Empowering Staff Through Institute

Planning (ESTIP)

Steering group workshop

Institute Name: XXXXXXPresenter: XXXXXXDate: XXXXXX

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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

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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

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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

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Developing plans

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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

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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.

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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

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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

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Data collection continued

Stakeholder consultation– external, – Who? How? When? On what? – Interviews, focus groups etc

Staff consultation– Many opportunities through different

phases– Trade unions

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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

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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.

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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?

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Roles of Steering Groups

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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

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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

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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

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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

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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

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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

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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

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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)

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Empowering staff

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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

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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

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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

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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

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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

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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

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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

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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

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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

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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

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Staff consultation

Encourage staff who want to take part to get involved

Give reassurance that involvement is real & meaningful

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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

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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

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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

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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

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Group discussion

How were staff involved in this Institute?

Strengths & weaknesses of these methods?

Thoughts on best way moving forward?

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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

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Effective Steering Groups

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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

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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

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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

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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

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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

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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

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Analytical tools for planning

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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

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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

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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)

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Example of a PEST

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Group exercise

As a group carry out a PEST analysis for this IoT

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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

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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

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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

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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?

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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

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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?

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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

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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?

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SMART Planning for SMART Objectives(appendix 16)

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Group exercise

Carry out a SWOT analysis on your IoT

Develop a SMART action plan to achieve 4 objectives

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Interdependencies & integration in the planning processes

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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

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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

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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

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Next steps

Review the key learning points from the two days

Reflect on your terms of reference as a steering group

What do you need to do next?

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