1. E mpowering S taff T hrough I nstitute P lanning (ESTIP) Steering group workshop Institute Name: XXXXXX Presenter: XXXXXX Date: XXXXXX

2. © institutes of technology ireland 2009 Welcome, introductions & objectives  The purpose of this two day programme is to ensure that all members of this planning steering group have the requisite knowledge, skills & abilities to fulfill their role as a steering group as defined in their terms of reference

3. Day 1: Programme outline  09.15 - Welcome, introductions, objectives  09.45 - Planning Exercise  10.45 - Break  11.00 - Self-Assessment & Discussion  12.00 - Developing Plans  Lunch  14.00 - Role of Steering Group  15.15 - Break  15.30 - Empowering staff  16.30 - Close © institutes of technology ireland 2009

4. Planning Exercise- ‘Roscommon IT Leisure Centre’  You are members of the new Strategic Planning steering group – it is now January 2009  You have been asked to review the existing strategy & plans & assess their viability - will they be achieved  If you decide a new plan is necessary,how would you go about preparing it? –What type of plan(s) would you need? –How would you prepare the plan(s)? –What information would you need? –How would you get it? –Who would you ask / involve? –How would you ensure that the plans are achieved?  Please discuss with your colleagues & agree a group response & feedback in the plenary session © institutes of technology ireland 2009

5. Steering Group self-assessment & discussion  Objective –To enable group to recognise their strengths & areas that need development –To enable this steering group to reflect on their ability to fulfill their role –To facilitate a discussion on how to improve effectiveness as a steering group © institutes of technology ireland 2009

6. Developing plans © institutes of technology ireland 2009

7. Module objective  To ensure that the group understand –The models & phases which could be used in any planning process –Emerging good practice in planning processes –To provide an opportunity to discuss the strengths & weaknesses of the different models –To identify where they currently are in the planning cycle © institutes of technology ireland 2009

8. Group exercise  Break into 3 groups  Each group discuss one of the 3 approaches to developing a Strategic Plan (use Framework Reference Manual) –Group 1 - Classical approach –Group 2 - Rolling Planning approach –Group 3 - Strategic/operational (integrated) planning approach  Take a few moments to read the approach related to your group © institutes of technology ireland 2009

9. Group exercise continued  As a group discuss: –The key elements of the approach –Its strengths & weaknesses –How it relates to planning in this IoT Prepare feedback for the whole group on the above © institutes of technology ireland 2009

10. The ESTIP Planning Process Model  ESTIP planning model – an overview

11. Phase 1: Pre-planning phase  Phase 1.1: Executive considerations –Time frames –Method to be used –Type of plan –How decisions will be made –Review of previous plan –Strategic Management Processes eg  Information & consultation; Environmental scanning; knowledge management, integrating processes etc. © institutes of technology ireland 2009

12. Phase 1.2: Steering Groups  Strategic Planning steering group  Thematic planning sub groups  Planning Process communications  Planning Process duration  Managing staff expectations  Resource assessment  Authoring/editing of final document © institutes of technology ireland 2009

13. Phase 1.3: Wider Considerations  Aligning with other operational processes  Spanning academic, financial & calendar year  Strategic planning drivers  Training for the planning process  Determining staff expectations  Identifying barriers © institutes of technology ireland 2009

14. Phase 2: Data collection  Environmental scanning –Usually done once every 3-5 years –Alternative approaches e.g. PEST –Decide who to scan –Ask so what?  Current state analysis - internal scan –Institutional research; SWOT analysis, EFQM excellence model; Balanced Scorecard approach; Programme Development; satisfaction surveys, IR © institutes of technology ireland 2009

15. Data collection continued  Stakeholder consultation – external, –Who? How? When? On what? –Interviews, focus groups etc  Staff consultation – Many opportunities through different phases –Trade unions © institutes of technology ireland 2009

16. Phase 3: - Plan development  Phase 3.1: - Develop themes –Vision, mission, values –Analysis of data collected –Developing themes –Communication with wider audience  Phase 3.2: - Operational planning –Principles; SMART;PMDS; KPI’;s  Phase 3.3: - Plan collation  Phase 3.4: - Plan publication © institutes of technology ireland 2009

17. Phase 4: Managing & Implementing Plans  Phase 4.1: - Strategic Plan  Phase 4.2: - Operational Plan  Phase 4.3: - PMDS  Importance of recognising interdependencies, links, timing etc. © institutes of technology ireland 2009

18. Group exercise  Consider –Where are you currently in terms of these phases?  Do you recognise where you as an IoT?  Map yourselves onto these phases? –What has worked well? –What was problematic? –What might be useful going forward? © institutes of technology ireland 2009

19. Roles of Steering Groups © institutes of technology ireland 2009

20. Module objective  To provide participants with an overview of the types of steering groups used in planning  To allow participants an opportunity to discuss their own terms of reference  To allow a discussion on possible uses of steering groups going forwards © institutes of technology ireland 2009

21. Role of Steering groups in planning  Wide range of steering groups used  Different types of groups useful for different types of plans, processes or phases  Size is an issue –Too big -unwieldy & loss of focus –Too small-anonymity & communication difficulties with the whole organisation © institutes of technology ireland 2009

22. A. Advisory group to Director/President  Role - advise on the process & final plan; does not steer the process  Small, maximum 5 members  Members have –No self-interest in outcomes of process –Expertise in specific aspects of process –Highly trusted by Director/President –Expresses frank & constructive views © institutes of technology ireland 2009

23. B. Expert panel used in rolling planning  Supports thematic/functional area  One representative from each thematic/functional area  Representatives bring expertise on theme/function  Ensures broad perspective  Depending on themes the group may also be the Executive acting as Steering Group © institutes of technology ireland 2009

24. C. Editorial Committee  Small, maximum three, subgroup  Act as principal drafters of document  One person full responsibility for the document  Other two carry out specific tasks –Make editorial comment –Ensure consistency between document content & input –Ensure transparency & link to other documents © institutes of technology ireland 2009

25. D. Mixed Role Group  Two - four people form core of group  At start of each phase of planning the core is augmented by additional members to deal with specific issues  Purpose of group –Ensure consistency across all phases of planning process through core group –Ensure clear responsibility for group activities –Ensures best mix of experience etc –Maximises staff involvement © institutes of technology ireland 2009

26. E. Rolling framework steering group  A standing steering group  Can include permanent members from executive & leaders of thematic groups  Group membership changes as themes change  Key challenges –Ensuring effective communication across theme –Developing a presentation format for plan robust enough to deal with frequent changes © institutes of technology ireland 2009

27. F. Academic Council sub-group  Could already exist or be formed for this purpose  Would act with full authority of Council & impra mater of one of the three Institute statutory bodies  Provide progress reports to AC & Director  Mix of council members co-opted for task © institutes of technology ireland 2009

28. Group discussion  TOR of this group  Previous types of Steering Group used  Benefits & drawbacks of each type  Possible best uses of steering group types for next step of planning process (revisit this in last session day 2) © institutes of technology ireland 2009

29. Empowering staff © institutes of technology ireland 2009

30. Module objectives  To outline the principles that underpin staff empowerment through Institute Planning  To look at the ways of involving staff  To reflect on these lessons & past experiences  To focus on possible best ways forward © institutes of technology ireland 2009

31. Purpose of ESTIP Framework  To provide guidelines for “Empowering staff locally, by linking team & individual development plans to focussed, supported & transparent strategic plans.”  Emphasis is on engaging staff in strategic & operational planning processes  At a time & level appropriate to individual staff, their interests & abilities  Some key principles for empowerment © institutes of technology ireland 2009

32. Research across IoT sector shows  Poor awareness of strategic plan & its content  Apathy towards the plan  Low awareness of link between staff activities & long term goals in the plan  Lack of structured operational plans to achieve objectives of plan  Staff aware of plans but limited knowledge of where they came from  Minimal sense of ownership of plans  At outset be aware of these problems & design process to ensure they absent at conclusion © institutes of technology ireland 2009

33. Group discussion  What has been the sense of empowerment of staff in this IoT through your last/current planning process?  At this stage feedback should be given on any evaluations carried out e.g. staff survey © institutes of technology ireland 2009

34. How planning can be structured to empower staff fully  Close integration with other processes including PMDS  There is a need to plan the planning –Initially agree broad planning approach- this defines how interactions will occur with stakeholders –Then the detailed pre-planning of phases –Phases outline essential activities © institutes of technology ireland 2009

35. Empowerment through communications  Clear, timely communication to staff helps develop empowerment as much as direct involvement  A detailed communication plan is an essential underpinning of all planning processes- agree in pre-planning phase  Staff need to be kept aware of progress at all phases of the process  Remember staff entitlements under Information & Consultation Legislation © institutes of technology ireland 2009

36. Importance of transparency & consistency  Clarity & transparency between the inputs made by staff during the planning process & the final plan is important  If aspects of the final plan only come to light in the late stages of the process there needs to be a clear explanation for the new material  Not honouring this principle can result in staff disempowerment & disillusionment & a loss of confidence in the process © institutes of technology ireland 2009

37. Avoid duplication - integrate processes  There are a wide range of Institute wide processes & groups  These need to be taken into account when developing an approach to planning  Integration of activities is important  Evidence shows that where duplication occurs it leads to frustration & disempowerment for staff  Map the processes in pre-planning phase to optimise use of staff time & effort © institutes of technology ireland 2009

38. Clarify type of Strategic Plan needed & level of detail at outset  Lack of clarity may lead to plan been seen as a glossy PR doc instead of a real plan relevant to staff who must implement it  Clear rationale for the decision on the type of plan should be communicated to all staff as early as possible before leaving the pre-planning phase.  Staff understanding enhances willingness to be involved © institutes of technology ireland 2009

39. Managing staff expectations  Staff have an expectation of being consulted.  Use PMDS as a method whereby staff can indicate their preferred level of involvement in SPL process  Seek agreement from staff & managers to increase the frequency of informal meetings under PMDS  Make explicit who has responsibility for each phase & sub-phase © institutes of technology ireland 2009

40. Staff consultation  Encourage staff who want to take part to get involved  Give reassurance that involvement is real & meaningful © institutes of technology ireland 2009

41. Ways of involving staff  Phase 1: Pre-planning-on preplanning committee or Steering Group  Phase 2: Data gathering –Current state analysis e.g. functional group self-assessment, SWOT, EFQM –Stakeholder consultation ee.g.g meetings with employers, schools etc. –As member of general or specialised working group or standing committees carrying out environmental scanning © institutes of technology ireland 2009

42. Staff involvement continued  Phase 3: Plan preparation –Developing themes as member of Strategic Planning steering group or specialised working sub-group etc –Plan collation- as member of Strategic Planning steering group & specialised editorial group © institutes of technology ireland 2009

43. General staff consultation  Publish the work plans, progress etc. of Strategic Planning committees & groups on intranet (plan carefully in phase 1) –Make staff aware that this is expected method of interaction for those not wanting active involvement  Consultation by working/theme groups  Consultation with Trade unions  Institute omnibus survey © institutes of technology ireland 2009

44. Operational planning  The PMDS process aims to provide a way of prioritising a teams activities in line with the Institutes strategic objectives  Use TDP & PDP processes to involve staff in planning  Finally Plan Publication –Recognise staff involvement; Formal launch; Send copy to all involved © institutes of technology ireland 2009

45. Group discussion  How were staff involved in this Institute?  Strengths & weaknesses of these methods?  Thoughts on best way moving forward? © institutes of technology ireland 2009

46. Outline of Day 2  09.15-09.30 - Introduction, Objectives  09.30-11.00 - Effective Steering Groups  Break  11.15-13.00 - Optional Modules  Lunch  14.00 - Interdependencies/Integration  15.30 - Break  15.45-16.30 - Next Steps  16.30-17.00 - Evaluation © institutes of technology ireland 2009

47. Effective Steering Groups © institutes of technology ireland 2009

48. Module objectives  To provide an opportunity for the group to focus on how to work together as a team in an open honest environment & reach consensus  To allow the group to reflect on their own modus operandi as a group & plan for effective team-working © institutes of technology ireland 2009

49. Characteristics of an effective Steering Group  Clarity, agreement & focus on Terms of Reference (TOR), objectives & goals  Appropriate membership (no’s, knowledge, skills etc.) for task  Good communication  Regular meetings that start & finish on time  An atmosphere of openness, honesty & mutual respect © institutes of technology ireland 2009

50. Effective steering groups continued  An ability to reach consensus  An ability to manage conflict  Good meeting procedures –Ground-rules –Appropriate chairing –Agenda in advance –Action oriented minutes  Clear & agreed roles & responsibilities © institutes of technology ireland 2009

51. Ineffective Steering Groups  Work overload  Decision-making delays  Poor scheduling  Uneven work distribution  Poor information flow  General hostility  Poor relations with others  Confusion  Apathy  No initiative  Decisions poorly executed  No TOR or lack of clarity © institutes of technology ireland 2009

52. What happens once a group is formed?  Individuals feel wary, cautious & even sceptical based on past experiences  Groups are often hampered by problems, which are clear at the start but get worse: –Gate keeping of information –Not really listening, only being polite –Personalising issues –Taking an aggressive or defensive stance at the first sign of anything going wrong –Keeping real opinions & feelings to one’s self

53. What happens once a group is formed? continued  Groups take time to develop & can be muddled to start with  The immature group will mature with time & effort –Forming –Storming –Norming –Performing  Conflict within groups is both normal & desirable

54. Active listening  Avoid preoccupation/ distraction  Make appropriate eye contact  Be aware of your own emotions  Suspend judgement for awhile  Wait before responding  Develop paraphrasing into own words/context  Continually reflect  Don’t interrupt or change topic  Question & clarify  Be ready to respond when speaker is ready © institutes of technology ireland 2009

55. Group discussion  Look back to yesterdays self assessment, reflect on your last meeting now identify –What is working well for this group? –What problems do we have? –Lead a group discussion on how to improve effectiveness of the group © institutes of technology ireland 2009

56. Analytical tools for planning © institutes of technology ireland 2009

57. Module objectives  This module has optional content depending on type of planning steering group  The aim is to provide the group with an opportunity to familiarise themselves with relevant planning tools such as  PEST analysis,  Balanced Scorecard,  SWOT analysis & SMART Action Planning © institutes of technology ireland 2009

58. Analytical & scanning tools  PEST Analysis  SWOT Analysis  EFQM  Balanced Scorecard  Gap Analysis  Cost analysis  Scenario planning

59. PEST analysis  A simple, widely used tool for scanning the external environment & grouping factors together under the mnemonic PEST  Political  Economic  Socio-cultural  Technological  Helps develop an understanding of the ‘whole’ environment’ within which the organisation operates © institutes of technology ireland 2009

60. How to conduct a PEST 1. Brainstorm the factors (PEST) in the context of your Institute 2. Identify the relevant information for each of these factors 3. Analyse this information & draw conclusions The crucial point in PEST analysis is moving beyond simply describing the factors (step 2) without thinking of the implications (step 3) © institutes of technology ireland 2009

61. Example of a PEST XXX IoT Political Government Policy Legislation Elections Technological IT advances Impact of Internet Economic Government Policy Banking Tax Third level Fees Socio- Cultural Changing expectations Changing student profile Life style changes © institutes of technology ireland 2009

62. Group exercise  As a group carry out a PEST analysis for this IoT © institutes of technology ireland 2009

63. Balanced Scorecard  See Appendix 4 ESTIP Framework Reference Manual  Developed in 1990’s  Allows management & staff to focus on a few key strategic objectives  Recognises importance of developing a few key aspects of an organisation  Also interrelationship between them © institutes of technology ireland 2009

64. Balanced scorecard consists of  The core of the strategy or vision  Four interrelated factors –Financial aspect –‘Business’ processes –Learning & development –The ‘customer’  Each factor has four components –Objectives –Measures of achievement –Targets –Initiatives © institutes of technology ireland 2009

65. Example: Inner City School X  Vision - improve the educational experience of pupils & increase numbers going to higher education  Financial –Objective is to achieve funding of €xxx & keep in budget –Achievement measured through monthly accounts –Target- to achieve €100,000 turnover –Initiatives- marketing campaign & delegation of budgets to departments © institutes of technology ireland 2009

66. Exercise: Develop a Balanced Scorecard for this Institute  Key Questions? –Financial- how do we measure up to financial projections? –Operational- At what processes must the organisation be successful? –Customers- How so service users see the organisation? –Innovation & Learning- How can we improve performance? © institutes of technology ireland 2009

67. SWOT Analysis (see appendix 17)  Simple, widely used approach  Allows you develop snapshot view of strengths, weaknesses, opportunities & threats as perceived by different groups  Often done in facilitated session  Can take from 1-8 hours depending on method used & size of group © institutes of technology ireland 2009

68. SWOT StrengthsWeaknesses What are our main collective strengths as a unit? What are we good at? What are we not so good at? What are our competitors better than us at? What do we need to improve upon? OpportunitiesThreats What are the main opportunities that we should consider? What can we exploit? What are the main threats that we are going to face? What could stop us achieving our goals? © institutes of technology ireland 2009

69. SWOT Process  Facilitator brings group through each heading  Once the group has identified all the factors under each heading they need to reflect & ask, “So what?”  Once the key important priorities are identified the next step will be action planning as a result of SWOT © institutes of technology ireland 2009

70. Action Plan  Objective - State your intention. What you hope to achieve. Joint Objective?  Strategies/Action Steps to achieve the Objective?  Who is responsible for each step?  What is the deadline for each step?  What resources are required to achieve each step? © institutes of technology ireland 2009

71. SMART Planning for SMART Objectives (appendix 16) © institutes of technology ireland 2009

72. Group exercise  Carry out a SWOT analysis on your IoT  Develop a SMART action plan to achieve 4 objectives © institutes of technology ireland 2009

73. Interdependencies & integration in the planning processes © institutes of technology ireland 2009

74. Module objectives  To allow participants reflect on the interdepencies in the planning processes in their own IoT  To focus on the importance of integrating planning processes & allow the group identify ways to improve integration in planning © institutes of technology ireland 2009

75. Group exercise  As a group identify all the planning processes in this IoT –Academic Planning –Functional Planning –PMDS –Operational Planning –Strategic Planning  What takes place, what is the sequence of events for each part of the planning process?  Draw a time line & map the planning processes onto it highlighting where the output of one process needs to be the input of another © institutes of technology ireland 2009

76. Exercise continued  What are the strengths & weaknesses of the integration within our current planning?  What are the key processes that need to be improved upon & how can they be improved?  Redraft the time line & indicate how the planning processes can be integrated © institutes of technology ireland 2009

77. Next steps  Review the key learning points from the two days  Reflect on your terms of reference as a steering group  What do you need to do next? © institutes of technology ireland 2009