole’ environment’ within which the organisation operates
© institutes of technology ireland 2009
How to conduct a PEST
1. Brainstorm the factors (PEST) in the context of your Institute
2. Identify the relevant information for each of these factors
3. Analyse this information & draw conclusions
The crucial point in PEST analysis is moving beyond simply describing the factors (step 2) without thinking of the implications (step 3)
© institutes of technology ireland 2009
Group exercise
As a group carry out a PEST analysis for this IoT
© institutes of technology ireland 2009
Balanced Scorecard
See Appendix 4 ESTIP Framework Reference Manual
Developed in 1990’s Allows management & staff to focus on a
few key strategic objectives Recognises importance of developing a
few key aspects of an organisation Also interrelationship between them
© institutes of technology ireland 2009
Balanced scorecard consists of
The core of the strategy or vision Four interrelated factors
– Financial aspect– ‘Business’ processes– Learning & development– The ‘customer’
Each factor has four components– Objectives– Measures of achievement– Targets– Initiatives
© institutes of technology ireland 2009
Example: Inner City School X
Vision - improve the educational experience of pupils & increase numbers going to higher education
Financial– Objective is to achieve funding of €xxx & keep in
budget– Achievement measured through monthly accounts– Target- to achieve €100,000 turnover– Initiatives- marketing campaign & delegation of
budgets to departments
© institutes of technology ireland 2009
Exercise: Develop a Balanced Scorecard for this Institute Key Questions?
– Financial- how do we measure up to financial projections?
– Operational- At what processes must the organisation be successful?
– Customers- How so service users see the organisation?
– Innovation & Learning- How can we improve performance?
© institutes of technology ireland 2009
SWOT Analysis (see appendix 17)
Simple, widely used approach Allows you develop snapshot view of
strengths, weaknesses, opportunities & threats as perceived by different groups
Often done in facilitated session Can take from 1-8 hours depending
on method used & size of group
© institutes of technology ireland 2009
SWOT
Strengths Weaknesses
What are our main collective strengths as a unit?What are we good at?
What are we not so good at?What are our competitors better than us at?What do we need to improve upon?
Opportunities Threats
What are the main opportunities that we should consider?What can we exploit?
What are the main threats that we are going to face?What could stop us achieving our goals?
© institutes of technology ireland 2009
SWOT Process
Facilitator brings group through each heading
Once the group has identified all the factors under each heading they need to reflect & ask, “So what?”
Once the key important priorities are identified the next step will be action planning as a result of SWOT
© institutes of technology ireland 2009
Action Plan
Objective - State your intention. What you hope to achieve. Joint Objective?
Strategies/Action Steps to achieve the Objective?
Who is responsible for each step? What is the deadline for each step? What resources are required to
achieve each step?
© institutes of technology ireland 2009
Group exercise
Carry out a SWOT analysis on your IoT
Develop a SMART action plan to achieve 4 objectives
© institutes of technology ireland 2009
Module objectives
To allow participants reflect on the interdepencies in the planning processes in their own IoT
To focus on the importance of integrating planning processes & allow the group identify ways to improve integration in planning
© institutes of technology ireland 2009
Group exercise
As a group identify all the planning processes in this IoT – Academic Planning– Functional Planning– PMDS– Operational Planning– Strategic Planning
What takes place, what is the sequence of events for each part of the planning process?
Draw a time line & map the planning processes onto it highlighting where the output of one process needs to be the input of another
© institutes of technology ireland 2009
Exercise continued
What are the strengths & weaknesses of the integration within our current planning?
What are the key processes that need to be improved upon & how can they be improved?
Redraft the time line & indicate how the planning processes can be integrated
© institutes of technology ireland 2009
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