1. National Association For Court Management
Visioning and Strategic Planning: Fundamentals and Foundations for Court Leaders
National Association For Court Management

2. Three Day Overview Day One Day Two Day Three
Vision and Strategic Planning Fundamentals
KSAs and Readiness
A Nine-Step Approach
Step 1 – Plan Initiation (Fundamentals, Examples, Exercises, Lessons)
Day Two
Step 2 – Mission
Step 3 – Vision
Step 4 – Trends and Scenarios
Step 5 – Capacity Assessment
Steps 6 and 7 – Strategic Issues and Strategies
Day Three
Step 8 – Implementation/Operationalize
Step 9 – Institutionalization and Monitoring

3. Session Learning Objectives: Overall
Participants will be able to:
understand the key concepts of visioning and strategic planning;
describe the motivations for visioning and strategic planning in the Courts;
determine if their court is ready to undertake a visioning and strategic planning process;

4. Session Learning Objectives: Overall
Participants will be able to:
understand the scope of the KSAs needed for effective visioning and strategic planning; and
have experience working with a nine-step visioning and strategic planning process.

5. Day One Agenda 8:30 – 9:00 a.m. Introductions and Session Overview
-- outcomes
9:00 – 10:00 a.m. Vision and Strategic Planning Fundamentals
-- definitions
-- motivations
-- KSAs
10:00 – 10:15 a.m. Break

6. Day One Agenda
10:15 a.m. – 12:00 p.m. KSAs and Readiness: Is Now The Right Time For Visioning and Strategic Planning In Your Court
12:00 – 1:00 p.m. Lunch
1:00 – 3:00 p.m. Approach and Nine-Step Process Overview
3:00 – 3:15 p.m. Break

7. Day One Agenda 3:15 – 4:15 p.m. Step 1 – Plan Initiation
-- fundamentals
-- examples
-- exercise
4:15 – 4:30 p.m. Wrap-Up
4:30 p.m. Adjourn

8. Session Learning Objectives: Day One
Participants will be able to:
understand the key concepts of visioning and strategic planning;
describe the motivations for visioning and strategic planning in the Courts;+
determine if their court is ready to undertake a visioning and strategic planning process;

9. Session Learning Objectives: Day One
Participants will be able to:
understand the scope of the KSAs needed for effective visioning and strategic planning; and
have experience working with Step 1, initiating a strategic plan, in nine-step visioning and strategic planning process.

10. Definitions
Visioning is a process for defining a preferred future for a court -- what a court desires to become or what it should be at its best.
Strategic planning is an ongoing, disciplined effort to produce fundamental decisions and actions that shape and guide what a court is, what it does, and why it does it.

11. Motivations
Visioning and strategic planning supports local trial court autonomy by placing the onus for change and the responsibility for creating it squarely on the trial court’s judges and staff.
The processes help build consensus within the court and between the court and its justice partners and community leaders about what the court will become, and when and how it will do it.

12. Motivations
A strategic plan develops priorities and goals that are clear and accepted throughout the court and justice system.
A vision of the future, the long-range strategic plan and its implementation help ensure continuity when the leadership of the court changes

13. Motivations
Strategic planning is an acceptable change and alignment mechanism modeled by courts across the nation.
Strategic planning supports a positive response to public demand for increased court accountability.

14. General NACM Model

15. Core Competencies: Know and Be Able To Do
Court Purposes, Environment, and Processes
Fundamentals
Organizational Foundation
Change and Alignment
Strategic Thinking

16. Know and Be Able To Do Court Purposes, Environment, and Processes
Visioning and Strategic Planning require understanding of the purposes of courts and how court management delivers on the American promise of equal justice under law, due process and judicial independence and impartiality. Visioning and Strategic Planning help court leaders, their justice and community partners ensure that the future of the courts and the justice system matches their enduring purposes and responsibilities. Their plans take into account alternative and current court jurisdiction, structure, and performance; case processing; and, the types and numbers of cases being processed.

17. Know and Be Able To Do Fundamentals
When implementing visioning and strategic planning, court planning teams draw upon proven principles, methods, and techniques. They use the most appropriate visioning and strategic planning tools.

18. Know and Be Able To Do Organizational Foundation
The court must have the capacity to produce a long-term strategic direction built through an inclusive and collaborative visioning and planning process. Adequate organizational foundation produces understanding and commitment about what the court, their justice partners, and the community wish to achieve, how they will do it, and when.

19. Know and Be Able To Do Change and Alignment Strategic Thinking
Visioning and Strategic Planning facilitate change; link visioning, planning and action; and move the court, its judges, staff, and their justice partners in a common direction toward shared commitments.
Strategic Thinking
When carrying out Visioning and Strategic Planning court leaders think and act futuristically and strategically, by anticipating and promoting change.

20. Core Competencies: Knowledge, Skills, and Abilities
Court Purposes, Environment, and Processes Core Competency
Fundamentals
Organizational Foundation
Change and Alignment
Strategic Thinking
(See the Visioning and Strategic Curriculum Guidelines

21. Court Readiness For Visioning and Strategic Planning
People throughout the court have time to participate in developing and following through on the strategic plan.
There is an urgent and compelling need – or pressing reason or opportunity – to do strategic planning.
There are several champions or sponsors for the visioning and strategic planning process and the completed strategic plan.

22. Court Readiness For Visioning and Strategic Planning
Court leaders, including judges, executives and managers, are genuinely interested in and willing to critically assess court performance.
Judges, leaders, and managers are willing to change the priorities of the court and do work differently in the future.
There is stability in the court’s leadership.

23. Court Readiness For Visioning and Strategic Planning
Based on the strategic plan, the court is willing and likely to shift how its resources are distributed and utilized.
Court leaders will collectively work together to follow-through on the strategic plan.
The court’s organizational culture supports an open and inclusive planning process that will determine the court’s long term direction and priorities.

24. Court Readiness For Visioning and Strategic Planning
The outcomes to be achieved and the benefits to be gained by developing and following through on a vision and strategic plan are clear.

25. Nine-Step Process Step 1– Initiate a Planning Process.
Step 2 – Define Mission.
Step 3 – Establish Vision.
Step 4 – Conduct Trends Analysis and Construct Scenarios.
Step 5 – Conduct Organizational Assessment.

26. Nine-Step Process
Step 6 – Identify and Define Strategic Issues or Key Results Areas.
Step 7 – Develop Comprehensive Strategies.
Step 8 – Operationalize the Strategic Plan.
Step 9 – Monitor and Evaluate Progress and Update Plan as Needed.

27. Step 1– Initiate Planning Process Fundamentals
Carefully select the appropriate individuals to participate in the planning effort.
Develop a common understanding of the process, purpose, scope, benefits, drawbacks, expectations, and desirable outcomes of long range strategic planning.

28. Step 1– Initiate Planning Process Examples
In-court vs. a broader-based planning process?
Who should be involved in the planning process?
Type and length of the planning process?
How to involve users & stakeholders of the court?

29. Step 1– Initiate Planning Process Examples
Who will facilitate the strategic planning effort?
Who will be primarily responsible for tracking progress and monitoring performance on the plan?

30. Step 1– Initiate Planning Process Lessons Learned
Establish commitment of top leadership (e.g., executive team such as the chief judge, other judges, court administrator, senior managers).
Select the appropriate planning committee.
Conduct an introductory session on visioning and long range strategic planning.

31. Step 1– Initiate Planning Process Lessons Learned
Set an appropriate meeting schedule.
Appoint a strategic planning coordinator.
Use experienced external facilitators.
Find/use appropriate meeting facilities.

32. Day One Wrap-Up Were the learning objectives addressed?
What was most useful?
Process and style modifications for day two?

33. Day Two Agenda 8:30 – 8:45 a.m. Introductions and Session Overview
-- outcomes
8:45 – 10:15 a.m. Mission, Vision, Values
-- fundamentals
-- examples
-- exercises
10:15 – 10:30 a.m. Break
10:30 a.m. – 12:00 p.m. Trends and Scenarios

34. Day Two Agenda 12:00 – 1:00 p.m. Lunch
1:00 – 2:00 p.m. Capacity Assessment fundamentals
-- examples
-- exercises
2:00 – 3:00 p.m. Strategic Issues and Strategies
-- fundamentals

35. Day Two Agenda 3:00 – 3:15 p.m. Break
3:15 – 3:45 p.m. Strategic Issues and Strategies (cont.)
3:45 – 4:15 p.m. Lessons for Sustaining Planning Effort
4:15 – 4:30 p.m. Wrap Up

36. Day Two Learning Objectives
Have experience working with:
-- mission, vision, values;
-- trends and scenarios;
-- capacity assessment; and
-- strategic issues and strategies.
Understand lessons learned in other planning efforts about how to sustain process.

37. Mission, Vision, Values Alignment
Key values need to be reflected in Court mission and vision statements.

38. Values Examples
Integrity – follow the law, be impartial, and act respectfully towards court users and colleagues.
Equal Access – effectively serve all community members regardless of where they live, their ethnicity, income, or education, and consistently work to identify and remove barriers to court access and service.
Respect and Dignity – be respectful to all those who come before the courts and work for the courts.

39. Values Examples
Independent Judicial Decision Making – serve as a check and balance on legislative and executive power, maintain independence in light of state and local political considerations and public opinion, and resolve cases on their merits.
Fair and Efficient Administration of Justice – do individual justice in individual cases, and use all resources efficiently.

40. Values Examples
Awareness and Responsiveness to User Needs -- anticipate and develop services for meeting the changing needs of the community, court users, and court personnel.
Professionalism -- employ skilled, well-trained, neutral, staff.
Innovative -- incorporate new approaches and technologies into all aspects of branch operations.

41. Values Examples
Understandable -- provide information and conduct business in a manner that can be understood by court users.
Protect Rights and Confidentiality -- protect individual rights and liberties while protecting the confidentiality of court participants.
Work With The Community -- develop and implement services in partnership with the community.

42. Values Examples
Thorough and Comprehensive -- provide a range of forums and services to meet diverse community needs.
Collaboration and Integration – work across agencies with the common focus of most effectively serving the community.
Transparency – assure that decisions and work processes are transparent to the public and other agencies.

43. Values Examples
Rehabilitate – Work toward the betterment of offenders.
Safety and Well Being – Promote safety and well-being throughout the community.

44. Step 2 – Mission Fundamentals
A mission statement defines an organization’s purpose -- why it exists. It helps an organization focus on what is important and provides a reference point for developing and prioritizing goals and strategies.
Developing a mission statement includes two very important steps: (1) identifying and assessing the court’s formal and informal mandates and (2) conducting a stakeholder/customer/user analysis which includes identifying the court’s stakeholders and primary customers/users, identifying and discussing their expectations, and assessing how well the court is doing in meeting the expectations of its customers/users and stakeholders.

45. Step 2 – Mission Examples
The Mission of the AAA Court is to:
Provide effective and timely resolution of legal matters, assuring dignified and fair treatment to all participants while promoting respect for the justice system and maintaining the independence of the judiciary.

46. Step 2 – Mission Examples
Mission For Serving Children
The mission of the courts of the BBB Judicial District when protecting children and serving juveniles is to:
promote the health and welfare of children and their families;
provide effective and timely resolution of legal matters that meet the needs of children, families, and the community; and
assure dignified and fair treatment of all court participants.

47. Step 2 – Mission Exercise
Draft Mission Statement Using Template

48. Step 3 – Vision Fundamentals
Develop a vision statement. Use a visionary process to define a preferred future. The vision should represent what an organization desires to become or what it should be at its best.
A vision statement defines a future ideal state; it describes the direction the court intends to move towards.

49. Step 3 – Vision Examples
To provide the highest quality of Court services to the people of AAA County, the AAA District and Superior Courts will:
administer a comprehensive trial Court system which coordinates the services necessary for an effective and efficient judicial system;
work as an independent branch of government alongside other branches of government to achieve common goals;
educate the justice system community, legislative and executive agencies and the public about the Courts;
build respect and confidence in the Courts;

50. Step 3 – Vision Examples
To provide the highest quality of Court services to the people of AAA County, the AAA District and Superior Courts will:
Provide a uniform and predictable level of service;
Provide efficient, convenient, and safe facilities;
Maintain a diverse and professional workforce, and reflect the diversity of the community in the workplace;
Seek out and use modern technology and equipment;

51. Step 3 – Vision Examples
To provide the highest quality of Court services to the people of AAA County, the AAA District and Superior Courts will:
respect the diversity of the community;
promote the value of families and the needs of families in Court;
maintain sentencing options so that offenders can be sentenced appropriately; and
provide resources, such as Probation services, to hold convicted offenders accountable for their actions.

52. Step 3 – Vision Examples
The Courts of the BBB Judicial District will provide a court system where informed litigants have an opportunity to succeed in meeting the expectations for good behavior that have been established by well-trained judicial officers and justice system personnel. The Court’s vision for protecting children and serving juveniles and families stresses that:
court participants will understand the processes in which they are involved, will understand and accept their case’s outcomes, and will comply with court orders;
litigants will be able to access treatment, training, and support resources within the community to help them comply with court orders;

53. Step 3 – Vision Examples
The Courts of the BBB Judicial District will provide a court system where informed litigants have an opportunity to succeed in meeting the expectations for good behavior that have been established by well-trained judicial officers and justice system personnel. The Court’s vision for protecting children and serving juveniles and families stresses that:
court case work processes will be convenient to use, timely, and accessible to litigants across the District;
judicial officers and court personnel will be well-trained about how best to serve children, juveniles, and families in court;
court participants will be treated with respect and dignity;

54. Step 3 – Vision Examples
The Courts of the BBB Judicial District will provide a court system where informed litigants have an opportunity to succeed in meeting the expectations for good behavior that have been established by well-trained judicial officers and justice system personnel. The Court’s vision for protecting children and serving juveniles and families stresses that:
juvenile offenders will be offered opportunities for rehabilitation;
court services will be customer focused and culturally appropriate;
the infrastructure supporting case processing – including technology, work processes, and facilities – will be effective and will assure that court and community resources are used efficiently; and

55. Step 3 – Vision Examples
The Courts of the BBB Judicial District will provide a court system where informed litigants have an opportunity to succeed in meeting the expectations for good behavior that have been established by well-trained judicial officers and justice system personnel. The Court’s vision for protecting children and serving juveniles and families stresses that:
the Court will know how well it is serving children, juveniles and their families and will be able to report, routinely, its performance to the public.

56. Step 3 – Vision Exercise
Draft Vision Statement Using Template

57. Step 4 – Trends and Scenarios Fundamentals
Understand the external court environment. This includes assessing the social, political, economic, and technological trends generating demands on the justice system and on courts.
A trend is a series of related events or activities that appear to have a demonstrable direction over time.
Construct future scenarios. A scenario is a history of the future. It is a fact-based speculation about what might happen in the future. The scenario should reflect the anticipated interactions of key trends and the resulting plausible future scenarios.

58. Step 4 – Trends Examples
Review Trends Summary Handout

59. Step 4 – Scenario Example
Review Scenario Handout

60. Step 4 – Trend and Scenario Exercise
Review Scenario Handout

61. Step 5 – Organizational Assessment Fundamentals
Examine court structure, organization, procedures, and performance. This includes assessing the structure and organization of the court and other justice system agencies, case management and case processing procedures, the practices and work habits of court staff, court and justice systems resources, and jurisdictional characteristics.
Detail organizational strengths, weaknesses, opportunities, and threats. This includes identifying strengths, weaknesses, opportunities, and threats in light of the court’s capacity to achieve its mission and vision, and deal with likely future demands.

62. Step 5 – Organizational Assessment Fundamentals
An organizational assessment helps to determine a court’s capacity to deal effectively with current and likely future demands.

63. Step 5 – Organizational Assessment Examples
Review Assessment Handout

64. Step 5 – Organizational Assessment Exercise
Prepare Assessment Using Template

65. Step 6 – Strategic Issue Identification Fundamentals
Identify strategic issues. This includes describing the issues, distinguishing strategic issues from immediate problems and solutions, developing standards of issue severity, and prioritizing issues.
Strategic issues are internal or external issues that are fundamentally important to the court. They are often the underlying or more encompassing issues of what superficially appear to be numerous unrelated or loosely related problems. Strategic issues typically are the convergence of trends, policy choices, and underlying conditions and tensions that can affect the ability of a court to move in a desired direction.

66. Step 6 – Strategic Issue Examples
Review Strategic Issue and Strategy Handout

67. Step 7 – Strategy Development Fundamentals
Identify goals and objectives for each of the strategic issues. This includes identifying several goals for each of the issues and several objectives for each of the goals. It also includes prioritizing the goals and objectives.
Strategies are comprehensive, institutional responses to the strategic issues. This step is the heart of strategic planning.
The strategies should include specific goals (i.e., broad statements that define the desired, end targets that the court will strive to achieve over the next three to five years) and objectives (i.e., concrete statements that describe what needs to be done to accomplish the goals or the means for achieving the goals).

68. Step 7 – Strategy Examples
Review Strategic Issue and Strategy Handout

69. Lessons For Maintaining Momentum
Sustain ongoing leadership involvement, encouragement, visibility, and feedback.
Build continuity between the planning sessions and planning steps.
Inform and involve staff and external stakeholders including users of the court system.
Promote healthy group dynamics.

70. Day Two Wrap-Up Were the learning objectives addressed?
What was most useful?
Process and style modifications for day three?

71. Day Three Overview 8:30 – 8:45 a.m. Introductions and Session Overview
-- agenda
-- outcomes
8:45 – 10:15 a.m. Plan Implementation
-- fundamentals
-- examples
-- exercises
10:15 – 10:30 a.m. Break
10:30 – 11:45 a.m. Monitoring and institutionalizing
11:45 a.m. – 12:00 p.m. Wrap-up
12:00 noon Adjourn

72. Day Three Learning Objectives
Have experience working with:
-- plan implementation; and
-- institutionalizing strategic management.
Understand lessons learned in other planning efforts about how to institutionalize strategic planning and management.

73. Step 8 – Plan Implementation Fundamentals
Prepare a 2–5 year strategic and long-range plan that specifies structural, organizational, and procedural changes, operational goals, unit responsibilities, action steps, activities, and time frames for goal implementation.
Prepare and promulgate annual operational plans that specify the year’s priority projects, operational goals, action steps, individual responsibilities, time frames, and performance indicators.

74. Step 8 – Plan Implementation Fundamentals
Prepare and promulgate individual performance plans that specify individual goals, action steps, time frames, and performance standards.

75. Step 8 – Plan Implementation Examples
Review Strategic Plan Contents Handout
Review Priority Project Description Handout

76. Step 8 – Plan Implementation Exercise
Prepare Implementation Strategy Using Template

77. Step 9 – Monitoring and Updating Fundamentals
Establish a monitoring system that includes indicators of organizational performance and movement.
Report and review performance indicators including organizational and individuals’ accomplishments.
Revise strategies as needed.

78. Step 9 – Monitoring and Updating Fundamentals
Successful implementation of the strategic plan requires moving from strategic planning to strategic management. When this occurs, courts routinely evaluate their general performance and the performance of each of its units in light of its long term goals and overall vision.

79. Institutionalization Lessons
Maintain top leadership support and involvement.
Involve staff.
Designate a strategic planning coordinator whose responsibility it is to monitor progress and accomplishments.
Conduct annual review meetings.

80. Institutionalization Lessons
Assure ongoing development of staff.
Assertively implement/bring about organizational change.

81. Day Three Wrap Up Were the learning objectives addressed?
What was most useful?
Process and style modifications for entire three days?