A Handbook for Strategic Planning

1、A Handbook for Strategic Planning About the TQL OfficeThe mission of the Total Quality Leadership (TQL) Office, Office of the Under Secretary ofthe Navy is to assist the Department of the Navy leaders in their qualify-focusedimprovement efforts through education, consultation, information sharing, n

2、etworking,and technical advice.The TQL Office provides technical advice as well to a number of organizations inside andoutside of government. It has responsibilities in six key areas: TQL education andtraining; consultant services; new technologies; assessment; networking and liaison; andinformation

3、 and communication.Education and TrainingAssessmentThe TQL Office is responsible for managingSystems are needed to assess the way inthe technical and conceptual content of thewhich TQL implementation is enhancingDepartment of the Navy (DON) TQLmission accomplishment in DONcurriculum. This work invol

4、ves designingorganizations. The TQL Office is designingand developing courses as well as trainingand developing feedback mechanisms forinstructors. The staff advises the DON onthat purpose as well as developingintegration of TQL material into theinnovative approaches to improve overalltraining pipel

5、anizational effectiveness.Consultant ServicesNetworking and LiaisonTQL Office members provide technicalThe TQL Office has much to share withadvice to the Under Secretary of the Navyother organizations, both government andand other senior Navy and Marine Corpsprivate, and much to learn from th

6、em. Staffleaders on the application of TQL principlesmembers participate in TQL-relatedand methods within the DON and onnetworks and professional organizations.strategic planning. Advice may also takeAs resources permit, the TQL Officethe form of recommendations on policy assponsors TQL conferences

7、and seminars.well as on Defense Performance Reviewinitiatives.Information and CommunicationThe TQL Office educates the DON aboutNew TechnologiesTQL policies and initiatives through aTechnology can provide critical support tonewsletter (TQLeader), articles and reports,DON quality improvement efforts.

8、 The joband presentations at conferences andof the TQL Office is to assess newmeetings. It is developing acomputer-based quality informationtechnologies related to organizationalchange and process improvement andnetwork to facilitate communication withDON organizations.translate them into applicatio

9、ns for theDON.ForewordThis handbook was written for Department of the Navy (DON) commanding officers, TQLcoordinators, and strategic planning facilitators in response to the many questions aboutthe strategic planning process and how it should be conducted within the DON. It is notintended to teach t

10、he intricacies of strategic planning, but is merely provided to answerprocess questions. While we cannot anticipate every question, the handbook details oneway to do strategic planning that is consistent with the strategic planning model presentedin the DON Senior Leaders Seminar and approved by the

11、 DON leadership through itsExecutive Steering Group. While this is not the only methodology, it is the one we usewhen working with Navy and Marine Corps organizations.To be successful, strategic planning requires commitment on the part of three people: theleader (commanding officer) of an organizati

12、on, the TQL coordinator of that organization,and a strategic planning facilitator. This handbook attempts to delineate the roles andresponsibilities of each and suggests a process by which the three, together, can point theorganization toward its future. Strategic planning is a continuous consulting

13、 process thatmust be tailored to accommodate the climate of an organization. Our experience hasproven that strategic planning benefits both public and private organizations.Words of CAUTION and ADVICE are interspersed throughout the document and arebased upon our experience with DON organizations. W

14、e hope you find it valuable as youbegin your strategic planning efforts.A Handbook for Strategic Planning is envisioned as the first of a series of handbooksdesigned to assist members of the quality community in their efforts to implement TQL.The authors extend a special thanks to Mr. Pat Malone, fo

15、rmerly of this office, and Ms.Mary Jones, an organizational development consultant, for their valuable support andencouragement throughout this project.Denise L. WellsLinda M. Doherty, Ph.D.Director, Information Resources CenterDirectorDONDONTQL OfficeTQL OfficeForewordiiiForewordContentsBenefits of

16、 Strategic Planning 1Role of the TQL Coordinator 3Getting Started 5Checklist of Supplies and Equipment 6Who will be our strategic planning facilitator? 7What will the facilitator do? 7Who should be on the strategic planning team? 8Should we invite some of our customers to be on the team? 8Where will

17、 we do this? 9How long will this process take? 9Proposed Agenda10What can the organization expect to get out of this investmentof time and effort?11Preparing for the Off-Site: Role of the Facilitator13What about the rest of the strategic planning team?13Who conducts the interviews?13What questions s

18、hould the facilitator ask the strategic planningteam members?13How does the facilitator conduct the interviews?14What is done with the information collected?15How are the interview data and executive summary sharedwith the team?16Are there other ways to assess the organization?16Selecting the Leader

19、ship Team: Advice to “the Boss”19Size19Community19Position in the Hierarchy20Knowledge Level20Abilities20The Strategic Planning Session21Opening Remarks22Administrative Remarks22Strategic Planning Overview22Ground Rules24The Decision-Making Process25What is consensus?25ContentsiiiWhich decision-maki

20、ng method works best?26Planning Assumptions27Vision27But shouldnt we develop the mission first?27Shouldnt we do the mission next?28Guiding Principles29Mission29Why are we doing strategic planning?29How do you define a system?29How can I do strategic planning when someone above me inthe chain of comm

21、and isnt doing it?30Why is systems thinking important to strategic planning?30We already have a mission statement dictated by ExecutiveOrder, law, instruction, or some other formaldocument. Why do we need another one?31Gap Analysis33Strategic Goals, Strategies, and Objectives33Next Steps35Updating t

22、he Strategic Plan37How do the team and the facilitator know when to start thecycle over?37How will the team and the facilitator know when the planningassumptions change?37Are there other reasons for the strategic plan to change?37Will the process be the same or different the second time around?38Sho

23、uld the facilitator do the interviews again?38What is different about the strategic planning process?39What is a SWOT analysis?39How is a SWOT analysis done?39What is meant by opportunities and threats?40Why is a SWOT analysis important?40Should customers be invited to participate this time?40How is

24、 the strategic planning process different this time?41How is the process the same?41So, strategic planning becomes an iterative process?41Read-Ahead Materials for the Planning Team43References45About the Authors47ivContentsBenefits of Strategic Planning“Strategic planning is the process by which the

25、 guiding members of an organizationenvision its future and develop the necessary procedures and operations to achieve thatfuture” (Goodstein, Nolan, & Pfeiffer, 1992). It is an iterative process, with no clearbeginning or ending point. It can be viewed much like a merry-go-round. What anorganiza

26、tion does first depends upon where it “gets on.”The purpose of strategic planning is to transform the organization. Strategic planninghelps leaders to:Create their own organizations futureProvide a framework and a focus for improvement effortsOptimize organizational systemsProvide guidance for day-t

27、o-day decisionsProvide a learning opportunity for top leadersBuild a “critical mass”Provide a means for assessing progressBenefits of Strategic Planning12Benefits of Strategic PlanningRole of the TQL CoordinatorThe DON Senior Leaders Seminar teaches that strategic planning is the responsibility ofth

28、e top leadership in the organization. It should not be delegated or staffed out to others.However, it is reasonable to expect the senior leaders to ask their TQL coordinators forsupport.+ADVICEThe TQL coordinator should not act as the strategic planning facilitator.Strategic planning seems to be mos

29、t successful when the process is facilitatedby someone from outside the organization. However, regardless of whetheror not the TQL coordinator acts as the strategic planning facilitator, he or sheshould know as much about the process as the other players to function intherole of process consultant.T

30、he TQL coordinator may be expected to act as both a process consultant and a processfacilitator. As a process consultant, the TQL coordinator should be the person who helpsthe senior leaders answer the following questions:Who should be our strategic planning facilitator?What will the facilitator do?

31、Who should be on the strategic planning team?Should we invite some of our customers to be on the team?Where will we do this?How long will this process take?What can the organization expect to get out of this investment of timeand effort?(Answers to these questions follow in the “Getting Started” sec

32、tion.)Role of the TQL Coordinator3The TQL coordinator may also be the person responsible for logistics, including:Identifying a strategic planning facilitatorArranging for a meeting placePreparing and distributing read-ahead materials, agenda, etc., to thestrategic planning teamGathering the supplie

33、s, equipment, tools, etc., needed at the meetingArranging for a recorder and other support personnel+ADVICEThe TQL coordinator should limit the number of support staff in theplanning session. There are a couple of reasons for this advice. First, teammembers may not express their ideas openly if ther

34、e are a number of staff inthe room. Second, there is sometimes a temptation to hand off the actualwriting of the vision, mission, and guiding principles to staffers who may bepresent. Strategic planning works best when the team members do their ownwriting.4Role of the TQL CoordinatorGetting StartedW

35、hat the senior leader does next depends upon whether the organization is just beginningthe strategic planning process or is updating an existing plan. Below is a checklist ofthings to do.ConsultationLeader and facilitator meet and negotiate:ExpectationsAgendaGround rulesStrategic planning methodolog

36、yLeader selects planning teamFacilitator conducts interviewsFacilitator compiles interview dataFacilitator prepares executive summaryFacilitator briefs leaderLogisticsSet datesSelect placeArrange for supplies and equipmentSet up interviewsPrepare read-ahead materialDistribute read-ahead and intervie

37、w packageCCAUTIONOnce the leader has decided to do strategic planning, too often wheels are setinto motion without a clear understanding of how much “up front” workneeds to be done.Getting Started5Checklist ofSupplies and EquipmentSuppliesEasels-at least 2Flip chart paperMarking pensTransparenciesTr

38、ansparency marking pensDictionaryThesaurusThe Power of Vision video by Joel BarkerPaper, pens, pencilsPost-it T M notesName tentsEquipmentComputerWord processing softwarePrinter and paperDisksOverhead projectorScreenVCR with monitorCopy machine and paperFax machine6Getting Started The following ques

39、tions should be considered by the senior leader and the TQL coordinator before further decision making.“Who will be our strategic planning facilitator?”This may be the most important decision of the preplanning process. It is oftenpossible to “borrow” someone at no cost, from outside the command but

40、 inside thegovernment, to be the facilitator.CCAUTIONFacilitating strategic planning is not the same as facilitating a QualityManagement Board (QMB) or a Process Action Team (PAT) even thoughmany of the skills are transferable. If possible, the TQL coordinator shouldselect a facilitator who has stra

41、tegic planning experience and who iscomfortable working with senior leaders. The facilitator should be broughtinto the preplanning activities as soon as possible.“What will the facilitator do?”Once the facilitator is selected, the senior leader and the facilitator should meet forthe purpose of “nego

42、tiating a contract.” During this meeting, which should takeabout an hour, the leader and the facilitator discuss such elements of strategicplanning as the methodology they will use, who the planning team members willbe, what they expect to accomplish, what the agenda will include, and what theground

43、 rules will be. It is helpful, though not necessary, to write down thesedecisions, but it is important that they agree on a strategy.Getting Started7“Who should be on the strategic planning team?”It depends. If an Executive Steering Committee (ESC) already exists, it may serveas well as the strategi

44、c planning team.CCAUTIONIf there is no ESC, the people selected to participate in strategic planning willprobably want to continue some sort of ongoing effort. They may self-selectas the ESC.+ADVICEThe decision about who is asked to participate should be thoughtfullyconsidered. It probably should no

45、t be “all the department heads” or “all thecolonels,” for example.The team should number between five and nine members. For a completediscussion of this question, refer to the section entitled “Selecting theLeadership Team: Advice to the Boss.”“Should we invite some of our customers to be on the tea

46、m?”Maybe not. For the first cycle of planning, the team is learning to function as ateam. The members may not, as yet, have reached consensus among themselvesabout what to do and what their strategies should be. Besides, if there is no ESCand the strategic planning team evolves into the ESC, there i

47、s the real question ofwhether the team would want its customer(s) to continue to meet with it in thatcapacity.Maybe so. On the other hand, if the planning team has already been meetingtogether and is ready to act on customer feedback, customer participation can bemutually beneficial.8Getting Started

48、“Where will we do this?”The site is not as important as the fact that it should be away from the regular worksite. This allows participants to concentrate on the strategic planning effort with aminimum of interruptions. In making the arrangements, the TQL coordinator willwant to consider a meeting r

49、oombreak-out rooms if the group is largeandroomswhere the team can work into the evenings and have their meals (together,separate, special diets) and social gatherings. The TQL coordinator should alsoconsider the availability of exercise rooms and the need for transportation to andfrom the site.“How

50、 long will this process take?”It depends upon what the team expects to accomplish. A team that is committedcan normally draft a vision, a mission statement, guiding principles, goals, andoutline some strategies and objectives in a 3-day off-site.TOOLA sample agenda follows. The times are approximate

51、 and areprovided to give the team an idea of what can be done in a 3-day off-site.Getting Started9Proposed AgendaStrategic Planning(Name of Organization) Day 10800Opening remarksLeader0830Introduction of participantsTQL coordinatorAdministrative remarksTQL coordinator0845Strategic planning overviewF

52、acilitator0930Break0945Ground rulesFacilitator0950Planning assumptionsFacilitator1050The Power of Vision videotape1120Vision exerciseFacilitator1200Lunch1300Recap/refocusFacilitator1315Guiding principles exerciseFacilitator1415Break1430Customer identificationFacilitator1500Mission exerciseFacilitato

53、r1700SummaryFacilitator Day 20800Opening remarksLeader0815Recap/refocusFacilitator0830Small groups meet to draft vision,guiding principles, and mission1000Break1015Small groups brief first drafts1200Lunch1300Recap/refocusFacilitator1315Small groups meet to finalizevision, guiding principles, and mis

54、sion1430Small groups brief final drafts1700SummaryFacilitator10Getting Started Day 30800Opening remarksLeader0815Recap/refocusFacilitator0830Gap analysisFacilitator1000Break1015Identify strategic goals1200Lunch1300Identify strategies and objectives1500Next stepsFacilitator1700Closing remarksLeader+A

55、DVICEThis is hard work. Every leader thinks his or her team can accomplish morethan this in a 3-day off-site. The TQL coordinator, working with thefacilitator, should try to prevent the team from setting unreasonableexpectations for itself. But . . . the team must develop goals during theworkshop. W

56、ithout goals, there is no implication for action in theorganization.“What can the organization expect to get out of this investment oftime and effort?”The purpose of strategic planning is to transform the organization. The team canexpect products (outputs)a plan which features a vision, mission, gui

57、dingprinciples, goals, strategies, and objectives. But the team will also get by-products(outcomes)teambuilding among the top leaders of the organization,organizational alignment, consensus of the leadership, and a focus for the future.Getting Started1112Getting StartedPreparing for the Off-Site:Rol

58、e of the FacilitatorThe strategic planning off-site will be more productive if everyone participating has anidea of what to expect. So far, only the leader, the TQL coordinator, and the facilitatorhave assessed the situation and reached agreement.“What about the rest of the strategic planning team?”

59、One way to get them to think about the planning session and the future of theorganization is for the facilitator to interview each of them prior to the off-site. Theinterviews help the leader, the TQL coordinator, and the facilitator to understandthe current environment in the organization.“Who conducts the interviews?”The facilitator . . . in private. At the time of the interview, the facilitator shouldexplain to the participant that