table of contents - institute of technology … manual handbook summary... · appendix 7 -...

Table of contents

Table of contents ...............................................................................................................................................3

Table of Figures .................................................................................................................................................5

Overview summary ...........................................................................................................................................7

Glossary of terms...............................................................................................................................................9

Section 1: Introduction ...................................................................................................................................13 1.1 Background to development of the ESTIP framework....................................................................................................13 1.2 ESTIP framework description...............................................................................................................................................13 1.3 Sources of ideas for ESTIP framework ............................................................................................................................... 14 1.4 Why do strategic planning? ...................................................................................................................................................14 1.5 Purpose of the ESTIP framework ........................................................................................................................................15 1.6 How the ESTIP manual is structured ..................................................................................................................................15 1.7 The ESTIP model .....................................................................................................................................................................16 1.8 How to use the ESTIP framework.......................................................................................................................................16 1.9 Limitations of the ESTIP framework ...................................................................................................................................18 1.10 Relationship to partnership and other processes ..........................................................................................................18 1.11 Integration with PMDS.........................................................................................................................................................19 1.12 Relationships with academic planning and programme development........................................................................20 1.13 Role of specified bodies.......................................................................................................................................................20

Section 2: General concepts for strategic planning .....................................................................................25 2.1 Introduction..............................................................................................................................................................................25 2.2 Definitions of ‘a strategic plan’ .............................................................................................................................................25 2.3 The Classic approach .............................................................................................................................................................27 2.4 Rolling planning approach......................................................................................................................................................28 2.5 Strategic/ operational (integrated) planning approach.....................................................................................................30

Section 3: The ESTIP planning process model.............................................................................................35

Phase 1: Pre-planning ......................................................................................................................................35 Phase 1.1 Executive considerations............................................................................................................................................36 Phase 1.2 Steering groups ............................................................................................................................................................39 Phase 1.3 Wider considerations .................................................................................................................................................42

Phase 2: Data collection..................................................................................................................................46 Phase 2.1 Environment scanning.................................................................................................................................................46 Phase 2.2 Current state analysis (internal scanning)...............................................................................................................49 Phase 2.3 Stakeholder consultation ...........................................................................................................................................54 Phase 2.4 Staff consultation..........................................................................................................................................................57

Phase 3: Plan development.............................................................................................................................60 Phase 3.1 Develop themes...........................................................................................................................................................60 Phase 3.2 Operational planning...................................................................................................................................................65 Phase 3.3 Plan collation.................................................................................................................................................................68 Phase 3.4 Strategic plan publication ...........................................................................................................................................71

Phase 4: Manage and implement plans .........................................................................................................72 Phase 4.1 Strategic plan ................................................................................................................................................................72 Phase 4.2 Operational plans ........................................................................................................................................................74 Phase 4.3 PMDS..............................................................................................................................................................................76

Section 4: Competencies and training ..........................................................................................................79 4.1 How to use this section......................................................................................................................................................... 79 4.2 Competencies associated with the ESTIP framework..................................................................................................... 79 4.3 Competencies and ESTIP phases and sub-phases............................................................................................................. 82 4.4 Training /competencies relevant to different staff levels ................................................................................................ 83

Section 5: Appendices .....................................................................................................................................87 Appendix 1 - Strategic planning themes.................................................................................................................................... 88 Appendix 2 - Strategic planning communications ................................................................................................................... 89 Appendix 3 - Strategic planning steering groups..................................................................................................................... 94 Appendix 4 - Balanced Scorecard: an introduction and overview ...................................................................................... 97 Appendix 5 - Business excellence models ................................................................................................................................ 99 Appendix 6 - Environment scanning examples ......................................................................................................................102 Appendix 7 - Stakeholders check list (not in any priority or sequence) .........................................................................109 Appendix 8 - Consultation topics (examples/check list) .....................................................................................................110 Appendix 9 - PMDS and associated processes......................................................................................................................111 Appendix 10 - Institutional research - University of Wisconsin........................................................................................113 Appendix 11 - Strategic plan components: definitions.........................................................................................................114 Appendix 12 - Management capacity project references ....................................................................................................116 Appendix 13 - Foresight planning.............................................................................................................................................119 Appendix 14 - Scenario planning ..............................................................................................................................................122 Appendix 15 - Operational plan formats ................................................................................................................................123 Appendix 16 - A SMART framework for operational planning..........................................................................................126 Appendix 17 - SWOT analysis ..................................................................................................................................................127 Appendix 18 - Further reading and research.........................................................................................................................130 Appendix 19 - Steps for conducting risk assessment...........................................................................................................131

Index................................................................................................................................................................134

Table of Figures Figure 1: ESTIP Model ........................................................................................................................................................................13 Figure 2: Detailed ESTIP Model........................................................................................................................................................16 Figure 3: ESTIP/PMDS relationship ..................................................................................................................................................20 Figure 4: Elements and types of strategic plan ..............................................................................................................................27 Figure 5: Institutes’ classic planning approach ............................................................................................................................... 28 Figure 6: Rolling Planning Model ......................................................................................................................................................30 Figure 7: Combined strategic/operational approach....................................................................................................................31 Figure 8: ESTIP Model (Phase 1: Pre-planning with sub-phases) ...............................................................................................35 Figure 9: ESTIP Model (Phase 2: Data collection and associated sub-phases)........................................................................46 Figure 10: ESTIP Model (Phase 3: Plan development)..................................................................................................................60 Figure 11: ESTIP Model (Phase 4: Manage and implement plans)..............................................................................................72 Figure 12: Keeping staff informed (1)..............................................................................................................................................90 Figure 13: Keeping staff informed (2)..............................................................................................................................................90

Empowering Staff Through Institute Planning

Overview summary

The Empowering Staff Through Institute Planning framework (ESTIP framework) comprises a handbook and this more detailed reference manual. The handbook should be read first to give a detailed outline of the overall approach proposed in the framework. The reference manual should then be used as a reference document to provide detailed information about particular aspects of interest to an individual person or institute. It does not need to be read from cover to cover. The table of contents and index allow users to identify the sections relevant to their requirements. The text box below provides some examples of how to use the reference manual.

Using the reference manual

Where the reader can identify a particular topic or key word, they should use the tables of contents, figures, top tips or ideas and the index to guide them to the relevant section/ page of the reference manual.

Where the reader needs a detailed overview of the framework and approaches to planning, they should focus initially on Sections 1 and 2. The table of contents can be used to find specific topics of interest.

Where the detailed planning process is required, Section 3 contains the ESTIP planning model.

Where guidance is needed on training staff to perform the suggested planning activities, Section 4 offers the necessary competency framework.

The appendices are used to provide greater detail on certain aspects of the framework. They can also be accessed directly if the reader already knows which topic to research. The reference manual is laid out in five sections: Section 1 Section 1 contains a detailed introduction to the framework and how best to make use of it. It also contains detailed tables of contents, figures, Ideas and Top Tips, which can be used to assist navigation. An alphabetical index of key words and expressions is also provided at the end of the document. Section 2 Section 2 provides a conceptual framework of the general types of strategic plans which could be developed, and three broad approaches to conducting the planning process.

Overview summary


Section 3 Section 3 sets out the detail of the ESTIP Model and the four phases of the strategic planning process.

Considerable emphasis is placed on Phase 1: Pre-planning. Given the time, resources and importance of creating a strategic plan, strongly supported with a realistic operational plan, it is crucial to ensure the planning processes used are appropriate to the institute, and fully understood by all parties who will be involved. Three sub-phases are identified in this phase relating to considerations by the executive, the steering group and wider considerations. Phase 2: Data collection is divided into four separate sub-phases: environmental scanning, current state analysis, external stakeholder consultation, staff consultation. They set out the options and considerations for consultation processes (internal and external) to help inform development of the plan. These four sub-phases provide the essential data on which the rest of the planning processes depend. Phase 3: Plan development is concerned with the development of plans. The first two sub-phases, developing themes and operational planning are highly iterative and interdependent. The operational aspects are developed in Phase 3.2, which shows the feasibility of what can be credibly included in Phase 3.1. Phase 3.3 relates to collation of the strategic and operational plans. Phase 3.4 deals with publication of the plans. Phase 4: Manage and implement plans is the shortest part of the ESTIP reference manual but the longest part of the overall planning process. It necessarily spans the full implementation period envisaged in the plans. It is included as a key part of the process because it is likely to require some element of re-planning over the life time of the plan, to deal with internal and external environmental changes which affect the institute.

Section 4 Section 4 provides a training competency framework to be considered for both management and staff. It initially sets out the broad competencies which would be required to conduct the four phases of the process. It then aligns them with the phases, and finally tabulates them against management and staff grades and the level to which the competencies would need to be developed. Section 5 Section 5 contains eighteen appendices, which are referenced throughout the document. They contain detailed ideas and examples. These help to expand and support the choices institutes might make about the type of plan they need to develop, and the appropriate planning process to meet those needs.

Overview summary


Overview summary

Glossary of terms A common problem encountered during the research and development for this project, was the use of common terms and expressions which had different meanings in different institutes throughout the sector. It was also necessary to develop new expressions and abbreviations. These refer succinctly to some parts of the project output throughout the framework. The table below sets out a list of expressions, their meaning in the context of this document and the abbreviation used (where applicable).

Term/ expression Meaning

Critical success factors Empowering Staff Through Institute Planning ESTIP framework ESTIP model ESTIP handbook Executive management Idea Key performance indicators Monitoring Operational management Operational plan PMDS

Conditions which need to be in place or met, to achieve desired goals and objectives in a plan. For the purpose of this project, empowering staff is providing an environment, culture and processes, which enable staff to help develop and achieve strategic and operational goals for the specific area(s) where they work and for the institute as a whole. Comprises the handbook and this entire document. The four phase model for strategic and operational planning with the associated sub-phases. A handbook setting out the background, intent, content and operation of the ESTIP project and its outputs. The group of senior managers in the institute with responsibility for the principal functional areas. This normally includes the President/ Director, Registrar, Secretary/ Finance controller, Head of Development, Heads of Faculty/ School. An approach considered by the authors to be of particular value and effectiveness. Specific metrics which provide a means of identifying the degree of progress made towards delivering goals and objectives in a plan. An ongoing process of comparing expected outcomes, (from KPIs and operational plan), with ongoing progress, (from current observation), and implementing corrective action to remain on target to achieve desired outcomes. (Typically may involve changes to PDPs (personal development plans/ TDPs (team development plans) / operational plans. Depending on the scale of changes required, may involve changing to the review process. The group of managers who report to executive management and have responsibility for the day to day operations in the institute. They normally include Heads of Department, HR manager, Finance manager, Computer services manager, Librarian, Student services manager etc. A schedule of specific activities (and the associated details answering who/ what/ how/ resources etc) which need to be carried out to achieve the goals and objectives set out in the strategic plan. Performance Management and Development System. An agreed sector-wide system for aligning individual staff and team activities and development, with prioritised objectives from the institute’s strategic plan.


Overview summary

Reviewing SMART Strategic plan Strategic planning Top Tip Training needs analysis

A process involving a structured analysis of the overall strategic / operational plans. Likely to occur on a 1 to 3 year basis, depending on the size of the institute and duration of the strategic plan. May involve revisions to TDPs/ operational plans/ strategic plan. Specific, Measurable, Agreed, Relevant, Timely A document containing the details of the mission, vision, values, strategic objectives and operational plans to develop an institute over a specified period of time in the future. The process or combination of processes used in an institute to develop a strategic plan. An approach used within the IoT sector which was considered to be particularly effective. A review of training needed to carry out elements of the planning processes. This is based on the competencies outlined in the framework compared with an individual’s own assessment of the capacity to carry out processes outlined in the reference manual.


Section 1: Introduction


By the end of this section you will know:

The background to the development of the ESTIP framework What the purpose of the ESTIP framework is How to use the ESTIP framework How the ESTIP framework integrates with other processes

1.1 Background to development of the ESTIP framework The ESTIP framework was developed as a result of a project conducted as part of the strategic innovation fund programme. Based on the project terms of reference, the framework is intended to provide detailed guidelines for “Empowering staff locally, by linking team and individual development plans to focussed, supported and transparent strategic plans". The project involved the thirteen constituent institutes in the Institute of Techology Ireland and the Dublin Institute of Technology.

1.2 ESTIP framework description The ESTIP framework is the combination of this reference manual and the accompanying handbook. The framework is NOT intended to be a definitive, single prescription of how to carry out strategic and operational planning. It is a comprehensive documentation of both the phases and associated processes which can be used to develop a strategic plan. Elements from the framework may need to be adapted and tailored to suit the individual circumstances of each institute. Figure 1 below shows the basic relationship between the four phases making up the ESTIP model. The reference manual and its appendices set out the detail associated with each phase, the associated sub-phases and processes.

Figure 1: ESTIP Model



1.3 Sources of ideas for ESTIP framework The ideas contained in the framework have been drawn from a wide range of sources. A detailed review of practices and processes in the fourteen Institutes of Technology provided many ideas for what were considered good practice by staff and managers. A further source of ideas came from a detailed review of strategic planning practices in third level institutes of a similar size, and in a range of other countries. Appendix 18 provides further details. The team of consultants who compiled the framework also contributed ideas based on their individual knowledge and experience of the sector, their detailed understanding of the PMDS, and their direct involvement with the partnership processes used within the institutes. During the development of the framework, the Institute of Technology project team was given full details of the sources and background to the ideas and concepts being put forward in the ESTIP framework. This was done through two detailed interim reports and three workshop meetings with the project team. A final report also accompanied the framework, to provide details about the project methodology, sources used, research carried out etc. By agreement with the project team, specific sources for material will not be directly cited in the ESTIP framework. This is to:

1. Preserve confidentiality of some sources. 2. Honour the intent of the framework i.e. to provide a range of approaches for developing

strategic and operational plans. These plans can be adopted as appropriate to each institute’s requirements, rather than putting forward a single planning approach that might not meet the needs and constraints of such a diverse collective of organisations.

3. Avoid unnecessary detail in the framework.

1.4 Why do strategic planning? The motivations for developing a strategic plan can range from ‘everyone else does it so we should’ to ‘we need a coherent statement of where we want to get to, and how we intend getting there.’ A key part of the pre-planning phase is to have a clear understanding of the purpose of developing a strategic plan. Careful pre-planning will also help in maintaining an ongoing assessment of how far that purpose is being realised, with the planning process being used to develop the plan. The key driver for a strategic plan is change in the environment. Changes can be internal or external. An organisation must be able to respond adequately in terms of time and output to remain relevant to that environment. Operational plans are needed to set out the specific steps needed to realise the goals and objectives of the strategic plan. Significant environmental factors include:

Changing demographic of the student base (more life long learners, decreasing numbers from second level etc.)

Evolving student demands and expectations. Increased competition from other third level providers. Rapidly changing course delivery methods, largely due to evolving information and communication

technology capabilities (and resulting changes in student expectation.) Changing demands and expectations from industry.



1.5 Purpose of the ESTIP framework The purpose of the ESTIP framework is to provide a comprehensive guide for all institute staff and other interested stakeholders on options available for carrying out strategic planning. Making use of the approaches set out in the framework will greatly help to empower staff, through integrating the planning processes with PMDS and other processes routinely carried out in the institutes.

Idea 1 – Engaging staff

The strong emphasis throughout the ESTIP framework is to engage staff in the strategic planning and operational planning processes. This should be at a time and level appropriate to individual staff members’ interests and abilities. This is central to the contribution the ESTIP framework can make to empowering staff.

If used optimally, it can also provide a common base line against which the diverse stakeholders in the institutes can jointly plan the best way to build strategic and operational plans together.

1.6 How the ESTIP manual is structured The reference manual is divided into five sections.

Section 3 – Phases and sub-phases of the ESTIP model

Section 2 – General concepts (diagrammatic) for carrying out strategic planning processes.

Section 1 – Introduction and guidelines for ‘How to use the framework’.

Section 4 –Training requirements.

Section 5 – Appendices. The strategic planning process is based on four main phases for developing strategic and operational plans. Each phase is sub-divided into a number of sub-phases. The combined phases and sub-phases represent the ESTIP Model. The phases and sub-phases present a logical and sequential set of steps to carry out strategic, operational and PMDS planning as a fully integrated process, with the intent of maximising the empowerment and involvement of staff throughout the process. If followed in the sequence given, using the model should result in a rigorous approach to developing strategic and operational plans, while including and empowering staff fully in the overall development of both the process and plan.



Figure 2 illustrates the relationship of the phases and sub-phases within the framework: A more detailed explanation is provided in Section 3 of the ESTIP framework.

1.7 The ESTIP model Figure 2 below provides a graphical illustration of the ESTIP model.

Figure 2: Detailed ESTIP Model

1.8 How to use the ESTIP framework

Guidelines The guidelines below will help to address many of the issues and concerns raised by managers, staff and union representatives during the consultation stage of developing the framework.

1. It is NOT intended as a ‘one shoe fits all’ prescription on how to develop a strategic plan. It offers a range of approaches within a four phase model, from which institutes can plan and choose the approach that will best suit their specific needs.

2. While sub-phases within phases are logically sequenced and linked, it may be necessary to iterate between them if the objective of empowering staff is to be fully achieved. It may also be necessary to involve different groups of staff, or particular staff with specific skills and experience during different phases and/ or sub-phases of the planning processes. Trying to involve all staff in all (sub-) phases is not practical or beneficial to staff or the organisation.

3. The phases and sub-phases provide a useful structure for conducting effective communication with all stakeholders about: Setting up the planning process. Conducting the process. Providing feedback on progress being made as the process progresses.



Top Tip 1 – Empowerment through communications Strong staff empowerment can be developed as much by clear and timely communication as by direct involvement in the planning process. A detailed communication plan should be a foundation for an effective strategic planning process. It is desirable for all staff to be kept aware of progress being made at all phases of the planning process.

4. Due to the significant differences between institutes, (in terms of size, culture, established

practice etc), processes may need to be modified, scaled or even ignored, depending on the particular institutes using them. Each phase deliberately contains a range of processes and ideas which could be used, depending on the institutes’ preferences and requirements.

5. The framework is intended to provide guidance for how strategic planning and operational planning could be carried out. The final process used to develop plans for a given institute should be decided by that institute.

6. PMDS should be used to the maximum extent possible to enable the widest involvement and empowerment of staff, at appropriate points in the planning processes.

7. It is important to establish and maintain clarity, transparency and consistency between the inputs made by stakeholders during the planning process and the final plans which are developed. If elements of the final plans only come to light in the latter stages of the process, a clear rationale will need to be given for the origins and reasons for the new material.

Top Tip 2 - Consistency of process inputs/ outputs

Research for this framework has shown that failure to honour this principle (no 7. above) has very negative results. It can result in a significant loss of confidence in the process, the resulting plan and the sense of staff empowerment developed from the planning process.

Getting started Irrespective of the type of plan being developed (see types of plans in Figure 4), or previous processes used for strategic planning, this framework assumes that the phases and sub-phases as outlined would need to be followed when atrategic and operational plans are being developed. Institutes may not have followed such discrete steps previously, or may wish to amalgamate sub-phases. However the core activities of each of the sub-phases would have to be carried out at some stage during the planning and implementation processes. The ESTIP framework needs to be reviewed in the context of each individual institute, and appropriate elements adopted for use within that institute. The following is a suggested approach for how to get started and initially make use of the framework:

1. Appoint an individual to act as the overall co-ordinator/ leader/ manager of the strategic planning process itself. Ensure that this individual has appropriate time, resources and authority to carry out their role.

2. Initially select a very small group, to work with the co-ordinator to carry out detailed pre-planning of the ultimate, overall strategic planning process. As in the top tip above, explicitly link individuals’ roles in the strategic planning process to their PDP. Reviewing the



first section of this framework initially, will help to focus the pre-planning efforts of this initial small group.

3. Develop a detailed proposal (with stages, time-scales, inputs, outputs, expected levels of involvement etc.) for how the whole planning process should be carried out.

Top Tip 3 – Recording activity in PDPs Ensure that this management/ co-ordinating responsibility is explicitly reflected in the individual’s PDP.

4. Seek buy-in for the process from potential participants, and seek approval from the institute

executive to carry out the process. 5. Select and appoint a steering group (or groups) as considered appropriate for the size of your

institute to oversee and steer the process. (See Appendix 3 for details about steering groups.) 6. Refer to the ESTIP framework for ideas and details of how the different phases, sub-phases

and aspects of the planning process can be worked. Amend and update elements of the planning process as you progress.

Idea 2 – Integration with other processes Preparation of the process for how to develop the strategic plan, should also take into account other activities taking place in the institute at the same time, (e.g. PMDS cycle, programmatic reviews, restructuring, delegated authority reviews etc.)

1.9 Limitations of the ESTIP framework The framework is intended as a reference guide for the integration of strategic, operational and PMDS planning, as opposed to a rigid prescription of steps which have to be followed. While setting out a comprehensive range of options, it needs to be sensibly interpreted and applied in the context of each institute individually. The size and resources of different institutes will have a significant impact on how the various elements of this framework can be used. The framework has been written with a view to being relevant not just now (February 2008) but also in the future. A separate SIF project “Developing and Mobilising Talent and Management Capacity to Exploit Future Opportunities” looked at specific management capacities within the institutes sector as they applied at that time. Its report identifies a range of sectoral challenges directly related to strategic and operational planning, which need to be addressed to varying degrees across the sector. It provides a useful context in which this framework should be considered and applied. Three relevant extracts are copied in Appendix 12.

1.10 Relationship to partnership and other processes Every institute has a range of processes which they use as part of the day to day running of the organisation. These range from standing groups dealing with specific activities (e.g. sub-committees of academic council), to specially formed groups to deal with short term specific issues.



Whatever the processes and groups used, it is important that they are taken fully into account when developing the approach for preparing strategic and operational plans. If viewed as an inclusive and holistic process, it should be possible to integrate the activities of a range of existing groups into the strategic and operational planning processes, and avoid the need to establish new groups which could lead to duplication. Evidence suggests that where such duplication occurs, frustration and a sense of disempowerment for staff can, and does frequently result. The phases and sub-phases may help to identify the specific ways and timing in which different groups and activities could be integrated into the overall strategic planning process.

1.11 Integration with PMDS The PMDS used in the institutes is based on the concept of cascading a number of top priority strategic activities from the strategic plan on a yearly basis. These then become the principal (but not exclusive) drivers for the overall institute in a given year.

Idea 3 – Inclusion + Involvement = Empowerment! The underlying principle for developing the strategic plan is to ensure the inclusion and involvement (and therefore the empowerment, commitment and ownership) of all staff at the appropriate time during the strategic planning process.

Combining the PMDS approach with the processes set out in the ESTIP framework provides a circular pattern of interactions. They are aimed at ensuring consistency and alignment between the ongoing development of the overall objectives of the organisation, and the individual and collective contribution of the staff to achieving those objectives. This is illustrated in Figure 3 below.



Figure 3: ESTIP/PMDS relationship

1.12 Relationships with academic planning and programme development

Academic planning is a well established process in every institute. It normally takes the form of programmatic reviews carried out every five years on each individual course offered by the institute. These formal programmatic reviews are supplemented with ongoing, discrete amendments to programmes, based on experience of delivery, student and industry feedback etc. In some institutes there is a shift in approach to a whole-school review process. This involves a more holistic review of all programmes within a school, carried out at the same time, with significant inputs from an external panel of academic peers from other higher education organisations. While focusing on the academic content and delivery of courses, the process also takes a wider view of the context in which the courses are delivered and the resources and facilities needed to deliver them. It seems this process has evolved in part due to the changes to modularised programmes, where courses can now be made up of modules drawn from a wider base across different departments. While detailed academic planning did not fall within the scope of this project, it is essential that strategic, operational and PMDS planning take full account of the outputs of the academic planning process. As the core business of every institute, this will drive many of the considerations and requirements in a wide range of areas such as lecture rooms, labs, student numbers, staffing levels, staff distribution etc. all of which are key parts of strategic and operational plans.

1.13 Role of specified bodies

There are four key statutory bodies with a specific interest in the planning processes used in the institutes. The notes outlined below reflect the situation in November 2008.

The Department of Education and Science: The dapartment was the traditional pay master for the Institutes. Due to policy change in 2006/7, the role of central funding provider for the institutes was delegated to the Higher Education Authority.


The Higher Education Authority: While discussions about introducing a unit costing model for allocating funding have taken place over a number of years, a final model has not yet been put in place. The HEA requires each institute to provide a strategic plan along with its annual funding requests. Based on a review of both submissions, the HEA decides on the funding allocation to be made to each institute. There is an expectation that close and specific links will be made to the goals and objectives in strategic plans and the funding allocated to Institutes, but to date there is no indication of how or if this is applied in practice by the HEA.

Academic Council: The Academic Council is responsible to the Governing Body for setting the academic direction and standards for each institute. The role of the Academic Council in relation to planning within the institutes is confined to this specific area.

Governing Body: Under the legislation establishing the Institutes, each Governing body is required to adopt a strategic plan for their institute. There is no prescription of the process to be used for developing the strategic plan. In practice, the plan is normally developed under the guidance of the Director and the management team and presented to the Governing Body for it’s input and adoption.


Section 2: General Concepts for Strategic Planning


Section 2: General concepts for strategic planning


What a strategic plan is The elements of a strategic plan The different approaches to strategic planning

2.1 Introduction The purpose of this section of the ESTIP framework, is to set out a range of conceptual ideas for how an strategic and operational planning process can be structured to empower staff fully, through close integration with the existing PMDS. Different approaches are represented diagrammatically later in this section. The final choice of approach may be one as outlined here. It may also be an amalgamation of elements of different approaches here. Whichever approach is selected, the phases and sub-phases set out in the ESTIP model Section 3 can be used to fully inform the detailed implementation of the approach to be used.

Top Tip 4 – Plan the planning It is recommended that a decision is taken first on the broad planning approach to be used (see the three approaches outlined below). Then the detailed pre-planning and implementation of the various phases should be started, as set out in the ESTIP model. While the phases define the activities which are considered essential to develop a complete strategic plan, the broad approach defines how the planning interactions will occur with all stakeholders.

2.2 Definitions of ‘a strategic plan’ In the course of researching the development of this framework, it became clear that there is no one single definition of ‘a strategic plan’, which would adequately cover all the types of plans reviewed. All too often, the concept of a strategic plan can be limited to what is contained in a small booklet, which is publicly available, and in which future plans for the organisation are set out. While many organisations have this type of ‘publicity’ document sometimes supported by more detailed operational plans, the research has shown there is often a significant gulf between these two elements (strategic plan verses operational plan) for staff on the ground. The research carried out for the project identified the following areas of concern to some of the staff across the Institute sector:

Low levels of awareness of the existence of a strategic plan or it’s content.



Apathy towards the strategic plan. Low awareness of connections between their daily activities and the long term organisational

goals set out in strategic plans. Lack of structured operational plans to achieve the stated objectives of the strategic plan. Staff are sometimes aware of strategic and operational plans but have limited knowledge of where

they came from. Staff have minimal sense of ownership or belief in the strategic or operational plans.

Top Tip 5 – Staff disconnection from the process

Where any of the above areas of concern exist, questions should be asked about the benefits of investing the time and resources needed to conduct the strategic planning process effectively. Care should be taken to check for the presence of any of these ‘symptoms’ at the start, and to design and use the strategic planning process to ensure that none of them are present when the final strategic plan is produced.

Figure 4 below illustrates the key components which could be included in strategic plan, but opinions and requirements may differ on what is needed for each individual institute. Appendix 2 sets out a more detailed breakdown and definitions of the components of a strategic plan as shown in Figure 4. The definitions of the various components are included for guidance purposes only. They too can be tailored for a particular institute, using the definitions provided as an initial guide. The phases and sub-phases in this framework are designed to meet the requirements of developing any of the four strategic plan types illustrated in Figure 4. The processes to be used with each sub-phase may differ depending on which type of strategic plan is required. This requires choices to be made by the institute at the pre-planning (Phase 1) of the strategic planning process.

.

Top Tip 6 – Strategic plan type It is essential to clarify from the start of the process the type of strategic plan required, and the level of detail to which it should be developed. In the absence of such clarity, the plan is likely to be seen as a glossy public relations document, but lacking in implementable substance and not well connected to the staff who have to implement it.



Figure 4: Elements and types of strategic plan

2.3 The Classic approach This approach is so called because it is a general representation of the process previously followed by a majority of the institutes. In the past this approach has tended to result in Type 1 and 2 strategic plans (from Figure 4). The general approach is relatively simple to implement and would be familiar to most staff. It would be considered ‘safe’ in the sense that it is familiar and wouldn’t need significant explanation. The development process does not explicitly provide for resource and operational ‘testing’ of the evolving plan at the early stages of the process.



Figure 5: Institutes’ classic planning approach

As carried out previously, the emphasis tended to be on the first six steps. Whether through process fatigue or insufficient planning or other reasons, the final stages of operational planning have tended to be dealt with less rigorously, resulting in a sense of remoteness of the plan from day to day activities. A further concern with the approach which needs to be considered and addressed is the tendency for staff to see it as a chore to get through. Once finished, it does not need to be revisited for another five years! This has the effect of making the final strategic plan less than a living document, and with a less than optimum sense of ownership and relevance to staff’s day to day work. Care in the later stages of the approach may help to overcome some of these issues.

2.4 Rolling planning approach The purpose of this general approach is to maintain a live, dynamic and rolling strategic plan, covering all essential elements of the institute’s operation. In this approach, strategic planning is viewed as an ongoing process, driven by the need to periodically update particular aspects of the institute’s strategic and operational plans. It is overseen and co-ordinated by the executive management, but typically is carried out by small groups of individuals with particular interests and expertise in the themes under consideration. The groups dealing with particular themes could be in existence for up to five years, but three years would be more typical, to see out all four phases and sub-phases of the planning cycle outlined in Figure 2 and Section 3. The types of issues raised during the research for the ESTIP framework which this approach may help to address are:



The static nature of the strategic plan (when it’s not seen as an active, living document). A lack of connection between the strategic plan and day to day operations. Lack of ownership by ground staff of the final strategic plan. Ensuring a realistic assessment of the ability to implement the final strategic plan.

The concept behind the approach would need to be fully developed in the specific context of the institute in which it was to be implemented. (This approach was used in some of the Finnish universities examined as part of the international research for the ESTIP framework – see Appendix 18.) Due to its nature, it would take a number of years to initially overlap from the previous strategic planning approach used and adopt this continuous planning approach. The following points would need to be considered if this approach was to be followed in whole or in part:

1. Define the ‘essential elements’ relevant to the institute – there will be more than the seven illustrated in Figure 6 below. Further ideas for appropriate elements may be found in Appendix 1 – Strategic planning themes.

2. Define the functional area with primary responsibility for each ‘essential element’. They would then have responsibility for the strategic planning of their assigned element.

3. Establish who has responsibility for environment scanning (Phase 2.1) and current state analysis (Phase 2.2) activities and how outputs from these processes will feed into the planning carried out for each element. (Note: to work effectively, this approach is likely to need a continuous environmental scanning approach – see bottom of Figure 6 for more details)

4. Agree the mechanism by which the ongoing planning activities in different functional areas will be co-ordinated.

5. Agree the format to be used for documenting the ‘whole institute’ and ‘functional elements’ aspects of the strategic plan.

6. Agree how the overall strategic plan will be updated, in light of the ongoing planning activity. Approaches to plan layout may be relevant here – see Strategic plan formats (Phase 3.3) and Operational plan formats (Phase 3.2).

The phases set out in Section 3 can be applied as appropriate to the strategic planning of each element of the institute’s activities.

Top Tip 7 – Thematic steering groups

For the rolling planning approach to work most effectively, a small steering or monitoring group should be established for each of the particular themes. Each group would take responsibility for all phases of the planning process associated with their theme.



Figure 6: Rolling Planning Model

To work most effectively, the rolling planning approach would need to be supported by an organisational culture reflective of:

Continuous self-review Continuous improvement Positive attitude to change

The management from each functional area, who have primary responsibility for a theme, would lead the strategic and operational planning process for their theme(s), with inputs from other operational areas as required. Executive management would:

Co-ordinate the timing and content between functional areas. Provide the necessary supports (internal & external) to enable planning to take place. Maintain an overall master plan, updated by inputs from the functional areas. Monitor, review and modify as necessary the vision, mission and values for the institute. Ensure ongoing environmental scanning, to provide up to date information to fully inform and

support functional areas planning. (These roles could also be delegated to a standing strategic planning steering group. The potential operation of such a steering group is expanded in Appendix 3.) Individual themes can be strategically planned at any time, and the overall strategic plan is simply updated with the details coming out of the planning process for each individual theme.

2.5 Strategic/ operational (integrated) planning approach In the course of conducting research in the institutes for developing the ESTIP framework, a recurring observation was made – while many individual staff from all sections of the institute were involved in consultation processes, there was less emphasis on getting the collective inputs of the individual functional areas (schools/ departments/ sections etc.) as operational entities in their own right. This omission tends to limit the operational reality testing of the plan, and also may miss the inclusion of key issues of relevance to particular functional areas of the institute.



The general approach outlined in Figure 7 below is to enable the integration of planning both strategic and operational elements for the overall strategic plan, within the same planning process, and explicitly engages schools/ departments/ sections etc. as entities in the operational planning activities. The concept behind this approach is to develop a sequence of interactions that enable a realistic appraisal of the operational factors which will have to inform strategic targets and objectives. It also seeks to ensure that operational plans are prepared as an integral part of the overall strategic planning process. This approach would require an amount of iteration between sub-phases of the overall process. The initial stages (1 to 4 in Figure 7) would concentrate on getting the strategic plan elements in place, while stages 5 to 9 would concentrate on the development of operational plans and the refinement of the strategic plan and objectives. The following four points are worth noting if this approach is to be used:

1. The role of the steering group is critical to the overall success of this approach. (For details of steering groups see Appendix 3.)

2. The role of the steering group is weighted towards reality checking the initial draft ideas coming forward, and ensuring they have been fully informed by the widest possible staff base.

3. The second iteration for operational planning needs to be reality-tested by the group with specific focus on two issues: Contribution to initial strategic objectives. Deliverability.

Modification of initial strategic objectives may be necessary based on the assessments at the operational planning level.

4. There needs to be a significant level of explanation and communication both before and during the process with the different planning groups involved. Clarity on the iterative nature of this process is crucial to ensure that everyone understands the reasons and benefits of iteration. The aim is to develop a strategic plan backed up by realistic operational plans, and developed by the staff that will ultimately have to implement them.

Figure 7: Combined strategic/operational approach


Section 3: The ESTIP Planning Process Model


Section 3: The ESTIP planning process model


The four phases of the ESTIP planning process model: - Phase 1: Pre-planning - Phase 2: Data collection - Phase 3: Plan development - Phase 4: Manage and implement plans

The steps associated with each phase The elements for consideration within each step

This section contains the details of the four phases of the ESTIP Model (Figure 1). Each phase is numbered 1 to 4. Each phase contains a number of sub-phases. The number of each sub-phase within a phase has two elements – the first element refers to the phase, while the second element refers to the sequence within that phase, i.e. Phase 2.3 should be read as phase 2, third sub-phase in sequence, within the overall model.

Phase 1: Pre-planning Figure 8 below illustrates the three sub-phases associated with phase 1.

Figure 8: ESTIP Model (Phase 1: Pre-planning with sub-phases)



Phase 1.1 Executive considerations Setting and aligning the time frames Three principal factors need to be considered: Plan duration: In general, a five year time-frame has been used in most institutes for the period of coverage of the strategic plans. Some institutes have found that strategic plans need to be revised after three years, due to the pace of change in the environment, or due to the timing of external factors such as Higher Education Authority funding changes etc. Development time-frame: While it is not possible to give a specific time-frame appropriate for all institutes, the integration of the planning process into the academic year is perhaps the most crucial point to bear in mind. Figure 6 (rolling planning approach) shows a significantly different approach to strategic planning. Consequently, a substantially different time-frame for this type of planning process would be needed.

Dependent activities: A number of significant activities take place within the institutes on a cyclical basis – programme reviews, PMDS, budget submissions etc. When planning the process to develop the strategic plan, they should be carefully mapped and factored into the time-line for developing the plan, to maximise essential inputs and minimise duplication of effort on related and dependent activities.

Idea 4 – Mapping dependent processes

Prepare a detailed wall planner covering a one year period, showing all the significant internal and external events on which the strategic planning process depends or can draw from. Overlay the strategic planning process activities, to get a clear picture of the optimum sequence to minimise duplication of effort within the institute.

Choosing method(s) of planning Detailed reviews of the strategic plans of the fourteen institutes and other international educational organisations, highlighted the different styles of strategic plans which can be generated. Figure 4 shows a summary view of four broad types which can exist. The choice of strategic planning process to be used will be heavily influenced by the type of plan the institute feels is necessary. There are a number of key elements which need to be present in an organisation’s overall strategic plan (see Appendix 2):

Vision statement. Mission statement. Goals. (long-term, developmental) Objectives. (shorter term, contributing to goals) Deliverables. (very short term, contributing to objectives) An action plan which sets out a detailed, resourced set of operational steps to achieve the

above, and also covers critical success factors and key performance indicators. This enables accurate assessment of progress towards delivering the plan.



Few plans reviewed, covered all of the elements outlined above. Some strategic plans were heavy on vision and mission definition but light on goals and objectives. Others contained considerable detail on goals and deliverables without detailed expansion of vision and mission of the organisation. Still others had developed strong vision and mission elements of their plans but deferred preparing detailed operational plans to achieve the desired outcomes.

Top Tip 8 – Clarify intended output

It is important in Phase 1: Pre-planning to ensure that a clear output from the strategic planning process has been defined. It is equally important to ensure that the planned process takes into account the need for all the elements outlined in Appendix II and that they are all developed as part of the strategic planning process.

Due to the very different nature of the elements of a strategic plan as outlined above, the processes by which each element is developed and the particular staff who need to get involved can be quite different. The phases set out in the ESTIP model will help to take account of these variables and should be treated as separate elements of an integrated process.

Used flexibly and creatively, the phases provide an opportunity to match staff with aspects of the strategic plan process in which they have an interest, without burdening them with being involved in many or all phases. This approach to using the framework will provide the best opportunity to develop staff empowerment through the planning processes.

Type of plan to be generated There are many ways to describe the type of strategic plan required. Figure 4 illustrates one perspective on how to categorise strategic plans. Outlined below are samples of some alternative ways in which types of strategic plan could be considered.

Visionary, with an expansion of the general direction and cultural aspirations of the organisation over the next X years.

Change oriented in relation to processes, structures, expansion, contraction etc. Strong operational focus with detailed deliverables, time-lines, resources etc. Theme focused, with emphasis on particular areas of the institute which are considered to

be in need of strategic review and development (buildings, courses, ancillary services, business processes, resourcing and financing etc.)

Very early in the strategic planning process detailed thought should be given to the question of the strategic plan type required. Early clarity on this will help inform the selection of the process to be used to develop the strategic plan. This will have an effect on the final output from the planning process, which is covered in part in Phase 3.3. Who should decide on the type of plan required? This is likely to be a decision by the Director/ President or Executive board, based on the previous plans and planning processes used, and on the most recent strategic plan which is currently active.



Idea 5 – Deciding plan types A clear rationale for the decision on the type of plan required should be communicated as early as possible to the broadest possible stakeholder base. If staff understand why a particular approach is being taken, they are more likely to willingly and actively take part in the development process.

Review of the previous plan and planning process Use of the ESTIP model does not assume that an institute is starting from a blank page. On the contrary, it is strongly advised that planning at strategic and operational levels should be fully informed by previous experience of developing existing plans and the processes used to achieve them. A realistic review of previous planning processes and their outcomes will provide an essential guide for how to improve the processes, staff’s sense of ownership of the processes, and ultimately the quality of the output.

Strategic management processes

Information and consultation: As part of the national legislation on information and consultation, there is an entitlement for staff to be consulted on matters of significant change in their workplace. Within the Institute sector, this has been given specific effect through the arrangements agreed with trade unions nationally, principally through the National Partnership Forum.

In this context, strategic and operational planning (and any resulting changes) could be considered to come under the scope of the legislative requirements. As part of the design of the planning process, it would be beneficial at the outset to seek the inputs and views of staff union representatives about the process to be used, and the level and type of information and consultation expected during the process. Providing for an effective two-way communication at the earliest planning stage would help to develop and run a well informed planning process.

Environment scanning: An institute’s ability to keep fully abreast of factors and events outside their control, but which have a significant impact on their operations, is perhaps the most important strategic capacity to possess. This supports an ability to respond appropriately and in a timely way, to deal with ongoing challenges. In the context of the ESTIP framework, this capacity is termed ‘environmental scanning’ and is covered in detail in Phase 2.1 and Appendix 6. Closely related to environmental scanning is the ability to keep abreast of the organisation’s internal capacities, which is termed ‘current state analysis’ in the framework. Details are provided in Phase 2.2

f and data mining: The underlying concept here is the ability of the organisation to record, correlate and retrieve data from the diverse range of structures and processes used throughout the organisation. Data can be gathered from routine business processes such as course boards, seminars, trade fairs, employment fairs, sectoral working groups etc. In part, this can be managed through a well structured and maintained Management Information System (MIS) with a well developed reporting mechanism.

However, another significant dimension is the development of processes where staff can provide routine information acquired through their day to day work, but which when collated, presents an integrated picture of trends in the internal and external environment. For example, staff involved in student placements with industry, course leaders developing new courses and student support services working



with current students, can all provide valuable inter-related information for analysis. Independently, they may not be aware of the data available from the other functions. It is important to have processes in place to ensure the information is captured and recorded so that it can be analysed as a whole package, to best inform strategic and operational planning. This topic is developed more fully under Phase 2.1 and Phase 2.2

Key process integration: Two additional processes within the institutes are central to the whole thrust of the development of strategic and operational plans – academic planning and funding and resourcing. One defines the core business activities while the other largely determines the resource capacity to carry out that activity. Each of these processes must be closely integrated into strategic and operational planning. They are likely to form key parts of the SWOT analysis later in the strategic plan process.

Phase 1.2 Steering groups Strategic planning steering group Most organisations establish a small group to act in a steering role for the strategis planning process. While having the same generic name, these steering groups can vary very significantly across organisations in features such as:

Size Make up Role(s) Level of authority Chairmanship Duration

Appendix 3 sets out a range of options for the types and make up of steering groups which could be considered. These options have been developed from the diverse range of steering groups which have previously operated throughout the Institute sector.

Top Tip 9 – Steering groups terms of reference

There should be rigorous clarity on the terms of reference of any steering groups set up and also on the roles of individuals in the steering groups. The involvement of individuals in these groups should also be recorded and acknowledged in their PDPs.

Thematic planning sub-groups If a more conventional planning approach is used (e.g. using the classic approach in Figure 5), consideration should be given to setting up sub-groups to examine the strategic development needs associated with certain types of thematic areas outlined below. These thematic areas span a number of (or perhaps all) functional areas and their strategic development can easily be underestimated or overlooked entirely. Because they span a number of functional areas they may not immediately stand out as aspects of the organisation which need strategic planning consideration. Examples of some of these thematic areas are:

Planning processes



Staff development processes Business processes Information and communications technology (institute wide) Internal communication processes Sources of funding

Appendix 1 provides a detailed list of thematic areas which may provide more ideas, depending on what currently exists in your institute. Note: Figure 6 (rolling model) shows a rolling strategic planning approach which is based on the use of these types of themes.

Planning process communications The most frequently made complaints in relation to strategic planning are often, ‘I didn’t know’ or, ‘nobody told me’ or, ‘I wasn’t asked’. Often, these communication problems arise due to a lack of preparation and a lack of consistent follow-through during the planning process. Given the scale of resources and time used for an strategic planning process, even in small organisations, it is important that effective communications are planned into the process from the start. Often people don’t recognise that they are being communicated with or what the subject of communication is. Consequently, any communication process used should be clearly labelled as such.

It is also important to ensure clarity on the type of communication taking place e.g. at some stages you are informing, and at others consulting (seeking views and feedback) and perhaps at some others, you are involving people in decision making. Appendix 2 sets out a range of approaches to consider for initiating, maintaining and concluding communication with all staff on the development of the strategic plan.

Planning process duration The planning process used to generate a strategic plan generally takes a considerable period of time (up to a year in some cases), and can require considerable resources, both financial and particularly staff time. It is therefore important that careful consideration is given to ensuring the process has a clear time-line set out, and that resources are used on the basis of obtaining best value for the time and money invested.

The academic year is a unique feature of higher education establishments. The strategic planning process should be carefully scheduled to take account of the peaks and troughs of activity in the academic year. This is essential to ensure that all staff can participate without undue impact on periods of heavy workload associated with academic matters.

Idea 6 – Integration with timetables Consideration should be given to co-ordinating some of the strategic planning process activity around formal academic activities. With sufficient forward planning of the phases, maximum staff involvement can be gained with minimum disruption to normal class activity.



Managing staff expectations (on consultation) (…matching the right staff with the right phase of the process.) PMDS provides an agreed, organisation-wide, structured process, through which all staff have an opportunity to indicate their preferred level of involvement in the strategic planning process. It also provides a mechanism for two-way feedback on how the strategic planning process is meeting or has met the expectations of staff. Equally, PMDS provides the institute with a structured opportunity to request the involvement of particular staff in specific activities and also to formally recognise that involvement. Through both the formal and informal meeting processes of the PMDS, it is possible to identify the degree of involvement individual staff would like to have in the planning process.

Idea 7 – PMDS and staff expectations While the strategic planning process is taking place, seek agreement from managers and staff to increase the frequency of informal meetings under PMDS. This could be used to ensure that staff expectations about their involvement in the planning processes are being met, or managed as necessary.

Resource assessment for planning process Careful consideration should be given to assessing the amount of time and resources which will be used to carry out the strategic planning process. Staff frustration can arise when significant amounts of time are committed to activities which seem disproportionate to the benefits or outputs which accrue from the process. Careful assessment and clear decisions on the extent of time and resource allocation to the strategic planning process can help to make the purpose and benefits of the time/ resource commitments transparent for staff. It can also help staff to plan the optimum way to become involved in the process.

Top Tip 10 – Responsibility for phases & sub phases Apart from linking development in planning processes to the PMDS process, it should be explicitly decided who or what groups will have responsibility for each of the phases (and sub-phases) of the strategic plan development. This will help with managing staff expectations and bring clarity aroud where key decisions will be made. It would also help with communication during the process.

Authoring and editing of the final document(s) While it may seem premature to consider this at the very start, there is good reason to clarify who will have responsibility for producing a coherent documentary output, from a process as complex and involved as strategic and operational planning. The primary reason for establishing ownership of this role at the outset is to ensure clarity and consistency between the inputs made by staff, and the final outcome of the process. Evidence suggests that lack of such clarity can cause a significant level of staff disenchantment and disempowerment.

See Phase 3.3 which addresses this point in more detail, later in the reference manual.



Phase 1.3 Wider considerations Aligning with other operational processes Research in the institutes has shown that duplication can easily occur between a number of processes which do not have a direct and explicit relationship but which may have many common elements. For example, programmatic reviews are a standard part of the academic review processes in all institutes, but did not seem to be used directly as an integrated part of the strategic planning process in any institute.

When carrying out Phase 1 of a strategic planning process, detailed consideration should be given to maximising the benefits of staff time and effort used, and minimising the duplication of effort which might arise between the following processes and the strategic planning process:

Delegated authority (reviews) Programmatic reviews Organisational change initiatives (process reviews, structural reviews) General organisational communication Timing of PMDS elements Academic calendar (and its peaks and troughs of activity)

Top Tip 11 – Mapping planning activities

It would be a worthwhile exercise to map all these types of activities (their planned start dates, duration, participants, expected outputs etc.) well in advance of starting the strategic planning process. This ensures the optimum use of staff time and inclusion of the widest base of staff in the strategic planning process.

Spanning academic, financial and calendar years A unique feature of the institute environment is their operation in the context of three distinct ‘years’. The academic year is significantly out of alignment with both the calendar year and the yearly time-frame for budget and funding allocation. When planning the strategic planning process it is important to refer to these three ‘annual cycles. ‘

The academic year will determine many of the peaks and troughs of activity in the institute. Large bodies of work (e.g. Phase 2.2 and Phase 2.4) should be carefully scheduled to take account of these variations in activity.

Experience has shown that failures to align the planning process with some or all of these different annual cycles can result in a sense of disempowerment and disillusionment by staff. This happens because staff feel they haven’t been consulted due to time constraints.

If the strategic plan is being used for the purpose of bidding for funding allocations from the Higher Education Authority, it will be necessary to align the completion and publication date with the point in the funding cycle when funding applications are made. This may require a form of reverse planning (i.e. starting with the required completion date of the plan and working backwards to identify the time windows for all the other aspects of the planning process.



Strategic planning drivers Phase 2.1and Phase 2.3 will help to identify the strategic planning drivers which are most relevant to each individual institute. These may change between strategic planning cycles and are often strongly influenced by external environmental factors. Appendix 1 sets out a general list of drivers (themes) which could be considered and looked for in the early planning phases. Additional research could be carried out on the drivers which are identified as most relevant to each particular institute.

Appendix 12 Extract 1, reproduces section 2.3 of the SIF project report on “Developing and Mobilising Talent and Management Capacity to Exploit Future Opportunities”. This report identifies specific topical areas and associated questions which its authors feel should be considered in strategic planning, in both the sector and individual institutes. They are reproduced in the appendix for ease of reference, and should be considered as key strategic planning drivers.

Planning process training During the pre-planning phase, an assessment should be made of training required by staff to engage in the strategic planning process. Section 4 provides a comprehensive competency framework to help define the training which may be required to support staff engaging in the planning process. Training should be targeted to support developing skills knowledge and behaviours, which staff can use to gain the maximum benefit from the process, and also make the greatest contribution to the process.

The following is a brief illustration of how the competency framework might be used in pre-planning by the strategic planning steering group:

1. Identify the planning process to be followed by the institute. 2. Identify the individual staff members who will work on each specific aspect of the planning

process. 3. Request each staff member to review the competencies required for the particular phase(s)

they expect to be involved in. 4. Ask each staff member to self-assess their experience, level of competence and desired level

of training in particular competencies. 5. Collate all the training requirements for staff expected to be engaged in the planning process

and prepare a training plan. 6. Source and carry out the training.

As a more specific example, if a staff member's only involvement is to take part in a SWOT analysis session, they will require little or no training. If, on the other hand, they are a member of one of the strategic planning committees or other working groups, they are likely to perform better given appropriate training in a number of competency areas.

Determining staff expectations (..on consultation and desired level of involvement.) Research shows that staff at different levels of the institutes have different expectations and interests in the degree to which they feel they want to or can usefully contribute to strategic and operational planning. As part of the pre-planning phase, it is worth identifying those staff who particularly want to be involved, those who want minimal involvement and those who would like to be involved but only at specific parts of the process. Depending on the size of the institute, there are a range of basic processes which could be used to establish this.



Direct, personal invitation to each staff member, setting out the proposed strategic planning process and the levels of involvement possible. Invite staff to indicate the areas and the extent to which they would like to be involved.

Asking all managers with direct reports, to seek the same feedback from their staff. Circulating a general all-staff note inviting staff to participate in the planning process. Using the PMDS PDPs, ask managers to specifically check if, and to what extent, staff want to

be involved in the strategic planning process.

Research for preparing the ESTIP framework has also shown that staff disillusionment and frustration can occur for the following reasons.

1. Absence of a clear process for developing a strategic plan. 2. Absence of connection between the phases of developing the plan. 3. Lack of consistency between the inputs made by staff and the conclusions reached in a final

strategic plan. 4. Absence of a credible operational plan to achieve strategic objectives. 5. Failure to acknowledge and factor known constraints into the planning process.

Top Tip 12 – Ascertaining staff interest Use the PMDS process to ask staff if there are particular aspects of the strategic planning process where they would like to be directly involved. Ask how much involvement they would like, and their expectations from their involvement. If carried out sufficiently early, this could provide strong guidance for the manager or steering group responsible for the process, on the level of resource potentially available for engaging in the strategic planning process. This would be of significant benefit during the pre-planning phase.

Careful pre-planning of the process can help to minimise or eliminate these problems. Phase 3.3 identifies a number of factors related to documenting the plans which may help to minimise some of these issues.

Effective communications about the planning process (See Appendix 2) can also help to avoid staff disillusionment.

Barriers to implementation of strategic plans Due to the dynamic nature of institutes, it is easy to mistake delivery of current services (even at a high level) for achieving the objectives of a strategic plan.

If viewed in the context of making significant changes to infrastructure, courses offered, level of service provided, numbers of students qualified, range of courses provided etc, the strategic plan should have set out long-term developmental goals. Barriers to achieving those goals may not be readily apparent through the high tempo of day to day operations. The following are some of the considerations for barriers to implementing strategic plans:

Absence of operational plans. Inappropriate/ unrealistic operational plans. Insufficient staff buy-in, ownership of strategic or operational plans. Out of date information on internal or external environments. Lack of centralised, accessible information on current operations. Lack of analysis of current information to identify adverse trends relative to strategic

objectives.



Inadequate monitoring processes for comparison with Key Performance Indicators (KPIs) Absence of support or resources to fulfil identified Critical Success Factors (CSF). Problems carried forward from past industrial relations issues. This point is briefly expanded

in Phase 2.2 (Industrial relations considerations), with a suggestion for possible action in the pre-planning phase if considered appropriate.



Phase 2: Data collection Figure 9 below illustrates the sub-phases associated with Phase 2.

Figure 9: ESTIP Model (Phase 2: Data collection and associated sub-phases)

Note: This part of the ESTIP framework sets out a wide range of activities, which could be carried out as part of the data gathering phase to help inform strategic and operational planning. There is no specific guidance on who should carry out any particular activities, since each institute will have its own internal structures and processes to assign such work.

It would be prudent however for the steering group to have full visibility of who is doing the different aspects of the data gathering, and the mechanisms by which it is being co-ordinated and fed forward into the planning process.

Phase 2.1 Environment scanning Introduction All institutes are currently doing some form of environment scanning as part of their strategic planning processes. The environment can be viewed as both external and internal. (For the purpose of clarity in this framework, internal environmental scanning will be called current state analysis and is covered in detail in Phase 2.2) The purpose is to help predict the impact of significant external and internal factors and influences to be taken into account in the development of the institute's strategic plan. This section sets out some alternative approaches discovered in our analysis of practice in the Institutes of Technology, and research into international best practice.



Timing Traditionally, scanning is done as part of the strategic planning process as a one-off exercise, every 3 to 5 years. A number of institutions now track significant external changes on a continuous basis, to provide grounds to update the strategic plan and provide input to annual operational plans. National and regional development plans and underlying demographics do not change frequently but other things do – for example economic migration, economic developments, economic downturns. Key government policies and Higher Education Authority requirements can also change quickly and cause a demand to change some of the underlying assumptions in the institute's strategic plan. It is therefore necessary to strike a balance between responding to many important environmental changes, as against the resource cost and potential confusion in constantly updating the strategic plan. Alternative approaches A number of institutes engaged external consultants to assist in the development of their strategic plans, including the environmental scanning process. One in particular, engaged the same consultants who had worked on the development of local structural plans and therefore had good local knowledge and credibility. However, it is vital that the local and specialised knowledge of staff are also included in the process so that they can feel ownership of the resulting plans.

Often, the scanning work is structured around a process called PEST, which addresses Political, Economic, Social and Technological trends and forecasts. Groups can be set up to look at each of these areas and report back to the Strategic Planning group, highlighting what they believe are the most significant and likely trends which should be factored into the strategic plan. By its nature, this is a type of educated crystal ball gazing when looking five or more years ahead. It is important that as many staff as possible have the opportunity to understand and discuss the alternative scenarios being factored into the strategic plan. As set out in the previous section, there may well be benefit in carrying out key aspects of environmental scanning on an annual basis.

One approach is to identify a limited number of critical variables which make the most difference (using the 80/20 Pareto rule) to the institute’s strategic direction. These can be tracked by the strategic planner or a small, standing joint committee of management and staff - perhaps on a quarterly or semester basis.

Idea 8 – Theme tracking groups

As an extension of this approach, consider having a number of small strategic committees which specialise in tracking key areas such as the economy, changes in the potential student base, international developments, academic developments, competition and regional policy development. The members of these committees should serve for two or three years to gain expertise in the subject matter. It would also be useful to invite external experts to work on these committees.

The idea outlined above could also be synchronised with the rolling planning model as set out in Figure 6.



Top Tip 13 – Shared environment scanning

There is considerable scope and potential benefit, for sharing and comparing this type of high level scanning information with other higher education institutions, both regionally and nationally. Since the same (national) environmental factors will affect most institutes, there are likely to be economy of scale benefits from a shared (sectoral) approach to this aspect of strategic planning.

What should be scanned? The strategic planning group should decide, what should be scanned, to what level of detail and the necessary frequency for their institute. They should also find out what strategic information is already being collected by groups within the institute such as course boards, to ensure that the effort is not duplicated. The scanning process needs to be able to change with circumstances and should be reviewed regularly. Some examples of areas being scanned are shown in Appendix 6, which also contains an example from Edinburgh University. Brand auditing Some institutes have commissioned ‘brand audits’ to ascertain the standing and recognition of their identity and brand in the general public’s mind. This process is typically carried out by a specialised consulting organisation. It can help to inform particular issues with the institute’s public profile, recognition and standing, which may need to be addressed as a specific theme for development in a strategic plan. Feed into current state analysis (internal scanning) The most difficult part of the environmental scanning process could be termed the ‘so what?' test. For each ‘finding’ from the environmental scanning, we could reasonably ask a number of questions:

How, and to what extent, are the most significant and relevant external scenarios factored into the institute strategic and operational plans?

How are the scanning process outputs converted into an assessment of potential risks, and by extension, into a series of actions and inactions to be included in the strategic plan?

This is a crucial phase in the staff empowerment process, but cannot be achieved practically by wide consultation. It needs to be done by a fully representative, well-informed but small, strategic planning steering group. The facilitative and chairing skills of the steering group leader will be important in this regard.



Phase 2.2 Current state analysis (internal scanning) Introduction The purpose of this phase is to assess the capacity of the organisation to achieve its strategic and operational objectives. Typically, it will identify areas for improvement and development, and lead to agreed strategies and plans to make the necessary improvements. It is usually done annually, when it should be combined with the annual planning process. It will inform the current phase of the strategic planning process (development, update or review) plus operational plans and the PMDS process. The approach taken will depend on a number of factors including organisational size and resources and the presence of existing processes for the ongoing review and assessment of performance.

Top Tip 14 – Departmental self assessment

Generally, the process works best when staff and management are involved in some form of departmental self assessment, backed by sufficient objective information (e.g. performance indicators). However, it is also useful to have an objective external view either from a consultant facilitator or from another Institute.

A number of different approaches are in use in the higher education sector- examples of the most common are set out below. Ongoing analysis - Institutional research A number of universities worldwide have identified the need for a more systematic approach to 'Institutional research' - internal information gathering, measurement and storing data about all aspects of their organisations, including policies, performance, capabilities, organisational change and challenges. They find that this gives a more solid base to inform both strategic and operational planning and they use the title of 'Institutional Research' to cover this activity. Directors of Planning and Institutional Research can be found in many organisations including Universities.

The approach gives custodianship of all significant information about the organisation to a central function which builds and maintains a common data repository, which can be accessed by all members of staff (and in some cases students).

The central function provides analytical services to help in the interpretation and analysis of the information and is the co-ordinating and focal point for all survey activity. The function also helps in the development and tracking of key performance indicators and can make a useful contribution to any Benchmarking activity.

The main objective is to assist in improved decision making, policy formulation and planning, by supplying the most up to date, relevant data available.

Examples of the type of information stored would include:

Evaluation (Annual reports of the institute, faculties and schools census). Demographic information, regional development reports. An institute fact book.



Student enrolment, retention and graduation data. Establishment data, organisational information. Financial data by function. Alternative revenue projections. Research activity.

An example of an institutional research approach adopted by the University of Wisconsin is shown in Appendix 10. Internal SWOT analysis This technique is widely used as a simple way of analysing Strengths, Weaknesses, Opportunities and Threats of individual functions such as departments, schools and non academic departments. It is usually done annually and should be part of the combined planning cycle process which includes the PMDS system. If conducted properly, it is a very good method for involving and empowering staff in the overall planning process.

Best results are normally achieved if a facilitator from another function (or external) manages the process to ensure full and open discussion and contributions from all attendees. It is also important that agreed objectives and action plans are developed as well as having a broad ranging discussion.

Good preparation is essential. The 'manager' should ensure all attendees are briefed on the previous year's achievements, including as much factual performance information as is available. This will inform the 'strengths and weaknesses' discussions.

The latest version of the environmental scanning review should also be made available to inform the 'opportunities and threats' discussions. See Appendix 17 for more details on SWOT analysis).

Top Tip 15 – SWOT analysis

The SWOT analysis process is best done bottom up on a department, school and functional basis, and then summarised into a faculty or institute level analysis. Improvement objectives and action plans are agreed as part of the SWOT process and then provide input to the planning and PMDS processes.

European Foundation Quality Management (EFQM) excellence model This approach formalises and extends the SWOT approach. It still involves groups of staff assessing their department or function and agreeing improvement objectives and plans. However, the assessment is done more systematically using a nine part model and a scoring methodology that allows tracking of improvement progress and, if appropriate, to benchmark your organisation confidentially against similar national and international organisations. Many thousands of private and public sector organisations are using this approach, including a number of universities.

This is the model behind the European Business Excellence Award, an award process run by the European Foundation for Quality Management for private and public sector organisations.



The EFQM model consists of nine categories: 1. Leadership 2. Policy and strategy 3. People 4. Partnerships and resources 5. Processes 6. Customer results 7. People results 8. Society results 9. Key performance results

The fundamental concepts that underpin the EFQM Excellence Model are:

Results orientation Customer focus Leadership and constancy of purpose Management by processes and facts People development and involvement Continuous learning, innovation and improvement Partnership development Corporate social responsibility

The categories and concepts are being developed and tailored constantly.

EFQM is based on an annual self assessment of the organisation, done in facilitated workshops at any or all levels. It has been used at the senior management team level in one Institute of Technology, but is most effective when also done at school, department and functional levels, involving all the staff who wish to take part.

Top Tip 16 – EFQM

EFQM is an excellent pre-cursor to developing strategic and operational plans, as well as PMDS team development plans.

Outline of the EFQM approach As with the SWOT approach, the process starts with a distribution of any measurement or other factual data about the organisation's performance and current status, to ensure everyone is starting the process with the same knowledge base.

The group, or sub-group, then discuss how well the organisation is performing in the assigned area compared to previous performance, and the performance of similar organisations. They then score each section confidentially, against well defined matrices, and score their function across a range from world class to poor or not yet engaged.

Scores are often then compared against national averages if a confidential benchmark has been established. However, the main outcome is a set of agreed, prioritised actions to be taken over the following year, with the intention of improving scores at the next annual self-assessment session. These agreed actions are then incorporated into strategic and operational plans as appropriate. They should also be incorporated into PMDS Team Development Plans.



Adapting and adopting a business excellence model Whilst a very valuable approach, the full adoption of one of these models can be very heavy on resources. It will also be necessary to tailor the approach for each institute to recognise their essential differences, and the multiplicity of grades who might be involved. Further considerations and recommended approach are set out in Appendix 5. Balanced Scorecard approach The Balanced Scorecard was developed in the early 1990s to provide a new form of strategic management. The primary purpose is to focus management attention on strategic rather than operational issues. The ongoing review process it provides, is a valuable tool in assessing organisational strengths and development, and is often used in conjunction with the EFQM approach. It too is used by many thousands of organisations in the private and public sector, including a number of UK universities.

The advantage of the system is that it enables management and staff to focus on a limited number of the most important strategic objectives in a holistic manner. It recognises the importance of developing key aspects of the organisation whilst recognising the inter-relationships between them - hence the 'balance'. It focuses on a limited number of key objectives and key performance indicators which everyone in the organisation can understand and subscribe to. It is simple to understand and be involved in.

Staff should have the opportunity to be involved in developing and reviewing the objectives and performance. The balanced scorecard approach can also be used for developing PMDS team development plan objectives. Further details are set out in Appendix 4.

Programme development, review and evolution A range of regular activities take place in institutes associated with periodic review and update of the academic programmes. In many cases these activities are underpinned by research and ‘scanning’ carried out by individual lecturers and course boards. Through correct pre-planning (Phase 1) of the strategic planning process, these activities should be accessed and integrated into the overall planning effort in the institute. This was referred to previously in Phase 1.3 (Aligning with other operational processes). Management and staff competencies and capacities The PMDS process is helping staff to identify areas where they need to develop new competencies and skills, to keep pace with changing requirements and new technologies. For example, many academic staff identified the need for training in new teaching and learning methods. A number of institutes have also carried out an overall training needs analysis to inform the PMDS process. A summary of the PMDS and training needs analysis information will provide valuable input to the internal scanning process.

The SIF project “Developing and Mobilising Talent and Management Capacity to Exploit Future Opportunities” produced a comprehensive report covering the major factors and considerations relating to management competencies and capacities in the Institute of Technology sector. Some relevant extracts of this report are reproduced in Appendix 12, but the full report should be referenced for a detailed exploration of general competency issues.

Section 4 of the ESTIP reference manual provides a detailed analysis of competencies specifically associated with the use of this framework.



Results of employee satisfaction surveys A number of institutes have carried out, or are considering the use of, employee satisfaction surveys for a variety of reasons. If they are carried out, the results would provide useful input to the internal scanning process. For example, the results would be key inputs to the EFQM and SWOT approaches.

It is not necessary to carry out regular staff surveys specifically for strategic planning internal scanning purposes. If the staff are involved along the recommended lines, there will be considerable input from them on all aspects of the workings of the institute. The PMDS process should also provide direct staff input on a range of topics as part of the TDP and PDP processes.

Idea 9 – Planning satisfaction check

If you are developing a generic staff survey, include a specific question about satisfaction with the strategic planning process, from an involvement and empowerment viewpoint. Inputs could also be sought on how to improve the process.

Results of student satisfaction surveys School or Department summaries of the Quality Assurance student surveys, should be included in the internal scanning process. For example, annual trend information would be one of the key measures in an EFQM self-assessment.

Idea 10 – Alumni surveys

Consider surveys of Alumni population (recent graduates) to obtain a different perspective of the performance of the Institute.

Plan performance gap analysis A key part of the internal scanning process is to review and understand the causes of any gaps between previous plans and actual delivery, and propose any necessary organisational or process changes to prevent similar gaps arising in any future planning. Specific remedial action should be part of the formal performance review processes carried out as part of Phase 4 activities. Industrial relations considerations In the past, industrial relations procedures tended to be used to address and resolve organisational change management issues. This arose in part because there wasn’t any alternative approach to pre-empting, preventing or resolving difficulties with change programmes. The institutes’ partnership programme, PartnershipIT, introduced alternative structures and processes to the institutes for handling organisational change.

During the pre-planning phase, there could be significant benefit in reviewing the nature of change management processes used. This could yield valuable information to help inform both the content of strategic plans, but perhaps more importantly, the ways in which consequential change should be handled in future.



Phase 2.3 Stakeholder consultation Introduction In this context, external stakeholders are organisations which have a significant impact on the work of the institutes, or are significantly impacted by the work of the institute.

This section is about designing and running a process to identify and consult with the most important stakeholders as part of the planning process. It includes organisations which provide resources and others which employ graduates. It includes bodies which create national policies for higher education, and others which regulate the quality of service delivery. It also includes organisations responsible for regional and local development.

All institutes have carried out some form of stakeholder consultation as part of developing their current strategic plans. Most consult some stakeholders informally on an ongoing basis, for example through the use of Industry Boards, and by membership of local and regional development committees and fora. Most course boards will have close contacts with 'industry' in relation to specific programme development, student placements or industry consultancy work.

In some cases it is necessary to talk to the same organisations consulted as part of the strategic planning environment scanning process, but in this case the objective is to collect more specific information to reflect in the strategic and operational plans.

It is important to develop a unified institute strategy for stakeholder consultation to include an agreed plan with time-lines, backed by an efficient process. The consultation strategy and plan should be developed and managed by consensus, via a joint working group or strategic planning steering group. Other managers and staff would be seconded to the group at appropriate times to provide specialist knowledge and contacts.

The first part of the strategy would address the following key questions:

Who to consult? What to consult about? How to consult them? When to consult? Who should carry out the consultation?

Stakeholder selection The starting point is to find which organisations are currently being consulted, by whom and for what purpose. Senior management, Heads of faculties and schools should provide this information to the strategic planning co-ordinator, along with proposals for who to consult as part of this process.

The steering group should then agree a prioritised stakeholder list, with a suggested approach covering what each organisation should be consulted about, at what frequency and by what method. Each institute will have their own list of relevant stakeholders. Appendix 7 contains a checklist of the more common ones. It also shows a basic table which could be used to help manage the external stakeholder consultations.



Idea 11 – ‘Ownership’ of stakeholders

Consider allocating individual 'co-ordinating ownership' of each stakeholder to a manager or member of staff as appropriate. Where practical, that person would have primary contact with the stakeholder and co-ordinate all other significant approaches and contacts from the Institute. This approach will provide excellent continuity, avoid duplication and will optimise resources for both parties.

Timing To optimise the time of both the stakeholders’ staff and the institute representative(s), the consultation should cover both short and long-term issues at an annual meeting. This would provide valuable input to both operational and strategic plans. However, the strategic planning committee should also keep a watching brief for significant changes (e.g. in a quarterly review meeting) and carry out additional ad hoc consultations as required e.g. if there is a change of Government, a national or international financial crisis, or significant regional change such as company closures or expansions). Consultation topics The consultation meetings are addressing a variety of topics, seeking views, requirements, and plans covering a one to five year period or as far ahead as is practical. A detailed checklist of potential topics is set out in Appendix 8 covering the following main areas:

Funding Government policies Regional and local development Employment Programme development and delivery Regulation Industrial relations Marketing

Consultation process It is important to optimise the consultation process so that it is cost effective for both the stakeholder and the institute. The stakeholder, in particular, may be approached by a number of different organisations and is more likely to be co-operative and helpful if your approach is professional and efficient.

Good practice in this area might include:

Planning and preparation for meeting - (desk research, file scans, news reviews, briefs). Contact management system - (a log showing all previous contacts and outcomes with each

stakeholder. Expansion of the table in Appendix 7 into a simple data base could be considered.)

Providing continuity in personnel - (using the same institute representative, backed up as necessary by other specialist staff).

Data management and call reporting - (maintain a data base of key information about the stakeholder, plus call reports for all contacts, rapid feedback from individual consultations to the rest of the group, so that relevant information can be used to inform other meetings.)



Avoiding unnecessary, unco-ordinated visits by different representatives from an institute. - (use the contact management system to announce the fact that you are making a consultation visit - offer to raise other institute business as appropriate while on site.)

Provide administrative support to the process and ensure appropriate time is available for staff to carry out this function.

Provide training for staff and managers in the most effective way of doing the consultation exercise - may include both discipline specific and general skills.

Consultation methods A number of approaches can be used depending on the type of consultation meeting being held. Some of the variables to be considered include

The time available. Numbers of people who need to be involved. The extent to which information needs to flow in two directions. Sensitivity of data to be discussed. The type of existing or desired relationship between the participants.

A consultation strategy and plan is developed and managed by consensus, via a joint management and staff working group. Larger institutes have dedicated a member of staff to manage this type of process.

Elsewhere, part of a staff member’s time, supported by a small (4/6) representative planning group, could be allocated to manage the process on an ongoing basis. Other people could be seconded to the group at appropriate times for specialist knowledge and contacts (e.g. research, international recruitment, partnerships) Interviews The interview approach would be an appropriate method where one or two individuals need to be consulted e.g. Higher Education Authority, government officials.

Key interviews will typically be carried out by individual steering group members, accompanied by one of these designated specialists or another member of the group to provide support in the interview and record the outcomes. Basic skills in interview techniques would be required. Presentations and workshops In some cases it is helpful to invite key external individuals to speak to the whole steering group (and extended committee or other groups) followed by a chaired Questions and Answers session. This can help with improving staff buy-in). For example, this could be a useful approach for politicians e.g. political figures, chairs of industry and trade bodies, national secretaries of trade unions, Higher Education Authority representatives, Government and local government officials. Some basic skills in organising and chairing meetings would be required plus a recording and minuting facility. Focus groups In this context, focus group sessions are useful for gathering information from groups of stakeholders, for example at second level schools where you are consulting teachers and parents. Typically the representative from the institute would introduce the session by presenting current ideas and tentative plans.

A number of focus groups would then consider these and develop their own ideas, suggestions, priorities, questions or concerns. These would be presented back to the main body for a facilitated discussion aimed at producing some level of consensus. Running these sessions is likely to involve two or more



representatives from the institute, having a range of skills in both the subject matter and the facilitation of focus groups. Surveys Unless done extremely well, surveys often fail to produce a useful, reliable result. This is because of a combination of survey fatigue, poor questionnaire design, and lack of motivation for people to respond. On the other hand, surveys can provide low cost access to large groups of stakeholders, particularly students and graduates. To avoid survey fatigue in these important groups it is important to minimise the number and frequency of surveys by having an integrated approach, within which several topics can be covered, including input to the stakeholder consultation process.

Survey planning and design appears to be easy, but you should consider obtaining specialised advice or training in:

Survey planning (subject, scope, objectives) Questionnaire design (question types, structures, scoring) Communication methods (interview, post, email, web) Use of technology (e.g. internet, mobile phones, iPODs) Incentive strategy (alternatives, practicalities)

Phase 2.4 Staff consultation Introduction This section defines who might be considered as internal stakeholders and suggests how they should be involved in consultation about the development of the strategic plan. Definition Internal stakeholders would normally include staff at all levels and local trade union representatives. Staff could include dedicated contractors and specialised assignees such as doctors, chaplains, nurses etc. In some cases it might include local centres or groups working very closely with the institute such as business incubation centres etc. Students would normally be included as 'external stakeholders' as the beneficiaries of the services provided by the institute.

There are no hard and fast definitions which would apply to all institutes. All institutes should carefully consider who constitutes staff for the purpose of planning their ‘internal consultation process. Staff involvement in the strategic planning process The recommended approach is to encourage the staff who want to be involved, to take part in as many of the processes set out in this reference manual as is practical. Based on some experiences to date, a number of staff will need reassurance that their involvement will be meaningful, efficient and recognised in terms of workload planning. This was also referred to in Phase 1.2 – Managing staff expectations.

As described elsewhere, the whole planning exercise needs to be carefully planned and resourced. The various working groups and committees need to be expertly run by trained chairpersons and members. Staff representatives would be involved in all of the phases described earlier - all staff would normally be involved in the operational plan / PMDS creation and ongoing review relevant to their particular functional area. Other general aspects of the process where staff could seek to be involved are:



Phase 1: Pre-planning Phase 1.2: Membership of pre-planning committee and strategic planning steering group.

Phase 2: Data gathering

Phase 2.1: Environment scanning - membership of general or specialised working groups and standing committees.

Phase 2.2: Current state analysis - e.g. functional group self-assessment, SWOT analysis, EFQM.

Phase 2.3: Stakeholder consultation - e.g. meetings with employers, schools, other academic institutions.

Phase 3: Plan preparation Phase 3.1: Develop themes - membership of the strategic planning steering group, specialised

working sub-groups and standing committees. Phase 3.3: Plan collation - as members of the strategic planning steering group and specialised

editorial groups. General staff consultation Some staff may be unwilling or unable to play an active role in the strategic planning process, but would still like their views on important matters, to be heard.

One approach to address this is to establish a process whereby all of the various strategic planning committees and working groups publicise their work plans and progress on the intranet, and invite appropriate, timely input from members of staff. Access to ongoing work would be made readily available to all staff, but responsibility for interacting with the process rests with the staff member.

Top Tip 17 – Staff activated inputs

If the approach outlined above is being used, it should be carefully planned in Phase 1. It should be repeatedly emphasised as the expected method of interaction, with staff who are unable or unwilling to play a more active part in the strategic planning process

In addition to this, it is likely that a number of the working groups or standing committees will want to consult individuals or groups of staff with particular expertise in specific areas, (e.g. on developing industry specific research opportunities). Local trade union consultation The role of the local trade union representatives in the strategic planning process is very important and needs to be agreed and clearly defined in each institute. They will clearly have a very strong interest in understanding and responding to the possible implications for their members, of the strategic directions and options being considered.

Their earliest involvement will give early warning of instances where change proposals may have an unintended or unexpected impact on staff terms and conditions. This would enable a joint problem solving approach to be adopted by all parties, to balance the need to continue to develop the institute strategically, while also protecting the terms and conditions of the staff.



Timing of consultation While staff consultation is shown here as the fourth step in the second phase of the planning process, in practice it will be necessary to engage with staff in a consultative way at each level of the organisation, consistent with the topics being consulted on and the sub-phase within the overall planning process.

As new significant sub-phases progress, particularly in Phase 3, it would be prudent to ensure consultation with staff is carefully planned and pitched, to involve those most directly affected by any ideas and proposals being considered or developed.

Idea 12 – Omnibus staff surveys

Consider using an institute omnibus survey, (e.g. once per semester), in which all staff could be surveyed on a range of current topics. This could also help to build a useful data base and feed into current state analysis and trend plotting. This also relates to the point made in Phase 2.3 on surveys.



Phase 3: Plan development

Figure 10 below illustrates the sub-phases associated with Phase 3.

Figure 10: ESTIP Model (Phase 3: Plan development)

Phase 3.1 Develop themes Purpose Having completed the essential data gathering in Phase 2, the purpose of Phase 3.1 is to develop an initial detailed draft of the strategic plan framework, which can be used later for preparation of operational plans by the schools, departments, sections etc throughout the institute.

The basic sequence for developing the first draft of the strategic plan would normally be:

Prepare statements on vision, mission and values for the organisation. Select the themes under which the overall plan will be developed. Develop strategic goals for each theme. Develop strategic objectives in respect of each goal. Identify the principal functional areas of the institute associated with the themes/ goals/

objectives. Be prepared to iterate between this Phase and Phase 3.2.



While this phase should be relatively short and is likely to be carried out by the executive, the steering group, editorial committee or perhaps one designated individual, it is important because it sets the foundation framework within which the rest of the detailed strategic and operational plan will be created.

Depending on the size and structure of an institute, some of the themes could be closely aligned with specific functional areas e.g. staff development, research, teaching and learning etc, if specialised areas exist for these. Appendix 2 provides definitions of the various component parts of a strategic plan. Developing vision, mission and values statements Depending on the type of plan being developed, the previous plan type and when it was developed and the relevance of the current vision, mission and value statements, it may be necessary to give specific attention to developing these aspects of the strategic plan. In the absence of clear statements covering these features, it will be difficult to build coherent detail around the rest of the plan. Analysis of data collected to date One of the key activities which must be carried out is careful analysis and collation of data gathered in Phase 2. The following is a sample of some of the areas likely to yield up data for analysis:

Academic frameworks and plans Quality ethos Human resources Communications Flexible learning International students Institute services Learner support Lifelong learning Research Multi-campus framework Social inclusivity Teaching to learn New programmes & structures Regional role National and local economy Competition with other providers Industry requirements and demands etc.

A sub-group of the main steering group could be appropriate to carry out this data analysis and to structure the data in a format that will be:

Easily understood, mainly by those who have to use it for theme development. Easily accessed, mainly by those who have to develop strategic goals. Relevant, mainly to those who will need to develop operational plans under the themes and

goals. Developing strategic themes These themes will form the broad basis for further and ongoing development of the institute as a whole over the period of the strategic plan. Typically, the themes will be based on

Progress on achieving the deliverables of the previous strategic plan. Outputs from the environmental scanning processes (external and internal) from Phase 2. Outputs from the external and internal consultation processes in Phase 3.



The themes should have a logical relationship to the data accumulated from Phase 2, and that relationship should have been derived from a careful analysis based on the environment in which the institute is operating, and its internal capacity to operate – both of which were established from Phase 2.

Appendix 1 sets out a general list of themes, which have been distilled from a detailed review of the strategic plans of the institutes and other third level organisations. The list is extensive and should be used as a prompt to develop the specific ones relevant to each institute. Who should develop the strategic themes? This is an important phase because it sets the framework within which the detailed strategic plan will now be developed. Great care should be taken to ensure transparency and consistency between the outputs from the initial data gathering and consulting phases, and the themes which will be used for structuring the strategic planning process.

In Phase 1 it should have been decided who would have responsibility for key decisions in each phase. The following groups or individuals could be tasked with responsibility for theme development.

Steering group Editorial committee Designated drafter Chair of the steering group President/ Director Executive

Foresight planning and scenario planning Foresight planning was used by one institute to help to develop strategic themes for their strategic plan. Foresight, generally, is accepted as involving the consideration of alternative long-term futures (ten years plus). Having considered various futures, the organisation considers appropriate ways to respond to them, and they become the basis on which more detailed operational planning can take place.

Appendix 13 sets out a summary account of how one institute used Foresight Planning and Appendix 14 provides a short synopsis of the use of Scenario Planning in another institute.

Both processes are closely related and greater detail on them can be easily retrieved by library or internet searches. Developing strategic goals and objectives When the initial themes have been identified, the next step is to prepare the high level goals and objectives associated with each theme. At this point, the processes of Phase 3.1 and Phase 3.2 begin to significantly overlap, as represented in Figure 2 at the beginning of this framework.

In general terms, the following sequence would be a typical flow to follow:

Step Responsible for development Iterated down to / up to

Develop draft themes

Executive or steering group Down to school management level who feed back up comments and observations

Modify themes based on feedback and develop high level goals and objectives per theme

Executive or steering group Down to school and department levels, who provide initial ‘sanity feedback’, and start outline operational planning

Refine goals and objectives, and more specific targets

Steering group or school management Down to department level, where more detailed plans are prepared to



show how the objectives might be achieved over a 1/2/3/4/5 year period

Detailed operational plans (for one year ahead)

School and department management Back up to steering group for collation into overall strategic plan

The information and communication flow implied in the table above would not always be linear and would need to be open and interactive.

Below, reference is made to the benefits of a common operational plan format for ease of collation into an overall strategic plan framework. This would not prevent the plan owners at school, department, functional area levels from having their own more detailed plans and layouts for their own internal tracking purposes (see Formats for presentation below). Risk assesment Strategic and operational plans are a ‘wish list’ of what the organisation would like to do in the future. The plans set out how the wish list will be achieved. Since we can never be certain about what will happen in the future, there is always a ‘risk’ that the plans as formulated will not be realised or may not be capable of being realised. For the purpose of completing a comprehensive and realistic strategic (or operational) plan, it is prudent to carry out some form of assessment of the potential problems that might be encountered when implementing those plans. For planning purposes and to minimise workload, it would be beneficial to carry out a risk assessment of each goal and objective being set in the plan. The process of assessing risk is best carried out as an integral part of work of formulating the goals and objectives in the first instance. This implies that different groups, working at different levels of the planning process would carry out their own risk assessment for their particular areas goals and objectives. Establishing a common and consistent way for assessing and recording these risks will allow the management teams at various levels to review the ‘risk log’ at a level of detail appropriate to their needs. Appendix 19 provides a more detailed approach for how a risk assessment may be carried out and recorded during plan development. The resulting ‘risk log’ would normally be kept as a separate document and updated periodically as circumstances change. It could also form an appendix to the main plan document. Common sense should be exercised in deciding the level of detail pursued when generating a risk log. Formats for presentation In general, simple table formats will tend to work best to communicate, collate and update information associated with themes, goals and objectives. The following headings would be typical for these aspects of the strategic plan:

Goal/ objective Deliverable/ outcome/

metric Target dates Responsible (function or

individual) In terms of presentation, it may also be necessary to consider the relative priority of the themes, goals and objectives. This could be done by use of an indicator column in a table, or simply by the sequencing of the items in a table format. For later use in the PMDS process, prioritising may be worth considering at the drafting stage. Depending on the level of detail being worked, additional headings for consideration might be:

Resources required (finance. equipment, facilities etc)

Staff involved Dependencies Inhibitors

These could also come into play at the more detailed level of operational planning.



Communication with a wider audience While all levels of the organisation will come in contact with the evolving details for their own operational areas, a mechanism needs to be considered for how to ensure cross-functional awareness is maintained. This is important to ensure that ideas being developed in one area don’t inadvertently have an adverse impact in another. A number of options are available to help foster good cross-functional awareness:

Use of a common template for providing upward feedback Posting of working drafts for each functional area on a dedicated intranet planning site,

accessible by all staff. Issuing of periodic notices to all staff of the availability of particular draft documents on an

intranet site. Inclusion of a column in the table showing ‘related to’, to explicitly show links to other plan

elements.



Phase 3.2 Operational planning Introduction The SIF project “Developing and Mobilising Talent and Management Capacity to Exploit Future Opportunities” carried out a detailed review of the management capacity within the Institute sector. Some of its findings and recommendations directly overlap with the project which generated this ESTIP framework. Appendix 12, Extract 2 raises one key point in relation to implementing strategic plans.

This highlights the importance of and need for careful operational planning in the context of strategic plan development. Without a strong implementation plan underpinning the strategic plan, it is likely to lose focus over time and not be implemented to the maximum extent possible.

The ESTIP model’s Phase 3 provides for an iterative approach between Phase 3.1 and Phase 3.2 to ensure that strategic themes are realistically implementable, and that operational plans take full account of the strategic direction set for the institute.

Top Tip 18 – Strategic and operational plan alignment To ensure the optimum alignment between strategic and operational plans, the combined strategic/ operational planning model described in Figure 7 (or a close variation), should be strongly considered to ensure the significant issue identified above is adequately addressed.

What do we mean by operational plans? For the purpose of clarity, operational plans are as defined in the glossary of terms at the start of the reference manual, repeated here for ease of reference:

“A schedule of specific activities (and the associated details answering who/ what/ how/ resources etc) which need to be carried out to achieve the goals and objectives set out in the strategic plan”

The operational plan IS NOT intended to be a listing of the routine, day to day activities within a functional area. Principles guiding operational planning While there isn’t a specific way to carry out operational planning or to generate an operational plan, it should be guided by some basic principles:

The planning should be carried out within the functional area which has responsibility for achieving the stated goal and objectives.

The planning should be led by the functional manager with responsibility for the area in which the objectives will be achieved and delivered.

The planning should involve all those staff who will directly contribute to achieving the objectives, or who will be affected by the implementation processes used to achieve the objectives.



Idea 13 – Principles guiding operational planning

These principles could act as a form of check list to help functional managers to decide the where, who and how of developing operational plans.

Planning process There isn’t a single process which can be used to develop operational plans. In general, for an operational plan to be credible it must be able to provide answers to some basic questions about each individual objective, such as:

What are we trying to achieve? (Specific objectives) Stepwise, how do we propose to achieve it? (Tasks to achieve objectives) Who has responsibility for different parts of achieving it? How will we know if we’re achieving what was intended? (metrics, KPI’s etc)? What timing issues are associated with achieving it – deadlines or just time-lines? What resources are required – people, funding, equipment, facilities? What enablers, inhibitors, dependencies relate to achieving the object and our planned

approach to achieving it?

The processes and approach used to prepare the operational plan will largely depend on the size of the functional area involved, and its established ways of carrying out its business. The questions posed above will be valid and must be addressed, whatever the local set up might be.

In practical terms the following is an outline of sequential steps which could be considered for developing operational plans at functional area level:

1. Ensure all the local team members are kept fully informed of progress in phases 1 and 2 of the strategic planning process.

2. Brief the team on the strategic goals and objectives to which they must contribute. 3. Review the options for process, (from this section of the ESTIP reference manual) and layouts

for developing the operational plan (see Appendix 15 for layout ideas). 4. Prepare the framework for recording the details of the operational plan for your functional

area – keep in mind the format that may be required for upward feed into the organisation strategic plan, along with the format (perhaps more detailed) you need locally, to capture essential details which are locally relevant.

5. Map out an agreed time-line with the team and the sub-groupings of the team (if appropriate), who will answer the key questions (see questions above) for each operational object or task.

6. Hold the individual planning sessions with each of your sub-groups. 7. Collate each sub-group’s output into your functional area’s operational plan. 8. Feed your functional area operational plan, in the agreed format, forward to the organisational

strategic planning steering group.



SMART planning Both the setting of objectives and the preparation of plans to achieve objectives can make use of the mnemonic SMART to guide their preparation. Depending on the reference you read from, SMART can stand for the following, as it relates to the setting of objectives (strategic or operational):

S – Specific M – Measurable A – Agreed (or Achievable) R – Relevant (or Realistic) T – Time bound (or defined)

Appendix 16 provides a framework of questions to be answered, mapped against the letter of the mnemonic. It also provides two additional mnemonics which may help to focus the operational planning process. The process outlined above can work very smoothly when integrated with the development of action steps in a strategic or operational plan. The seven steps should be a natural part of the discussion around developing tasks in an action plan and testing those actions to see if there could be any problems implementing them. The table format for recording this risk assessment part of the discussions can be completed at the same time as the action items in the plan are being decided. It should ensure a full discussion of all aspects of any actions being considered, rather than being seen as a separate activity to be carried out. It should be an integral part of the planning process. The risk log is just a structured way to record this improtant part of the conversation. It will also provide a useful reference point for reviewing plans at a later stage in the implementation cycle. Operational planning and PMDS

Overall PMDS process. The PMDS process is intended to provide a means of prioritising the team’s activities in line with the strategic objectives of the organisation. The TDP process helps to identify a subset of activities, on which the team (at whatever level) will focus their efforts over an agreed period of time (typically one year, but could be longer or shorter for specific objectives). Appendix 9 provides details of the PMDS.

Team Development Planning. It may be useful or appropriate to use the TDP process to help develop the operational plans needed to contribute to the overall strategic plan. This could become a discrete task that a team could prioritise for a particular period, coinciding with the strategic planning process. It could necessitate running a TDP process out of the normal one year cycle, but would have the advantage of integrating two processes which are very closely related, and making the most efficient use of staff time to meet the requirements of both processes. Figure 3 illustrates this point graphically.

Personal Development Planning. PDPs are intended to provide an agreed means of aligning the activities and development of individuals, with those of the team and by extension with the whole organisation. The PDP process involves individuals in the detailed planning aspects of strategic and operation plans, relevant to them. It gives people a sense of the content of the planning process, and it builds commitment in the implementation of plans. Ultimately it fosters staff empowerment. Developing/ using key performance indicators (KPI) For the purpose of the ESTIP framework, Key Performance Indicators (KPIs) are quantitative and qualitative metrics used to quantify objectives, and to enable assessment of progress towards achieving those objectives. KPIs can also be developed and used to "value" difficult-to-measure activities such as the benefits of leadership development, engagement, service, and satisfaction. KPIs are typically tied to an organization's strategy (as exemplified through techniques such as the Balanced Scorecard).



KPIs will differ depending on the level within the planning process at which they are defined.

In the context of the ESTIP framework, KPIs should be developed by each group or team, at each level of the planning process. The KPIs defined by the strategic planning steering group, will differ from those set by a local team developing their detailed operational plan. The KPIs should provide clear and unambiguous metrics, which are locally relevant and understood, against which progress towards achieving desired outcomes can be clearly evaluated by the team setting the objectives and plan. Operational plan formats Since operational plans will tend to be generated at department or school and functional area levels, it is clear that a number of operational plans will contribute to achieving strategic objectives and goals. For ease of collation into an institute operational plan, it would be desirable to have a standard format in which each area would record a summary of their operational plan. Such a standard format would not preclude any individual section from having their own expanded planning document for internal use, but a standard format would be important to minimise collation and synchronisation issues across functional areas. Three formats for operational plans are outlined below with an accompanying graphical illustration for each in Appendix 15. Gantt chart: A Gantt chart is typically generated in a computer application such as Microsoft Project or equivalent. It can also be produced on a basic board but this is very cumbersome to update. The Gantt chart can be constructed to reflect time-lines, resources, dependencies and is a commonly used tool in project planning. It can be used in a more basic way for the purpose of presenting the relevant information associated with operational plans. If set up electronically, it has the advantage of being able to quickly show the impact of changes to one activity on other activities in the chart. Network diagram: Derived from the same type of software packages as Gantt charts, they are a different format for presenting the same basic information. Their suitability is dependent on the level of detail which needs to be visible when reviewing the operational plan. Table Format: This is a basic, flexible and familiar format, good for rolling up and collating into an institute strategic plan, but too rigid if required to actively track the details of implementing an involved series of complex inter-related tasks at department or functional area level. This format can easily be expanded locally to a more detailed format for their own operational purposes.

Phase 3.3 Plan collation Writing the plan Writing up the strategic plan can be relatively straight forward at one level. Unfortunately, if the rationale for the plan’s content is not clear to everyone involved in its development, there is a significant risk that staff will feel disenchanted and disempowered. This was previously referred to in Phase 1.3 under ‘Determining staff expectations’

To avoid these pitfalls from a staff empowerment perspective, a number of preventative steps can be considered:

In Phase 1, give early consideration to the formats most appropriate to enable a collation of inputs from a number of functional areas, and to bring them into a single ‘rolled up’ (high level) operational plan for each strategic theme and its associated goals.



Identify clearly how more detailed local operational plans are ‘rolled up’ to produce high level operational plans to support delivery of strategic themes and goals.

In the communication processes (see Appendix 2) and in any briefing sessions with staff, be explicit in how the detail is going to be summarised in the general.

In the final strategic plan document, provide specific references to local operational plans, to indicate the sources of any information which has been ‘rolled up’, and where staff can get more details if they wish. This will help to make ‘rolled up’ high level plans more transparent.



Document authoring and editing In general it is not practical for a group of people to physically write a single document. The most effective way to write such a document tends to be to assign the authoring job to one individual, and to use a small editorial committee to review and provide inputs, comments and critique based on an agreed set of criteria.

Authoring: The author should be familiar with both the processes and content used throughout all sub-phases of the planning process. It is likely to be the individual responsible for the overall planning process, or a designated individual who had that specific role assigned at the beginning of the process (see Phase 1.2).

Editing: The scope of this role can go beyond the traditionally understood one. It should encompass a review of the documents to ensure consistency between inputs from the process and the final output. It also serves as a mechanism to ensure that no loose ends are left in terms of ideas put forward, but not included in a final ‘product’. Every effort should be made to revert to individuals or groups with the rationale for why something wasn’t included, or an explanation of how it was included but may not be visible in the form of the final write-up. This role is likely to be best handled by a very small sub-group (up to 3) of the main steering committee. Strategic plan formats Layouts and formats for the operational aspects of the startegic and operational plans were shown earlier in Phase 3.1. This section however, refers to the layout and format of the documents which might be used to communicate particular aspects of the plan to a variety of parties with different interests in the plan. In most cases, institutes had a single document (‘The glossy booklet’) which constituted the strategic plan. This presentation format seemed to have a significant effect on creating the sense that the plan was cast in stone, not to be changed until the next planning cycle in five years time! To make the strategic plan a ‘live’ document from a staff perspective, may require alternative approaches to how the content is presented. A number of ideas are outlined below which could be considered:

Loose-leaf binding – In this case individual sections, themes, goals, operational plans could be updated without the need to change the entire document. This would take account of any environmental or internal, unexpected changes.

Loose-leaf card folder – similar to a binder but aimed at a more restricted audience, and lighter on detailed content, but still with the possibility for easy updating without the need for a full reprint.

A5 booklet – A summary format, aimed at particular audience types and likely to contain high level summary details

A4 glossy booklet – more detailed than an A5 booklet but with less detail than a binder. Perhaps similar type content to the card based folder idea but presented in a more traditional way.

An e-map – an electronic map showing all the documents which would go to make up the integrated strategic and operational plans for all functional areas of the organisation. Likely to be restricted access to staff only, and likely to be used internally for cross-referencing.

A final strategic plan, with supporting operational plans could take any or even all of the above formats. The particular format may be determined by the specific target audience – e.g. the format and content may differ for a Higher Education Authority funding submission, as opposed to a promotional version aimed at students, or that to be used annually for progress reviewing by staff. The final choices rest with each institute and will in part refer back to some of the factors considered at the start of this reference manual in Phase 1.1.



Phase 3.4 Strategic plan publication Printing and publishing the plan The printing, publishing and dissemination of the strategic plan will depend on the decisions made from the preceding section ‘Strategic plan formats’. Whatever format is used, there is likely to be a design process needed to present the plan in a way that is consistent with the organisation’s other publications.

The standard considerations of document design and layout, hard copy printing, PDF format generation, website accessibility and links from or to other websites are all standard practice for all institutes. Launch the plan It would be useful to consider the formal launch of the final plan as an integral part of the whole planning process. This would have the added benefit of ensuring that all staff identified a direct connection between their involvement and contribution to the planning process and the final formal outcome of that process. It could be used as a celebratory occasion for the entire institute, and would help to build on the sense of empowerment generated through the planning process.

Recognising staff involvement

Idea 14 – Implementation progress updates To keep the strategic plan as a ‘living document’, consideration could be given to posting extracts from the plan in relevant areas around the Institute. They could be used to provide updates, to be posted periodically, to keep the plan ‘alive’ for students and staff.

A formal launch event would also provide a good opportunity to recognise the contribution and participation of all staff in the planning process. Every staff member who took part in the planning process should be personally sent a copy of the plan to acknowledge their involvement. Distribution of plan All of the organisations and individuals external to the institute who were consulted or involved in the planning process should be forwarded a copy of the plan when the process is completed. If different formats of the plan are being used for different target audiences, this should be taken into account when drawing up the distribution list. As part of the follow-on process for managing the plan implementation, provisions should be made for keeping these external participants updated with any significant amendments or changes which are made during the lifetime of the plan. Document version control and level control Depending on the formats used for recording the final plan, it may be necessary to put a document version and level control system in place. If a rolling planning process is used this would be essential since the content of both strategic and operational plans would be likely to change on an annual basis.

It is not practical to suggest one specific approach for version and level control, since each institute will have its own particular approach. It is strongly recommended that some system to manage and control document versions and level, be put in place at the time of initial publication.



Phase 4: Manage and implement plans Figure 11 below illustrates the sub-phases associated with Phase 4.

Figure 11: ESTIP Model (Phase 4: Manage and implement plans)

Introduction There is an obvious need to continually monitor and review performance and plan delivery, in order to take any corrective action, and if necessary, to change the plan. This applies to all levels of plan from the strategic and operational plan to the personal development plans produced under the PMDS process. Wherever possible, the processes for review of the various plans should be co-ordinated to avoid duplication of effort. For example, an annual review of operational plan performance could be integrated with end of year TDP reviews, and also be incorporated into an annual review of the strategic plan as described below. This approach not only saves effort but ensures that any decisions are based on consistent data. The ongoing use of some of the current state analysis approaches described in Phase 2.2 will greatly facilitate the monitoring and review process, (for example Institutional Research, EFQM and Balanced Scorecard). However, the overall approach selected will vary according to the size of institute and the availability of ongoing performance data.

Phase 4.1 Strategic plan It is important to ensure the continued validity of the strategic plan, particularly where it is produced at infrequent intervals such as every five years. This involves a high level review of progress against the main (operational) goals in the strategic plan, usually carried out twice a year. The objective is to:

Ensure that strategic goals in the strategic plan remain relevant and that plans to achieve the goals are being carried out.

Modify the goals and plans to reflect significant changes (internally or externally.



Initiate any necessary corrective action

Typically, the strategic planning steering committee (or equivalent group set up for this specific purpose or perhaps the executive) would meet at the start of the annual planning cycle, and again half way through the year, to review progress against the strategic planning. They would consider a series of ‘variance’ reports covering progress in key areas plus an update on any significant changes highlighted in the ongoing environmental scanning and stakeholder consultation processes. The strategic planning committee will recommend appropriate actions and changes to the senior management team, who will evaluate and assess the proposals from a financial, policy and resource perspective, before submitting the agreed changes to the Governing Body for approval. The agreed revisions should then be communicated to staff and relevant stakeholders.

If the institute is operating one of the continuous assessment and review processes referred to previously (e.g. EFQM, Balanced scorecard, Institutional review), these will provide ongoing information to support the strategic planning monitoring process. If not, information for this process will have to be collected in the traditional way. Whichever approach is used, it is important to involve relevant staff, working with the designated strategic planning manager/coordinator/ committee in producing the ‘variance’ reports referred to above. This can be achieved by setting up small, ad hoc working groups or sub-committees reporting to the strategic planning committee. Near term operational plans (i.e. current and following year depending on timings) would also be updated to reflect the agreed changes (see below).

Idea 15 – Monitoring implementation progress

An alternative approach, which builds expertise and provides continuity, is to have a small number of standing committees, each responsible for tracking a key area of the strategic planning. For example, there could be committees for research development, strategic partnerships, student numbers, programme development, internationalism. Staff and managers would, typically, serve on these committees for two to three years, with a planned and phased turnover process.

Contingency planning

The overall planning process is likely to take a considerable amount of time and resources. On completion, there will be a natural tendency to resist making any significant changes to the plans developed during the process. Efforts will focus on implementing the plans as formulated.

However, circumstances could arise where the best formulated plans could be overtaken by events, over which the institute cannot exercise any control. Significant changes to the external environment or the internal capacity of the institute could arise, such that contingency or re-planning would be the only credible option to follow.

Examples of circumstances which could give rise to a need for contingency planning might be:

Significant shift in the funding allocation to the institute.



Significant decline in student numbers (e.g. fall off in foreign students). Significant economic turmoil in the national/ international economy (e.g. caused by the

credit crunch, the Gulf War, stock market crash etc.) Down sizing or closure of a significant industrial client company (taking bespoke courses

etc.) Major on-campus event (e.g. destruction of a building).

If contingency planning was required, it is likely to lead to the following broad sequence of events:

Initial detailed analysis of why the need for contingency planning has arisen. Analysis of the specific impact of the external or internal causal events and the relevant

time scales which apply. Communication with staff on the changed circumstances and the need for contingency

planning. Decision on the contingency planning process to be used and the time scale for carrying

out the replanning. Carry out the contingency planning required. Communicate the outcome of the contingency planning process to staff and implement

the revised plans.

Contingency planning process

Due to its nature and the resons for it being necessary, the contingency planning process is likely to be limited in its scope, take a significantly shorter amount of time than the main planning process and feed in an amendment to the established strategic and operational plans. Depending on the scale of contingency planning required, there are a number of options available for carrying out the lanning process:

Re-form the steering group that prepared the original strategic plan. Form a sub-group from the initial steering group. Form a sub group of the executive to conduct the contingency planning process Form a completely new steering group.

The overall planning process is likely to be similar to the original planning process but significantly more limited in the scope of factors to be considered and the duration of the process.

The outcome of the contingency planning process, in terms of structure and content, would have to integrate with the original plans and represent an update to those plans.

Phase 4.2 Operational plans The strategic plan should be supported and implemented by a series of multi-level operational plans. The purpose of this sub-phase is to ensure that the objectives set out in the annual operational plans, are going to be achieved if still relevant, and changed if no longer relevant. Operational plans are reviewed and updated annually but should also be reviewed at least once at an appropriate time during the academic or fiscal year. In the higher education sector, detailed reviews are usually carried out by staff working closely with their manager or Head. In some cases, institutions have moved nearer to the business model whereby formal reviews are conducted by senior management.

Depending on local circumstances, the reviews should be carried out twice a year, usually in April and September. The timing of mid-year reviews of PMDS team development plans should eventually be brought in line with the timing of this operational plan review process.



Top Tip 19 – Solution focused progress review

The review process should be constructive and supportive with an emphasis on creating solutions rather than blame. The systematic use of targets, milestones and performance indicators in operating plans will make the review process more effective.

A number of key performance indicators, objectives and milestones should have been identified in the preparation of the annual operational plans at department, school and function level. It is important to optimise the time spent on this process by focusing on a relatively small number of significant areas rather than reviewing everything in the plan. Up front agreement on a small number of key performance indicators and objectives, using an 80/20 approach, will help to achieve this. Performance reports showing progress and status of key objectives will be produced in preparation for the performance review meetings, by the various teams throughout the institute. The availability of accurate, timely data about performance against the key indicators is a pre-requisite, and should be organised at the time of plan development. Good data is critical to the success of the more structured performance measurement approaches such as EFQM, Balanced scorecard or Institutional research.

Managers (Heads etc.) should organise and run a departmental (school, function etc) operational plan review meeting, where they would present the performance report and facilitate a discussion leading to agreed conclusions, and new action plans or revisions to existing plans. Typically these action plans will include corrective action the group can take, requests to senior management for support, and changes to the plan.

The next stage is for management teams to meet (e.g. faculty, school, function level) and review overall performance, identifying cross functional issues to be addressed by themselves as a group, plus significant issues requiring escalation to the senior management team. All staff should be encouraged to get involved in the operational plan review process, as well as in the initial planning exercises. Obviously, people are very busy so it's important that review meetings are properly planned to be short and productive.

Idea 16 – Attending review meetings

One approach in larger groups is to ask members of staff to choose just one of the review meetings to attend, whilst ensuring that there is a representative cross-section at the meeting. In this situation, it is important to ensure that there is good communication about meeting.



Phase 4.3 PMDS Appendix 9 describes the PMDS process in detail and suggests how it should be integrated into the overall planning process. In summary, the PMDS process produces TDPs and PDPs, which contain performance objectives for the team, and performance, training and development needs for individuals related to the team plan. The TDP objectives reflect strategic and operational plan goals and objectives. PDP objectives also reflect the TDP as well as focussing on individual performance and development plans. Both TDPs and PDPs highlight inhibitors, dependencies and constraints to improving performance. The TDPs should be reviewed half way through the year alongside departmental operational plans, and updated in line with any changes to those plans. This implies alignment of the PMDS calendar to the operational plan cycle where possible. Likewise, the PDPs should be reviewed, and updated if necessary, after approximately six months, preferably in line with the TDP update.



Section 4: Competencies and training


How to use the competencies framework What the competencies associated with the ESTIP framework are How the competencies link with the ESTIP phases What training is relevant to the different levels of staff

4.1 How to use this section Because the ESTIP framework is NOT intended to be a definitive, single prescription of how to carry out strategic and operational planning, the training needs have been linked to the phases, sub-phases and associated processes which can be used to develop a strategic plan. As with the framework, which will need to be adapted and tailored to suit the individual circumstances of each institute, similar decisions will need to be made about training needs. This document highlights the priorities in terms of desirable ‘knowledge, skills and abilities’ in other words ‘competencies for each phase, sub-phase and process. The following is a brief illustration of how the competency framework might be used by the strategic planning steering group as part of the pre-planning phase:

1. Identify the planning process to be followed by the institute. 2. Identify the individual staff members who will work on each specific aspect of the planning

process. 3. Ask each staff member to review the competencies required for the particular phase(s) they

expect to be involved in. 4. Ask each staff member to assess their own experience, level of ability and desired level of

training in particular competencies. 5. Collate all the training requirements for staff expected to be engaged in the planning process

and prepare a training plan. 6. Source and carry out the training.

As a more specific example, if a staff member's only involvement is to take part in a SWOT analysis session they will require little or no training. If on the other hand they are a member of one of the strategic planning committees or other working groups, they are likely to perform better given appropriate training in a number of competency areas.

4.2 Competencies associated with the ESTIP framework Knowledge and understanding of the institute and how it works.

Is familiar with the range of processes which are used as part of the day to day running of the organisation. These may involve standing groups dealing with specific activities (e.g. sub-committees of Academic Council), to specially formed groups to deal with short-term specific issues.

Integrates the activities of existing groups into the strategic planning process, and avoids the need to establish new groups which could be duplicating many aspects of existing groups.

Has knowledge of the PMDS system within the institute and plans to integrate the ESTIP framework with the PMDS cycle.



Knowledge and understanding of the ESTIP framework and the rationale for each process, phase and sub-phase Evaluating information and judging situations

Makes judgements about the suitability or otherwise of each phase to the Institute of Technology in question.

Considers factors impacting on time frame and develops appropriate and realistic time frame.

Identifies need for iterations between phases. Recognises which groups of staff need to be more or less involved in different phases.

Communications

Develops an appropriate communication strategy for the ESTIP framework. Produces and presents written information in a clear, concise and structured manner. Clearly and concisely communicates the message in a manner appropriate to the intended

audience. Is able to anticipate and respond appropriately to the emotional reaction of the audience. Facilitates two-way communications.

Partnership

Has a clear understanding of the principles of partnership. Is aware of and utilises any existing partnership structures in the development of the

strategic plan. Considers who needs to be informed, consulted and involved at all sub-phases of the

strategic planning process. Recognises the value of consulting with stakeholders.

4.2.6 Strategic planning knowledge and skills

Has knowledge of the possible elements of an institute strategic plan. Has knowledge of the motivation for developing the strategic plan at this time in this

institute. Has knowledge of strategic plan types:

- Visionary - Change oriented - Strong operational focus - Theme focused

Has knowledge of the differing approaches to structuring the development of a strategic plan:

- The classic approach - Rolling plan approach - Strategic/operational (integrated planning approach)

Develops vision statements. Develops mission statements. Develops goals. (long-term, developmental) Develops objectives. (shorter term, contributing to goals) Develops deliverables. (very short-term, contributing to objectives) Carries out action planning. (setting out a detailed, resourced set of operational steps to

achieve the above, and also covering critical success factors and key performance indicators to enable accurate assessment of progress towards delivering on the plan).

4.2.7 Project management skills

Developing time-lines. Resource identification and assessment including staff, money, time, materials, facilities etc.



Prioritising. Scheduling etc. Uses SMART approach. Collation of multiple inputs into an overall operational plan. Regularly reviews progress against plan. Identifies where corrective actions are required and implements them.

4.2.8 Group /team working and effective meeting skills

Has a knowledge and understanding of group dynamics. Skills in conducting meetings:

- Meeting planning - Meeting management / timekeeping - Chairing skills - Objection handling - Documenting outcomes /compiling minutes - Adding value from the meeting for the stakeholder

Interpersonal communication skills. Managing conflict in a group. Ability to reach consensus. Group/team problem solving skills:

- Problem definition - Problem and data analysis - Solutioning etc.

4.2.9 Knowledge of and ability to use analytical and scanning Tools

PEST analysis. Scenario planning. Critical success factors. Key performance indicators. SWOT analysis. Institutional research approach. Benchmarking. EFQM-self assessment. Balanced scorecard. Gap analysis. Cost analysis skills.

4.2.10 Facilitation and consulting skills including:

Influencing skills. Interviewing skills. Presentations skills. Conducting effective focus groups. Survey analysis skills.



4.3 Competencies and ESTIP phases and sub-phases

Competencies Phase 1:

Pre-planning

Phase 2.1:

Environm

ent scanning

Phase 2.2: C

urrent state analysis

Phase 2.3:

Stakeholder consultation

Phase 2.4:

Staff consultation P

hase 3.1: T

hemes

Phase 3.2:

Operational

planning

Phases 3.3 &

3.4: Strategic plan w

riting

Phase 4

Knowledge and understanding of the institute and how it works

X X X X X X X X X

Knowledge and understanding of the ESTIP framework and the rationale for each process and phase.

X X X X X X X

Evaluating information and judging situations

X X X X X X X X X

Communications X X X X X X X X X

Partnership

X X X X X X X

Project management skills

X X X X X

Facilitation and consulting skills

X X X X X

Strategic planning knowledge and skills

X X X X

Group /team working and effective meeting skills

X X X X X X

Knowledge of and ability to use analytical scanning tools

X X X X X



4.4 Training /competencies relevant to different staff levels

Competencies Executive management Operational management

Staff

Knowledge and understanding of the institute and how it works.

High level of knowledge required


Basic understanding require

Knowledge and understanding of the ESTIP framework and the rationale for each process and phase.



Basic understanding required

Evaluating information and judging situations

Significant level of this competence


Basic level of this competence

Communications Significant level of this competence



Partnership Significant level of this competence






Project management skills Significant level of this competence required by person responsible for driving through strategic planning process

Facilitation and consulting skills

Significant level of this competence required by person responsible for driving through the strategic planning process. Some aspects of this competence required by all senior managers involved in performance review meetings

Some aspects of this competence required by all managers involved in performance review meetings

Group/team working and effective skills*

Significant level of this competence required, by person responsible for driving through the strategic planning process, by all senior managers involved in steering group, consultative groups, themes groups etc through ESTIP framework, by all senior managers involved in performance review meetings

Significant level of this competence required by Managers involved in steering group, consultative groups, theme groups etc through ESTIP framework By all managers involved in performance review meetings

This competence required by staff involved in consultative groups etc through ESTIP framework and also during TDP sessions

Knowledge of and ability to use analytical scanning tools*

Significant level of this competence required by all involved in groups carrying out analysis through ESTIP framework, or performance review process. Specific training needs depend on tools selected for use

Significant level of this competence required by all involved in groups carrying out analysis through ESTIP framework, or performance review process. Specific training needs depend on tools selected for use

Some competence required by all involved in groups carrying out analysis through ESTIP framework, or performance review process. Specific training needs depend on tools selected for use

* Managers need training in the planning, conduct and facilitation (should consider bringing in a facilitator) in performance review meetings. Main requirement will be to cover the content efficiently and without digression, acrimony or obstruction, and agree consensus on corrective actions, plan changes and escalations required.

Teams will require effective team working, syndicate group operation, chairing and minuting sub-groups, time management, data analysis, reaching consensus, problem definition and solution, solutioning etc.


Section 5: Appendices



Section 5: Appendices Appendix 1 Strategic planning themes Appendix 2 Strategic planning communications Appendix 3 Strategic planning steering groups Appendix 4 Balanced scorecard – an introduction and overview Appendix 5 Business excellence models Appendix 6 Environment scanning examples Appendix 7 Stakeholders checklist Appendix 8 Consultation topics – examples/ check list Appendix 9 PMDS and associated processes Appendix 10 Institutionsl research – University of Wisconsin Appendix 11 Strategigc plan components - definitions Appendix 12 Management capacity project references Appendix 13 Foresight planning Appendix 14 Scenario planning Appendix 15 Operational plan formats Appendix 16 A SMART framework for operational planning Appendix 17 SWOT analysis Appendix 18 Further reading and research



Appendix 1 - Strategic planning themes The list of themes set out below was collated from a wide range of strategic plans in the Institute of Technology sector and other third level organisations. The list may be useful to develop ideas for themes most appropriate for individual institutes. Some of the main themes have been divided into sub-themes. Strategic vision Business processes

- Mission statement - Planning processes - Vision statement - Administration processes - Values statement - Policies and procedure

- Management and governance Quality assurance - Environmental scanning

- Learner participation and feedback - Learner and staff complaints procedures Academic programmes - Admissions policies and procedures - Diversity - Financial control procedures - Specialisms - Human resource policies and procedures - Currency and relevance - Programme development, validation,

monitoring and review - Customised programmes - Accreditation

- Information technology usage policies and procedures

Staff development

- Fair and transparent assessment including review and appeals mechanisms

- Teams - Individual

- Provision of information and services to learners and the general public

Regional development

Infrastructure

- Campus development - Information & communication technology

- Industry R&D support/ collaboration - Consultancy services Post graduate development & research - Role in economic, social and cultural life - Research & innovation - Community support - Alumni - Partnerships & strategic alliances (economic,

industrial, social, academic etc.) - Entrepreneurship

Teaching & learning

- Life long learning Funding/ resourcing

- Sourcing funding - Modularisation - Revenue generation - Teaching methods Culture and ethos - Learner centred environment - Culture of quality - Standards - Ethos and values - Styles - Achieving excellence - Methods - Consultation and communication - E-learning - Identity - Underlying philosophy - Teamwork - - Decision making Students & student services - Partnership - Social and cultural life - Knowledge management and sharing - Access and opportunity



- International orientation Inter school synergies - Student facilities - Internationalisation Organisation development - Student diversity and expansion - Student support services Public relations, promotion & marketing

Appendix 2 - Strategic planning communications

Introduction Development of a strategic plan should be managed as a major project within the institute. Preparation of a comprehensive communication plan is an integral part of managing any major project.

The institute size, planning approach being used, staff expectations etc will play a part in deciding what communication processes are appropriate for each institutes needs. The following communication ideas should be considered for use, in different phases of the strategic planning process. Stimulating staff interest If planned sufficiently in advance, the process of engaging staff could be started in the routine PMDS TDPs and PDPs. These sessions could be used to communicate the requirement to develop a strategic plan. They can also be used to get feedback on the extent to which individuals would like to be involved (or not as the case may be).

Other established communication channels in the institute (newsletters, notice boards, staff meetings etc.) could be used to signal the start of the planning process and to invite expressions of interest from staff to become involved in the process.

Using the phases to target the message Each phase and sub-phase of the planning process will have its own requirement for direct and indirect staff engagement and input. The ESTIP model can be used as a useful framework to communicate with staff on a range of aspects of the planning process:

If mapped against a particular time-line, it could be used as a progress chart in publications, intranet, flyers etc, to advise staff on progress in the overall planning process. See Figures 12 and 13 below.

Staff could be invited to indicate particular sub-phases they would like to become involved in, either through their PDP (formal or informal discussions) or directly to their managers.

It could be used as a framework to offer staff opportunities for developing skills and experience appropriate to particular aspects of the process.

Keeping staff informed A simple graphic of the phases and sub-phases diagram could be used to provide periodic progress updates on the planning process. Many staff may be happy to be simply aware of what stage the planning process is at. One example of a graphic is shown below (or a locally adapted



version could be used). The relevant sub-phase could be highlighted to show where the planning process is, at any given time.

Figure 12: Keeping staff informed (1)

A very short text note or a simpler graphic showing just three/ four related sub-phases, while highlighting the current sub-phase could also be used periodically to keep staff updated on progress e.g.

Figure 13: Keeping staff informed (2)



Environment scanning briefs Depending on the overall planning approach being used in an institute, periodic staff briefings (short, open sessions – 10/15 minutes, before coffee/ after coffee etc.) to keep staff aware of how environmental factors affecting the institute are changing and the possible impact on the institutes on-going activities.

Invite environment scanning inputs To encourage two-way involvement with staff, an invitation could be sent to all staff, with a list of topics, requesting staff to provide information on any relevant material they may have seen in newspapers, magazines, meetings etc which could help build a better picture of changing environmental factors. If an environmental scanning group was established (time limited or on-going), it could be the reply point for staff bringing information to their attention. Handling feedback Two key parts of any communication process are:

The possibility for two-way engagement The mechanism(s) to ensure that the messages sent were correctly received.

Two-way communication channel. Before initiating communication with staff about the planning process, consider how staff can get answers to initial questions or how to make initial suggestions. All communications should provide a contact person or e-mail address to enable staff to engage fully with the process. It may be as simple as setting up a dedicated e-mail address (e.g. strategicplanning08@institute_name.ie ). This could be managed by a member of the steering group for the duration of the planning process.

Was the correct information received? While researching the development of the ESTIP framework, many staff commented that they never knew about X, Y or Z. Consider establishing a feedback network across the institute (perhaps 6 or 8 randomly selected staff), to periodically check receipt and understanding of information about the strategic planning process. If information is not getting through or is mis-understood, this would provide a mechanism to pick it up early and correct it. Some staff may be happy to carry out this limited role and may not require any other engagement in the process. It could add to the inclusion and involvement of as many staff as possible, without being an unnecessary burden on anyone. Breakfast briefings Periodic and scheduled short update briefings, at which tea/ coffee and scones are provided, say between 08.30 and 09.00. They can be used to give information and receive feedback from staff on different aspects of the planning process. They would be informal in nature and strictly time limited. Handled correctly, they could become a powerful tool to keep a wide range of staff informed and also to get initial reactions to ideas. Strategic plan page brief

This idea could be blended with the newsletter idea. The strategic plan page brief would be a single A4 page, circulated to all-staff, on a periodic basis (say every two weeks), to provide updates on the planning process. Its only purpose is to provide information in a one-way



communication. It should never exceed one page, ensuring that when staff see ‘page brief’, they know there is only a maximum of one page to read.



Scheduled all-staff briefings These would be milestone briefings, typically held at the end of key phases in the planning process. The aim of the briefing is to give a large number of staff a comprehensive update on progress. This will ensure staff are best informed before the start of the next phase of the planning process. Examples of when it might be most useful:

At the end of the Phase 1to explain the planning approach that will be used. At the end of the sub-phases 2.1 and 2.2 to ensure staff understand the wider

context in which the rest of the planning process will take place. It will also contribute to a detailed understanding of the institute’s current capacity.

At the end of Phase 3.1 to show progress to date on developing general themes and to get staff reactions to alignment of the internal consultations (Phase 2.4) with initial planning themes (Phase 3.1).

At the end of Phase 3 which could be the formal launch of the final plan. During Phase 4 they could be used as part of the on-going progress monitoring

on implementing the strategic plan.

Open planning meetings If sub-groups are set up to carry out specific parts of the planning process, a general policy could be adopted and communicated to allow a limited number of staff to ‘sit in’ to observe and listen (not disrupt, interrupt or contribute to) the deliberations of the groups as they work. This would encourage an open process and help build and maintain staff awareness about the planning process and content. They would need careful management, to ensure transparency did not come at the price of efficiency and effectiveness of the groups’ working.

Walk-in workshops The idea is to provide time and space for staff to contribute ideas in a constructive, free flowing but controlled environment. The workshops would be time limited (maximum 1½ hours), with a clear purpose. They would be flagged at least one week in advance. Each workshop should focus on a specific theme or topic. Staff would be invited to choose topics relevant to them and to attend the workshop on those topics. They would be used for developing particular ideas or developing a range of ideas, using a wider staff engagement. Strategic plan planning newsletter A more expansive version of the page brief, an all-staff newsletter might be issued every two months, to provide a detailed up-date on progress in the strategic planning process. It could also be used to flag the next phases and activities which staff may want to become involved in. Length should probably be limited to two A4 pages (one back-to-back sheet), to help ensure it would be read.



Appendix 3 - Strategic planning steering groups A wide range of types of steering groups have been used throughout the Institute of Technology sector. Some are reflect the history of the institute, while others reflect a strong focus on steering a particular aspect of the planning process. Different types of groups may be needed for different types of plans or planning processes. In general, if steering groups exceed eight people, they tend to be unwieldy and may loose their focus. If they are too small, they can suffer from anonymity and have problems communicating with the whole organisation. If a strongly phased approach is used it may be desirable to use a different type of steering group for different phases. A number of ideas are set out below. They may help to inform the final group established in each institute.

Advisory group to the President/ Director The principal role of this type of steering group is to advise the President/ Director on both the strategic planning process and aspects of the final strategic plan being developed. It would not have a steering role as such within the process. It is likely to be a separate group from a ‘strategic planning steering group’.

The group would tend to be small, with a maximum of five members. The individuals would be selected for a number of qualities, including:

Absence of any self-interest in the outcomes of the strategic planning process Expertise in particular aspects of the strategic planning process Highly trusted by the President/ Director Frank but constructive with their views

Expert panel to support thematic/ functional area/ rolling planning If the rolling planning framework (Figure 5) is used it may be necessary to establish a steering group with one representative from each of the thematic or functional areas. Each thematic or functional area would have easy access to the work carried out under the other themes/ functions. It would also provide easy access to individuals who are knowledgeable in the other functional areas. This would ensure a broad perspective was considered when strategic or operational planning is done for specific themes or functional areas.

Depending on the themes used in an institute, the steering group may also be the Executive, acting in the specific role of steering group for the strategic planning process.

Editorial committee Consider establishing a very small group (maximum three) to act as the principal drafters of the final strategic plan document (see Authoring and editing). One person should be assigned overall responsibility for completion of the document. Other members would carry out specific tasks as required, to include contributing to editorial comment on the document and ensuring consistency between the document content and the inputs made during the development and consultation process.



Contributions made during the consultation phases would have to be transparently reflected in a final document. The committee would also have to ensure that other related documents (operational plans etc.) were clearly linked to and consistent with the main document.

This group could be a sub-group of a main steering group or could be a separate entity with one specific role – publishing the strategic plan. Mixed role group In this case, nominate two/three/four people as the core members of a steering group. As each phase of the planning process is started, the core group might be augmented with additional members, to deal with particular issues and workloads relevant to that phase. This type of group would serve a number of purposes:

Provide consistency across all phases of the strategic planning process, through the core group members.

Ensure clear responsibility for the groups activities. Ensure the best mix of experience/ knowledge/ expertise is available for

different phases of the planning process. Maximise the involvement of staff from different functional areas, to act as a

communication bridge between the steering group’s planning process and the rest of the institute.

Rolling framework steering group In the event of using the rolling planning approach (Figure 5), a standing steering group could be established. It could include some permanent members drawn from the executive and the leaders/ chairs of the groups dealing with each individual theme. As one theme is completed, a new theme can be started. Alternatively, after an agreed time scale, the group membership could change as the theme leaders/ chairs change.

A key challenge for this type of group is to ensure the appropriate communication takes place about each theme across all relevant parts of the institute. Another challenge would be developing a presentation format for the strategic plan which could deal with the inevitable on-going changes from using this approach.

Academic Council sub-group A sub-group of Academic Council may exist or may be specifically formed for the purpose of steering the development of a strategic plan. The group would be able to act with the full authority of the Academic Council and would have the impra matur of one of the three statutory bodies within the institute. They would provide progress reports to the Academic Council and Director as required. The make-up of the sub-group could be a mix of council members and co-opted members for this specific task.



Appendix 4 - Balanced Scorecard: an introduction and overview The Balanced scorecard was developed in the early 1990s to provide a new form of strategic management. It is used by many thousands of organisations in the private and public sector, including a number of UK universities. The advantage of the system is that it enables management and staff to focus on a limited number of the most important strategic objectives in a holistic manner. It recognises the importance of developing key aspects of the organisation, whilst recognising the inter-relationships between them; hence the 'balance'. It focuses on a limited number of key objectives and performance indicators, which everyone in the organisation can understand and subscribe to. It is simple to understand and be involved in. Staff should have the opportunity to be involved in developing and reviewing the objectives and performance. The Balanced Scorecard approach could also be used for developing PMDS TDP objectives. The Balanced scorecard consists of:

A core of the business "strategy" or "vision" Four inter-related legs to achievement of that strategy:

1. Financial aspects of the organisation 2. 'Business' processes 3. Learning and development 4. The 'customer'

For each leg, there are four components: 1. Objectives 2. Measures of achievement 3. Targets (i.e.: percentage of the measure you are aiming for) 4. Initiatives

All four legs of achievement of the strategy are inter-related e.g.: learning and development objectives must be related to improvement of customer service. By way of example, a secondary school in a deprived area might produce a balanced scorecard based around a vision of improving the educational experience of pupils and increasing the numbers going forward into higher education.

The financial aspect is expressed in terms of attracting funding and strategic management of budgets.

Business processes are centred around course development and delivery and communications between staff, pupils and families.

Learning and development involves academic achievement plus increasing awareness (of pupils and families) of the value of academic qualifications. It would also include increased use of the internet and other technology.

The main focus of customer service is personal interaction with pupils. A balanced scorecard can then be produced (on a single sheet of paper) covering these four aspects. For example, the financial aspect might be covered by:

Objectives are to achieve inner city project funding of €XX and to keep within assigned budget.

Achievement is measured through monthly accounts.



The target is to achieve €100,000 inner city project funding turnover and meet quarterly expenditure targets.

Initiatives to achieve the targets include a marketing campaign addressed to the funding body, plus delegation of controllable budgets to departments.

There will be similar objectives and measures etc. for each of the other areas (business processes, customers, learning/ growth). An important facet of these is that they are all related (e.g.: the customer objectives must also contribute to the case for additional funding).



Appendix 5 - Business excellence models

Baldrige National Quality Award This is the model behind the US Malcolm Baldrige National Quality Award, an award process administered by the American Society for Quality (ASQ) and managed by the National Institute of Science and Technology (NIST), an agency of the US department of Commerce. This model is used as the basis for over 70 other national Business Excellence/Quality awards around the world. They started off as private sector models but have all been updated and modified for use in the public sector including higher education institutions.

The original model consists of seven categories:

1. Leadership 2. Strategic planning 3. Customer & market focus 4. Measurement, analysis & knowledge management 5. Workforce focus 6. Process management 7. Business results

The core concepts of the Baldrige criteria for performance excellence are:

Visionary leadership Customer-driven excellence Organisational and personal learning Valuing employees and partners Agility Focus on the future Managing for innovation Management by fact Social responsibility Focus on results and creating value

An Institute of Technology considering the use of Business Excellence models might initially be put off by some of the private sector language used, e.g. Business results. They may not agree with all the core concepts and wish to add or change them. This point is explained further in below.

Other national and international frameworks have already deviated from the original Baldrige framework as shown below in examples from Europe and Australia.

EFQM excellence model This is the model behind the European Business Excellence Award, an award process run by the European Foundation for Quality Management (EFQM). This model is used as the basis for national business excellence and quality awards across Europe. It is used by a number of universities in the UK.

The model consists of nine categories:

1. Leadership



2. Policy and strategy 3. People 4. Partnerships and resources 5. Processes 6. Customer results 7. People results 8. Society results 9. Key performance results

The fundamental concepts that underpin the EFQM excellence model are:

Results orientation Customer focus Leadership and continuity of purpose Management by processes and facts People development and involvement Continuous learning, innovation and improvement Partnership development Corporate social responsibility

Australian excellence model This model has been used by a number of universities in Australia.

1. Leadership 2. Customer and market focus 3. Strategy and planning 4. People 5. Information and knowledge 6. Process management, improvement and innovation 7. Success and sustainability

The model is built around eight business excellence principles.

1. Lead by example, provide clear direction, build organizational alignment and focus on sustainable achievement of goals.

2. Understand what markets and customers value, now and into the future, and use this to drive organizational design, strategy, products and services.

3. Continuously improve the system. 4. Develop and value people’s capability and release their skills, resourcefulness

and creativity to change and improve the organization. 5. Develop agility, adaptability and responsiveness based on a culture of continual

improvement, innovation and learning. 6. Improve performance through the use of data, information and knowledge to

understand variability and to improve strategic and operational decision-making. 7. Behave in an ethically, socially and environmentally responsible manner. 8. Focus on sustainable results, value and outcomes.

Adapting and adopting a business excellence model Whilst a very valuable approach, the full adoption of one of these models can be heavy on resources. It will also be necessary to tailor the approach for each institute, to recognise their essential differences and multiplicity of grades that might be involved. The easier changes



involve simplification of language used in the standard model. The changes requiring more thought are the concepts, principles and main sections. Changes will make the model more acceptable to staff, but major deviations from the basic structure will make benchmarking more difficult. The first stage is to form a small evaluation team and train them in the various models and approaches so they know the right questions to ask in the next stage.

The second stage is research:

Who is using the approach in higher education, (e.g. in UK and Australia) and what has been their experience to date.

Who is using the approach in Ireland - public and private sectors. What support and training is available in Ireland. (e.g. approach the EIQA)

The third stage is to develop and publicise a recommended approach including a resourced business case, details of the proposed system including integration with other planning processes, and a recommended implementation plan. The proposals would also suggest what modifications should be made to the standard framework to reflect the needs of the institute. References : Northern Ireland Inland Revenue and Ulster University- Research Report by Steve Johnson April 2003 on the use of EFQM and Balanced Scorecard for organisational development and strategic planning www.som.cranfield.ac.uk/som/research/centres/cbp/pma/Balanced%20Scorecard%2



Appendix 6 - Environment scanning examples This appendix gives a list of typical examples of topics to be scanned (section 1). It also has a live example from Edinburgh University, available on their web site.

Demographics

- National statistics, regional development forecast reports

Economy - National/ regional economic growth/ sectoral changes - International trade forecasts, imports and exports

Industrial development

- Government reports and projections - Major company annual reports - Liaison with industry associations - Press and media, company reports

Employment

- Growth in the workforce, changes in skill requirements - Demands for overall up-skilling of the work force - International trade forecasts

National & regional development planning

- Changes in national and regional development plans, policy shifts - Impact of expansion of designated 'Gateways' - Development of roads and other transport systems

Multi cultural perspectives and how they are changing

- Immigration, impact on employment - Increasing demands for access to higher education

Primary and secondary education changes

- Special needs – e.g. languages - Trends in academic standards - Student expectations, mobility

Local government activities

- Planned improvements to roads and infrastructure - Planned housing provision - Development of local facilities e.g. leisure centres

Chambers of commerce

- Plus national bodies e.g. Enterprise Ireland - Other trade organisations / industrial bodies - Institute industry boards

Media - shaping public opinion

- Media watch/ analysis



International trends

- International students - developments (IEBI) - Potential partnerships - Foreign government strategies - Competition

European Union

- Evolving strategies and plans - Education conventions and protocols

Policy and funding strategies from Higher Education Authority & Department of Education and Science etc.

- New initiatives - New funding sources e.g. research



Environment scanning example - Edinburgh University This example was sourced on the Edinburgh University web site. Major Contextual Issues that may impact on the delivery of our Strategic Plan Ongoing review of changes in the operating environment and sensitivity to these is a fundamental underpinning element of good strategic planning. The major features of the external environment that may impact on the delivery of our strategic plan are: 2007 spending review (SR 2007). The Government postponed the SR 2006 until 2007, so we have no information on Scottish Further and Higher Education Funding Council (SFC) budgets beyond 2007-08. The message from the Treasury is that SR 2007 will be tight. Scottish Parliament elections. The May 2007 Holyrood elections could install an administration wishing to restructure Scottish Executive departments, delaying the announcement of the SR 2007. In addition to departmental restructuring, a new administration of a different political hue may shift funding away from HE to another area or shift the balance of spend between HE & FE within SFC or between student finance and research at the HE level. Local government elections under proportional representation, May 2007. The introduction of proportional representation in local government elections is likely to lead to a coalition executive within the City of Edinburgh Council. There is a concern that, unfamiliar with this way of working, the Council's workings may be slowed considerably with consequent impact on areas of interest to the University (e.g. Planning). Fiscal federalism/fiscal autonomy/the demise of the Barnett formula. There is a significant and growing cross-party interest in adjusting the devolved settlement in order to grant greater financial autonomy and accountability to Holyrood. Any such move has the potential to bring changes to the taxation regime and/or the total available to the public purse for disbursement within Scotland. Whilst it is possible to imagine positive outcomes, most commentators suggest that such change would produce a less-favourable overall outcome than that the Barnett formula currently provides and therefore pressure on the SFC budget. Funding Council merger and review of teaching funding. Although the SFC intends to make a single submission to the Spending Review 2007, they are expected to continue to be allocated separate budgets for higher education institutions (HEIs) and further education colleges. SFC is currently reviewing teaching funding methodologies for Colleges and HEIs, any resulting changes being implemented for 2009-10 or 2010-11. Ministerial guidance in this context expects "funding to be related as closely as possible to the costs of delivery". The outcome of the review could disadvantage HEIs. RAE2008. SFC funding based on the outcome of RAE2008 is expected to flow from 2009-10. There remains uncertainty over the RAE in terms of how funding will flow from the new profile results. We also have ongoing concerns over the ability of the RAE to give due recognition to interdisciplinary research in the assessment process. Replacing the RAE after 2008. Consultations have already begun on the replacement for the RAE. The main area of debate is around what level of peer review is necessary, as opposed to a



purely metrics based approach. This reflects the tension between the perceived cost of the RAE, and its value as an objective measure of research quality. UK HE divergence. Growing divergences between the United Kingdom's different national higher education systems present opportunities but also challenges. Key concerns are: variable tuition fees being implemented for English HEIs giving them significant additional income, HEFCE’s greater concentration of research funding in England and SFC policy to encourage research pooling in Scotland. There are also divergences with regard to policy issues, for example controls over home/EU student intakes. Lastly, there are major differences in many aspects of teaching policy, including quality assurance where SFC’s approach is on the whole welcome, but where it is necessary to ensure that we can continue to recruit students, examiners and so forth throughout the UK. International resource comparisons. Core funding per student has reduced continuously over the last 25 years. The improvements in recurrent funding since 2001/02 are very welcome although it must be recognised that the real level of inflation experienced by the University, as a people-intensive organisation, is consistently higher than Government estimates. The introduction of a single pay spine in the sector on 1 August 2006, bringing much needed modernisation to pay systems, has added to institutional paybills, and comes on top of a 13.1% pay award over three years (August 2006-October 2008). Pensions costs remain a continuing cost pressure for universities. In line with other consumers, Universities are also experiencing very large real terms increases in energy and utilities costs. International competition. International resource comparisons are not favourable at a time when international competition is increasing, particularly from the emerging economies around the Pacific Rim. In addition, the introduction of variable tuition fees in England provides increased resources to our closest competitors. Government investment in research. The introduction of full economic costing (fEC) introduces a capital infusion in support of externally funded research, which must continue to be matched by additional funding to underpin publicly funded activity. We welcome the UK Government’s ongoing support for the renewal of research infrastructure through a dedicated capital fund and the provision of resources to enable Research Councils to fund close to the full economic costs of research by early in the next decade. From 2006-07 SFC have also embedded a charity stream of funding in QR (Quality-related Research Funding), as a first step towards meeting the difference between charity funding and 100% fEC. European research funding. The European Parliament is in the process of agreeing the new framework programme, for funding European research and development for the next 7 years (2007-2013). It appears that the budget agreed will be higher than under the previous programme. However, if Europe fails to fund research sustainably and to reduce bureaucracy, which also adds to the overall cost of research activities, the risk posed to our involvement in EU research projects is significant. The creation of a European Institute of Technology (EIT), for which the European Commission has just published a 2008 launch plan, could potentially divert income away from established research intensive HEIs, but the creation of a European Research Council (ERC) also offers opportunities. Restricted funding. Increased provision of public funding in ways that restrict HEIs' managerial flexibility (e.g. awards which are earmarked or have attached conditions) and the growing



expectations that institutions will provide financial contributions to Government-inspired initiatives from their own or third-party funds. Short-term funding. The increased importance to the University of short-term restricted funding is an issue. Over the last decade, the proportion of the University's turnover from short-term research grant and contract funding has grown from 24% to 26%). Value of HE. Government and society are now attaching greater value to higher education. Government now explicitly recognises the central importance of HE to a vibrant and successful knowledge-based economy, and recognises the contributions HEIs make. There is an ongoing need to create informed support for the benefits that Edinburgh, as an internationally-leading research-intensive university, brings to Scotland as a whole. Globalisation. Globalisation of education and research is increasing international opportunities for the University, although it must be recognised that this is in a context of greater international competition and amidst concern about international terrorism. Increased reliance on income from overseas students makes institutions more vulnerable to political and economic developments in other parts of the world. Increases in overseas student visa charges and extension charges could have a detrimental effect on recruitment of overseas students. There are currently concerns that overseas institutions increasingly see the United Kingdom as a potential market for their degree courses and there is evidence of increased interest from UK students in studying in the US. International competition for staff is also increasing at a time when pay levels in the UK are not keeping pace with elsewhere. The current age profile of academic staff will result in very large numbers of retirements in the UK, Australia, Canada and the United States over the next 10-15 years. Declining numbers in the general labour market will exacerbate this international competition. Increased regulatory burden. Institutions have to respond to new primary and secondary legislation as well as new and more demanding auditing and assessment of activities by SFC and other bodies. These can result in substantial real and opportunity costs. Meeting stakeholder expectations. Institutions are facing growing expectations and contradictory policies and pressures from their multiple stakeholders. For example, government, government agencies, employers and students expect continually rising quality of provision in spite of falling funding. There is increasing pressure on institutions to be more ’relevant‘ and economic development is now clearly seen by society as part of institutions' core missions. HE participation. The move to a mass higher education system in Scotland is welcome. The participation rate for young people in Scotland is around 50%, up from only 9% 20 years ago. Institutions are in general coping well so far with the sometimes competing pressures from increased and more diversified demand (e.g. from mature students), for increased quality, and for wider participation of less well represented groups. Student demand and the pattern of provision. Increased demand from England due to demographic trends and improvement in school exam results is set alongside a falling birth rate in Scotland and change in age structure. The poor standards of mathematics at the point of entry and the increasing reluctance of school pupils to study science subjects is an ongoing concern in the UK. Although this University has experienced strong growth in applications for science and engineering subjects in recent years, it remains to be seen whether this trend will continue. The introduction of variable tuition fees from 2006/07 does seem to have impacted



upon undergraduate applications and admissions to HEIs elsewhere in the UK. Applications to this University have continued to rise across the board. Increased financial pressures on students. The long-term trend of reduced state support for living costs, the more recent shift to a loans-based system, and the requirement that students contribute to the cost of their tuition, are affecting students and making part-time employment the norm rather than the exception. These pressures can affect student performance, impacting on the resources that need to be deployed by HEIs in order to maintain standards. Already, financial pressures are impacting on postgraduate students who are reluctant to take on further debt (for example by undertaking PhD study following a masters course) or who are unable to start paying off existing debt due to continuing postgraduate study. The changing face of the UK HE landscape. In the last ten years, in Scotland seven HEIs have merged and two new HEIs have been designated. New powers in England now allow public services and multi-national companies to set up their own universities, although it remains to be seen how often this occurs since they must have 4 years experience of teaching degrees validated by an existing HEI. 'Fast -track' two year undergraduate degrees are being piloted in 5 English HEIs, a development which could impact on the context in which Scottish four year degrees are viewed. Technological advances. Developments in ICT and more generally, present major opportunities for Universities to embrace new teaching and learning technologies and provide more flexible structures and methods of delivery, whilst capitalising on the added value of a face-to-face learning environment. The booming Edinburgh economy. A booming local economy creates opportunities for the University and brings benefits to students through easier access to part-time employment opportunities. However, the resulting impact both on salaries and housing costs means that it is becoming increasingly difficult for the University to fill posts at all levels. As a major employer, the availability of an adequate supply of homes for rent, affordable housing for sale and key-worker housing options within Edinburgh and the Lothians is essential to retain and attract appropriate staff. Another consequence of the booming economy is significant cost inflation feeding through the Edinburgh and Lothians construction industry, which will impact adversely on the University's capital development and maintenance work programmes. National planning processes. The sensitivity of a range of University developments to national planning processes is a significant factor that is outwith the University's control. This may have a significant impact on the University’s ability to implement plans timeously in order to develop and rationalise its estate in the city centre, at King’s Buildings, at Little France in the South-East Wedge and around the Bush Estate and other locations in Midlothian. Following the update of the University's Estate Strategy, work continues to agree development frameworks for each of the University's main sites with the relevant planning authority, to create an appropriate context for detailed planning applications in the future. Infrastructure capacity. There are constraints on the availability of adequate infrastructure capacity for utilities including water, sewerage, electricity and gas and also public transport within Edinburgh and the Lothians, which is essential to sustain and support business operation and development. Work has been completed recently to provide the essential services infrastructure for the first phase of development for the CBR development at Little France and this will facilitate early phases of building work. The next major challenge will be to create



similar resilience for development of the University's sites at Bush Estate and Easter Bush in Midlothian.



Appendix 7 - Stakeholders check list (not in any priority or sequence)

Government Departments (Dept of Education and Science etc.) Central Statistics Office Foreign governments etc. (re international students) Local authorities Overseas Universities Other funding and regulatory bodies (Higher Education Authority, HETAC, FETAC

etc.) European Commission OECD UNESCO and Council of Europe National / international research bodies European, national and local Politicians National trade unions Employers - industry boards - trade organisations, FAS, FORFAS, IDA Professional bodies Hospitals and Health Authorities Students and Alumni Second level career guidance teachers, students (parents) Existing and potential partners (Universities, other Institutes of Technology etc.) Academic and business partners Campus users

A simple table to help manage external stakeholder consultation Stakeholder Consultation

co-ordinated by

Consulted by from within the institute

Frequency of consultation

Method of consultation used

Topics consulted on



Appendix 8 - Consultation topics (examples/check list)

Funding - Government, Higher Education Authority, research grants, overseas students, Industry.

European Union policies, economic development, employment, environment, education. International agreements on higher education provision. Government Policies - higher education, changes in second Level, employment and re-

employment, immigration, equality etc. Regional and local development - relocations, special funding, roads and transport,

affordable housing plans. Employment, growth and decline areas, company plans, non traditional opportunities -

specific needs of 'industry' and major employers. Programme development and delivery - industry requirements, quality regulation,

geographic rationalisation / partnerships, competition. Regulation - delegated authority, awards, inspections, service provision. Industrial relations - planned developments, European regulatory changes. Marketing, market development, niche marketing, new approaches in programme

delivery, competitive strategies. Partnerships - existing and planned partnership agreements, Higher Education Authority

requirements, SIF type of funding. Universities and other Institutes of Technology - existing and potential partnerships,

rationalisation.



Appendix 9 - PMDS and associated processes Introduction The Performance Management Development System (PMDS) was developed under the terms of the Sustaining Progress national agreement. It was implemented in the IoT sector in a phased rollout plan, running from early 2006 to the end of 2007. The two main objectives were to improve service delivery performance and introduce a comprehensive approach to staff training and development. Two other important objectives were to ensure clarity of individual roles and to achieve an alignment of objectives and priorities at all levels of the institute.

This section describes how the PMDS process should be treated as an integral part of the overall strategic and operational planning process. Main processes of PMDS Three main processes were implemented to achieve these objectives.

The first process is the development of the PMDS strategy by the senior management team. This includes the development of high level, PMDS priorities for the forthcoming year. These priorities are derived from and should support the SP.

The second process is the annual 'Team development plan' (TDP) process whereby 'managers' (including Heads of schools, departments, faculties, functions as well as supervisors) agree a number of key (SMART) objectives and priorities with their staff for the forthcoming year. These support the high level priorities described in the previous section, and are of critical operational importance. In the case where departmental operational plans are in place, key objectives from those plans can be used to form the main part of the TDP. The TDP also identifies inhibitors, issues and dependencies which are likely to affect the achievement of the key objectives. It also includes action plans to achieve the objectives and overcome the inhibitors. TDPs are developed for all appropriate layers of the organisation, e.g. faculty, school, department, function, section and are reviewed and updated as necessary, half way through the year. The third process is the Personal development plan (PDP). Following the TDP sessions, all managers and members of staff have an individual PDP session with their immediate manager (Head etc.). These sessions set agreed personal development and performance objectives, based on the appropriate TDP objectives. They may also include a number of agreed personal objectives.

As with the TDP, any possible inhibitors etc to achieving the objectives are noted in the PDP. The other important part of the PDP process is the development of an agreed training and development plan for the staff member (or manager). Progress against both the performance and the development plans are reviewed informally after six months. How PMDS relates to strategic and operational planning



The PMDS process directly supports the current strategic plan as described above - high level strategic objectives are reflected in TDPs. As operational planning becomes more pervasive in the sector, it will be possible to integrate the TDP process into the annual operational planning cycle. It will still be desirable to identify a reasonably small subset of agreed plan priorities which all staff members can relate to as part of the PMDS process. The half yearly TDP review process can certainly be merged with mid-year operational plan reviews to optimise staff time. Timing Currently, TDPs are normally done every twelve months. The date depends on where they were in the initial PMDS rollout process in 2006/7. The TDPs should be reviewed by the 'team' six months after their creation. They would normally reflect the current strategic plan, but if the plan is in the course of significant change, the TDPs would normally be delayed.

Top Tip 20- Integrated planning time table Ideally, institutes should develop an integrated planning process and timetable so that TDPs are done as an integral part of the annual operational plans. This will save duplication of effort and possible confusion. Likewise, the half yearly review of TDPs should become part of the operational plan review process as described in the previous section.



Appendix 10 - Institutional research - University of Wisconsin This example can be viewed in more detail on the University of Wisconsin web site. The Departmental Profile contains basic descriptive information about academic departments, colleges or divisions, and campuses. It is the product of a co-operative effort by University of Wisconsin system and campus institutional researchers using a common data system (UIDS). Please note that this profile is in the developmental stage. Your questions and comments are welcome and should be directed to your campus institutional research office:

Students Table 1 - Documentation for Student Enrolment of Majors by Ethnicity Table 2 - Documentation for Student Enrolment of Majors by Residency Status Table 3 - Documentation for Preparation of Majors - First-Time Freshmen Table 4 - Documentation for Graduation Rate Survey Table 5 - Documentation for Tracking Completors

Programs

Table 1 - Degree Program List Table 2 - Documentation for Completions

Faculty/Staff

Table 1 - Documentation for FTE Counts by Fund Type and PCS Table 2 - Documentation for Higher Education Authoritydcount by

Occupational Group Table 3 - Documentation for Average Salaries for Ranked, Regular Faculty Table 4 - Documentation for Ranked Regular Faculty Counts Table 5 - Documentation for Full-time, Ranked, Regular Faculty Service Basis Table 6 - Documentation for New-Hired, Full-time, Ranked, Regular Faculty

Service Basis

Financial Resources Table 1 - Documentation for Expenditures by PCS and Fund Table 2 - Documentation for Expenditures by Subcode

Productivity Measures

Table 1a - Documentation for Number of On-Campus Sections Taught Table 1b - Documentation for On-Campus Student Credit Hours Generated Table 1c - Documentation for On-Campus Section Credits Table 2 - Documentation for Research Grants Funded and Not Funded (in

development) Table 3 - Documentation for Research Grants Funded and Not Funded, by

Agency Type (in development) Table 4 - Documentation for Indirect Costs of Awarded Research Grants (in

development)



Appendix 11 - Strategic plan components: definitions There is no one definition for the concepts of vision, mission and values which are consistent across strategic planning literature. The definitions set out in this appendix are provided as a guide and each definition is consistent in terms of how it relates to the other two. They can be adopted or not as considered appropriate by each individual institute. To ensure consistency in the planning process, a clearly understood and commonly accepted definition for each plan component should be agreed by the steering group, and communicated to all staff members involved in defining these significant statements. Vision A detailed but succinct narrative description of the type of organisation we aspire to be in the future, covering what we hope to do, our reasons for doing it and how we intend to do it. Features of an effective vision statement may include:

Clarity and lack of ambiguity. Paint a vivid and clear picture, not ambiguous. Describing a positive and realistic future. Memorable and engaging expression. Contain realistic and achievable aspirations. Alignment with organizational values and culture. Time bound if it talks of achieving any overarching goal or objective.

Mission A statement capturing the purpose and reason for being of the organisation, along with a high level indication of what the institute will do to realise the vision. It provides guidance for how and why the institute is going to achieve and deliver on its vision. Points to consider:

When wording the mission statement, consider the organization's products, services, markets, values, and concern for public image, and maybe priorities of activities for its development.

Ensure that wording of the mission is such that management and employees can infer some order of priorities in how products and services are delivered.

Purpose The purpose of the institute may be adequately expressed in the combination of the vision and mission statements. It may also be covered specifically in the mission statement alone. However it is captured, it should specifically address the question of why the organisation is in existence. Values The guiding principles by which all staff, individually and collectively, will conduct business between ourselves, with our students and with other stakeholders. They should ideally take the form of statements of beliefs, attitudes and behaviours to guide the personal interactions in the institute.

Beliefs – those things which people collectively hold to be true.



Attitudes – describe dispositions towards people, situations and activities. Behaviours – the ways in which people interact with and treat each other.

Strategic goals Specific achievements which the institute hopes to deliver over a three to five year time frame. They will tend to have an aspirational element but will be capable of measurement if and when achieved. Strategic objectives Sub-elements of each strategic goal, which should be achieved over a one to three year time frame, in order to achieve the desired strategic goal in question. Will be definable in the context of SMART (see Appendix 16).

Operational targets Sub-elements of each strategic objective, which should be achieved over a three month to one year time frame to contribute to reaching strategic objectives. Operational plans

A detailed programme of activities answering the following questions: What has to be done? (operational targets, related to strategic objectives). Why it is necessary to do it? Who has to do it? (Who is responsible and who is involved) By when it has to be done (specific target dates). What resources are required to do it? What resources are available to do it? It should be evident from the plan how it will be done – this would normally be

set out as a series of discrete tasks? Key performance indicators Specific deliverables which provide a means of identifying the degree of progress towards delivering goals and objectives in a plan. Critical success factors Conditions which need to exist in order to achieve desired goals and objectives in a plan.



Appendix 12 - Management capacity project references Extract 1 (…: from SIF project final report: “Developing and Mobilising Talent and Management Capacity to Exploit Future Opportunities”

2.3 KEY CONSIDERATIONS FOR THE INSTITUTE OF TECHNOLOGY SECTOR EMERGING FROM THE EXTERNAL ASSESSMENT Management capacity should be determined primarily by the vision and strategic direction of the institute. Therefore, in considering the management capacity requirements of the sector, we believe that it is important to consider the strategic challenges in parallel. The external research carried out as part of this review of management capacity illustrates the breadth and depth of the strategic challenge and the range of choices facing Institutes of Technology as they plan their future. As the research shows, there are a number of different messages emerging for the higher education sector in relation to the varying needs of the economy, the learner and wider society. It is no easy task to determine where the Institutes of Technology should direct their strategy, yet the sector is required to provide education that will serve these needs. Legislation states that Institutes of Technology must “provide vocational and technical education and training for the economic, technological, scientific, commercial, industrial, social and cultural development of the State with particular reference to the region served by the college”. It follows from this that the sector and each individual institute has a responsibility to adopt a strategic direction that is aligned with the messages highlighted by this research. Our interpretation of these messages are summarised in the bullets below, however we acknowledge that the sector may draw different interpretations or may feel that further research and more in-depth analysis is required: Ireland has moved increasingly away from an export-driven economy and towards an import-driven economy. This raises possible questions for the Institutes:

What role do Institutes of Technology have in planning and delivering programmes that will strengthen the export capacity of the economy?

What responsibility do Institutes of Technology have to plan and deliver programmes that will produce graduates with the required skills to meet the needs of a growing service economy across different regions?

In what way do Institutes of Technology and the sector need to respond to this? Re-skilling will be a major future priority if planned economic growth is to be achieved. This raises the following questions for the Institutes:

What is the scale of the challenge of re-skilling for levels 6 and 7 and how can it be met? (given that school leavers show preference for level 8)

If these re-skilling targets are to be achieved, is a radical overhaul needed that will redefine the type of Level 6 and 7 programmes offered, the way they are taught and how learning takes place?

Do plans for reskilling take account of varied needs across a range of sectors or have we a tendency to focus on manufacturing at the expense of other major sectors of employment?

Can Institutes of Technology respond fast enough to the demand? Does the sector need to become more proactive in the area of future skills needs (i.e. working in

partnership with organisations such as Forfás) if these reports are to be a major driver of what Institutes of Technology do?

Although Institutes are required to have a regional focus by legislation, the research does not indicate major differentiation in industry needs by region and shows that most graduates are ultimately employed in Dublin. This raises the following questions:

To what extent should regional demands balance national priorities for Institutes of Technology? Should the institutes adopt a sectoral approach to engaging with industry rather than undertaking



individual initiatives? Though the total numbers of students participating in part-time study has increased, there has not been an overall increase in the proportion of total student population in part-time learning. This is despite international comparisons which show that other countries have much greater participation on a part-time basis and that many fulltime students balance work with study. This raises the following questions:

If greater uptake in part-time learning is to be achieved, is a radical overhaul needed that will redefine the type of programmes offered, the way they are taught and how learning takes place?

How can the sector work together to discuss with government making part-time learning available on the same basis as full time learning?

International study is worth an estimated €150million each year but Institutes of Technology are currently accounting for only 14% of this. This raises questions for the sector:

Does the sector want a greater portion of the international student market? What needs to be done to deliver this?

Policy recognises Innovation, Knowledge and Technology Transfer as key areas in which Institutes of Technology should have an important role to play. This raises the following questions:

What extent do strategic plans of individual Institutes of Technology and the sector reflect the new knowledge based needs?

How can the sector integrate innovation into its undergraduate programmes and deliver graduates with demonstrable innovation skills?

How can the sector work smartly with industry to gain their support, input and participation? How can the sector and individual institutes link their role in innovation and technology transfer with their

different goals in research?

The sector and individual institutes should consider each of these themes in future strategic planning.

Extract 2. The following is an extract from Chapter 5

Gap: Advanced strategic planning linked to measurable outcomes (Response required at institutional and sectoral levels Rationale Notwithstanding the foregoing it was evident from site visits and has been detailed to a considerable extent throughout this document, that institutes have considerably improved their strategy development processes, building on learnings from previous strategy development processes. However, the majority of institutes noted that their strategy was not sufficiently linked to any form of measurable outcomes or key performance indicators. This is a weakness in the development of any strategy and one that must be addressed as it is a key factor in facilitating the implementation of the strategy and its monitoring and evaluation. One institute noted that the implementation of the Banner system had improved access to information and the assignment of measurable outcomes to strategic priorities in the institute. Learnings such of these need to be better shared throughout the sector so that all institutes may improve their capacity in this regard.

Extract 3. The following is an extract from Chapter 5

Gap: Strategy implementation, monitoring and evaluation.



(Response required at institutional and sectoral levels) Rationale Most institutes noted that while strategy development in their institute was good, implementation would have to be their next major area for improvement as their institute was weak on following through and implementing strategy. An organisational strategy is a management tool which must constantly be monitored, reviewed and evaluated, so that changes can be made as appropriate. In order to do this, a first step is to ensure that objectives are linked with measurable outcomes. In addition, it is important that progress against the implementation plan of the strategy is on the agenda of the senior management team and the governing body at all times.



Appendix 13 - Foresight planning Introduction It is beyond the scope of this reference manual to look at the theory of foresight planning and the reader is referred to Smith and Mason (2004) for a fuller explanation of the background to the process. The following is a short synopsis of how it was used in one institute, to support their strategic planning process. Foresight steering group Central to the foresight exercise was to establish a steering committee that was representative of the stakeholders across the institute. Each of the following groupings was asked to nominate representatives to sit on the steering group:

Partnership committee (Trade Unions) Senior management team Executive committee Academic Council Student Union Local employers (External Stakeholders)

This consisted of twelve members and was chaired by a member of the Executive Committee but deliberately not by the institute’s Director. Of vital importance was that all of the group’s meetings (and later meetings of sub-committees) used a skilled facilitator. This was essential to ensure that innovation and creativity were maximised; an absolutely essential aspect of the foresight approach. The first meeting was used as a briefing session on how the process operated. Foresight themes A key element of foresight planning is to identify themes that are core components of influence on the institute. The process of theme development, through the facilitator, used various well known techniques (brainstorming, etc.) to identify five key themes. These were:

• Scholarship • External environment • Internal organisation • The student • Institute identity

The second aspect of this stage of the planning process was to identify named individuals who would chair each of the subgroups. These individuals were approached and asked to form a sub-group that, over the course of three or four facilitated meetings, would report back in writing to the steering committee. The terms of reference for each sub group included a specific requirement to take a long term perspective, to use creative thinking techniques and, finally, to propose a limited number of specific objectives for inclusion in a final plan. For each theme the chair of its sub-group was invited to sit on the steering group and was thus able to give interim oral updates on progress.



Scenario building In order to work within the extended timeframe of foresight planning it was necessary to build future scenarios. This process is well documented and a general understanding can be found from Shoemaker (1998) and Godet (2001). The external environment sub group undertook the role of scenario building. The process was driven by trying to answer the question 'who will be the users of institute XYZ in 2020?. There were considered to be two overarching factors, the Irish (and by implication the World) economy and the level of independence and autonomy given to institute XYZ during the restructuring of Irish Higher Education. This gave four possible scenarios as shown in the diagram below.

Strong Economy

Strong Economy

Self Determination 'Mickhail 24/7'

Strong Economy Central Control

'Independent Ingred'

Weak Economy

Self Determination 'Sad Paddy'

Weak Economy Central Control

'Disillusioned Deirdre'

Centralisation Autonomy

Weak Economy The scenarios were written as drama pieces and acted by members of the faculty. The four characters, typifying the scenarios, ('Sad Paddy', 'Independent Ingred', Mick-Hail 24/7, 'Disillusioned Deirdre') were developed by four breakout teams from the external environmental group. Each of the characters represented one quadrant of the scenario graph. These characters were presented back to the full group in the form of a story board depicting each of the characters. The facilitator took these and worked them up into the written versions of the scenarios that were intended to reflect a perspective of the life and times of each character. These became the ‘future scenarios’ against which the strategic plan need to be referenced in order to identify the areas for development and objective setting. Using the Foresight output While there were no specific forecasts developed for each of these characters, however the description of the 'students' and the written scenarios were useful in helping to envision the future; a point that will be returned to below.



In addition to the scenario development the external environment group organised two evening seminars at which a number of people spoke. The topics ranged from demographics through the pending oil crisis, technology and the student of the future. The final outcomes of the external environment group were a set of objectives that the institute should be undertaking to maximise its ability to meet the optimistic scenarios and to guard against the more pessimistic scenarios. These, along with objectives from the other groups substantially contributed to the final plan.



Appendix 14 - Scenario planning Extract from one institute’s strategic plan, outlining the use of scenario planning in the development of their strategic plan. “Future visioning has now been established as an acceptable tool for facilitation of strategic planning. It was employed to determine from Institute staff and external groups the likely changes in the higher education landscape over the following five to ten years. Scenarios were arranged around five policy domains, namely: access, curriculum, resources, management and the external environment. A response rate of over 50% from both internal and external stakeholders was encouraging. When the findings of external stakeholders and staff are overlapped there is convergence on a number of the most likely scenarios to occur. These scenarios included -

Competitive funding will continue to be a significant feature of the Higher Education sector Funding will be used to encourage the Higher Education institutions to focus on the economic,

cultural and social development of the state Lifelong learning will be made easier through models developed for the accreditation of prior

and experiential learning The number of International students participating in Higher Education programmes here will

continue to grow Academic staff in Higher Education will increasingly be employed in more flexible contracts

requiring involvement in R&D, technology transfer and consultancy Delegated authority (under which Institutes of Technology can award their own qualifications)

will result in Institutes of Technology developing a greater range of courses and module choices Providing re-training and updating programmes for the immigrant population will be an

important role for the Higher Education sector. In addition to the scenarios presented, respondents were asked for additional comments on scenarios which deserve consideration. Interestingly, the need to address how we conduct our business was raised, a university president emphasised that “institutions need to identify and cultivate core values and strengths which will guide them to pursue these flexibly.” A further response from an industrial support organisation characterised the future challenges to the Institute as: “The future is uncertain both in how Higher Education is demanded and organised, speed, agility, flexibility and … on the part of Higher Education institutions will be more important than order, structure, planning, collaboration – although each of the latter have a value.” The initial findings from this scenario planning exercise were made available to staff at the planning seminar at the end of September with a fuller analysis subsequently made available via the Director’s intranet pages.”



Appendix 15 - Operational plan formats Sample Gantt chart format

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The Gantt chart can be used to show a large number of factors associated with themes/ goals/ objectives/ tasks, such as resources, start & finish dates, estimated durations, relationships between tasks, interdependencies etc. Sample Network diagram

This sample is based on the same information as used in the Gantt chart above. It presents the information and task details and relationships in a different way. More appropriate when being viewed on a computer screen which facilitates scrolling through the details. Table format Typically each theme would have a separate table.

No Goal/ objective Deliverable/ outcome/ metric

Target dates

Responsible (Function and/or individual)

While perhaps the most familiar format, it is relatively static for an operational plan in which resources, timings, relationships, dependencies are being tracked and monitored. This format is most suitable for upward collation into an institute strategic plan. For operational plans additional columns can be substituted or added, to record any additional details about individual tasks. Additional Higher Education Authoritydings might include –



Resources required (staff/ finance/ facilities/ equipment etc), staff involved, inhibitors, dependencies, enablers. The final formats would be made locally.



Appendix 16 - A SMART framework for operational planning The table below provides a reference framework against which local functional area teams can develop the details of their operational plans.

SMART Planning – for SMART Objectives

An objectives checklist grid

What is being

delivered?

Why? How? By whom? By when? With what?

Specific X X X X X X

Measurable X X

Achievable/ Agreed X X X X X Realistic/ Relevant

X X X X X X

Timely X X X X Two additional mnemonics (below) may also provide guidance for ‘testing’ the objectives, deliverables and plans arising from the operational planning process. Positively stated Challenging Understood Legal Relevant Environmentally sound Ethical Appropriate Recorded



Appendix 17 - SWOT analysis

(Strengths, Weaknesses, Opportunities, Threats) Introduction This simple approach is used widely in all sectors to provide a snapshot view of strengths, weaknesses, opportunities and threats, as perceived by groups of staff and managers at all levels. It is used in a variety of different planning sessions including strategic, operational and PMDS team development plans. It gives every member of the participating group the chance to express their views and put forward ideas. A facilitator is normally used to help focus the wide ranging discussion normally generated by the SWOT analysis, and to move the group towards a useful conclusion. Approach There are many different approaches and the exercise can last for an hour or, depending on the scale of the group, up to one day. It is normally used in the introductory part of a planning session, to get participants to think laterally before moving into detailed planning mode. Usually, one to two hours is sufficient. The manager or facilitator explains the process and invites every member of the group to come up with their own views on:

Strengths - what are our main collective strengths as a department or function? Weaknesses - what are we not good at - what are our areas for improvement? Opportunities - as we develop future plans what are the main opportunities we should be considering (exploiting and enhancing)? Threats - what are the main threats we are likely to face which could prevent us from achieving our plans and potential?

This is normally done one topic at a time and responses collected in plenary session by the facilitator. A consensus process (e.g. multi voting) is then used to produce shorter, agreed lists of the most relevant and important strengths etc. With a normal size group (i.e. up to 30) four syndicate teams are established and asked to consider one of the topics (e.g. Opportunities) and report back with recommendations on how they should be approached in the context of the plan being developed. This is followed by a facilitated plenary session where the objective is to get an overall consensus agreement on the results of the SWOT analysis and action plans. Variations SWOT analysis is a good process for encouraging staff involvement, but is usually light on substantial data input. A way to improve this is to ask individuals or groups to do some advanced preparation in collecting as many facts as possible about key strengths, weaknesses, opportunities and threats - and to present their findings at the start of the session. For example this could include presenting papers on competition, academic performance, and retention issues. This approach will generally produce a more lively and better informed debate, but of



course takes additional time. It also provides another channel for staff engagement and participation and by extension, empowerment.



TOWS By changing the mnemonic order, and gridding the result, the strengths and weaknesses are ‘mapped’ against the threats and opportunities. The table below illustrates the idea. It provides an alternative way to analyse the output of the SWOT analysis.

Opportunities

Threats

Strengths

How to use strengths to pursue opportunities?

How to use strengths to mitigate threats

Avoid trying to pursue opportunities in areas of

weakness.

Develop specific plans to improve areas of weakness, where external

threats are evident. Weaknesses



Appendix 18 - Further reading and research In preparing the initial report, the strategic plans of approximately thirty universities and colleges of technology in Scandinavia, United Kingdom, Australia, Canada and the USA were reviewed. More detailed desk research was carried out on about half of them, where the strategic planning process was described as part of the document. Further information or clarification by email or telephone was obtained where possible. A number of 'pointers' to other organisations were followed up which have an influence on the strategic planning process. These organisations are listed below. United Kingdom

- Birmingham University - Edinburgh University - Leeds University - Wolverhampton University - HEFCE (Strategic Plan)

Australia - Australia National University - Australia National University Medical School, School of Chemistry - Melbourne University - Queensland University

Canada - University of Ontario - University of Ontario Institute of Technology - Toronto University - University of Waterloo

Scandinavia - Helsinki University of Technology - University of Helsinki - Copenhagen University

USA - Association for Institutional Research - Georgia Institute of Technology - Rutgers University (New Jersey) - Delaware University

Books

“The Balanced Score Card” by Robert S Kaplan and David P Norton, Harvard Business School Press



Appendix 19 - Steps for conducting risk assessment.

There are nine basic questions which can be asked when carrying out a risk assessment. As a goal or objective is being finalised, the overall question to be asked is “What could go wrong which could prevent us from achieving our goal/ objective as stated?” This general question could then be tackled using the table format set out at the end of this appendix. The nine headings are set out below to explain in detail how each part of the table should be completed.

Step 1. Create a statement of ‘If such and such happens…’. This statement identifies something we believe could happen, (but may or may not happen), which could prevent us from achieving our stated goal/ objective.

Step 2. Having created the ‘If’ clause above, we create a ‘then’ clause, which states what would happen in the event of the ‘if’ coming to pass.

These two elements form the core of a single risk statement. An example might help to illustrate the point. Let’s assume we have set a goal to increase student numbers on our biomedical engineering course by 30%, over a three year period. One associated risk assessment with this might be:

Example 1: ‘If the funding required to develop the new lab facilities are not made available, Then student number increases will have to be capped at 15% until additional lab facilities can be provided’.

This suggests that while we have made provision for building lab facilities to meet increased student numbers, there is a possibility of funds not being available to do so. Another risk might be stated as:

Example : ‘If the revised course descriptors are not available for publication in the CAO handbook by 13th Feb , Then students may not be aware of the new course offering in time for making their college decisions and consequently intake numbers could fall short of expectations.’

Once the major risks have been identified in this systematic way, we can then move to step 3.

Step 3. Identify a score between 1 (very low) and 10 (very high), to quantify the likelyhood of the ‘If’ clause coming to pass. In example 1 above, it might be a low 3, because we could have been bequeth a donation in a benefactors will to specifically build the facility and we’re just awaiting the settlement of the benefactors estate.

However, in the case example 2, it could be a 7, since the two principle lecturers on the programme are out on long term sick leave due to involvement in a recent bus accident.

Step 4. Attention now moves to the ‘then’ clause. We assign a score from 1 (very low) to 10 (very high) of the potential impact should the ‘then’ clause actually come to pass. In example 1, we might assign a score of 8 because we don’t see any other immediate source for the level of funding required. In example 2, we might assign a score 6 for the potential impact of the ‘then’ clause, because we could loose some students in the



first year but we are still working towards a 3-year target of 30% increase in course numbers.

Step 5. This step involves multiplying the two scores allocated above, which will give the overall risk score for the risk identified.

In Example 1, the Risk score is 3 X 8 = 24.

In Example 2 the Risk score is 7 X 6 = 42.

This shows that example two represents a higher level of risk and would therefore be more deserving of our attention if we needed to prioritise actions or resources to minimise the risk.

We must keep in mind that risks are events which MAY happen in the future. Our reason for conducting the risk analysis is to give structured thought to the possibility of things not working out as planned. This will then logically lead to the next steps in the risk analysis process.

Step 6. Having identified a risk, using the ‘If’ ‘Then’ approach and scoring each to give an overall risk score, we then look at the ‘If’ part to see is there anything we can do NOW, that might minimise the likelyhood of the ‘If’ occuring. This is called mitigation action. We should specify what action we can take at present, who should take it and by when.

Step 7. Having considered mitigation action for the ‘If’ part, we finally look to identify Contingeny action for the ‘Then’ part. In the event that the potential risk actually comes to pass, we try to identify what action we will take in the future, should that occur. As in step 6, we want to identify the action to be taken, by whom and by when.


Sample Risk log layout.

Note: This table may best be maintained in an Excel spread sheet or an MS Access data base, to allow adequate space for writing in the details under the main headings.



Index

A

academic council · 18 Academic Council · 21, 79, 95, 119 academic planning · 20, 39 Academic planning · 20 academic year · 36, 40, 42 Advisory group · 94 Authoring · 41, 70, 94

B

balanced scorecard · 52, 97 Balanced scorecard · 73, 75, 81, 87, 97 Balanced Scorecard · 52, 67, 72, 97, 101 Barriers to implementation · 44 Breakfast briefings · 91 budgets · 97, 98, 104 Business excellence models · 87, 99 Business Excellence models · 99 business processes · 37, 38, 98 Business processes · 40, 88, 97

C

Chambers of commerce · 102 classic approach · 39, 80 Classic approach · 27 communication · 14, 16, 31, 38, 40, 42, 63, 69, 80, 81, 88,

89, 91, 92, 95 competencies · 8, 9, 43, 52, 79, 83 consensus · 54, 56, 81, 83, 127 consultation · 8, 16, 30, 38, 41, 43, 48, 54, 55, 56, 57, 58,

59, 61, 73, 82, 94, 95, 109 consultation processes · 8 consultation strategy · 54 course boards · 38, 48, 52, 54 course leaders · 38 critical success factors · 36, 80 Critical success factors · 9, 81, 115 Critical Success Factors · 45 current state analysis · 8, 29, 38, 46, 48, 72 Current state analysis · 49, 58, 82

D

delegated authority · 110 Delegated authority · 42, 122 deliverables · 37, 61, 80, 115, 126 Deliverables · 36 demographics · 47, 121 Demographics · 102 dependencies · 66, 68, 76, 111, 124, 125 disempowerment · 19, 41, 42 duplication · 19, 36, 42, 72

E

editing · 41, 70, 94 Editing · 70 editorial committee · 61, 70 Editorial committee · 62, 94 EFQM · 50, 51, 52, 53, 58, 72, 73, 75, 81, 99, 100, 101 e-mail · 91 empower · 15, 25 empowering staff · 9, 15, 16, 50 Empowering staff · 13 Empowering Staff · 7, 9 empowerment · 15, 17, 37, 48, 67, 68, 71, 128 environment · 9, 14, 29, 36, 38, 42, 46, 54, 62, 73, 88, 91,

93, 104, 107, 110, 119, 120, 121, 122 Environment · 38, 46, 58, 82, 87, 91, 102, 104 environmental factors · 14, 43, 91 environmental scanning · 8, 29, 30, 38, 46, 47, 48, 50, 61,

73, 91 European Union · 103, 110 executive · 8, 9, 18, 28, 61, 73, 74, 95, 104 Executive · 9, 30, 36, 37, 62, 83, 94, 104, 119 Expert panel · 94 external stakeholder consultation · 8, 109 external stakeholders · 54, 57, 122 External Stakeholders · 119

F

focus group · 56 foresight · 119, 120 Foresight · 62, 87, 119, 120 Foresight planning · 62

G

Gantt chart · 68, 123, 124 goals · 9, 14, 21, 26, 36, 37, 44, 60, 61, 62, 63, 65, 68, 69,

70, 72, 76, 80, 100, 115, 116, 124

H

HEA · 21

I

Industrial development · 102 industrial relations · 45, 53 Industrial relations · 45, 53, 55, 110 information and consultation · 38 Information and consultation · 38 inhibitors · 66, 76, 111, 125 Inhibitors · 63



institutional research · 50, 113 Institutional research · 49, 75, 81, 113 Institutional Research · 49, 72, 130 internal capacity · 62, 73 intranet · 58, 64, 89, 122 involvement · 14, 15, 17, 18, 41, 43, 44, 51, 57, 58, 71, 79,

91, 95, 100, 105, 122, 127, 131

K

key performance indicators · 36, 49, 52, 67, 75, 80, 117 Key performance indicators · 9, 81, 115 knowledge management · 99 Knowledge management · 38, 88 KPI’s · 66

L

local government · 56, 104 Local government · 102, 104

M

management capacity · 65, 116 Management capacity · 87, 116 Management Capacity · 18, 43, 52, 65, 116 metrics · 9, 66, 67, 68, 105 mission · 9, 30, 37, 60, 61, 80, 114 Mission · 36, 88, 114 mission statement · 114 monitoring · 45, 72, 73, 88, 93, 117 Monitoring · 9

N

National Partnership Forum · 38 Network diagram · 68, 124 newsletter · 91, 93

O

objectives · 9, 14, 19, 21, 26, 31, 36, 37, 44, 49, 50, 52, 57, 60, 62, 63, 65, 66, 67, 68, 74, 75, 76, 80, 97, 98, 111, 115, 117, 119, 121, 124, 126

Objectives · 36, 97, 126 operational planning · 8, 9, 13, 17, 18, 19, 25, 28, 30, 31, 38,

39, 41, 43, 49, 62, 63, 65, 67, 79, 87, 94, 111, 112, 126 Operational planning · 65, 67, 82 operational plans · 8, 9, 14, 15, 17, 19, 20, 25, 26, 28, 31, 37,

39, 44, 47, 48, 49, 51, 54, 60, 61, 63, 65, 66, 67, 68, 69, 70, 71, 73, 74, 75, 76, 95, 111, 124, 126

Operational plans · 14, 74, 115 opportunities · 50, 58, 89, 105, 106, 107, 110, 127, 129 Opportunities · 18, 43, 50, 52, 65, 116, 127, 129 organisational culture · 30 ownership · 26, 28, 29, 38, 41, 44, 47

P

page brief · 91, 93 partnership · 14, 18, 53, 80, 110, 116 Partnership · 38, 51, 80, 82, 83, 88, 100, 119 PDP · 17, 44, 53, 67, 76, 89, 111 performance data · 72 PEST · 47, 81 Plan duration · 36 PMDS · 5, 9, 14, 15, 17, 18, 19, 20, 25, 36, 41, 42, 44, 49,

50, 51, 52, 53, 57, 63, 67, 72, 74, 76, 79, 87, 89, 97, 111, 112, 127

policy formulation · 49 problem solving · 58, 81 programme reviews · 36 Project management · 80, 82, 83 publishing · 71, 95

R

resource · 27, 39, 41, 47, 73, 88, 105 resources · 8, 9, 17, 18, 20, 37, 40, 41, 45, 49, 51, 52, 54,

61, 65, 66, 68, 73, 100, 105, 107, 115, 122, 124, 132 review · 9, 14, 21, 30, 37, 38, 42, 43, 49, 50, 52, 53, 55, 57,

62, 63, 65, 70, 72, 73, 74, 75, 79, 83, 88, 104, 112, 116 Review · 38, 66, 104 risk assessment · 63, 67, 131 rolling planning approach · 30, 36, 95 Rolling planning approach · 28

S

scanning process · 48, 52, 53, 54 scenario planning · 62, 122 Scenario planning · 81, 87, 122 Scenario Planning · 62 SMART · 9, 67, 81, 87, 111, 115, 126 staff buy-in · 44, 56 staff consultation · 8, 58, 59 Staff consultation · 57 staff development · 61 Staff development · 40, 88 staff surveys · 53 stakeholder consultation · 54 Stakeholder consultation · 54 steering groups · 18, 31, 39, 87, 94 Steering groups · 39 strategic goals · 60, 61, 62, 66, 72, 115 Strategic management processes · 38 strategic objectives · 9, 31, 44, 52, 60, 67, 68, 97, 112, 115 Strategic objectives · 115 strategic plan · 5, 8, 9, 13, 14, 16, 19, 21, 25, 26, 27, 28, 29,

30, 31, 36, 37, 39, 40, 42, 44, 46, 47, 48, 57, 60, 61, 62, 63, 65, 66, 67, 68, 69, 70, 71, 72, 74, 79, 80, 89, 91, 93, 94, 95, 104, 112, 120, 122, 124

Strategic plan · 9, 29, 70, 71, 72, 82, 91, 93, 114 strengths · 50, 52, 122, 127, 129 Strengths · 50, 127, 129 student · 14, 20, 38, 53, 54, 74, 88, 104, 105, 106, 107,

116, 119, 121, 131 Student · 9, 50, 89, 102, 106, 113, 119 surveys · 53, 57 Surveys · 57



SWOT · 39, 43, 50, 51, 53, 58, 79, 81, 87, 127, 129

T

table format · 63, 67, 131 Table format · 124 Table Format · 68 Table of contents · 3 TDP · 9, 53, 67, 72, 76, 83, 97, 111, 112 team development plan · 52 Team development plan · 111 thematic areas · 39, 40 themes · 8, 28, 29, 30, 40, 43, 58, 60, 61, 62, 63, 65, 69, 70,

83, 87, 88, 93, 94, 116, 119, 124 threats · 50, 127, 129 Threats · 50, 127, 129 trade union · 57, 58 training · 8, 9, 43, 52, 56, 57, 76, 79, 83, 101, 111, 116, 122 type of plan · 8, 17, 36, 37, 61

Type of plan · 37

V

values · 9, 30, 60, 61, 88, 114, 122 Values · 88, 114 version control · 71 vision · 9, 30, 37, 60, 61, 80, 88, 97, 114, 116 Vision statement · 36, 88

W

weaknesses · 50, 127, 129 Weaknesses · 50, 127, 129 whole-school review · 20


table of contents - institute of technology … manual handbook summary... · appendix 7 -...

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