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12-13-00 Town Council Packet OeCtQW Agenda PSG council Retreat b r 13. 2 SVRA's Conference Center 8:00 Coffee and pastries I. Welcome 8:30 a. Introductions: What you've done and will do b. Setting the tone for the day: How we proceed as a team,being responsible to an agreed upon process II. Maior Issues Review 9:30 a. Department Directors: Two or Three most important projects for upcoming year b. Council Member: listing their 2 or 3 key projects/issues III. Council /Staff Roles and Rules 10:30 a. Press Relations: Carolyn Sakariason b. Legal Issues: Steve Connor(including rules of Development Process:ethics,etc.) c. Council-Manager Relationship: Gary d. Council Relationships: Gary/T. Michael Manchester 1. Rules of the game(both at Council Table and away) Lunch (Noon) IV. Process 12:45 a. Mission Statement Review b. How do we do business now? How can we modify our process? c. Integrating Community Forces V. Predicting the Future: Strategic Planning 2:45 1. Defining Strategic Planning 2. Agreeing on a Process for Creating a Strategic Plan 3. Allocating Resources and Setting Time-Lines VI. Rounding out the Day 4:45 a. Recap events b. Recap commitments, including time-lines c. Setting up another date I . Welcome and Introductions During this opening session each council member will give a brief background of themself and answer two specific questions : a. Why did you run for office? b. What do you want to be remembered for at the end of your term? In "Setting the tone for the day" we will cover ground-rules and communication. "Dialogue" The capacity of members of a team to suspend assumptions and enter into a genuine "thinking together. " Another way of saying it is : `a free-flowing of meaning through a group, allowing the group to discover insights not attainable individually. ' i Town of Snowmass Village Team Communication What? How? Policy Administration Council Staff What.. ...How What. ..How COUNCIL ROLES STAFF ROLES Board of Directors . CEO and Field Officers Considers all information, . Stays objective, does not lobby including political opinion or take sides Set policies, expects they . Implements policies w/ will be carried out by Staff enthusiam! Politically involved . Politically informed ` . Makes big picture decisions . Provides professional research, information, tools and options Charter - Town Administration - Section 6.2 NNW office 6.2 Acting Manager dictate the appointment of any person to i office by the Town Manager except as The Council shall appoint an acting otherwise provided in this Charter, or in any Town Manager during the period of vacancy way interfere with the Town Manager to in the office, or during the absence or dis- prevent him from exercising his judgment in ability of the Town Manager. Such acting the appointment or employment of employ- Town Manager shall, while in such office, ees in the administrative service. Except for have all the responsibilities, duties, functions the purpose of inquiry, the Council, its and authority of the Town Manager. members, the Mayor and any Council com- mittee shall deal with the administrative Section 6.3 Powers and Duties of the service solely through the Town Manager. Town Manager Section 6.5 Removal of Town Manager The Town Manager shall be responsible to the Council, under the general supervi- The Council at a regular or special sion of the Mayor, for the proper adminis- meeting, upon the affirmative vote of a tration of all affairs of the Town placed in majority of the entire Council, may remove the Manager's charge, and to that end shall the Town Manager from office, for cause, have the following powers, duties and after notice and hearing. Upon such termi- responsibilities: nation, the Council may in its discretion provide termination pay subject to the terms (a) The Town Manager shall be of any employment contract. responsible for the enforcement of the laws, contracts and ordinances of the Town and Section 6.6 Town Clerk the implementation of official policies and • directives of the Council. The Town Manager, with the approval . of the Council, shall appoint or remove a (b) The Town Manager shall have the Town Clerk who shall be custodian of the power and authority to hire, suspend, trans- Town seal and who shall keep a journal of fer and remove Town employees except Council proceedings and record in full all those specifically excluded by this Charter. ordinances, motions and resolutions. The Clerk shall have the power to administer (c) The Town Manager shall exercise oaths and take acknowledgments under seal supervision and control over all executive of the Town, and shall perform such other and administrative departments. duties as required by this Charter, the Council, the Mayor or the Town Manager. (d) The Town Manager shall perform such other duties as may be prescribed by Section 6.7 Town Treasurer this Charter, by ordinance, by other appli- cable laws, or as may be required by the The Town Manager, with the approval Council, which are not inconsistent with this of the Council, shall appoint or remove a Charter. Town Treasurer. The Town Treasurer shall be responsible for the receipt and disburse- Section 6.4 Relationship of Council to ment of all funds of the Town and such Administrative Service other duties and responsibilities as may from time to time be established by the Neither the Council, its members, the Council by ordinance. Mayor, nor any Council committee shall GIO GROUND RULES FOR MORE EFFECTIVE MEETINGS • AVOID PERSONAL ATTACKS . • RESPECT OTHER' S OPINIONS AND POINTS OF VIEW . • ONE PERSON AT A TIME ; ALLOW PEOPLE TO FINISH THEIR THOUGHTS AND STATEMENTS . • STICK TO THE POINT ; BE AWARE OF REPETITIVE STATEMENTS . DRAFTED BY THE EMPLOYEES OF THE TOWN OF SNOWMASS VILLAGE IN MARCH, 1996. • • . COMMUNICATION PROTOCOL FOR SNOWMASS VILLAGE TOWN COUNCIL AND STAFF • All Council directives to staff should go through the Town Manager, which is consistent with the Home Rule Charter. It is best if these directives occur at a Council meeting, so that the entire Council is aware of the request and the staff workload. Timelines can be agreed upon at the meeting, so that expectations are clear. • Direct Council communication with staff is O.K. for inquiries, or bringing items to our attention that can improve service. • The staff is expected to enthusiastically and effectively carry out the policy directives of the Council, as determined by majority vote, in a timely manner. • Staff shall not lobby Councilmembers. Staff recommendations will be made before the entire Council at a public meeting. • Council members may add any item to a Council agenda, through the Town Clerk or the Town Manager. The agenda deadline is the Wednesday before the Council meeting. • Micromanagement— Council should refrain from telling staff how to do their jobs. This draws the focus and energy away from more important policy issues, for which Council is responsible. • Staff is responsible for researching issues and providing Council with solid information and recommendations, upon which Council decisions can be made. When the quality of the Communication Protocol Page 2 product is high, it is easier for Council to give more . responsibility. • The Mayor and Councilmembers should keep each other informed as to new issues, deals, coup-de-tats, agendas, ideas or other items of interest to the rest of the group. This makes for higher trust levels, and a better-informed Council and a stronger team. • If a Councilmember has a contentious item or a complaint for an upcoming meeting, advance notice to the Manager would be helpful (even the same day). Staff may be able to provide information to address the issue or problem at the meeting, avoiding delay and possible embarrassment. • The Mayor should be primarily responsible for reiterating and clarifying Council decisions and staff direction. Straw votes can be used to "narrow and close" discussions. Silence from other Councilmembers is a "tacit approval'. • Council and staff should not be afraid to "discuss the undiscussable". Candid and sincere dialogue about policies or even our own fallibility or "hot buttons" can go far in creating a trustworthy, effective and genuine team. Amended by Town Council and Staff,August, 2000 m:/w*u/mmaga.zu/mwslwmmtmkationprmto IMV 8.00 w zk1,) )P46- FRoM PI -141W11VG- COA)M/ss/oN . Commissioner and Staff Groundrules • Strive for consensus on the time to take before a vote. • Use majority vote on decisions. • Raise hand to be heard. • No loud or lengthy side conversations. Quick questions or points of clarification are okay if kept under 30 seconds \ Watch your body language. • Before each decision, ensure that we have a mutual understanding of the decision. • Use bullet points to recap decision. • Straw vote on smaller issues before final motion. This builds agreements on final motion components. • Get to a decision more quickly by not reiterating others' comments. Chair will decide when to call for a vote if people are redundant. z n/w RcC FROM fZ1gAo,,A11 VG COMM ISS ( OA) ROLES A. Role of Planning Staff Planning staff provides objective, theory-based, Master Plan and Code-based analysis of an issue. They are not discretionary, but rather are juxtaposing the codes with issue. B. Role of Chair • Traffic cop — direct and guide discussion. • Start out neutral on issue; listen to other commissioners; state your opinion; call for a vote. • Draw the group together — check for understanding; check for agreement. • Briefly review the process so the public knows what to expect. • Enforce groundrules. • Maintain focus. • Set time per item and communicate to group. • Review desired outcomes of each meeting. sdais ixou jo 2uppops aql 'p pomolloj aq of sdais ogtoads aql •o panlonut oq pinogs oqm suosiad jo sdnor2 `suotluziuvfjo agjL -q ssaoo.zd iiuiuu'eld 0ti?alu.'IS aql jo gljom pu,e osodind aq.L .0 j?uluu-eid aigal-aiS :ssaaoid mou v uo luauzaOIRC IOD 17 Xiunwwoa wilua of dtusuollUj3z nnainaX suoisiaap saxEW ASOZ uatgAk Xq ssaaoid aqj nnatna-d •Z aaleidai sduuiad puu `uoissiW S,ASOZ nnatna-a • i ,&up au4 jo jluq puoaas au4 �ui.Tnp usijdiuoaau o4 adou am 4uum Snowmass Village's Mission Statement "To provide responsible stewardship for this resort community, which ensures its long term economic prosperity and protects and enhances the quality of life for all residents." Zssaaoad ano S3ipom any pinoa MOH. a,6n►ou ssauisnq op any op n og. LSIiu:)i.�o;siq luaaq ssaaoad aq; suq jeq�• :inogv uollnsranuo,7 uadp uV uoileluawalgwi PHU fiUlHueld Maaoad ASOI aul Integrating Community .Forces "A good government implies two things: First, fidelity to the object of government, which is the happiness of the people; second, the knowledge of the means by which that objective can be attained." James Madison "Historically, governing bodies saw municipal governance as a process of acting on the behalf of the electors and setting straightforward directions that became law and policy of the community. As issues become more complex, citizens more sophisticated and vocal, and opinions more divergent, traditional decision-making methods that responded to crises rather than forethought give way to strategic approaches based upon a community's vision and consensus on goals and programs for attaining that vision.. ." Carl Neu � ���. ���r� © ® �� ��� � � � ®._ . � � �_�.�: ��, v� �� .� �., :� ��� _-��_ �, .o �, __� , ��-��� ��_- .�� ;�- Defining Strategic Planning • "The systematic approach to matching strengths with opportunities, resulting in actions framed by a vision for the future.". •"Strategic Planning in government has to do with the selection of governmental goals, before focusing on issues of providing services." • "A disciplined effort to produce fundamental decisions and actions that shape and guide what an organization is, what it does, and why it does it." «•slUoi? 3SOL11 2uin3ig3U .ioj ilauoidde lsaq auj 2uiXjpuapi uogi puv s1B02 uual -i?uol s,uolTeztuu2.io up fuiuiuuol3p jo ssaaoid auZ„ «•saainosaz jo uotluoollu auj 133.11p lllm goigm pu- lu3w3luls uoissiW auj ui pauillno spaau jutm .xa PUB pumul ails qj!M IuUuosuoa 3JU golq n slUo2 Jo Jas U 3n3iLl3L of sumd alum fuol dolanap of ssaaoid luuuoj V„ «•ai?uugo lvuoljuziupf io jo ssaao id 2uioi?uo puv,xalduzoa u s12uiuuuld 31231-4s» • •Juoa 6suoiltug3a L. 2jw G i L MIN W w. 40 `` 4- M-P On 1 0 Zssaao.zd aul .ioj saiquimp puu sdajs aglaads auk aq Ipm jugA, • Zssaaozd ;Dqj ut panjonut aq snplog3 juts .13Mo 111M nnoH . Za3111u woo Ouiuuuid oi2mjis auj uo anzas jilts s.13piou3xuls X31 asOgT Jo g3lgAk . Luogvzlu,e2 zo aul jo s.zapjoualuls kax aul WE OqA . Zpojja i?uiuuvjd ai2awj s 3qi PEai ipm OgAA, • �ssaaoad 2u uuvjd aqj of luowi! woo jo lanaj 3qj S IMIM . UOld 01 fiUIUUgld IO 'SS03OJd oql fiulumsoo sawoo;no pui ssaooid aye Oui3unlun3 PUR Ou1101►uoW 3 alu►.idoiddu su s;uudiotizud ioioas aJuntld pub f%liunwwoo iaylo of uiayj xuil puu s3111nuae Iujuauzuudop loaiip iuy; suuid uopou ;uauza2uuuw og►oadS a s3i231u4s uoiP3ju3uzaldwi puu siuoi? ogtoads -P Iuauzuiano2 Iudimunw ayl 4o3 AIzulnoiuud luauz ms uoisslw d s;uum Aliunwwoo 0yl jugmjo uocsin y -q sans, puu soojo33o fuipuunszapun yiinoaoyZ T pausiidw000u uaaq s,lugm moos) sauzoolno oqj aziotignd -9 ssaooid oql alulipouA •S olmidoidde su ljojja auj ozioijgnd -t 11oga aq, 2uljuuipj000 coj aigisuodsoi si oqm puu panlonui aq pinous oqm ou oCl •E slljau3q jo sionpozd augaQ •Z posn aq of sassaooid aql puu 1! Ouiop Joj suosuai aul augaQ i :sassaao.id jua.jajjlp jo saidmluxa ssaaoid iuiuuujd aii?muns aql PUB s3i231B.4s ss3ssu3Nd '0I ssaaoid uoijujuautajdwi aniIaajja ue dojanaQ •6 uoisin jUuoiIVziuU2.zo antjaaJja uU gsijgv sg •g suvld .zo uvjd aii?ajans aql Idopu puu nnaina-a •L sanssi asaq, aj?uuvw of saiRajnjjs alujnuuo3 '9 uoijuziuvj?jo aqj Oumuj sanssi 3i2omns aqi Xpuapl S sluwgj PUB `s3iliun4ioddo `sassa"vam `sgl2uaus KJ!Iuapi off. sJuauzuonnua JUU13Jui PUB JCUJ3lx3 s,uoiIUziuU2JO aql ssassV t' sanj�n pug uoissiW I�uoi��ziUVRIO AJiJL>ID '£ uo Z sa1uput)uz Iu ssaao.zd 2uiuuvjd 3i231u.4s u uodn 33.2u PUB wgiuI I ssaao.id 21uiuuuid aitalu.iIS daIS-uaZ V Another approach specific to public sector Step 1 . Information gathering and analysis: internal, external and market (changes in constituency needs and perceptions Step 2. Identification of critical issues facing the organization Step 3. Development of a strategic vision statement that sets the future direction for the organization. Step 4. Mission Statement review and revision Step 5. Development of strategic goals Step 6. Formulation of strategies for each goal Step 7. Preparation for operational planning based on the strategic plan (developing annual objectives) pad.'updn pu-n p3joiiuow `paluowoldwi aq of si uetd oii?mu ns ;3ql moq fululuum3a 'L SanijUu 3jJU 31ri.idoidd,e Isow alts uoiluju3mIdwi joj fuiwpS '9 sanilpujajty odblu.Iis i?uidoianaa 's uoll,Bj3pisuo3 olf3p is C)Jlnb3i jugj sanssi Iuoiliio fuiKjijuapi 't spU3.4 I'OIU;DWUO.Ilnua j-eu;Dlxa aininj puu luajzn3 Xq p luasoid safu3jjvgo pug soiliunpoddo oqj fuissossV '£ (jooi3ql suoildoond jo) sassauxeam Put Sgli?ua.Ils juunjui s4uolTuziuui?.IO ;Dq i?uiZKIBUV 'Z UOISSILU'S�uoi�L'ZIUBfio C)ql fuix uVID ' I ssaooid d3lS-UanaS V One final example: 1 . Assessing the external environment 2. Assessing the internal capacity 3: Developing a. vision or mission for the future 4. Developing goals and objectives to reach that future 5. Implementing the plan 6. Measuring progress and revising the plan Organizational Planning Vision Why are we in business? Driving Force Mission Values Climate How do we do business? Culture Strengths Weaknesses Opportunities Where are we now? Threats Competition Constraints Gap Analysis Where do we want to be? Strategies I Tactics How can we get there? Resources How will we know we've arrived? Coordination Budgets Controls Reports Milestones co ynght 01991 by ln.can.Im. RrAsion 01999 by Clark E.Grouch. All R"M4?rM. i am Calendar rA Tie 4lbt Pv Fri Sat 2 3 4 5 6 9 10 11 12 13 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 Strategic Governance: A Community Integration Process by CARL H. NE" Jr. T he future is history in the making, history is the description of actions written by those who forged and implemented community strategies. The problems faced today by many communities will not go away with slogans,wishful thinking,or applying off-the-shelf reme- dies that may have worked In the past. In the face of these challenges, many local officials turned to stra- tegic planning as a practical tool to brin direction to their communities. A Strategic Governance Process Strategy is defined as the science of deploying large-scale military operations,specifically the maneuvering of troops into the optimal po- sition before a battle Strategic planning in government has to do with the selection of governmental goals,before focusing on issues of provid- ing services. Since strategic planning in government as practiced today always in- volves substantial involvement of the community, it is a tool of governance—tiroad exercise of community authority—rather than government,which refers to the specific institutions established to pro- vide services and enforce laws. Strategic planning seeks to replace crisis as the motivator toward com- munity action with a defined blueprint of an attainable and desired community destiny.It focuses attention on specific actions to channel political energies, citizen support, and the use of existing resources. James Madison considered this approach to be the essence of good government: ' "A good government implies two things: First,fidelity to the ob- ject of government,which is the happiness of the people,second, the knowledge of the means by which that objective can bes at- Reprinted with the permission of the National Civic Review 77:2. 4 March/April 1988. t 134 1 NATIONAL CIVIC REVIEW STRATEGIC GOVERNANCE 1 135 tained." regional issues. In 1982, 1 co-authored an article dvocating a strategic governance bilit 3.The or unwillingness n�to deal impatient si with go issues that semi g ina- process consisting of eight elements: y 8 g q a vision of the cotI nity's desired future ty of life and the community's sense of well-being.Simultaneously,they • Developing generally oppose efforts to raise taxes or expand government powers. • Setting community direction and goals for the attainment of that 4.A basic change is occurring in the economics of the local govern- vision. ment enterprise.A greater portion of funds are being absorbed in cap- Anticipating and addressing i ues which may affect the commu- ital investments designed to benefit and enrich the future.The resulting nity's efforts to attain that vision. pressure on operating budgets has led to an expansion of non-tax • Focusing and solving problem facing the community. revenues and searches for new tax sources.This trend is aggravated by • Providing a policy framework for municipal operations for im- the growing unpopularity of property taxes,a resultant overdependence plementation of, goals. on sales taxes, and the "financial gaps" listed in Item 5. • Monitoring staff performance nd evaluation of results achieved. 5. Significant "financial gaps" are occurring from: • Mobilizing community suppo and commitment to its long-term a. The failure of revenue growth to keep pace with service deliv- vision and goals cry costs and capital demands. • Inspiring others to become a rt of the city's future,through in- b. Declining external revenue sources from federal and state volvement in the political process nd community programs. ( governments. This strategic governance pr focused upon the importance of c. Emerging"civic wars"and tax base cannibalism among juris- vision,priorities,and popular su But two new factors are emerging f dictional entities. which,if ignored,can contribute tq a governing body's Progressive[n- I 6. Breakdowns in historical state-city,county-city and city-city rela- ability to master the forces which 'shape the community's future: (1) 11 tionships and agreements without a deliberate,concurrent effort to forge the changing nature of the challenges and issues facing local govern- new arrangements. ments, and the changing role of the governing body both in terms of 7. Issue complexity has forced elected officials into a growing de- function(the WHAT of governance)and the means necessary to carry I pendence upon highly professional staffs and outside experts that, on out that function (the HOW of governance). occasion, intimidate both the elected officials and the general public Changing Nature of Issues with the forcefulness of their convictions. Throughout our society,new,pal ful and complex realities challenge In addition to these new"new realities",numerous other current is- our traditional views of government the decision-making approaches sues and human agendas impinge upon local government organizations frequently used to address issues: all vying for influence and attention.Any one or a combination of these 1. Many issues have become so plex and ambiguous that the"best forces can knock the organization off equilibrium and send it hurling and most acceptable" way to ma ge or resolve them eludes the or- ajmlessly into the future. Similarly, the forces may compete with or ganization. examples are mega-iss es such as air quality, water, eco- seek to overpower each other.The results of the latter would be changes nomical mass trensi[, annexationilanning, and reversing the steady in organizational behavior and decision-making that yield poor results deterioration of infrastructure (especially streets). and inefficient utilization of resources. Also this can create the per- t. Intergovernmental collaboration and public-private cooperation ception that the decision makers are being left behind by events and have become vital components in resolving many issues, especially other players usurping the leadership process. • 65 • 136 / NATIONAL CIVIC REVIEW i STRATEGIC GOVERNANCE / 1e I The Changing Function of Governance DIRECTION The predominant role of the governing body now is to take all these "impinging realities and forces"and shape them into a unified propel- ling force that moves the organization in a planned and purposeful dirco- t ion that responds to a shared vision,recognizes the opportunities and constraints inherent in the operating environment, and establishes a productive local government equilibrium. This concept, as shown in OPERATING Figure 1, establishes the governing body or council (in the case of j VISION ENVIRONMENT municipal governance)as a homeostatic element capable of balancing and integrating all these forces and realities. The end result is the at- tainment of coordinated interactive functions and sufficient common cause to move the community toward its shared vision. Figure I also establishes that the future of a community is more de Metro/Regional Dynamics pendent upon the quality of interaction among the interested players ° Financial than it is on maintaining and exerting their independence. I Issues The WHAT of the governing body's role is to: , CITY • Recognize full the presence.purpose,and potential of each Gties" NI Economies of ecog y p po per "Energies" ORGANIZATION force and new reality. i « Local Govam • Achieve a position of balance among the various forces through Enterprise a process of integration that takes the community in a direction care- i New Alliances ROLE OF fully defined and articulated by the governing body. and Leadership If COUNCIL AS . Personal"map • Maximize the capacity of the community to move in the desired I Coalitions INTEGRATOR and Agenda"/ direction at a pace that satisfies citizen expectations and adequately an Elected Offi meets the challenges it faces. EmerginglChanging i% if Community Issues Team Dynamics Throughout all levels of government, especially local government, the manner in which the governing body and-its administrative staffs I (New &Tenacity) Complexity and Effectiveness perform(the HOW of governance) frequently is more important than Manager and the basic functions(the WHAT)of governance The manner in which Department Heads' the governing body's role is carried out through performance and hu- Agenda/Priorities man behavior has to be examined from two perspectives: 1.The governing body functioning as a productive decision-making entity. 2. The contribution of each member of the governing body to the overall governance process. Democratic institutions cannot function effectively if vital issues and Figure 1: Local Government Equilibrium. questions are avoided or divergent opinions can not become contributing 6 138 / NATIONAL CIVIC REVIEW STRATEGIC GOVERNANCE 1 139 elements to a integrated response Responsive government isn't represent- Recognizing a New Working Partnership ing each constituent's will or viewpoint. It is a process of focused leader- In carrying out the six-step process outlined above, must recognize ship that first defines a vision of what the community can/should be; also that a subtle and pervasive revolution is taking place in this coun- and,secondly,initiates and maintains the actions and popular support try that substantially alters the HOW of local governance in terms of necessary to translate that vision into reality.Governance is more than how elected officials interact with and represent the electorate. responsive representation; it is also responsive representation; it also "From representative government to participatory democracy."John is responsible stewardship that protects the quality and vitality of a com- i Naisbitt, in his best-selling book, Megatrends, clearly identified this munity in a manner that values its future and creates a sense of ex- I key social trend and predicted it would revolutionize local government panding well-being among its citizens. throughout America. It has;and in the process, it has also altered the role of elected governing bodies—especially city councils and county Integrating Community Forces I commissions. They are no longer primarily "representatives" and For this reason,the governing body must recognize,respect,and inte- 1 decision-makers; they have become catalysts for building consensus and grate all the forces impinging upon, and trying to influence, the com- I coalitions for change munhy's direction and priorities. It achieves this integration by: Representative government, in which key decisions affecting com- I. Defining and communicating a vision of what the governing body munities'futures are made solely by elected leaders,is becoming a myth. wants the community to become as a result of its leadership actions. I Legislatures historically were chosen to represent electors; decide cru- This vision literally is a projection of what the community will be 5-10 cial issues;and set the rules, policies, and laws that guided a commu- years in the future as a direct result of the governing body's efforts and I nity. Today, people who are affected by a decision are becoming those of other key groups involved in shaping the community's future. progressively more desirous of involvement in framing the communi- 2. Developing a full awareness and appreciation of the operating and j ty's vision and the decision-making process used to determine actions economic/political environment in which that vision is to be fulfilled ' and programs for the attainment of that vision. by the governing body and community action. ! The new working order represents a partnership between elected and 3. Establishing direction through goals, budgets,and programs that elector that emphasizes education and communication as a forerun- both support attainment of the vision and objectively reflect the reali- I ner to action.The recent emphasis on communication by mayors and ties of the operating environment. councils in many cities is symptomatic of the phenomenon. City-wide policies decision-making guidelines to staffs,boards and ward communication meetings; neighborhood referral processes; 4. licies and decision-maki " and commissions,and advisory groups that focus community energies and"town meeting discussions on critical issues such all housing den- priorities toward achievement of the vision. situ, land use, community goals, sales tax rates, etc, all reflect cons- and of this trend and its effect on vital community decision-making 5.Constant communication with all citizens to articulate the vision, processes. attain community support and citizen involvement, and foster an at- The role of the elected official in this new working partnership with mospherc of trust and confidence in the community's elected leadership 6. Building eadershi coalitions with other the elector y to: g P "power"groups within • Identify and focus issues that need to be addressed. the community or region who, by combining their forces and leader- ' ship agendas make possible or accelerate attainment of key compo- nents of the vision. of electors on relevant issues. • Act as the integrator of divergent opinions and groups. 41 140 r NATIOL CIVIC REVIEW STRATEGICRNANCE / 141 • Develop consensus on the community vision and appropriate goals and consensus-building; forums that take the elected to the elector. and actions to be taken. The Effect of Governing Body Member Behavior • Ratify the emergent consensus through legislative action. The ability of the governing body to function effectively is affected • Implement programs, policies, and projects created by the legis- t directly by the personal behaviors and "mandate/agenda" of each of lative action in reflection of the community consensus. its members. It is logical to expect that each member will have a per- * Maintain support for the vision and implementation of actions sonal agenda of priority items he wishes accomplished. But the legitima- taken. cy of these items will be validated by the degree they support the If the historical representative government process imposes a tied- community's collective vision and goals. Sion upon the electorate prematurely or fails to integrate potentially This necessitates negotiation,compromise,and cooperation to align conflicting elements,it can cause unnecessary confrontations and polar- the community's collective vision and each governing body member's ization. The elector-citizen resorts to initiative, referenda,judicial ac- personal agenda. Behaviors that work toward and sustain consensus, tion, or recall in order to impose his or her will upon the elected body therefore,become a vital part of the governance process. If individual and other groups. If this body persists in forcing the issue,electors can, governing body members resort to behaviors that frustrate collective and do, force elections to modify charters or change the form of decisions based upon a process of majority rule, the governing body government. becomes vulnerable to having the community's direction set by one of This revolution in public decision making literally is turning the tradi- the impinging forces shown in Figure 1. tional governing process upside down. The effect: Governance is a process dependent upon team-oriented actions that 1. It has served to make the governing process more democratic empower the governing body to operate as a cohesive force capable 2.Citizens(electors)have learned to circumvent the legislative process I of defining and achieving direction through combined effort and com- and decide issues directly if need be. mitment. The latter are obtained through informed debate, construc- 3. Elected officials now must focus their energies on sensing vital tive individual behaviors, and respect for the validity of the majority issues, involving and empowering affected parties, formulating informed decision. consensus, and enabling implementation of that consensus. Conclusion 4.The power of the populace to expand its influence in local govern- Historically,governing bodies saw municipal governance as a process ment decision making and to make crucial decisions directly will con- of acting on the behalf of the electors and setting straightforward direc- tinue to increase;and there will be a concurrent decrease in the"power" tions that become the law and policy of the community. As issues be- of representative legislative bodies to act on the electorate's behalf. come more complex,citizen and interest groups more sophisticated and 5. The electorate will display more caution and skepticism over is- vocal, and opinions more divergent, traditional decision-making sues involving major capital commitments and quality of rife.This cau- methods that responded to crises rather than forethought gave way to tion and skepticism will be misread, by some elected officials, as strategic approaches based upon a community's vision and consensus resistance rather than a natural consequence of the new working part- on goals and programs for attaining that vision.This shift also neces- nership. sitated a realignment of the governing body's role. 6. Effectiveness of elected officials will depend on skills that advance Municipal governance now is a process for the integration of poten- the new working partnership in the true interest of the electorate tially conflicting energies into directions and cooperative efforts that 7. Elected officials will spend most of their time outside the council benefit the community's future The role of integrator of these ener- chambers and [ward rooms in forums that stimulate communication gies belongs to the governing body. The quality of its performance in 8 U2 / NAMNAL('ii M REVIEW carrying out this role is determined by its ability to act as an effective Partner with the electorate and by the supportive contribution and be- haviors of each of its members. Carl H. Neu, Jr, is executive vice president of Neu and Company, a local government consuftgnlcy firm In Lakewood, Colorado. He has served as a lecturer at the University of Colorado's Graduate School Of Public Affairs, and as a member of the Lakewood, Colorado City Councg where he chaired the cityir home ruk charter commission.Neu has written extensively on governance issues. I I i 9 I Michigan Townships Association Pagel of 5 • Map your township's future with strategic planning by Rita Hodgitis, District Extension Educator Community and Economic Development Michigan State University In my role as the District Extension Educator for Michigan State University's Extension in the Upper Peninsula, I can't think of a more rewarding, energizing experience than to work with a community as it moves through the strategic planning process. The process provides a forum for townships to get in-depth look at their unity,assess its strengths and weaknesses,analyze alternatives develop and implement an action plan. It has been my privilege to work with townships,villages, cities, counties,organizations and businesses, facilitating strategic planning in every county in the Upper Peninsula. Strategic planning is not a new concept. Businesses,educational institutions and other similar organizations have been using the process for many years. In Michigan, strategic planning caught on as a result of state executive office's approach to lead Michigan out of the economic quagmire of the 1980s. The administration published a report on their strategy entitled, Pathway to Prosperity: Michigan's Future.The administration believed this step-by-step blueprint could be adapted for local governments and encouraged communities to develop locale- specific plans by establishing a grant program to help fund the process. Grants ranging from $5,000 to$15,000, along with technical assistance, were made available through the Michigan Department of Commerce, Community Services Division,to help communities successfully develop strategic plans through the use of consultant's facilitators.The program ended or approximately five years ago, and since that time,many communities have called upon MSU Extension to facilitate their planning efforts.There is no charge for the university's services, and we continue to receive requests from communities who have completed strategic plans for help in facilitating annual updates to the plan. Some communities have undertaken strategic planning as a result of some catastrophic event that served as the catalyst, such as a major plant closing or military base closing. In all cases,there needs to be a champion, someone who is passionate about the value of strategic planning,to hold our feet to the firel Defining Strategic Planning The formal definition of strategic planning is"the systematic approach to matching strengths with opportunities, resulting in actions framed by a vision for the future." I like to define it in the words of the great Canadian philosopher, Wayne Gretzky,who said, "I try to skate where I think the puck will be"What does that mean?Well, he has to know about ice conditions,the competition,the strength of his teammates,their position. He has to know what his special talents are ... his special gifts. He needs to know the trends of those who will handle the puck before he gets to it. And most importantly, knowing all of that, he needs to take his best http://www.mta-townships.org/mtnaug95.htm 12/10/00 Michigan Townships Association Page 2 of 5 shots. Strategic planning is not master planning or long-range planning. It is • usually a six-month entrepreneurial process with an emphasis on innovation and creativity.The community's environment and context are the primary determinant of strategies, choices and direction.There is an emphasis on opinions and tuition,and the process is vision-directed. There is an orientation for change,and decisions are based on looking toward the future with a great deal of openness. Communities need to take a careful look at their past,future trends, strengths,weaknesses, major issues and concerns.They need to explore opportunities based on those strengths and future trends and take their best shots.The strategic plan is the blueprint that lays out,for all to see,the way residents evaluate their community. Why communities use strategic planning Change is going to occur in our communities whether we want it or not! There are three futures:the probable,the possible and the preferred. Communities that take charge of charting their own course through the strategic planning process are more likely to achieve the preferred future. Strategic plans provide a blueprint to improve performance, stimulate forward thinking,clarify future direction, solve major problems, survive-even flourish-with less, build teamwork and expertise and influence rather than be influenced. Strategic planning emphasizes a vision of the future and empowerment of the whole community. It is an • analysis of realistic approaches and is very action-oriented.As a result, it helps eliminate apathy by jarring people out of their"comfort zone." In one community, someone asked the question,"I'm sure this process has been done in many places, and there are lots of successful communities.Why can't we just look at what they did?"There are lessons to be learned from other successful communities, however, no two communities are exactly alike. Each community has its own special character and competitive advantage, and we just have to be patient and chip away at it through strategic planning focus groups to pull out the golden nuggets. Getting started Step 1-The very first step is making the decision to commit time and energy to undertake this process, because it requires a lead organization to sponsor the process.The lead organization should be in a position of strength and influence. The township board,the city commission or the county board are typical sponsoring organizations. However, in one township where we conducted the process,the sponsoring organization was the local economic development organization and, in another,the township planning commission. In each case, they had the full support of the township. Step 2- Following the decision to proceed with the strategic planning . process,a facilitator needs to be secured. There are regional planning organizations and private consultants who are capable of facilitating the http://www.mta-townships.org/mtnaug95.htm 12/10/00 Michigan Townships Association Page 3 of 5 process. MSU Extension provides facilitators who can guide your community through this process at no charge. Contact your local county • MSU Extension Office for information on a facilitator in your area. Step 3-The next step is to name a chairperson. The chairperson needs to shepherd the process from beginning to end.This person needs to have good organizational skills and must be viewed by the community as a neutral party.The chairperson cannot have an agenda of his or her own.The chairperson should have the respect of the whole community, as it is critical to involve and engage the total community. Step 4-Once the chairperson is recruited, a planning committee or task force is named. Every member of the planning committee is designated as a oo-chair for the planning process.The planning committee is usually comprised of individuals representing the sectors of the community the board wishes to focus on, with two representatives from each sector.Typically,the community will include areas such as: retail business/professions/industry,tourism/recreation, arts/culture, forestry/agriculture, transportation, education/youth, governance and housing. In many cases,the category"community-at-large"was added so residents who don't participate in the other areas have a forum for being heard.The selected categories become focus groups for the planning process. Once these co-chairs are recruited, it's important to provide them with a timetable that spells out what they are committing to.The strategic planning process usually takes six months and oo-chairs are involved in the following steps: • A one-hour meeting to become informed about the process; • A two-week recruitment period follows, where each of the co- chairs is responsible for recruiting 15 community residents with an interest or expertise in that co-chair's particular area to form a focus group; • A three-hour session with focus group members; • A one-day retreat to develop the vision for the community and goals and strategies to accomplish that vision, and A town meeting, at which time the strategic plan is shared with the whole community and community committees are formed to carry out the strategic agenda. Putting your ideas into action So,what do all of these meetings lead to?The co-chairs from each focus group,along with their 15 recruited residents, dream up their ideal community and then narrow those dreams to realistic pursuits for the • township. Each focus group will provide information to the planning committee on goals to achieve for their represented area of the township (such as business, recreation or transportation). When it is time for the one-day retreat to develop the community s vision,the co-chairs will http://www.mta-tow-nships.org/mtnaug95.htm 12/10/00 Michigan Townships Association Page 4 of 5 develop a vision statement for the township based on the input from their focus group sessions.This statement is the basis for a township's strategic plan and should provide a road map for the township's future . direction. The vision statement should generate excitement about the township's future direction, instill confidence and trust in the leadership of the community and offer criteria for success. It will be an assertion of what you and your neighbors want to create and what is worth going for. The vision statement is usually a little cloudy and grand, but simple. It is a living document that can be expanded. It is a starting place and is based on two deep human needs: quality and dedication. The City of Norway was ready to unveil its strategic plan to the community,they made it an exciting and inspiring event for residents. They put a sign out in front of city hall with balloons and bows tied on the railings, baked a table full of refreshments, put out fresh flowers and a podium and had a shield decorated with a Viking image to unveil as the new symbol that would embellish all public buildings and lamp posts. When it came time for residents to sign up to serve on the implementation teams, there was a rush for the tablesl A word about surveys Often, a precursor to the strategic planning process is a community attitudinal survey. There are several departments at MSU available to assist communities develop a survey instrument through the MSU Extension. Surveys can measure a large number of township residents' issues, concerns, desired services and willingness to pay for additional facilities and services. However, before deciding to go through the expense of a community survey, it is very important to set clear objectives for why you are conducting the survey and how you are going to use the results. In Republic Township (Marquette County),we developed a survey instrument that went to every resident. The committee members used a model provided by MSU as a guideline and then tailored the content of the survey to their township.The Republic Lions Club paid for printing of the survey, and the township included a raffle drawing ticket for a $50 savings bond as an incentive for residents to respond to the questionnaire.They also used the survey to introduce the community to the planning project that was underway and alert them to future public meetings to share the results of that planning. The survey asked residents about school preferences, quality of existing township services, perception of the township, safety concerns, quality of life issues, recreation priorities and funding preferences for identified priorities, economic development issues and environmental issues. High school students assisted with the tabulation and consolidated the data in their computer class. The results of the survey were then used as a basis for selecting the areas to focus on in the planning process. The survey process took about six months,which is a typical time period. It • can take longer, however, if the township develops its own, unique survey. http://www.mta-townships.org/mtnaug95.htm 12/10/00 Michigan Townships Association Page 5 of 5 • Strategic planning puts you in control of your township's future The benefits of the strategic planning process are many. It challenges leaders to address important issues, provides communication channels, builds team and community participation, provides management and decision-making tools and empowers community residents to take charge of their future-with everyone reading from the same blueprint. Its difficult to provide directions if you don't know where you're going. So, the question is, "What kind of community does your township want to be, and how do you get there?"The strategic planning process is an on- going process that assesses what your community has, looks at strengths and weaknesses,threats and opportunities,frames a vision that sets the direction for the future and develops goals and strategies to move in the preferred direction. It describes who will do what, by when and asks often, "How are we doing?" Successful communities have been able to sustain action over time by forming action groups around each agreed upon priority; re-visiting, re- convening and reporting on progress; celebrating successes, and enlarging the circle by continuing to involve additional residents. Developing your township's desired future will not happen overnight, but it will happen over time. It will depend on committed leadership, broad- based participation, a shared vision of the future, realistic goals, a plan • of action and effective communication. In the words of Margaret Mead, "Never doubt that a small group of thoughtful, committed citizens can change the world; indeed, it's the only thing that ever has." • http://www.mts-townships.org/mtnaug95.htm 12/10100 Future vision Leadership and strategic thinking: r fundamentals to secure your community's future COMMUNITY (insert the name of your community) FESTIVAL 2000 — What will you celebrate or lament on this occasion? The answer will be determined by you, the elected and appointed municipal officials in office during the '90s, and the visions, imagination, commitment, and boldness you demonstrate as leaders and thinkers. by Carl H.Neu Jr. he challenges and oppor- national mood of disillusionment state governments and other juris- tunities facing all local gov- with government which is seen as dictions such as counties and ernments, especially mu- ignoring the concerns of average schools over tax dollars,unfunded • nicipalities,are growing in number citizens.A majority of U.S.cities are mandates,legislation restructuring and complexity. Concurrently, experiencing chronic fiscal pro- revenue generation, etc. Problems people(our citizens)are tuning out blems exacerbated by flat(or declin- accelerate; popular support and or rebelling through actions such as ing) economic activity. Munici- resources decline. tax and term limitations.There is a palities are in intense conflict with The only way out of this thicket of conflict and confusion is strong direction and decisive action based upon sound thinking, perspective, and a full appreciation of options and constraints which must be managed or overcome as we navi- gate our communities through the'90s into the u, 21st Century. In a way,governance during the'90s is an"ice- berg" phenomenon. What we see"above the water line" are all the challenges and prob lems, but the real sub- stance of the matter is that which lies "below • the water line": leader- "' ship and strategic-think- Colorado MunicipalitiesINovember-Decemberl991 ing processes profound and effec- Reasons for strategic appreciable growth in service levels tive enough to shape the destiny of thinking/planning and capital expenditure demands. • our communities as if they were Communities are turning to Cities can no longer fund their legacies responsibly and lovingly strategic thinking and planning for futures relying on past and present crafted by public officials and com- one or more of the following revenue generation approaches. munity leaders. reasons: Strategic thinking and planning As Thomas A. Cronin, a profes- 1. To shape a better future enables communities to target selec- sor at Colorado College,states: through anticipatory management. tively revenue expansion opportu- 'We do know that leadership Communities buffeted by the forces reties achievable through economic - is all about making things happen of change can see their energies and development/redevelopment, fee- that might not otherwise happen based income,joint venturing,and and preventing things from hap- civic entrepreneurism (identifying pening that ordinarily might hap- In today's rapidly and serving precisely defined pen. It is the process of getting changing communities, market segments who desire or will people to work together to for tailored services). achieve common goals and problem solving is no pay aspirations. Leadership is a Cities can reorient heir thinking P p longer sufficient. process that helps people trans- toward being consumer-oriented form intentions into positive ac- Problem anticipation service delivery organizations tion,visions into reality." and prevention, capable of defining and meeting The only means by which leader- combined with assertive precise service demands which based be- achieved ed is through h commitment; to Tax dollars then can ship described Cronin can be action for the come the funding mechanism for accept accountability for shaping attainment of specific "base line" essential services. Too the future of a community, com- goals, absolutely iblutel many communities can't expand bined with a process capable of ex- y their imaginations enough to break panding one's mental horizons and essential. out of the tax-limited world that understanding to a level essential to demands they do"more with less." • achieving ffective leadership. he Ultimately, this mentality leads to process i�strate c thinking or plan- resources sapped by jumping from the management of scarcity rather P g� g P one crisis to another.Strategic think- than focus on what can be done ning. I prefer because focus on strategic ing/planning seeks to replace crisis to achieve abundance—generating titular way of seem and interacting with forethought and a blueprint of and combining all of a community's y g g desired long-term outcomes that resources commensurate with with information, issues, events, provide the rationale for current po- needs and demands. and people while"planning"seems licy, budgeting, and service deliv- 3.Restore a sense of community. to direct attention toward docu- ery/capital expenditures priorities. American cities and towns have menuand specific terms that have ct ht on In the rapidly changing conditions atomized into diverse players and are: Ingo terms that based strategic most communities are experien- interests capable of nullifying each planning or (2) citizen-based community-based sir com- cing, problem solving is no longer other and any communitywide muni problem solving. In either sufficient. , combineanticipation th ssnd agenda. This trend has been rein- case, he objective is to expand a prevention, combined with riser- forced by a growing sense of futility community's—and sand its o ernin tive action for the attainment of spe- many Americans have about their body's—ability to address its future cific goals,is absolutely essential. ability to influence the direction of in the most effective and 2. To expand resource any "political institution" whether knowledgeable ways possible. availability.Less than one-fourth of it be the nation,state,or their imme- all U.S. metropolitan areas are ex- diate local governments. So they periencing appreciable growth drop out and concentrate heir ener- Carl H.Neu Jr.is president of Neu and (more than two percent annually). gies to narrowly defined areas of Company,a consultation company for Over 71.5 percent of all cities are interest—neighborhood,job,ethnic professional development services. He now less capable of meeting heir group,or self. has been a consultant since 1971 and financial needs than they were even Research data indicate low voter has served as a lecturer on policy forma- a few years ago, and citizens are turnout is not due to apathy;rather, tion and strategic leadership for the unsympathetic to appreciable tax citizens see little capacity to influence University of Colorado Graduate increases. The simple truth of the government.Yet,Americans seek in- School of Public Affairs. This article is '9os is that most cities can expect volvement and empowerment, as copyrighted:Carl H.Neu,Jr,1991. flat-line revenue performance with (continued on page 8) ColoradoMunicipatities/November-December1991 7 evidenced in the work place and rich their economic development even the Naisbitt megatrend: parti- Citizen-based strategic programs and combat drug and • cipatory democracy.In the extreme planning is a deliberate youth-related crime.Schools need a case,this trend can erupt into a bal- p g strong economic base capable of en- lot-box rebellion as it has in the Calf- effort to reestablish a suring jobs for graduates and fund- fornia"mega-referenda"elections. sense (and practice) of ing for programs. Citizen-based strategic planning, community that Also, institutional roles change. such as Canon City's Vision process Schools are becoming the focal point (see pages 11-14) or Loveland's assertively encourages for delivery of county and city- Agenda for the '90s, is a deliberate all citizens to become sponsored social,child-care,public effort to reestablish a sense (and health, counseling and nutrition practice) of community that asser- irivOlv¢d in setting the programs needed by the various tively encourages all citizens to be- directions their family unit structures in today's come involved in setting the direc- community is taking. complex society.Schools no longer tions theircommunity is taking.The serve to educate only; they are the twin mechanisms of collaborative location where service delivery for problem identification/solving and ly most effective use of public dol- many local-government programs consensus-based decision making lars. Citizens see "community" as occurs on a personal basis,irrespec- are used to achieve strategic think- the space in which they carry out tive of whichjurisdiction is account- ing,a renewed sense of community their daily existence, and they ex- able for the service. based upon direct citizen involve- pect all those jurisdictions of legal Public-private partnerships and ment, and the dispersing of power and political convenience "to get privatization are popular and high- back to the grass-roots individual their acts together" in a way that ly effective mechanisms for bring- citizen level and away from so- makes their community, and their ing a community's total resources to called interest groups and power daily lives,work in a user-friendly, bear in addressing community brokers. hassle-freeway. needs.Strategic thinking and plan- Governance is effective only when it To do this,a precise definition of ning provide the comprehension reflects popular support underpinned mission, roles, and relationships is and perspective essential toproduc- • by a sense of community. required to permit each entity to tive intergovernmental and public- 4. Sorting out relationship is- function in a manner that contri- private relationships that yield sues with other governmental and butes to an array of essential gov- beneficial outcomes for a com- private-sector agencies.Just as"no ernmental services without duplica- munity and its citizens. man is an island,"so is no local gov- tion or waste.Just as the individual 5. Team-building for council ernment entity.Cities,towns,coun- players on a well-organized sports and staff.Some councils and staffs ties, school districts, special dis- team operate in perfect coordina- use strategicplanning as a means for tricts,and state government are in- tion and harmony,so too must local improving teamwork by clarifying tertwined and interdependent in government jurisdictions. mission, roles, working relation- ways that now need to be sorted out The era of jurisdictional ex- ships,and specific communications and reestablished to reflect the clusivity and redundancy is over. and decision-making approaches to realities of the'90s and the absolute- Cities depend upon schools to en- be followed in defining and-im- plementing community goals and NISservice delivery levels/plans.Such efforts clarify purpose and focus the energies and priorities of council and staff toward specific outcomes to be achieved for the benefit of the MUNIS® Software: community through coordinated !Broadway Built exclusive) to handle government accounting action,hard work,and responsible eets the needs of large and small organizations behavior rather than"touchy-feely allations on micros, minis and mainframes exercises and exploring inner motivations. W. Neu & Company, P.C., CAM tand your management needs. We install and Approaches to strategic MUNIS® program. Call us at: thinking/planning There are three basic approaches 6Suite 400 Denver,CO 303 595 4899 to strategic thinking and planning, 8 Colorado Municipatities/November-Deeember1991 �s each of which can be effective if ap- community-based projects and un- plied appropriately. dertakings.Usually,this process in- A Commitment to 1. Council-directed strategic volves: strategic thinking/ planning.This approach is the most is A high degree of community planning is an invitation frequently used because it is effl- education as to major issues facing to the communi cient and supports the concept of the community and the possible op- till representative government—i.e., tions open to it. COUnC1I7 and staff t0 council accurately reflects and is • Conducting numerous forums engage in an active knowledgeable about the views and permitting the participation of loration and opinions of the community.The city diverse groups and individuals so a council establishes its collective vi- that their views can be presented anticipation of the future sion for the future of the commu- and appreciated. and the challenges to be ni develops appropriate strate 'c • Careful staffing of options for plans and goals i spport of that their presentation back to the com- addressed. vision, and provides staff with im- munity for evaluation and refine- plementation guidelines and refine- ment. budgetary policies to fulfill the plan. • Consultation services to • Establishing the means to Typically, this type of strategic facilitate communitywide com- maintain communitywide en- thinking and planning takes place at munications and decision-making thusiasm in support of the vision a "weekend retreat," usually efforts. and implementation plans to facilitated by a consultant. • Facilitation to ensure that all achieve that vision. voices in the community have an • Establishing constructive 2. Council-staff directed equal opportunity to present their liaison and collaboration with other strategic planning. This process is views, to be respected and ap- governmental and private entities similar to the one outlined above preciated, and to have a role in whose participation in the im- but places a greater emphasis on defining the content of the final plementation of the strategic plan is staff participation and council-staff community vision and supporting essential. • interaction during the visioning and strategic plans. goal-setting process.It provides an • Extensive communications so Specific steps for strategic opportunity for council-staff that all parties involved are thinking/planning dialogues and sharing of opinions thoroughly knowledgeable as to There are numerous ways to in- not readily available in regular what issues are being considered, itiate and conduct a strategic think- council meetings or work sessions. the options available for addressing ing/planning(visioning)process,A Frequently, councils using this ap- these issues, and all other factors checklist of common steps includes: proach take e coe proposed ublic strategic that must be taken into considera- 1.Define the reasons for doing it plan to tion for developing a highly produc- and the processes to be used. A input and recommendations. tive vision and plan that has a realis- commitment to strategic think- 3. Community-wide informed- tic probability of achievement. (continued on page 10) consent strategic planning.This ap- proach brings together various leadership elements of the com- munity to frame a common vision for the community and a strategic INC plan that will guide the effortsof the Engineering Consultants community toward the attainment of that vision. Fort Collins Colorado Springs Vail Longmont This process has been highly (303)226-4955 (719)5984107 (303)4766340 (303)678-9584 popular in those instances where a concerted effort is made to involve all elements of the community, no • Water Resources/Augmentation Plans matter how divergent they may be. • Water Supply and Treatment The effort can take as long as a year • Wastewater Collection and Treatment or more to accomplish,but it does • Drainage and Flood Control offer citizens an opportunity to par- • Highways and Bridges ticipate directly in defining the • Utility Mapping community's future and goals for Colorado Municipalities/November-December1991 9 ing/planning is an invitation to the low-up staff work to prepare vision, community, council, and staff to mission, and goal statements that Extensive publicity is • engage in an active exploration and are communicated throughout the required to keep the com- anticipation of the future and the community as the council's goals challenges to be addressed.It invol- and priorities. A communitywide mun!ty full y informed ves developing consensus and the effort requires extensive publicity about the progress being discipline to implement that con- and on-going communications that made toward a sensus without falling to the keep the community fully informed community vision and temptations of short-term political about the process and progress expediency and pressures from being made toward a community implementation plans. specific groups or individuals with vision and implementation plans. agendas inconsistent with the com- 5.Facilitate the process.Strategic to facilitate a communitywide effort munitywide consensus. thinking/planning is an activity and sharing of resources to achieve There needs to be a clear under- dissimilar from normal council- the vision?These two concepts are standing of why a strategic think- staff-community activities which distinctly different. ing/planning effort is being under- tend to focus on specific agendas, • Specific goals and implemen- taken and the specific approaches to problems, and other short-term tation strategies for achieving the be followed. routine matters.When a group is to vision. These goals and strategies 2. Define products or benefits. engage in a strategic thinking/plan- provide leadership guidelines for There should be a clear expectation ning effort, it needs to reorient its developing operating plans, pro- among all parties involved as to perspectives and conduct dialogues grams, budgets, etc., so that the what the strategic thinking/plan- that yield enlightenment and in- community's efforts and resources ning effort should produce for the formed consensus rather than legis- are focused (rather than dispersed) community. Possible products in- lative/administrative "win-lose" on achieving the vision. clude a vision statement,a mission decisions.A facilitator can guide the • Specific management action statement, specific goals, and the process, enhance communications, plans (MAPS) that direct de- strategies and operational plans for defuse conflicts,and guide problem partmental activities and link them attaining those goals. solving and decision making. to other community and private sec- 3. Define who should be In- 6.Publicize the outcomes. Any for participants as appropriate for volved and who is responsible for strategic thinking/planning effort fulfilling the vision. coordinating the effort. The three should yield,at a minimum: • Monitoring and evaluating strategic planning approaches • A thorough understanding of the process and outcomes.Tracking presented earlier involve different forces and issues affecting the com- results is essential to ensure the ef- groups of participants ranging from munity and its future—factors and fort is working and course correc- councilmembers to the entire com- issues to which the genius and tions are made when warranted or munity.Also,the specific roles to be power of leadership must be ap- named• given to participants should be plied lest the community's future be Good futures don't just happen. clarified so arguments don't arise. left to happenstance. This activity They are the result of leaders who Some participants may have to be frequently is referred to as an "en- define desired futures and invent part of the consensus decisions; vironmental scan," but it is much the ways to make them become others may be in advisory or more. It permits identification of reality by involving people, setting facilitator roles. those "things that might not or- definite goals and priorities, and Coordination is essential, espe- dinarily happen"and "those things creating the backbone to achieve cially for communitywide efforts.In which might happen (but may not what the wishbone wants. When such cases,a steering committee to be desired outcomes)"referenced in Celebration 2000 occurs,many com- oversee and orchestrate the process Cronin's definition of leadership. munities will celebrate tangible out. is recommended. • A vision of what the com- comes and achievements. But the 4. Publicize the effort as ap- munity wants to be through con- real cause for celebration should be propriate. A communitywide scious decision making and dedi- the spirit,will,and foresight certain visioning process usually needs a cated effort. people demonstrated when they theme such as "Vision 2000 and • A mission statement par- stepped up to the challenge of Beyond," a definite schedule of ticularly for the municipal govern- leadership and made your Com- . events and meetings,a budget,etc. ment. What is the purpose of the munity 2000 happen through A council-directed process may in- municipal government—to provide strategic thinking, planning, and volve a weekend retreat with fol- cervices and enforce regulations or hard work. ❑ to ColoradoMunicipatities/November-December1991 Strategic Planning: Chapter 2 Pagel of 9 • Strategic Planning and Needs Assessment Chapter 2: Strategic Planning What Is It? Strategic planning is a process to provide direction and meaning to day-to-day activities. It examines an organization's values, current status, and environment, and relates those factors to the organization's desired future state, usually expressed in five-to ten-year time periods. The organization may be a program, school, school district,public or private agency, or any other institution that wishes to control its future. If the organization existed in a static environment in which no change was necessary or desired,there would be no need for strategic plan ning. But, our environment is changing -demographically, • economically, and culturally. Thus, strategic planning is both a reaction to, and a tool for adapting to, those changes and creating an organization's future within the context of change. Goff describes strategic planning as the process of responding to the results of an institution's as sessment of its external and internal environments. Its purpose is to help the institution capitalize on its strengths while minimizing its weaknesses, and to take advantage of opportunities and defend against threats. Tregoe's definition begins with a vision of what the organization should be. In his view, strategic planning provides a framework that guides choices; the choices in turn will determine the future nature and direction of an organization. W Pfeiffer and others also begin with envisioning an organization's future. Strategic plan ning to them is the process of developing the procedures and operations necessary to achieve that future. They differentiate between long-term planning, which is reactive, and strategic planning,which allows an organization to create its future. (2) Barry defines strategic planning for nonprofit organizations as - finding the best future for your organization and the best path to reach that destination. (3) McCune describes strategic planning as a process for organizational renewal and transformation. She identifies another difference between long-range plan ning and strategic planning: in long-range plan ning, goals and projections are based on the assumption of organizational stability,while in strategic plan ning, the role of the organization is examined within the context of its environment. Strategic planning provides the means for an organization to adapt its ser vie es and activities to meet changing needs in its environment. It provides a framework not only for the improvement of programs but also + for the restructuring of programs, management, and collaborations, and for evaluation of the organization's progress in these efforts. (44) Why Do It? http://erie-web.tc.columbia.edu/admin_finance/strategic/ch2.html 12/10/00 Strategic Planning: Chapter 2 Page 2 of 9 In the simplest terms,a strategic plan can help improve performance. School staff-or members of any organization - can become so bogged down in routine functioning and daily challenges, they can lose sight of the organization's purpose. A strategic plan can not only refocus members' sense of • purpose,but can stimulate future-oriented thinking based on a shared sense of mission. Collaboration between members of an organization is more effective when everyone is working with in the same set of assumptions and toward the same goals. Vision, planning, and goal-setting have consistently proven to be positive influences on organizational performance.(5)Especially in times of limited financial resources, a strategic plan's specification of purpose, goals, and objectives can be used as a prioritization system for allocating personnel and funds. It can help an organization think through the difficult choices necessitated by restricted budgets. Budgetary limitations are not the only chal lenge that organizations must meet. Today's educational system must cope with changes in demographics, family patterns, and workplace requirements. Many of these changes provide interrelated challenges to the system. Viewing them as a web of problems may be overwhelming; putting them in the perspective of an organized strategic plan allows the organization to deal with them in a coordinated way, addressing pieces of the problems as part of a progression toward a total solution. This allows the organization to influence its environment and take control of its future,rather than reacting to it. Strategic planning is not an appropriate activity for every organization at all times. When an organization is in crisis,when its very existence is in question, the crisis must be addressed before any other activity is initiated. Strategic planning makes no sense when the organization's future is in doubt. Some groups of people, or inspired leaders, have a natural ability to respond quickly and effectively to new challenges and opportunities,making strategic planning superfluous. However, for most • organizations and most organization members, strategic planning provides a powerful framework and impetus for action. Developing a strategic plan can be expensive, especially in terms of personnel time and energy. This cost must be considered in relation to the expected benefits. For some organizations or units within an organization, strategic planning is a burden imposed by a higher authority- a funding source or an umbrella organization. If there is no internal commitment to the plan, and no intent to implement it, strategic planning is a waste of time and energy. In sum, strategic planning is for those who are will ing to be honest, who want to focus on revitalization, and who are committed to influencing and creating their future. What Does It Involve? As a process, strategic planning involves an orderly sequence of activities, each vital to the success of the whole. Strategic planning activities include: 1. Assessing the external environment. 2. Assessing internal capacity. 3. Developing a vision or mission for the future. 4. Developing goals and objectives to reach that future. 5. Implementing the plan. 6. Measuring progress and revising the plan. The planning process depends on a formal information system. The external and internal assessments . provide a reality base on which to build future plans. The vision or mission identifies the organization's purpose and its desired future state. http://eric-web.tc.columbia.edu/admin_finance/strategic/ch2.html 12/10/00 Strategic Planning: Chapter 2 Page 3 of 9 • The process of internal assessment and future visioning may uncover, with in an organization, differing views of its purpose, its current level of effective ness, and its potential for the future. Thus, consensus building may be an important element of these phases. Once consensus is reached,the practical steps necessary for reaching that future state over a given period of time- the goals and objectives of the organization= can be identified and actualized in the implementation phase. Evaluation and revision occur at the end of the planning cycle, but may occur at any stage with in the planning process. In effect, it is both a final step and an intermediate step or continuous process. Just as sudden changes in the environment- for example, changes in funding, competition, or demographics - may impel changes in the organization's vision, a reconceptualization of the organization's mission may require reexamination of its external environment and internal capacity. How Is It Done? The most basic question to ask before starting a strategic planning process is whether to develop a strategic plan. Unless this question is answered honestly in terms of the organization's current status and the attitudes of its members and leadership, the planning process may be doomed before it begins. The question of whether or not to develop a strategic plan may be based on answers to the following questions: • What purpose will the strategic plan serve? • How will it help the organization? • . Will it be better than the system we use now? • Are those in leadership positions committed to stra to gic planning? • How much will it cost in terms of time and personnel effort? • Who should be on the planning team? • Does anyone have experience with strategic planning? • Do we think we can do it? • Are we willing to make decisions about our future? • Will we actually use the plan? • What overriding crises would inhibit our ability to plan? If the answers to these questions support the de vel op ment of a strategic plan,then the process can be initiated. Strategic planning can be accomplished in as little as four to six two-hour planning ses sions. (6) It is important to stay focused on the critical issues. The planning design frequently calls for a small team to direct efforts and develop the written document,but input should come from the entire organization so that each member has a stake in the process and outcome. Team members should work well together,be committed to the process, and be respected by their peers. Whoever leads the planning team should understand planning well enough to help others through the process. If this is a first-time experience for everyone involved, out side expertise may be useful to provide an initial orientation or a jump start. The organization's leader need not be a formal member of the planning team, but leadership and support for the planning process, including implementation, should be clear from the outset. Barry offers six tips he gathered from experts across the nation: http://eric-web.to.columbia.edu/admin_finance/strategic/ch2.html 12/10/00 Strategic Planning: Chapter 2 Page 4 of 9 • Strategic planning is a way of thinking, an on going process. The plan is never perfect or complete. • • Keep the planning simple and man age able. • Involve the organization's leaders. Don't give away the planning task to support staff or consultants. • Emphasize creativity, innovation, and imagination rather than blindly following a set of planning steps. • Don't adopt strategies without careful consideration of how they will be implemented. • Strategic planning is not an end in itself, it is a tool to help the organization accomplish its mission. With these tips in mind, a planning team can work through the steps of the planning process, adapting and adjusting the procedure to fit the organization and its members. Step 1. Assessing the external environment. There are many ways to assess the external environment. Trend analysis is a method of examining changes over time in order to anticipate future conditions and events. Trends within the economic, demographic, social, and political arenas, sometimes referred to as the macro-environment, can also be examined in relation to each other to identify patterns that may have implications for the organization's future. Competition is a factor to be examined in the external environment. Some members of social service and educational organizations think they are outside of the competitive market place,but that is not the case. The competition for limited funding is fairly clear. The turf problems frequently . encountered between agencies are, at heart, competition for clients. An important factor for community educators is assessing current needs and projecting future needs for the community as a whole and for the various constituencies that may be served by the community education program both now and in the future. As Burbach and Decker point out, assessing the external environment increases the practitioner's capacity for reaching, identifying, assessing community problems and needs and thereby enables him to develop more responsive programs. (7 Opinions vary on the optimal order of activities in the planning process. Some experts believe that environmental scanning, or situation analysis, must precede visioning and goal setting, while others feel that an assessment of needs is impossible until goals are set.(! This publication promotes the view that an as sess ment of the current status is necessary to formulate a vision for the future. No one organization alone can fulfill all needs within a community. But recognition of myriad needs can help an organization focus its mission on specific needs, defining the areas within which it can function, and establishing its goals and objectives with in those parameters. The methods for gathering information about the external environment include surveys, interviews, the key informant technique, community forums,the charette process, and delphi technique (see Chapter 3 for descriptions). Typical questions posed during an external as sess ment include: • What is my community like today? • Are the demographics changing?How? • • What are the implications of today's trends for the future of my community? • What other agencies currently serve my community? http://eric-web.te.columbia.edu/admin_finance/strategic/ch2.html 12/10/00 Strategic Planning: Chapter 2 Page 5 of 9 • What services do they provide? To whom? • What needs exist today? • What needs are anticipated for tomorrow? Step 2. Assessing internal capacity. Every organization is an entity unto itself. If it is an effective organization, its identity embodies an organizational purpose,direction, and unifying force. A problem for some organizations, especially nonprofits, is that members can become so immersed in the day-to-day functioning of programs that the programs become ends unto them selves, disconnected from the purpose or impact they were designed to achieve. In practice, especially within large or long-existing organizations, members may also have differing views or perspectives and may, in fact,be operating within different paradigms. A factor identified as a source of strength by one may be identified as a weakness by another; one person's crit cal issue for the future may seem an extraneous matter to another; an organization's stated purpose- what it can and ought to do- may seem clear and viable to some members, and outmoded or irrelevant to others. It is not uncommon for an organization, especially a non profit organization, to lose their sense of mission and purpose. Yet, as Pfeiffer and others point out, the values of the organization, and especially of its managers,have a direct impact on what can and can not be accomplished. These values are the centerpiece of the organization's culture,not only defining what can be done,but also providing the milieu that affects the behavior of individual members. Reaching organizational consensus on identified strengths, weaknesses, purpose, and capacity is one of the greatest challenges of internal analysis. Questions emerging during an in ter nal assessment include: . What purpose do we serve? . What do we believe in? . What are our strengths and weaknesses? . What resources are available to us? . What internal issues must be addressed? . How do we interact with the community? . Whom do we serve? . What needs do we meet? Step 3. Developing a vision or mission for the future. Combining current information and future projections about the external environment with a renewed organizational self-concept provides a basis for developing a vision of what the organization will be like in the future. There are several approaches to developing this vision. The desired future state can be expressed philosophically in terms of the belief system capable of moving the organization into the future, and practically in terms of what the organization wishes to accomplish, in the future. For small to medium-sized non profit agencies, Barry recommends either a scenario or critical issues approach to future visioning. In the scenario approach, several alternative images of what the organization will be like in the future are developed and rated in terms of their fit with the organization's mission,the community needs, and financial feasibility. These are discussed with members of the organization and the best fit is • selected,tested, and refined. The critical issues approach focuses on the challenges facing the organization. Critical is sues are identified and prioritized, with possible solutions listed for each. http://eric-web.te.columbia.edu/admin_finance/strategic/ch2.html 12/10/00 Strategic Planning: Chapter 2 Page 6 of 9 As a best solution to each issue is identified, the organization's strategy for the future becomes clear. Community educators Ellis and others take a different approach, focusing on the community rather than the organization in developing a vision for the future. They define visioning as a future-focused, proactive process that can empower communities to take charge and creatively shape their own futures, rather than being caught off-guard by future changes. U They identify four major tasks to be accomplished during the visioning process: • developing shared purposes for the community; • detailing a broad-based vision for the future; • organizing the vision into themes; • and developing a broader vision for each theme. This latter task provides the goals and objectives that then become the guidelines for community education activities. Future visioning need not be limited to a community or organization as a whole; individual units or programs within an organization can also develop vision statements that are specific to their activities and future direction. Naturally,these must be compatible with and help support the overall organizational mission statement. A consensus-based mission statement can serve an additional,practical purpose in man age ment planning; it can act as a guiding force, or priority standard, for allocating limited resources. Priority items for funding are those that move the organization toward its stated mission. Developing a sense of the future involves applying the previous two sets of questions to the future: • How will our organization look in the fu ture? . • What will be our guiding philosophy and mission? • What will our community be like five or ten years from now? • What role will we play? • What needs will exit? • What resources will be available? • Who will we serve? • How will we serve them? Step 4. Developing goals and objectives to reach that future. Who,what,when, where, why, and how is not only the mantra of journalists, it is also the guideline for developing goals and objectives. And, the future vision of the organization-the why- is the guiding force in their development. Specific goals - what is to be achieved- are identified to help move the organization from its current state to the desired future state. Goals may be sequential over, for example, a five-year strategic plan, with a completion date specified for each goal. The objectives maybe considered action steps,the accumulation of achievements necessary for attaining each goal. Objectives answer the questions of who is responsible,what specifically will be done, how and where it will be done, and when it will be completed. The goals and objectives must at all times convey a sense of movement toward the desired end state. Pfeiffer and others refer to this stage as strategic business modeling. For them, the strategic business model consists of two parts: the strategic profile,which states the • business' goals in quantified terms; and clear statements saying how each goal will be achieved. As with goals and objectives, strategic business modeling must be compatible with the organization's http://eric-web.tc.columbia.edu/admin_finance/strategic/ch2.html 12/10/00 Strategic Planning: Chapter 2 Page 7 of 9 vision for the future. This is the essence of the full strategic plan. As a document, it clearly and concisely out lines the results of the preceding steps. It builds from a statement.of the current situation to a description of the desired future situation, with a blueprint of how that future is to be achieved. Section headings may include: • Today's Community • Future Needs • Organizational Mission and Purpose • Goals for the Future • Action Plan to Meet the Future • Assessment and Revision of the Plan The strategic plan should be the organization's guiding spirit,providing a common sense of direction and purpose. It need not identify every step in the process; that can be left to the implementation plan. The guideline,however,must be commonly agreed upon and in place before day-to-day activity can have meaningful implementation. Step 5. Implementing the plan. Implementation shifts the organizations focus from developing the strategic plan to acting upon it. This occurs not only at the organizational level but within each program or unit of the school or organization. The degree to which the plan was developed through honest self-examination, environmental scanning, and stake holder involvement can determine the ease- or difficulty- the organization will experience in moving toward its envisioned future state. Implementation is, in effect, a reality check on the assumptions and future visioning of the planning process and a test of • the organization's capacity, unit by unit,to achieve its stated goals. Implementation may require greater specificity in the objectives, a detailed description of the steps that must be taken in each unit or program in order to reach the organization's long-term goals. The focus here is on the short-term activities that lead to goal achievement. Implementation can also serve as a strategic management tool, providing both a frame work for staff development and a solid basis for evaluating progress. Step 6. Evaluating progress and revising plans. Although listed as a separate set of activities, evaluation and revision are implied in every step of strategic planning. If continuous evaluation and revision have been an integral part of the strategic plan development process, formal evaluation and revision following implementation are unlikely to involve major changes. The advantages of this are obvious. Each step of the strategic planning process involves a degree of investment by the organization in terms of time, energy, and commitment. The later in the planning process a major revision occurs, the greater retrenchment necessary. Strategic planning requires a broad base of in formation. It involves stakeholders in order to develop consensus around a future vision for the organization and the specific steps or activities necessary to reach that future. With faulty information or lack of consensus, there is an insufficient base to support the future vi . sion. Thus, evaluation and revision must begin with the first steps of developing a strategic plan to ensure an adequate base for further development. Additionally, the environment is not static during the development of a strategic plan. Revisions may be necessitated by changing events or changes in http://eric-web.tc.columbia.edu/admin_finance/strategic/ch2.html 12110/00 Strategic Planning: Chapter 2 Page 8 of 9 personnel, funding patterns, or needs. Many businesses include contingency planning as an ongoing activity through out the strategic planning process. Strategic planning itself is based on high-proba bility assumptions, the most likely events. (13) Contingency planning takes into account those opportunities and barriers that might arise and challenge the organization's planned future,but probably won't. As,a process and as a method of management, therefore, strategic planning requires flexibility- the ability to adapt and revise as conditions change. NOTES 1. Shirley D. McCune. Guide to Strategic Planning for Educators. Alexandria, VA: Association for Supervision and Curriculum Development, 1986,p. 34. 2. J. William Pfeiffer, Leonard D. Goodstein, and Timothy M. Nolan. Applied Strategic Planning: An Overview. San Diego, CA: University Associates, Inc., 1985,p. 1. 3. Bryan W. Barry. Strategic Planning Workbook for Non profit Organizations. St. Paul, MN: Amherst H. Wilder Foundation, 1986,p. 10. 4. McCune,pp. 34-35. 5. Barry, p. 13. 6. Ibid., p. 25. • 7. Harold J. Burbach, and Larry E. Decker, "A Growing Imperative," in Burbach and Decker, eds. Planning and Assessment in Community Education. Midland,MI: Pendell Publishing Company, 1977,p. 20. 8. Ken M. Young, "Educational Planning," in Burbach and Decker, eds. Planning and Assessment in Community Education. Midland, MI: Pendell Publishing Company, 1977,p. 34. 9. Pfeiffer,Goodstein, and Nolan,p. 2. 10. Timothy J. Ellis, Peter J. Murk, and Gordon Y. Ipson, "Community Visioning: Generating Support and Action for Community Education," Community Education Journal, XX(3), Spring 1993, P. 18. 11. Pfeiffer, Goodstein, and Nolan,p. 4. 12. Ibid.,pp. 4-5. 13. Ibid.,p. 6. Return to home page. • http://eric-web.tc.columbia.edu/admin_finance/strategic/ch2.html 12/10/00 Glossary of Terms Page I of 6 Strategic : Planning Glossary of Terms Here are some important terms for understanding the strategic planning process, its purpose, functions, and practices. This list begins by defining strategic planning as it applies to any organization (business or educational),moves on to define strategic planning as applied specifically to higher education, and concludes with an overview of building blocks common to any successful strategic planning effort. PLANNING, STRATEGY, AND STRATEGIC PLANNING Definitions of planning "Planning is a formalized procedure to produce an articulated result, in the form of an integrated system of decisions." Thinking about and attempting to control the future are important components of planning(Mintzberg, 1994 p.12). "Planning is required when the future state we desire involves a set of interdependent decisions; that is a system of decisions" (Ackoff, 1970 in Mintzberg, 1994,p. 11). Definitions of strategy • Arnoldo C. Hax and Nicolas S. Majluf(1996,p. 14)provide one of the most comprehensive definitions of strategy available: "Strategy 1. determines and reveals the organizational purpose in terms of long-term objectives, action programs, and resource allocation priorities; 2. selects the businesses the organization is in, or is to be in; 3. attempts to achieve a long-term sustainable advantage in each of its businesses by responding appropriately to the opportunities and threats in the firm's environment, and the strengths and weaknesses of the organization; 4. identifies the distinct managerial tasks at the corporate,business, and functional levels; 5. is a coherent,unifying, and integrative pattern of decisions; 6. defines the nature of the economic and non-economic contributions it intends to make to its stakeholders; 7. is an expression of the strategic intent of the organization; 8. is aimed at developing and nurturing the core competencies of the firm; 9. is a means for investing selectively in tangible and intangible resources to develop the capabilities that assure a sustainable competitive advantage." Definition of strategic planning Strategic planning is a complex and ongoing process of organizational change. The following attributes, when combined, effectively define a successful and comprehensive strategic planning process. http://www.des.calstate.edu/glossary.htmi 12/10/00 Glossary of Terms Page 2 of 6 Strategic planning: • Is oriented towards the future, and focuses on the anticipated future. It looks at how • the world could be different 5-10 years from now. It is aimed at creating the organization's future based on what this future is likely to look like. • Is based on thorough analysis of foreseen or predicted trends and scenarios of the possible alternative futures, as well as the analysis of internal and external data. • Is flexible and oriented towards the big picture. It aligns an organization with its environment, establishing a context for accomplishing goals, and providing a framework and direction to achieve organization's desired future. • Creates a framework for achieving competitive advantage by thoroughly analyzing the organization, its internal and external environment, and its potential. This enables organizations to respond to the emerging trends, events, challenges, and opportunities within the framework of its vision and mission,developed through the strategic planning process. • Is a qualitative, idea driven process. It integrates "soft" data,not always supported quantitatively, such as experiences, intuition, and ideas, involves the organization in the ongoing dialogue, and aims to provide a clear organizational vision and focus. • "Allows organizations to focus,because it is a process of dynamic, continuous activities of self-analysis" (Doerle, 1991, in Rowley, 1997, p.37). • Is an ongoing, continuous learning process, an organizational dialogue,which extends beyond attaining a set of predetermined goals. It aims to change the way an organization thinks and operates, and create a learning organization. • When successful, it influences all areas of operations,becoming a part of the • organization's philosophy and culture. Differences between conventional planning and strategic planning One of the major differences between conventional planning and strategic planning is that "conventional planning tends to be oriented toward looking at problems based on current understanding, or an inside-out mind set. Strategic planning requires an understanding of the nature of the issue, and then finding of an appropriate response, or an outside-in mind set" (Rowley, 1997,p. 36). "Long-range planning is a projection from the present or an extrapolation from the past. Strategic planning builds on anticipated future trends, data, and competitive assumptions. Long range planning tends to be numbers driven. Strategic planning tends to be idea driven, more qualitative; it seeks to provide a clear organizational vision/focus." (CSUN strategic planning retreat booklet, April 1997). STRATEGIC PLANNING IN HIGHER EDUCATION "Strategic planning is a formal process designed to help a university identify and maintain an optimal alignment with the most important elements the environmentt within which the university resides." This environment consists of"the political, social, economic,technological, and educational ecosystem, both internal and external to the university" (Rowley, Lujan, Dolence, 1997,p. 14-15). Learn more about Strategic Plannin in Higher Education. http://www.des.calstate.edu/glossary.html 12/10/00 Glossary of Terms Page 3 of 6 • STRATEGIC PLANNING BUILDING BLOCKS Vision and mission Organization's vision sets out the reasons and purpose for organization's existence and the "ideal" state that the organization aims to achieve; the mission identifies major goals and performance objectives. Both the vision and mission are defined within the framework of organization's philosophy,and are used as a context for development of intended strategies and criteria for evaluating emergent strategies. The mission includes identification of(a) market(and other—social,political)needs the organization fulfills, (b)business scope(i.e. products and markets)required to fulfill organization's purpose and (c)unique competencies that distinguish the organization from competitors. The organization's philosophy consolidates its values, relationships with stakeholders,policies, culture, and management style (Hax &Majluf, 1996, p.27; Hax& Majluf, 1991; CSUN strategic planning leadership retreat, April 1997; Hill &Jones, 1992). Gap analysis Gap analysis evaluates the difference between the organization's current position, and its desired future. Gap analysis results in development of specific strategies and allocation of resources to close the gap (CSUN strategic planning leadership retreat,April 1997). • As an example, lets consider a completion issue: how long does it take students to complete their education. A university may aim to graduate 60%of each class' first time freshmen after 4 years. If the campus is currently at 40% it constitutes a 20% gap between the existing situation and desired one. Understanding the nature of this gap will allow the university to develop specific strategies to achieve the desired 60% completion rate. Benchmarking Benchmarking is an ongoing systematic process of measuring and comparing organization's operations,practices, and performance against the others within and outside of the industry, including evaluation "the best" practices of other organizations. It is used within the strategic planning process to guide the management of organization's human, social, and technical resources (Lerner, Rolfes, Saad, & Soderlund, 1998); CSUN strategic planning leadership retreat). Let's go back to our completion example. The universities may research and learn what are the completion rates at other,similar universities. How do our rates compare to those of similar universities?What are the best completion rates in the universities we evaluated? A CSU campus may research completion rates at other campuses in the system, and benchmark (compare)against the best rate among them. Knowing the "best" rate will help the campus set its own completion goals. Emergent strategies btip://www.des.calstate.edu/glossary.html 12/10/00 Glossary of Terms Page 4 of 6 Although organizations can, and should, evaluate their environment,no one can foresee the future. Events occur that challenge our assumptions and contradict our • forecasts. Also, bright ideas often come spontaneously, outside of the formal strategic planning process's framework, and between planning events. Emergent strategy is a set of actions, or behavior, consistent over time, "a realized pattern [that] was not expressly intended" in the original planning of strategy. When a deliberate strategy is realized, the result matches the intended course of action. An emergent strategy develops when an organization takes a series of actions that with time turn into a consistent pattern of behavior, regardless of specific intentions. "Deliberate strategies provide the organization with a sense of purposeful direction." Emergent strategy implies that an organization is learning what works in practice. Mixing the deliberate and the emergent strategies in some way will help the organization to control its course while encouraging the learning process. "Organizations ...[may] pursue ... umbrella strategies: the broad outlines are deliberate while the details are allowed to emerge within them" (Mintzberg, 1994,p. 23-25; Hax & Majluf, 1996,p. 17). For example, a university may decide to recruit new students from high schools, which becomes an intended strategy, and develops certain tactics to achieve this goal. However, during the course of the recruitment process, it may realize that community colleges are responding better than high schools to its recruitment efforts. As a result, the university's recruitment practices may change to emphasize attracting students from community colleges. This becomes a university's emergent strategy,which may later get formalized within the strategic plan. Organizations must be alert to recognize advantageous emergent strategies, and flexible to accept them. Otherwise, an ineffective intended strategy may not bring the desired results, and a beneficial emergent strategy will not be allowed to thrive. Strategic issues Strategic issues are the fundamental issues the organization has to address to achieve its mission and move towards its desired future. They contain "specific and meaningful planning challenges," and result from the previous analyses carried out by the organization (Hax & Majluf, 1991). Examples of strategic issues include "the ubiquitousness and acceleration of technological change" (Hax &Majluf, 1991), and "professional development of faculty, staff, and administrators" (CSUN leadership retreat materials, 1997). Strategic programming Deliberate strategies for achieving organization's mission and addressing strategic issues are developed through strategic programming, which involves developing strategic goals, action plans, and tactics. Strategic goals are the milestones the organization aims to achieve that evolve from the strategic issues. They transform strategic issues into "specific performance targets that impact the entire" organization. "Goals are stated in terms of measurable and verifiable http://www.des.calstate.edu/glossary.html 12/10/00 Glossary of Terms Page 5 of 6 outcomes," and challenge the organization to be more responsive to the environment to • achieve its desired future (CSLJN retreat booklet; Rowley p. 106). "Action plans ... define how we get to where we want to go," the steps required to reach our strategic goals. They identify "who will do what, when and how;how we address current issues and emerging trends as unforeseen contingencies arise" (CSLJN retreat booklet). Tactics are specific actions and deeds used to achieve the strategic goals and implement the strategic plans. They are specific and measurable activities that keep the organization moving toward fulfilling its strategic themes and achieving its desired future (Rowley,p.106). Strategic thinking Strategic thinking "is predicated on involvement" of key participants. "To think strategically, ... they must be active, involved, connected, committed, alert, stimulated. It is "the calculated chaos" of their work that drives their thinking, enabling them to build reflection on action as an interactive process." "Such thinking must not only be informed by the moving details of action,but be driven by the very presence of that action" (Mintzberg, 1994,p.291). According to Liedtka(1998), following are the major attributes of strategic thinking. . "A systems or holistic view. Strategic thinking is built on the foundation of a systems perspective." It includes "a mental model of the complete end-to-end system of value creation, ... and an understanding of the interdependencies it contains." It involves looking at each part "not as a sum of its specific tasks,but as a contribution to a larger system that produces outcomes of value..." . "A focus on intent. Strategic thinking is intent-driven. ... Strategic intent provides the focus that allows individuals within an organization to ... leverage their energy, to focus attention,to resist distraction, and to concentrate for as long as it takes to achieve a goal." . "Thinking in time. Strategic thinkers link past,present, and future. ... The gap between today's reality and intent for the future ... is critical." . "Hypothesis-driven. Strategic thinking ... deals with hypothesis generating and testing as central activities... and avoids the analytic-intuitive dichotomy; ... it is both creative and critical in nature." As such, strategic thinking allows to "pose ever-improving hypotheses without forfeiting the ability to explore new ideas." . "Intelligently opportunistic. The dilemma involved in using a well-articulated strategy to channel organizational efforts effectively and efficiently must always be balanced against the risks of losing sight of alternative strategies better suited to a changing environment. ... There must be room for intelligent opportunism that not only furthers intended strategy but that also leaves open the possibility of new strategies emerging." • Click on these links for more information about the Steps in a Strategic Planning Process http://www.des.calstate.edu/glossary.htmi 12/10/00 Limitation in Strategic Planning Pagel of 3 Strategic : Planning Limitations Universities may encounter a multitude of problems as they go forward with their strategic planning process. This section discusses several of these difficulties and offers ways to minimize or avoid them. POTENTIAL PROBLEMS Strategic planning is an involved, intricate, and complex process that takes an organization into the uncharted territory. It does not provide a ready to use prescription for success; instead, it takes the organization through a journey and helps develop a framework and context within which the answers will emerge. Literature and research has documented extensively the possible problems that may arise during the process. Being aware of these issues and prepared to address them is essential to success: organization's strategic planning effort may fail if these potential pitfalls are ignored. To increase universities' awareness, this section reviews some of these limitations. Commitment One of the major challenges of strategic planning is ensuring commitment at the top,because in some ways, strategic planning reduces executive decision-making power. It encourages involvement throughout the organization, and "empowers" people to make decisions within the framework defined by the strategic planning process. As a result, this shifts some of the decision making from the executive office to the participants. Commitment of the people throughout the university "grows out of a sense of ownership of the project" (Mintzberg, 1994, p. 172). Such commitment is essential to success. Strategic planning implies organization-wide participation,which can only be achieved if people believe that their involvement counts, and that they will benefit from the process. Inflexibility of plans and planning Strategic planning might inhibit changes, and discourage the organization from considering disruptive alternatives (Mintzberg, 1994, p. 178). Planning might inhibit creativity, and "does not easily handle truly creative ideas" (Mintzberg, 1994, p. 180). A conflict lies with a desire to "retain the stability that planning brings to an organization ... while enabling it to respond quickly to external changes in the environment" (Mintzberg, 1994,p. 184). Control Strategic planning, if misused, might become a tool for gaining control over • decisions, strategies,present, future, actions, management, employees,markets, and customers (Mintzberg, 1994,pp. 201-202),rather than a comprehensive and integrated http://www.des.calstate.edu/limitations.html 12/10/00 Limitation in Strategic Planning Page 2 of 3 instrument for bringing the organization to its desired future. • Public relations Strategic planning may be used as a tool to "impress" "influential outsiders" (Mintzberg, 1994,p. 214), or to comply with requirements for strategic planning imposed from the outside, such as accreditation requirements. Objectivity Strategic planning dismisses intuition and favors readily available, interpretable "hard" data (Mintzberg, 1994,p. 191), and assumes that all goals are "reconcilable in a single statement of objectives" (Mintzberg, 1994, p. 193). Politics Strategic planning might increase "political activity among participants" (i.e. faculty and administration, or individual participants),by increasing conflict within the organization,reinforcing a notion of centralized hierarchy, and challenging formal channels of authority(Mintzberg, 1994, pp.197,200). AVOIDING LIMITATIONS • "Opportunistic planning" Opportunistic planning allows organizations to be flexible and open to making changes to the strategic planning process, if it becomes necessary in the face of unexpected events and changes in the initial assumptions. "Organizations need a good combination of formal and opportunistic planning. "Organizations that rely exclusively on formal planning could trap themselves in unbearable rigidities." Those who's decision-making capability is entirely opportunistic will be constantly reacting to external forces, without a clear sense of direction" (Hax & Majluf, 1996,p. 35-36). Planners as facilitators "Planners should not plan, but serve as" facilitators, "catalysts, inquirers, educators, and synthesizers to guide the planning process effectively" (Hax&Majluf, 1996,p. 34). Participation Organizations should encourage active participation of as many people as possible, including the faculty, administration, students, and alumni), engaging them in the ongoing dialogue, and involving them in the strategic planning process, to generate a feeling of ownership of the process and the outcomes throughout the organization. • Creativity Using "a series of incremental steps that build strategies" and integrating them into http://www.des.calstate.edu/limitations.html 12/10/00 Limitation in Strategic Planning Page 3 of 3 the entire organization will help to adjusting the course of action of strategic planning with overall organizational vision and strategic issues,while allowing for creativity • and flexibility for change (Hax &Majluf, 1996,p. 35). Flexibility Strategic tasks should be interpreted "not as rigid hierarchical sequences of actions, but as a useful conceptual framework" for addressing issues essential to the successful operation of the organization (Hax& Majluf, 1996,p. 36). Please click here for a complete list of References. Back to _Strategic Pianning_Page http://www.des.calstate.edu/limitations.htmi 12/10/00