Empowering Staff Through Institute
Planning (ESTIP)
Steering group workshop
Institute Name: XXXXXX
Presenter: XXXXXX
Date: XXXXXX
Welcome, introductions & objectives
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The purpose of this two day
programme is to ensure that all
members of this planning steering
group have the requisite knowledge,
skills & abilities to fulfill their role as
a steering group as defined in their
terms of reference
© institutes of technology ireland 2009
Day 1: Programme outline
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09.15 09.45 10.45 11.00 12.00 Lunch
14.00 15.15 15.30 16.30 -
Welcome, introductions, objectives
Planning Exercise
Break
Self-Assessment & Discussion
Developing Plans
Role of Steering Group
Break
Empowering staff
Close
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Planning Exercise‘Roscommon IT Leisure Centre’
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You are members of the new Strategic Planning steering
group – it is now January 2009
You have been asked to review the existing strategy &
plans & assess their viability - will they be achieved
If you decide a new plan is necessary,how would you go
about preparing it?
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What type of plan(s) would you need?
How would you prepare the plan(s)?
What information would you need?
How would you get it?
Who would you ask / involve?
How would you ensure that the plans are achieved?
Please discuss with your colleagues & agree a group
response & feedback in the plenary session
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Steering Group self-assessment &
discussion
 Objective
– To enable group to recognise their
strengths & areas that need
development
– To enable this steering group to reflect
on their ability to fulfill their role
– To facilitate a discussion on how to
improve effectiveness as a steering
group
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Developing plans
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Module objective
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To ensure that the group understand
– The models & phases which could be
used in any planning process
– Emerging good practice in planning
processes
– To provide an opportunity to discuss the
strengths & weaknesses of the different
models
– To identify where they currently are in
the planning cycle
© institutes of technology ireland 2009
Group exercise
Break into 3 groups
 Each group discuss one of the 3 approaches
to developing a Strategic Plan (use Framework
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Reference Manual)
– Group 1 - Classical approach
– Group 2 - Rolling Planning approach
– Group 3 - Strategic/operational (integrated)
planning approach
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Take a few moments to read the approach
related to your group
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Group exercise
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continued
a group discuss:
– The key elements of the approach
– Its strengths & weaknesses
– How it relates to planning in this IoT
Prepare feedback for the whole group
on the above
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The ESTIP Planning Process Model
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ESTIP planning model – an overview
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Phase 1: Pre-planning phase
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Phase 1.1: Executive considerations
– Time frames
– Method to be used
– Type of plan
– How decisions will be made
– Review of previous plan
– Strategic Management Processes eg
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Information & consultation; Environmental
scanning; knowledge management,
integrating processes etc.
© institutes of technology ireland 2009
Phase 1.2: Steering Groups
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Strategic Planning steering group
Thematic planning sub groups
Planning Process communications
Planning Process duration
Managing staff expectations
Resource assessment
Authoring/editing of final document
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Phase 1.3: Wider Considerations
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Aligning with other operational
processes
Spanning academic, financial &
calendar year
Strategic planning drivers
Training for the planning process
Determining staff expectations
Identifying barriers
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Phase 2: Data collection
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Environmental scanning
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Usually done once every 3-5 years
Alternative approaches e.g. PEST
Decide who to scan
Ask so what?
Current state analysis - internal scan
– Institutional research; SWOT analysis, EFQM
excellence model; Balanced Scorecard
approach; Programme Development;
satisfaction surveys, IR
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Data collection
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continued
Stakeholder consultation
– external,
– Who? How? When? On what?
– Interviews, focus groups etc
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Staff consultation
– Many opportunities through different
phases
– Trade unions
© institutes of technology ireland 2009
Phase 3: - Plan development
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Phase 3.1: - Develop themes
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Vision, mission, values
Analysis of data collected
Developing themes
Communication with wider audience
Phase 3.2: - Operational planning
– Principles; SMART;PMDS; KPI’;s
Phase 3.3: - Plan collation
 Phase 3.4: - Plan publication
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© institutes of technology ireland 2009
Phase 4: Managing & Implementing
Plans
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Phase 4.1: - Strategic Plan
Phase 4.2: - Operational Plan
Phase 4.3: - PMDS
Importance of recognising
interdependencies, links, timing etc.
© institutes of technology ireland 2009
Group exercise
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Consider
– Where are you currently in terms of
these phases?
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Do you recognise where you as an IoT?
Map yourselves onto these phases?
– What has worked well?
– What was problematic?
– What might be useful going forward?
© institutes of technology ireland 2009
Roles of Steering
Groups
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Module objective
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To provide participants with an
overview of the types of steering
groups used in planning
To allow participants an opportunity
to discuss their own terms of
reference
To allow a discussion on possible
uses of steering groups going
forwards
© institutes of technology ireland 2009
Role of Steering groups in planning
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Wide range of steering groups used
Different types of groups useful for
different types of plans, processes or
phases
Size is an issue
– Too big -unwieldy & loss of focus
– Too small-anonymity & communication
difficulties with the whole organisation
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A. Advisory group to Director/President
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Role - advise on the process & final
plan; does not steer the process
Small, maximum 5 members
Members have
– No self-interest in outcomes of process
– Expertise in specific aspects of process
– Highly trusted by Director/President
– Expresses frank & constructive views
© institutes of technology ireland 2009
B. Expert panel used in rolling planning
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Supports thematic/functional area
One representative from each
thematic/functional area
Representatives bring expertise on
theme/function
Ensures broad perspective
Depending on themes the group may
also be the Executive acting as
Steering Group
© institutes of technology ireland 2009
C. Editorial Committee
Small, maximum three, subgroup
 Act as principal drafters of document
 One person full responsibility for the
document
 Other two carry out specific tasks
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– Make editorial comment
– Ensure consistency between document content
& input
– Ensure transparency & link to other documents
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D. Mixed Role Group
Two - four people form core of group
 At start of each phase of planning the core
is augmented by additional members to
deal with specific issues
 Purpose of group
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– Ensure consistency across all phases of
planning process through core group
– Ensure clear responsibility for group activities
– Ensures best mix of experience etc
– Maximises staff involvement
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E. Rolling framework steering group
A standing steering group
 Can include permanent members from
executive & leaders of thematic groups
 Group membership changes as themes
change
 Key challenges
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– Ensuring effective communication across
theme
– Developing a presentation format for plan
robust enough to deal with frequent changes
© institutes of technology ireland 2009
F. Academic Council sub-group
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Could already exist or be formed for
this purpose
Would act with full authority of
Council & impra mater of one of the
three Institute statutory bodies
Provide progress reports to AC &
Director
Mix of council members co-opted for
task
© institutes of technology ireland 2009
Group discussion
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TOR of this group
Previous types of Steering Group
used
Benefits & drawbacks of each type
Possible best uses of steering group
types for next step of planning
process (revisit this in last session
day 2)
© institutes of technology ireland 2009
Empowering staff
© institutes of technology ireland 2009
Module objectives
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To outline the principles that
underpin staff empowerment through
Institute Planning
To look at the ways of involving staff
To reflect on these lessons & past
experiences
To focus on possible best ways
forward
© institutes of technology ireland 2009
Purpose of ESTIP Framework
To provide guidelines for
“Empowering staff locally, by linking team
& individual development plans to
focussed, supported & transparent
strategic plans.”
 Emphasis is on engaging staff in strategic
& operational planning processes
 At a time & level appropriate to individual
staff, their interests & abilities
 Some key principles for empowerment
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© institutes of technology ireland 2009
Research across IoT sector shows
Poor awareness of strategic plan & its content
 Apathy towards the plan
 Low awareness of link between staff activities &
long term goals in the plan
 Lack of structured operational plans to achieve
objectives of plan
 Staff aware of plans but limited knowledge of
where they came from
 Minimal sense of ownership of plans
 At outset be aware of these problems & design
process to ensure they absent at conclusion
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© institutes of technology ireland 2009
Group discussion
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What has been the sense of
empowerment of staff in this IoT
through your last/current planning
process?
At this stage feedback should be
given on any evaluations carried out
e.g. staff survey
© institutes of technology ireland 2009
How planning can be structured to
empower staff fully
 Close integration with other
processes including PMDS
 There is a need to plan the planning
– Initially agree broad planning approachthis defines how interactions will occur
with stakeholders
– Then the detailed pre-planning of
phases
– Phases outline essential activities
© institutes of technology ireland 2009
Empowerment through communications
Clear, timely communication to staff helps
develop empowerment as much as direct
involvement
 A detailed communication plan is an
essential underpinning of all planning
processes- agree in pre-planning phase
 Staff need to be kept aware of progress at
all phases of the process
 Remember staff entitlements under
Information & Consultation Legislation
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© institutes of technology ireland 2009
Importance of transparency &
consistency
Clarity & transparency between the inputs
made by staff during the planning process
& the final plan is important
 If aspects of the final plan only come to
light in the late stages of the process
there needs to be a clear explanation for
the new material
 Not honouring this principle can result in
staff disempowerment & disillusionment &
a loss of confidence in the process
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© institutes of technology ireland 2009
Avoid duplication - integrate processes
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There are a wide range of Institute wide
processes & groups
These need to be taken into account when
developing an approach to planning
Integration of activities is important
Evidence shows that where duplication
occurs it leads to frustration &
disempowerment for staff
Map the processes in pre-planning phase
to optimise use of staff time & effort
© institutes of technology ireland 2009
Clarify type of Strategic Plan needed &
level of detail at outset
Lack of clarity may lead to plan been seen
as a glossy PR doc instead of a real plan
relevant to staff who must implement it
 Clear rationale for the decision on the type
of plan should be communicated to all
staff as early as possible before leaving
the pre-planning phase.
 Staff understanding enhances willingness
to be involved
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© institutes of technology ireland 2009
Managing staff expectations
Staff have an expectation of being
consulted.
 Use PMDS as a method whereby staff can
indicate their preferred level of
involvement in SPL process
 Seek agreement from staff & managers to
increase the frequency of informal
meetings under PMDS
 Make explicit who has responsibility for
each phase & sub-phase
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© institutes of technology ireland 2009
Staff consultation
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Encourage staff who want to take
part to get involved
Give reassurance that involvement is
real & meaningful
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Ways of involving staff
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Phase 1: Pre-planning-on
preplanning committee or Steering
Group
Phase 2: Data gathering
– Current state analysis e.g. functional group
self-assessment, SWOT, EFQM
– Stakeholder consultation ee.g.g meetings with
employers, schools etc.
– As member of general or specialised working
group or standing committees carrying out
environmental scanning
© institutes of technology ireland 2009
Staff involvement continued
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Phase 3: Plan preparation
– Developing themes as member of
Strategic Planning steering group or
specialised working sub-group etc
– Plan collation- as member of Strategic
Planning steering group & specialised
editorial group
© institutes of technology ireland 2009
General staff consultation
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Publish the work plans, progress etc. of
Strategic Planning committees & groups on
intranet (plan carefully in phase 1)
– Make staff aware that this is expected method of
interaction for those not wanting active involvement
Consultation by working/theme groups
 Consultation with Trade unions
 Institute omnibus survey
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© institutes of technology ireland 2009
Operational planning
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The PMDS process aims to provide a
way of prioritising a teams activities
in line with the Institutes strategic
objectives
Use TDP & PDP processes to involve
staff in planning
Finally Plan Publication
– Recognise staff involvement; Formal
launch; Send copy to all involved
© institutes of technology ireland 2009
Group discussion
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How were staff involved in this
Institute?
Strengths & weaknesses of these
methods?
Thoughts on best way moving
forward?
© institutes of technology ireland 2009
Outline of Day 2
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09.15-09.30 - Introduction, Objectives
09.30-11.00 - Effective Steering Groups
Break
11.15-13.00 - Optional Modules
Lunch
14.00 - Interdependencies/Integration
15.30 - Break
15.45-16.30 - Next Steps
16.30-17.00 - Evaluation
© institutes of technology ireland 2009
Effective Steering
Groups
© institutes of technology ireland 2009
Module objectives
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To provide an opportunity for the
group to focus on how to work
together as a team in an open
honest environment & reach
consensus
To allow the group to reflect on their
own modus operandi as a group &
plan for effective team-working
© institutes of technology ireland 2009
Characteristics of an effective Steering
Group
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Clarity, agreement & focus on Terms of
Reference (TOR), objectives & goals
Appropriate membership (no’s, knowledge,
skills etc.) for task
Good communication
Regular meetings that start & finish on
time
An atmosphere of openness, honesty &
mutual respect
© institutes of technology ireland 2009
Effective steering groups continued
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An ability to reach consensus
An ability to manage conflict
Good meeting procedures
– Ground-rules
– Appropriate chairing
– Agenda in advance
– Action oriented minutes
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Clear & agreed roles &
responsibilities
© institutes of technology ireland 2009
Ineffective Steering Groups
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Work overload
Decision-making
delays
Poor scheduling
Uneven work
distribution
Poor information
flow
General hostility
© institutes of technology ireland 2009
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Poor relations with
others
Confusion
Apathy
No initiative
Decisions poorly
executed
No TOR or lack of
clarity
What happens once a group is
formed?
Individuals feel wary, cautious & even
sceptical based on past experiences
 Groups are often hampered by problems,
which are clear at the start but get worse:
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Gate keeping of information
Not really listening, only being polite
Personalising issues
Taking an aggressive or defensive stance at the
first sign of anything going wrong
– Keeping real opinions & feelings to one’s self
What happens once a group is formed?
continued
Groups take time to develop & can be
muddled to start with
 The immature group will mature with time
& effort
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Forming
Storming
Norming
Performing
Conflict within groups is both normal &
desirable
Active listening
Avoid preoccupation/ distraction
 Make appropriate eye contact
 Be aware of your own emotions
 Suspend judgement for awhile
 Wait before responding
 Develop paraphrasing into own words/context
 Continually reflect
 Don’t interrupt or change topic
 Question & clarify
 Be ready to respond when speaker is ready
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© institutes of technology ireland 2009
Group discussion
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Look back to yesterdays self
assessment, reflect on your last
meeting now identify
– What is working well for this group?
– What problems do we have?
– Lead a group discussion on how to
improve effectiveness of the group
© institutes of technology ireland 2009
Analytical tools for
planning
© institutes of technology ireland 2009
Module objectives
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This module has optional content
depending on type of planning steering
group
The aim is to provide the group with an
opportunity to familiarise themselves with
relevant planning tools such as
PEST analysis,
Balanced Scorecard,
SWOT analysis & SMART Action Planning
© institutes of technology ireland 2009
Analytical & scanning tools
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PEST Analysis
SWOT Analysis
EFQM
Balanced Scorecard
Gap Analysis
Cost analysis
Scenario planning
© institutes of technology ireland 2009
PEST analysis
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A simple, widely used tool for scanning the
external environment & grouping factors
together under the mnemonic PEST
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Political
Economic
Socio-cultural
Technological
Helps develop an understanding of the
‘whole’ environment’ within which the
organisation operates
© institutes of technology ireland 2009
How to conduct a PEST
1.
2.
3.
Brainstorm the factors (PEST) in the
context of your Institute
Identify the relevant information for
each of these factors
Analyse this information & draw
conclusions
The crucial point in PEST analysis is moving beyond
simply describing the factors (step 2) without thinking of
the implications (step 3)
© institutes of technology ireland 2009
Example of a PEST
Political
• Government
Policy
• Legislation
• Elections
Socio- Cultural
• Changing
expectations
• Changing student
profile
• Life style changes
XXX
IoT
Economic
• Government
Policy
• Banking
• Tax
• Third level Fees
© institutes of technology ireland 2009
Technological
• IT advances
• Impact of
Internet
Group exercise
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As a group carry out a PEST analysis
for this IoT
© institutes of technology ireland 2009
Balanced Scorecard
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See Appendix 4 ESTIP Framework
Reference Manual
Developed in 1990’s
Allows management & staff to focus on a
few key strategic objectives
Recognises importance of developing a
few key aspects of an organisation
Also interrelationship between them
© institutes of technology ireland 2009
Balanced scorecard consists of
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The core of the strategy or vision
Four interrelated factors
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Financial aspect
‘Business’ processes
Learning & development
The ‘customer’
Each factor has four components
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Objectives
Measures of achievement
Targets
Initiatives
© institutes of technology ireland 2009
Example: Inner City School X
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Vision - improve the educational
experience of pupils & increase
numbers going to higher education
Financial
– Objective is to achieve funding of €xxx & keep in
budget
– Achievement measured through monthly accounts
– Target- to achieve €100,000 turnover
– Initiatives- marketing campaign & delegation of
budgets to departments
© institutes of technology ireland 2009
Exercise: Develop a Balanced
Scorecard for this Institute
 Key Questions?
– Financial- how do we measure up to
financial projections?
– Operational- At what processes must
the organisation be successful?
– Customers- How so service users see
the organisation?
– Innovation & Learning- How can we
improve performance?
© institutes of technology ireland 2009
SWOT Analysis
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(see appendix 17)
Simple, widely used approach
Allows you develop snapshot view of
strengths, weaknesses, opportunities
& threats as perceived by different
groups
Often done in facilitated session
Can take from 1-8 hours depending
on method used & size of group
© institutes of technology ireland 2009
SWOT
Strengths
Weaknesses
What are our main
collective strengths as a
unit?
What are we good at?
What are we not so good
at?
What are our
competitors better than
us at?
What do we need to
improve upon?
Opportunities
Threats
What are the main
opportunities that we
should consider?
What can we exploit?
What are the main
threats that we are
going to face?
What could stop us
achieving our goals?
© institutes of technology ireland 2009
SWOT Process
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Facilitator brings group through each
heading
Once the group has identified all the
factors under each heading they
need to reflect & ask, “So what?”
Once the key important priorities are
identified the next step will be action
planning as a result of SWOT
© institutes of technology ireland 2009
Action Plan
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Objective - State your intention.
What you hope to achieve. Joint
Objective?
Strategies/Action Steps to achieve
the Objective?
Who is responsible for each step?
What is the deadline for each step?
What resources are required to
achieve each step?
© institutes of technology ireland 2009
SMART Planning for SMART Objectives
(appendix 16)
An objectives checklist grid
What is
being
delivered?
Specific
Measurable
Achievable/
agreed
Realistic/
Relevant
Timely
© institutes of technology ireland 2009
Why?
How? By
whom?
By
With
when? what?
Group exercise
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Carry out a SWOT analysis on your
IoT
Develop a SMART action plan to
achieve 4 objectives
© institutes of technology ireland 2009
Interdependencies &
integration in the
planning processes
© institutes of technology ireland 2009
Module objectives
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To allow participants reflect on the
interdepencies in the planning
processes in their own IoT
To focus on the importance of
integrating planning processes &
allow the group identify ways to
improve integration in planning
© institutes of technology ireland 2009
Group exercise
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As a group identify all the planning processes in
this IoT
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Academic Planning
Functional Planning
PMDS
Operational Planning
Strategic Planning
What takes place, what is the sequence of events
for each part of the planning process?
Draw a time line & map the planning processes
onto it highlighting where the output of one
process needs to be the input of another
© institutes of technology ireland 2009
Exercise
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continued
What are the strengths &
weaknesses of the integration within
our current planning?
What are the key processes that
need to be improved upon & how can
they be improved?
Redraft the time line & indicate how
the planning processes can be
integrated
© institutes of technology ireland 2009
Next steps
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Review the key learning points from
the two days
Reflect on your terms of reference as
a steering group
What do you need to do next?
© institutes of technology ireland 2009