1. Strategic Planning for the Research Administrator:
A New Approach in an Era of Rapid Change
NCURA Region VI & VII Spring Meeting
Denver, Colorado
April 2011
Presented By:
Rosemary Madnick
Assistant Vice President, Research Administration
Los Angeles Biomedical Research Institute
Wanda Bowen
Assistant Director, Office of Grants and Contracts Administration
University of Alaska, Fairbanks
Description: Strategic planning identifies where a department wants to be at some point in the future and how it is going to get there. The "strategic" part of this planning process is the continual attention to current changes in the organization and its external environment, and how this affects the future of the department. Skills in strategic planning are critical to the long-term success of a department. The session will focus on:
Introduction to Strategic Planning
Preparing for Strategic Planning
Key Steps Towards a Strategic Plan
Conducting Strategic Planning
Organizational Systems and Practices Driven by Strategic Planning and Goals

2. “Plans are useless, planning is everything”
Dwight D. Eisenhower
“Plans are useless, planning is everything” 2

3. Keys Points Introduction to Strategic Planning
Preparing for Strategic Planning
Conducting Strategic Planning

4. 10-Step Strategic Planning Process
Agree on a strategic planning process
Identify organizational mandates
Clarify organizational mission and values
Establish an effective organizational vision
Assess internal and external environments
Identify strategic issues 4

5. 10-Step Strategic Planning Process
Formulate plans of action to manage issues
Review and adopt the plan
Develop an effective implementation process
Reassess strategies and planning process 5

6. Introduction to Strategic Planning6

7. Why Plan for Strategic Planning?
Improves organizational focus among all participants
Promotes collaboration across the entire organization
Defines measurements of success (and failure)
Translates strategies into projects and/or products
Fosters accountability among participants
Why plan? Why go through the effort? What’s the point?
Collaborative planning…working together to design a future…has many benefits…regardless the purpose.
It forces concerted attention on what we’re doing, how we’re doing it, and for whom;
It makes us think about appropriate metrics for scoring our successes…and failures;
Deliberate planning forces us to not only set targets and goals, but also to create a roadmap to achieve these goals. 7

8. Strategic Planning
A systematic process through which an organization agrees on, and builds commitment among key stakeholders to, priorities that are essential to its mission and are responsive to its environment. – Allison & Kay, 2005 A creative process for identifying and accomplishing the most important actions in view of organizational strengths, weaknesses, opportunities and threats. – A.D. Chandler, 1962 A systematic way to manage change, create the best possible future, and guide the acquisition and allocation of resources to achieve priorities. – Connelly, 2005
Strategic planning, at its best, is a highly collaborative process for defining how we intend to collectively achieve our vision of
success;
Strategic planning openly acknowledges our weaknesses and obstacles to success as well as our strengths and
opportunities for growth;
Grounded in reality and embracing change – strategic planning maps out how we will use the talents and tools at our
disposal to fulfill our mission as best we can. 8

9. Fundamental Questions to Ask?
Where are we now? (Assessment)
Where do we need to be? (Gap /Future End State)
How will we close the gap (Strategic Plan)
How will we monitor our progress? 9

10. A Good Strategic Plan Should…
Addresses critical performance issues
Create the right balance between what the organization id capable of doing vs. what the organization would like to do
Cover a sufficient time period to close the performance gap
Visionary – convey a desired future end state
Flexible – allow and accommodate change
Guide decision making at lower levels – operational, tactical , individual 10

11. Introduction to Strategic Planning
Basic description of strategic planning
Benefits of strategic planning
When should strategic planning be done
Basic overview of various strategic planning models 11

12. When To do Strategic Planning
Developing a new project, reorganization of a department, division, etc…
Strategic planning should be conducted at least once a year to be ready for the coming fiscal year
The scheduling for the strategic planning process depends on the nature and needs of the organization and the its immediate external environment. For example, planning should be carried out frequently in an organization whose products and services are in an industry that is changing rapidly . In this situation, planning might be carried out once or even twice a year and done in a very comprehensive and detailed fashion (that is, with attention to mission, vision, values, environmental scan, issues, goals, strategies, objectives, responsibilities, time lines, budgets, etc). On the other hand, if the organization has been around for many years and is in a fairly stable marketplace, then planning might be carried out once a year and only certain parts of the planning process, for example, action planning (objectives, responsibilities, time lines, budgets, etc) are updated each year.
Strategic planning should also be conducted at least once a year in order to be ready for the coming fiscal year (the financial management of an organization is usually based on a year-to-year, or fiscal year, basis). In this case, strategic planning should be conducted in time to identify the organizational goals to be achieved at least over the coming fiscal year, resources needed to achieve those goals, and funded needed to obtain the resources. These funds are included in budget planning for the coming fiscal year. However, not all phases of strategic planning need be fully completed each year. The full strategic planning process should be conducted at least once every three years. 12

13. Basic Overview of Strategic Models
“Basic” Strategic Planning
Issue-Based or Goal-Based Planning
Alignment Model
Scenario Planning
“Organic” or Self-Organizing Planning
There is no one perfect strategic planning model for each organization. Each organization ends up developing its own nature and model of strategic planning, often by selecting a model and modifying it as they go along in developing their own planning process. The following models provide a range of alternatives from which organizations might select an approach and begin to develop their own strategic planning process. Note that an organization might choose to integrate the models, e.g., using a scenario model to creatively identify strategic issues and goals, and then an issues-based model to carefully strategize to address the issues and reach the goals. 13

14. Preparation for Strategic Planning14

15. Preparation Consultant or facilitator to help with planning
Who should be Involved in the planning
How many planning meetings will be needed
How to ensure implementation of the new plan 15

16. Planning the Plan Planning Team Timeframe Format Guidance Input
Research (Internal)
Research (External)
Products
Planning the Plan
• Planning Team: • Timeframe: Fall ’11 to Spring ’12 (Prior to FY10 Budgets)
• Format: Regular monthly meetings, at minimum
• Guidance: Contracted facilitator (XXX Consulting, Inc.)
• Input: Core staff, Decision Makers, Users
• Research (Internal): Historical budgets, expenditures, resource summaries
• Research (External): Contracted Consulting, Inc.
• Products: Incremental outlines, budget projections 16

17. Consultant or Facilitator
Organization has not conducted a strategic plan before
There is no one in the organization with the sufficient skills
Inside facilitator will either inhibit participation from others or will not have the opportunity to fully participate
Leaders want an object voice 17

18. Who Should Be Involved in Planning?
Strategic planning should be conducted by a planning team. Consider the following:
At least one person who has the authority to make strategic decisions
Involve those who are responsible for composing & implementing the plan
Involve someone to administrate the process 18

19. How many planning meetings?
Number and duration of planning meetings
Scheduling of meetings 19

20. How to Ensure Implementation
Involve the people who will be responsible for implementing
Ensure the plan is realistic
Organize the overall strategic plan into smaller action plans/work plans
Specify who is doing what and by when
Specify and clarify the plan's implementation roles and responsibilities
Communicate the role of follow-ups to the plan
Document, distribute and review the plan
Always ask for feedback/input
A frequent complaint about the strategic planning process is that it produces a document that ends up collecting dust on a shelf -- the organization ignores the precious information depicted in the document. 20

21. Conducting Strategic Planning21

22. Developing a Mission Statement
The mission statement is a statement of purpose and business; why and for whom you exist.
Basically, the mission statement describes the overall purpose of the organization. 2. If the organization elects to develop a vision statement before developing the mission statement, ask “Why does the image, the vision exist -- what is it’s purpose?” This purpose is often the same as the mission. 3. Developing a mission statement can be quick culture-specific, i.e., participants may use methods ranging from highly analytical and rational to highly creative and divergent, e.g., focused discussions, divergent experiences around daydreams, sharing stories, etc. Therefore, visit with the participants how they might like to arrive at description of their organizational mission. 4. When wording the mission statement, consider the organization's products, services, markets, values, and concern for public image, and maybe priorities of activities for survival. 5. Consider any changes that may be needed in wording of the mission statement because of any new suggested strategies during a recent strategic planning process. 6. Ensure that wording of the mission is to the extent that management and employees can infer some order of priorities in how products and services are delivered. 7. When refining the mission, a useful exercise is to add or delete a word from the mission to realize the change in scope of the mission statement and assess how concise is its wording. 8. Does the mission statement include sufficient description that the statement clearly separates the mission of the organization from other organizations? 22

23. Examples – Good and Bad Mission Statements
NASA
To Explore the Universe and Search for Life and to Inspire the Next Generation of Explorers
Does a good job of expressing the core values of the organization. Also conveys unique qualities about the organization.
Walt Disney
Too vague and and unclear. Need more descriptive information about what makes the organization special.
To Make People Happy

24. Developing a Vision Statement
A vision statement is the internal and external image of the future you seek to create: what you will look like if you were supremely successful.
1. The vision statement includes vivid description of the organization as it effectively carries out its operations. 2. Developing a vision statement can be quick culture-specific, i.e., participants may use methods ranging from highly analytical and rational to highly creative and divergent, e.g., focused discussions, divergent experiences around daydreams, sharing stories, etc. Therefore, visit with the participants how they might like to arrive at description of their organizational vision. 3. Developing the vision can be the most enjoyable part of planning, but the part where time easily gets away from you. 4. Note that originally, the vision was a compelling description of the state and function of the organization once it had implemented the strategic plan, i.e., a very attractive image toward which the organization was attracted and guided by the strategic plan. Recently, the vision has become more of a motivational tool, too often including highly idealistic phrasing and activities which the organization cannot realistically aspire. 24

25. Identifying Strategic Issues and Goals
SWOT analysis
Strengths
Weaknesses
Opportunities
Threats
Identify strategic issues and goals by addressing questions such as:
What external changes could effect the organization?” Consider, e.g., - changing demographics of stakeholders, including number, values, resources, power, etc.; - changing rules and regulations; expectations and resources from customers, vendors, etc.; - expected shifts in needs for products and services; availability of leadership and staffing; and - what other current or new organizations provide similar services?
What are the opportunities we might have from this external situation?
What are the threats that we might be facing from this external situation?
What is the quality of our internal activities, e.g., Board operations, planning, marketing, products and services, staffing and finances?
What are our weaknesses of the organization, based on the quality of our internal activities?
What are our strengths, based on the quality of our internal activities?
Should we do a SWOT analysis (Strengths, Weaknesses, Opportunities and Threats? -- see SWOT analysis) to strategize?
Or, should we collect input from everyone now about what they see as strategic issues? (Assume you'll use this approach, rather than a SWOT for now.)
Use a round-robin technique to collect and organize members’ input. (Issues and goals usually come from strengths to be build on, weaknesses to be strengthened opportunities to be taken, and threats to be avoided.)
Visit with each issue, whether it’s “important” or “urgent.” Often, issues seem very important when they're only urgent, for example, changing a flat tire is an urgent issue -- but you'd never put "changing a tire" in your strategic plan. Attend only to the important issues and not the urgent issues. Attend to the important issues and not the urgent issues.
Facilitate to gain consensus on the top three to five issues. (Many issues are based on gut feeling or intuition, rather than on extensive external and internal assessments. Issues that are too narrow do not warrant planning and issues that are too broad will bog you down. Deal with issues that you can do something about. Be careful not to ignore current major issues in the interest of pursuing more creative and forward-looking goals. Many organizations have faltered because their planning focused too far down the road and they ended up falling over their feet.
Write down the issues. Issues should be clearly articulated so that another outside of the organization can understand the description of the issue.
For each issue, one at a time, identify goals that, when achieved, will address the issue. It might require several goals for each issue. If planners get stuck on identifying goals, then have them brainstorm what can be done (strategies) to address the issues, and don't think about specific goals for now. Once strategies have been suggested, then suggest some specific milestones that will be recognized along the way of implementing the strategies -- can call them goals. Don't 25

26. Assessment Model: S W O T
Internal Assessment: Organizational assets, resources, people, culture, systems, partnerships, suppliers, . . .
External Assessment: Marketplace, competitor’s, social trends, technology, regulatory environment, economic cycles .
Easy to Understand
Apply at any organizational level
SWOT
Needs to be Analytical and Specific
Be honest about your weaknesses
SWOT
Good Points
Possible Pitfalls

27. Basics of Action Planning
Develop Action/Work Plans
Develop Objectives and Timelines
Strategic Goal
Strategy
Objective
Responsibility
Timeline
1. (Goal #1)
1.1 (first strategy to reach Goal #1)
1.1.1 (first objective to reach while implementing Strategy #1.1)
(who’s going to accomplish that objective)
(when the implementer is going to accomplish that objective)
One of Biggest Problems in Strategic Planning: Plan Isn't Implemented
At this point in planning, planners are sometimes fatigued from completing the earlier phases of planning. Action planning may seem detailed and tedious compared to earlier phases of strategic planning which often seem creative in nature. Therefore, action planning is too often ignored, leaving the results of earlier stages of planning much as “castles in the air” -- useless philosophical statements with no grounding in the day-to-day realities of the organization. Meaningful stages of earlier planning become utterly useless.
The organization's commitment to strategic planning is commensurate to the extent that a) the organization completes action plans to reach each strategic goal and b) includes numerous methods for verifying and evaluating the actual extent of implementation of the action plan. 27

28. Goals vs. Objectives GOALS OBJECTIVES Very short statement, few words
Longer statement, more descriptive
Broad in scope
Narrow in scope
Directly relates to the Mission Statement
Indirectly relates to the Mission Statement
Covers long time period (such as 10 years)
Covers short time period (such 1 year budget cycle)

29. Major Components of the Strategic Plan / Down to Action
Action Plans
Evaluate Progress
Mission
Why we exist
Vision
What we want to be
Goals
What we must achieve to be successful
Objectives
Specific outcomes expressed in measurable terms (NOT activities) O1 O2
Initiatives
Planned Actions to
Achieve Objectives
AI1
AI2
AI3
Indicators and
Monitors of success
Measures M1 M2 M3
Targets T1 T1 T1
Desired level of performance and timelines

30. Writing and Communicating the Plan
Writing the plan
Format the plan
Executive Summary
Organizational Description
Mission and Vision Statement
Goals and Strategies
Appendices
Communicate the Plan
1. Every board member and member of management should get a copy of the plan.
2. Consider distributing all (or highlights from) the plan to everyone in the organization. It's amazing how even the newest staff member gains quick context, appreciation, and meaning from review of the strategic plan.
3. Post your mission and vision and values statements on the walls of your main offices. Consider giving each employee a card with the statements (or highlights from them) on the card.
4. Publish portions of your plan in your regular newsletter, and advertising and marketing materials (brochures, ads, etc.).
5. Train board members and employees on portions of the plan during orientations.
6. Include portions of the plan in policies and procedures, including the employee manual.
7. Consider copies of the plan for major stakeholders, for example, funders/investors, trade associations, potential collaborators, vendors/suppliers, etc. 30

31. Monitoring and Evaluating
Key questions:
Goals and objectives being achieved
Goals and objectives realistic
Adequate resources to achieve goals
Frequency of monitoring and Evaluation
Reporting Results of Monitoring and Evaluation
Deviating from the plan
Changing the plan
Celebrating
Responsibilities for Monitoring and Evaluation
The strategic plan document should specify who is responsible for the overall implementation of the plan, and also who is responsible for achieving each goal and objective.
The document should also specify who is responsible to monitor the implementation of the plan and made decisions based on the results. For example, the board might expect the chief executive to regularly report to the full board about the status of implementation, including progress toward each of the overall strategic goals. In turn, the chief executive might expect regular status reports from middle managers regarding the status toward their achieving the goals and objectives assigned to them. 31

32. Summary of Basic Principles that Guide & Inspire
Partnership
Collaboration
Stewardship
Excellence
Service
Professionalism
The basic principals that guide and inspire our work and actions…Cannot define strategies until you articulate what you hold dear
Partnership:We will keep the needs, best interests and success of our
partners at the forefront of our actions.
Collaboration: We will seek the cooperation and involvement of our user
community toward the most effective applications of research administration.
Stewardship: We will responsibly and securely maintain and promote our
community’s significant investment in research administration.
Excellence: We will maintain proficiency in technical skills and provide
innovative research administration solutions.
Service: We will provide responsive, knowledgeable, effective support to meet
our community’s needs for research administration resources.
Professionalism: We will adhere to the highest professional and ethical
Standards. 32

33. Some Final Thoughts
Integrate all components from the top to the bottom: Vision > Mission > Goals > Objectives > Measures > Targets > Initiatives > Action Plans > Budgets.
Get Early Wins (Quick Kills) to create some momentum
Seek external expertise (where possible and permissible)
Articulate your requirements to senior leadership if they are really serious about strategic execution

34. Contact Information
Rosemary Madnick
Assistant Vice President, Research Administration
Los Angeles Biomedical Research Institute
1124 West Carson Street
Torrance, CA 90502
Wanda Bowen
Assistant Director, Office of Grants and Contracts
University of Alaska Fairbanks
109 Administrative Service Center
Fairbanks, AK

35. Definitions
Mission – The reason that the institution exists Vision – What you want to look like in the future. Core Values – Statements of what defines the institution and gives it soul. These can clarify and resolve issues. Goals – Broad statements of what the institution hopes to achieve (5-7 goals) Objectives – Outcome based objectives are specific and measurable statements of results. These can best be expressed in how a project will influence behavior. Belief or attitude (3-5/goal). Initiatives/Tasks – Specific programs, projects or activities that will occur to advance each goal. Initiatives are owned by groups, teams and/or individuals responsible for implementation (3-5/objective). 35

36. Questions

37. Thank you