I N T R O D U C T I O N P a g e | 1
Leading People
Leading and Facilitating Planning
Version 1.0
© Charles Sturt University, 2008
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Acknowledgement:
Workplace Productivity Program (WPP) grant from DEEWR.
CSU Training for the use of the Frontline Management Learning Guides: BSBFLM405B Implement
Operational Plan and BSB51004 Manage Operational Plan, 2007.
This module and these resources will be available on the Organisational Development, Division of
Human Resources website from second session 2008.
© Charles Sturt University, 2008
Learning resource Owner Version: Summary/Overview of changes
Leading People Series
– Leading and
Facilitating Planning
Hedy Bryant 1.0 August 2008
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Table of Contents
LEARNING IN THE WORKPLACE 4
PROGRAM OVERVIEW 5
ICONS 5
SESSION PLAN 6
FRAMEWORK FOR DELIVERY OF PROFESSIONAL DEVELOPMENT RESOURCES 7
THE CONTEXT 8
CSU PLANNING CYCLES 9
WHY PLAN? 12
EXERCISE – INTRODUCTIONS 12
WORKPLACE LEARNING ACTIVITY - PLANNING 12
WHAT IS A STRATEGIC PLAN? 13
EXERCISE – KEY ELEMENTS OF THE CSU STRATEGIC PLAN 14
REFLECTION – KEY ELEMENTS OF THE CSU STRATEGIC PLAN 15
WHAT IS AN OPERATIONAL PLAN? 16
HOW TO PLAN? 18
EXERCISE – GROUP REFLECTION 19
WORKPLACE LEARNING ACTIVITY – TEAM CONVERSATIONS CHARACTERISTICS 20
EXERCISE – SWOT ANALYSIS 21
EXERCISE – BARRIERS, OBSTACLES OR UNDERLYING CONSTRAINTS (ICA 2005; 1998) 21
EXERCISE – DEVELOPING AN OPERATIONAL OR IMPLEMENTATION PLAN 22
REFLECTION – PUTTING THE STRATEGIES INTO PRACTICE 25
WORKPLACE LEARNING ACTIVITIES 26
RESOURCE MANAGEMENT ONLINE UNIT 26
REFERENCES AND FURTHER READING 27
ATTACHMENTS 27
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LEARNING IN THE WORKPLACE
To continue to reinforce your learning from this workshop and prior to the follow up session, when you
return to your team use the table below to assist you to reflect on the concepts introduced. Your
reflection may also incorporate other behaviours that you have observed from other leaders within your
workplace as well. You should aim to identify at least 10 different situations.
As part of your reflection, identify some of your key strengths and opportunities for
improvement in the way you apply planning principles within the workplace. What steps might you
be able to take to improve your own practice?
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PROGRAM OVERVIEW
This module will provide participants with:
? an overview of Unit 1 - their responsibilities for leading and guiding consultative planning; the
framework and processes for strategic planning and quality assurance at CSU
? an introduction to the principles of consultative strategic and operational planning
? the principles of aligning planning, people and resources
? a suite of tools, processes and resources to support the planning process including:
communication and facilitation skills.
Session Objectives
At the end of this session participants will:
? know their responsibilities for leading and guiding consultative planning within the CSU planning
and quality cycles
? be better prepared to facilitate operational planning with their teams
What will we cover?
What is strategic and operational planning? The CSU/university planning and quality cycles. Continual
improvement
Why plan? If you fail to plan you plan to fail.
Who (should) manage planning? The manager as leader & facilitator of planning.
Who should be involved? Consultation, collaboration and participation of the team.
How to plan? How to measure performance? Five key groups of resources.
Tools for identifying barriers and constraints; Strengths, Weaknesses, Opportunities, Threats.
The workshop will be a mixture of facilitated and focussed discussions as a whole group and/or in groups
as well as presentation of key concepts and information.
ICONS
The following icons appear within this learning resource. They highlight important information
as well as activities that can be completed:
These are the outcomes that relate to a section of the resource.
An Individual or group exercise.
A key message or important point
Self-reflection
This is a workplace activity
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SESSION PLAN
9.00am Welcome
Objectives of the Session & Outline of
the Process for the Workshop
The Context: University Strategy:
Frameworks, Tools & Resources:
Planning Cycles
Facilitator
9.30am Why Plan? Introductions & PIRI
If you fail to plan you plan to fail
Group exercise
9.45am What is a strategic plan? Vision,
mission, objectives; five key groups of
resources; KPIs
What is an operational (or business)
plan? Examples
Group and individual
exercises
10.45am Morning Tea
11.00-4.30pm How to plan?
11.00am Who manages planning?
The manager as a facilitator of
planning; CSU responsibilities;
Frontline Management Skills
Facilitator
11.15am Who should be involved? Team
consultation, collaboration and
decision making
Facilitator
11.30am Group exercises for facilitating
planning:
SWOT Analysis
Identifying barriers & constraints
Facilitated group exercises
12.30am Lunch
1.00-4.30pm Developing a Team Implementation
or Action Plan: using SMART goals,
actions
Facilitated group exercises
3.00pm Afternoon Tea
3.15pm Groups report back on their plan Facilitated group exercises
4.004.30pm On-the-job Applications: Developing a Plan, Evaluation & Close
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FRAMEWORK FOR DELIVERY OF PROFESSIONAL
DEVELOPMENT RESOURCES
For leaders and managers to enhance their business knowledge and increase organisational
effectiveness and readiness for change.
How will the program be delivered?
Leading People Series of Workshops:
- Change Management
- People Management
- Resource Management
- Planning (Strategic Context)
- Business and Report Writing Skills
Online Learning Resources:
- Change Management
- People Management
- Resource Management
- Planning (Strategic Context)
- Business Reporting Language
Leadership Programs and Management Forums
- Frontline Management; Graduate Certificate in University Leadership and Management;
Leadership Development for Women
- Senior Managers Forum; senior Women?s Network; Middle Managers Forums; Heads of School
Forum; Course Coordinators Forum
For details on dates refer to the Staff Development Calendar:
http://www.csu.edu.au/division/humres/services/sd/
2. SKILLING & TOOLS
- Discipline, systems,
delegations
- Project management
tools & templates
- Initiatives & funding
proposals &
mechanisms
- Reports – committees,
Academic Senate etc
- Business and report
writing skills
- Leadership programs
& Leading People
Series
- Online learning
resources on OD
website
1. FRAMING:
- University
Strategy & core
plans &
frameworks
- Core processes
& University/
Enterprise
Model:
yourCSU; WPI;
BPM
- OD Frameworks
Delivery:
Resources: books, articles, web
links
Workshops
Online learning modules
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THE CONTEXT
Charles Sturt University (CSU) in its University Strategy 2007-2011, under Institutional Development, has
committed to:
“Continue to build institutional strength, reputation and sustainability by aligning institutional values,
planning and performance through commitment to quality and continual improvement”
A number of other initiatives, some outlined below, importantly Work Process Improvement (WPI), the
CSU Planning Cycle, the adoption of a quality cycle (referred to as PIRI) by our senior managers and the
Performance Management Scheme, support Faculties, Divisions and Centres to conduct operational
planning and continual improvement.
Workplace Productivity Program (WPP) and the Enterprise Model
University Strategy
Institutional
Development
- Organisational
Culture (&
Change)
- Service Alignment
- Workforce
Planning
- Sustainability
Work Process
Improvement
(WPI) 2006
Organisational
Development Frameworks:
- Leadership &
Management
- Performance
- Continual PD
- Change Management
Business Knowledge modules & Leading
People Series:
- Change Management
- People Management
- Resource Management
- Planning
CSU Project Management Framework
Implement
Review
w
Improve
PD delivery & development: OD & WPP
Workplace Productivity
Program (WPP)
- Enterprise model yourCSU
- Organisational Change &
Renewal Framework
- PD resources for leaders &
managers (YOU)
- WPI Stage 2: Business
Process Management (BPM)
Plan
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CSU PLANNING CYCLES
PIRI Cycle for Quality and Continuous Improvement
Since 2005 CSU Strategic Planning has been linked to
performance outcomes using the PIRI cycle:
2005 - 2006 Planning stage - to set direction and intent for the University.
2007-2008 Implementation stage
? gaining a better sense of quality and excellence;
? leading a performance culture to drive CSU outcomes;
? creation of a line of sight for the individual to organisational planning
and outcomes through the Performance Management Scheme.
2009-2010 Review stage - AUQA review; determining the framework for quality for
CSU planning for the next iteration of the University Strategy 2011– 2016.
2011 Improvement stage - realisation and assessment of outcomes; defining the
next steps to achieve the vision; beginning the implementation of the
University Strategy 2011 - 2016.
Vice-Chancellor?s Roadshow Oct „07
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A culture of planning and performance for quality in learning and
teaching and research is built through continuous improvement.
PIRI CYCLE
the strategic priorities are
implemented in accordance
with the plans and budget
CSU’s strategic directions;
identifying, assessing & managing
risks;
developing & managing a budget to
achieve strategic goals & priorities
areas for improvement are
identified, and
the plans are modified to
improve quality
organisational performance is
continually monitored
annually evaluated and reported
in relation to KPIs
PLAN
IMPLEMENT
REVIEW
IMPROVE
Vice-Chancellor?s Roadshow Oct „07
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The University Planning and Review Cycle, Timeline and Tools on the Planning & Audit website:
http://www.csu.edu.au/division/plandev/strategic_planning/
1. Preliminary Timeline for Planning, Budget and Review Activities 2008 (Attachment 1)
2. Users Guide to Planning – The Planning and Review Cycle (Attachment 2 and below)
3. Faculty and Divisional planning and risk assessment documentation guided by planning
templates (Attachment 3)
CSU’s Planning Processes
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WHY PLAN?
Exercise – Introductions
Workplace Learning Activity - Planning
Introduce yourself to the people at your table. Discuss what the quote means to you and your
team?s performance?
Some areas you could address include:
purpose of planning
advantages of planning
what can happen if we don?t plan
impact of planning on people and resources
What were your main ideas?
(Exercise from BSBFLM405B Implement Operational Plan – CSU Training 2007)
If you fail to plan you plan to fail
(Source unknown)
Hold a similar discussion to that above with your team before your next planning event.
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WHAT IS A STRATEGIC PLAN?
Strategic plans are longer term plans (normally 3-5years with some being longer) whereas operational
plans, also referred to as business plans are generally annual or for up to 2 years. There are several
ways that strategic plans can be developed. Two processes will be explored. The key elements of a
strategic plan are (Cole, 2005; The Institute of Cultural Affairs, 2005):
Values: What do we stand for?
Vision: Where we?re headed; Where the group wants to be.
Mission: How we?ll get there What is our business, What are we here for?
Goals, Objectives (SMART), Strategies or Strategic Directions:
? Goals
? An overall or longer-term aim providing focus and direction for day-to-day activities and a
reference point for decision making
? Objectives
? A clear, specific measuring post indicating progress towards achieving a goal. A short-
term goal
? The best objectives are measurable and time-framed (SMART)
? Statements that describe an intended outcome
? Strategies: the how!
? An approach or an implementation methodology that will lead to achieving the objective
and will overcome obstacles, barriers or constraints
? Strategic Directions
? Broad directions or proposals about how the group will get there
? Striving to be innovative and creative
? mixing creative ideas with conservative ones
? not simply more of what we already do
? Providing a target for people, to help avoid simply being busy
Outcomes, Targets and Key Performance Indicators – Monitoring Progress:
? Outcome measure
? The yardstick or standard used to measure success in achieving an objective
? Each objective should have an accompanying outcomes measure
? Each objective should use identical terminology
? Targets and Milestones
? Are normally even shorter-term than objectives and more specific
? Both establish a performance standard and help us to monitor our performance
? A specific, measurable and trackable indicator of performance or „measure of success?:
? Specific and concise
? Measurable
? Ambitious or Achievable or Action-able yet challenging, Accountable
? Related to the overall department and enterprise goals or Realistic or Relevant
? Time-framed or Timely
? Ecological
? Sustainable
? Trackable, or easily monitored
? SAM – specific, achievable and measurable
? Can be considered as similar to an outcome
? Key performance indicators (KPIs)
? Are measures of success in reaching targets and goals.
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Exercise – Key elements of the CSU strategic plan
Key Resources Underpinning a Strategic Plan (Cole 2005 pg 454)
Five resource areas needed to support an organisation?s vision and strategic plans:
1. Structures, which includes the physical layout of the organisation, the organisation design (the
way it groups and links its employees and functions together), and it?s financial and budgeting
arrangements yourCSU - Charles Sturt University
2. Staff (or people), which includes its recruitment and selection processes, succession plans and
capabilities, and the attitudes of its employees Workforce Planning - Division of Human
Resources - Charles Sturt University
3. Skills, which includes training for the future as well as the present in technical and interpersonal
skills, leadership, and strategic and conceptual thinking. Organisational Development - Division of
Human Resources - Charles Sturt University
4. Systems, which includes training systems, administration and information systems, customer
service and delivery, sales, productivity, wastage, cost control and other operating systems and
processes. (What’s the link here to CSU?: Group discussion)
5. Culture and values, or „the way we do things?, which includes problem solving and
communication methods and styles, leadership style, trust responsibility and accountability
http://www.csu.edu.au/division/humres/org-dev/Change/change.htm
In small groups examine the values, vision, mission and key objective statements of CSU. What
would the values and vision tell a prospective employee (or student) about the organisation as a
place in which to work or study? What do they tell about the University?s role in the community?
The way it operates? What it believes in? How do these statements aid you and your team in your
day to day decision making? How do they guide the actions of both managers and employees?
Exercise after Cole (2005)
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Reflection – Key elements of the CSU strategic plan
Table 1:
Developing a strategic plan….operational plan (ICA)
Cole (2005) The Institute of Cultural Affairs (ICA) (2005) (also
refer to Attachment 5)
1. Agree on your values 1. Practical vision (agree on)
2. Agree on your vision 2. 3. Mission, Goals, Values are elements of the
practical vision
3. Agree on your mission
4. Do a SWOT analysis 4. Identify underlying obstacles or constraints
(SWOT; Force Field Analysis; Environmental
Scan)
5. Agree on your top critical issues 5. 6. Strategic directions
6. Agree on your strategic objectives
7. Do a gap analysis
8. Get to work!: The operational planning
process:
8. Implementation planning – SMART
accomplishments
9. Step 1: Establish realistic goals,
objective and targets
9. Strategies, targets
10. Step 2: List Actions: who? What?
Where? When? Why? How?
10. Who? When?
11. Step 3: Sequence activities 11.
12. Step 4: Communicate the Plan 12.
13. Step 5: Implement the plan 13.
14. Step 6: Check your progress 14. Monitoring and evaluation
Also refer to Strategic Planning at a Glance (ICA 2005) (Attachment 5)
In observing these five resource areas how do you consider CSU is positioned to achieve its
Strategy 2007-2011?
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WHAT IS AN OPERATIONAL PLAN?
Definitions
1. Cole (2005) (BSBFLM405B Implement Operational Plan – CSU Training 2007) provides a definition
and overview of the essential elements of operational plans:
Middle and first-line managers develop operational plans for their department or team,
showing how the organisation?s long term plans and objectives will be achieved. They
are shorter term than the overall business plans they support, generally looking ahead
one week to one year. As plans become more short-term, their precision increases.
Work schedules, holiday?s rosters, departmental training plans, and health and safety
improvement plans are some typical operational plans line managers and team leaders
work with.
Operational planning calls for precision about what is to be done (objectives and targets)
when it is to be done (today, tomorrow, next week), where it is to be done (at the
workplace, in the stockroom), how it will be done (Steps to be taken) and who will do it
(list people by name).
2. The Institute of Cultural Affairs (2005) defines it?s method for operational planning as
Implementation Planning or Action Planning (also refer to Attachment 5 and Table 2 and
Attachment 8):
Where people put design or detail to specific actions to implement strategies.
3. Division of Library Services Operational Plan 2008 is an excellent example of an operational plan
and uses the CSU template (Attachment 4):
http://www.csu.edu.au/division/library/restricted/docs/operational-plan.pdf
4. CSU Effective Team Leadership
Action plan - an annual action plan aligns with the team?s vision and:
Builds on strengths
Eliminates or reduces weaknesses
Takes advantage of opportunities
Avoids or overcomes threats, barriers, constraints and underlying obstacles
The action plan should consist of:
Objectives - What do you intend to achieve in the next year?
Strategies - How do you intend to achieve the objectives?
Time frames - When should the strategies be completed
People - Who is responsible for implementing each strategy?
Resources - What resources (e.g. staff, budget, materials) are required?
NOTE: It is important that the team plan is consistent with and supports the plans of the Division/Faculty
and the University.
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The action plan should be implemented then monitored or reviewed on an ongoing basis, and
improvements or adjustments made to ensure the success of the plan. The plan should then be
reviewed after 12 months to determine:
Which objectives were achieved?
What contributed to their achievement?
Which objectives were not achieved?
What hindered or prevented their achievement?
What areas could be improved for the future?
How could they be improved?
The continuous improvement cycle of plan, implement, review and improve is used to effectively
manage the performance of teams and individuals.
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HOW TO PLAN?
Who manages planning? The manager as leader and facilitator
Managing work (Generic responsibilities) Services and Systems - Division of Human Resources -
Charles Sturt University
The supervisor/manager:
establishes the work unit?s objectives and priorities to align with and support the objectives and
priorities of the Faculty/Division and University;
understands and communicates the relationship between individual, team, Faculty/Division and
University objectives to staff;
regularly evaluates the work unit?s objectives, plans, procedures and practices, and makes
appropriate changes if needed; and
defines and evaluates the work unit?s achievements within the context of the University?s
objectives and priorities.
Accountability statements for Executive and Senior/Middle Managers:
leading and guiding consultative planning and the management of performance to set and
implement a Division?s, Faculty?s, Section?s objectives and strategies that contribute to the
achievement of the University?s objectives;
leading and guiding the development and implementation of policies and procedures that
contribute to the achievement of the University?s mission, values, priorities and objectives
Frontline Management Program (CSU) key competencies or generic skills relevant to managing
and implementing operational plans:
Communicating ideas and information sharing information with all stakeholders,
including members of work teams to manage
the facilitation of the operational plan
negotiating variation to operational plans
Collecting, analysing and organising information ? acquiring information for reporting and planning
purposes to aid in the development and
management of the operational plan
Planning and organising activities ? planning resource acquisition and usage
including human resources and contingency
planning
Working in a team ? managing the operation to achieve planning
outcomes, especially in regard to team
effectiveness
Using mathematical ideas and techniques ? developing, analysing and monitoring budget
and financial plans
Solving problems ? developing and managing risk management
and contingency plans and addressing
unsatisfactory performance in all areas of the
operation
Using technology ? using technology to assist the management of
information and to aid the planning process
Innovation skills ? managing the team?s operations by developing
innovative operational plans to achieve
organisational outcomes (ed. an important
point in relation to CSU style or format for
operational planning)
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Who should be involved? Team consultation, collaboration and decision making – why?
The Institute of Cultural Affairs Technology of Participation (ToP) (Spencer 1989) is a method of
facilitating participatory decision making and group planning that has at its centre the manager as
facilitator and the facilitator as leader.
The manager as facilitator is…..
? skilled at asking the right questions and eliciting answers
? drawing out a vision and developing plans that motivate everyone to achieve agreed upon goals
? a conductor, orchestrating and bringing forth the talents and contributions of others
? a communicator, networker, fostering communication from decentralised and cross-departmental
teams
? a promoter of continual learning
? a teacher, mentor, a developer of human potential
from and for their team.
The facilitator as leader ….
? ultimately responsible for the organisational learning process (Peter Senge as cited in Spencer 1989)
? provides visionary inspiration, motivation and direction
? attracts and inspires people to put forth incredible efforts in a common cause
? achieves organisational transformation through participation
Exercise – Group Reflection
How do these descriptions of the manager and leader as a facilitator of participatory decision
making align with the transformational and supportive leadership directions for CSU? Refer to
Attachment 9.
What is consultation? Is it the same as participation?
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Workplace Learning Activity – Team Conversations Characteristics
Facilitating planning through identifying the forces, barriers, constraints and underlying obstacles
Why do this?
There are a number of methods for identifying what the internal and external forces are that are operating
to facilitate or strengthen the process and that are operating against or threatening the process of
developing a plan. It is important to identify these so that the team may develop strategies to work with
the strengths and opportunities, and overcome the underlying contradictions and threats.
These are identified in the ICA (2005) (Attachment 3)
They include:
1. SWOT analysis: this identifies the Strengths, Weaknesses, Opportunities, and Threats
2. Barriers, constraints and underlying contradictions
3. Force Field Analysis
Spend a few minutes and reflect on the conversation patterns in your work team. Select two
topics that have recently been considered by your team, then use the characteristics in the
table below and determine whether the conversation was debate, discussion or dialogue. It is
suggested that you draw up a blank table with the characteristics only and two columns for
topic 1 and 2 and place your answers against the characteristic. The discussion and dialogue
formats make it much easier to deal with information, and to translate it into a useful decision-
making process. (p58 Benjamin 2006)
Characteristics Debate Discussion Dialogue
Listening To defeat To persuade To understand
Judgement Absolute conviction
of correctness of
own position
Acknowledges value
of other? positions
Suspends judgement
Presentation Telling Selling Asking
Agreement Not possible; forced Ultimate goal;
compromise
Not necessary;
multiple positions
possible
Focus Attack person and
ideas
Change other?s
positions
Draw out values and
positions from others
Process Repeat and reinforce
own position
Bring all positions
out on table
Explores issues
without taking
positions
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Exercise – SWOT Analysis
Exercise – Barriers, Obstacles or Underlying Constraints (ICA 2005; 1998)
Using your group?s common purpose…
What are the issues, obstacles, constraints or barriers that could prevent this purpose (or
vision) from becoming a reality?
Individually brainstorm ideas, discuss these then with your group. Select your 5 or 6 best
ideas and write them on the coloured paper. Post these up to the board.
Facilitator will cluster these cards into common themes.
What is the root cause problem to all of the cards in each cluster? These become titles for
each cluster.
What are the items that you can do something about: Circle of Concern (Attachment 10.): in
the Circle of Control and the Circle of Influence not in the Circle of Concern?
Notes:
- if your work team does this really well, it will provide a window of opportunity for the future.
It will identify which things need to change, or be acted on
- participants often identify a “lack of…” This is a mechanism for not taking ownership of an
obstacle, and putting the responsibility to act onto someone else. Hint: keep asking “why”
to dig below “lack of”.
- participants need to focus on the things they can do something about: the Circle of
Concern
In your groups, identify a common purpose from your individual operational plans:
What is the team?s purpose?
SWOT analysis (this may be a Workplace Learning Activity depending on time available in the
workshop)
It is important that a team identify any internal strengths and weaknesses and external
opportunities and threats before developing a team plan. This is called a SWOT analysis:
1. What are the team?s strengths?
2. What are the team?s areas of
weakness?
Write 2 strengths on a separate piece of
coloured piece of paper
- P
ost these up to the wall chart
Write 2 weaknesses on a separate
piece of coloured piece of paper
- Post these up to the wall chart
3. What opportunities can the team
use to its advantage?
4. What threats or areas of
vulnerability will the team need to
avoid or overcome?
Write 2 opportunities on a separate
piece of coloured piece of paper
- Post these up to the wall chart
Write 2 threats on a separate piece of
coloured piece of paper
- Post these up to the wall chart
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Operational, Implementation, or Action planning
There are a number of different methods and templates for developing an annual operational or action
plan. These include: Cole (2005) (Attachment 6; CSU Effective Tem Leadership (Attachment 7); CSU
Operational Plan template (Attachment 3) and the ICA ToP (2005) method (Table 2; Attachment 8)
Bookmark link to: Operational Plan Templates in Attachments.
Exercise – Developing an Operational or Implementation Plan
Using the ToP method of action planning develop an action or implementation plan for
the next 12 months. For one objective or strategic direction (which we will agree to in the
workshop) identify the actions and implementation steps and timelines to achieve the
objective. Identify what victory (the goal) would look like for each strategic direction or
objective.
This process will be guided by the facilitator to establish an implementation calendar and
debrief the key themes.
Use the template Table 2 that has guiding questions on the next page and a blank
template is available in Attachment 8.
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Table 2. Technology of Participation Implementation Planning Template
Vision Statement (insert here)
Strategic
Directions/ Objectives
Key Actions, Steps and Milestones
By insert date
Who is
responsible?
Quarterly scorecard/Timeline/When?
90 day or quarterly targets
Victory or goal
1 2 3 4
Insert one Objective or
strategic direction
Considering the SWOT and constraints/risks?:
Brainstorm the practical actions (5 to 6) or
accomplishments for the next year in 90 day
implementation steps
Prioritise the actions:
Which are the most urgent AND important
actions? Which are the easiest to accomplish
and will therefore generate momentum?
SMARTEST
Place each main action on a coloured piece of
paper and when finished place these up on the
calendar
If you get time consider the resources that will
be required
Resource Management is another Unit that will
consider resources
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Source: Spencer, L.J. (1989) Winning through participation, Institute of Cultural Affairs, Page 42.
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Reflection – Putting the strategies into Practice
Identify 3 strategies from this planning that you will implement with your work team. Try to be
specific and think in practical terms.
1
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_______________________________________________________________________________
2
_______________________________________________________________________________
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_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
3
_______________________________________________________________________________
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WORKPLACE LEARNING ACTIVITIES
To continue to reinforce your learning from this workshop with your team, use some of the workplace
learning activities identified. When undertaking team planning use some of the strategies, tools and
templates that you have practised in the workshop.
RESOURCE MANAGEMENT ONLINE UNIT
It is recommended that this unit be accessed in conjunction with operational planning. The allocation
of resources for each action or target is important so that proposals for funding and resources can be
prepared ensuring the success of your plan.
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REFERENCES AND FURTHER READING
Benjamin, N. (2006) Operational Planning. Frontline Management Learning Guide. Pearson Education
Australia
Covey, S.R. 1989, The Seven Habits of Highly Effective People: Restoring the Character Ethic, Business
Library, Melbourne.
Covey, S.R., Merrill, A.R., & Merrill, R.R. 1995, First Things First: To Live, to Love, to Learn, to Leave a
Legacy, Simon & Schuster, New York.
Charles Sturt University, University Strategy and Plans 2007-2011.
CSU Training (2007) Frontline Management Learning Guides: BSB405B
Implement Operational Plan; BSB51004 Manage Operational Plan.
Cole, K. (2005) Management: Theory and Practice, Pearson Education Australia
Spencer, L.J. (1989) Winning Through Participation. The Institute of Cultural Affairs, USA.
The Institute of Cultural Affairs (2005) Technology of Participation (ToP) Module 3: Strategic Thinking and
Planning of the Facilitation Methods and Foundational Wisdom Program.
ATTACHMENTS
Preliminary Timetable for Planning, Budget and Review Activities 2008
Users Guide to Planning – The Planning and Review Cycle
CSU Operational Plan Templates
CSU DLS 2008 Operational Plan
Strategic Planning at a Glance (ICA 2005)
A Basic Planning Format or the 5 W?s and an H
CSU Effective Team Leadership Action Planning Template
Technology of Participation Implementation Planning Template
Transformation Leadership
Circle of Concern / Circle of Influence
L.J.Spencer (1989) Winning through Participation, Institute of Cultural Affairs.
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Source: Spencer, L.J. (1989) Winning through participation, Institute of Cultural Affairs, Page 42.
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PUTTING THE STRATEGIES INTO PRACTICE
Identify 3 strategies from this Planning that you will implement with
your work team. Try to be specific and think in practical terms.
1
2
3
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WORKPLACE LEARNING ACTIVITIES
To continue to reinforce your learning from this workshop with your team,
use some of the workplace learning activities identified. When undertaking
team planning use some of the strategies, tools and templates that you
have practised in the workshop.
RESOURCE MANAGEMENT ONLINE UNIT
It is recommended that this unit be accessed in conjunction with
operational planning. The allocation of resources for each action or target
is important to identify the resource requirements. Proposals for funding
and resources can then be prepared to ensure that these are provided,
ensuring the success of your plan.
Note: this unit will be available in October 2008.
REFERENCES AND FURTHER READING
Benjamin, N. (2006) Operational Planning. Frontline Management Learning
Guide. Pearson Education Australia
Covey, S.R. 1989, The Seven Habits of Highly Effective People: Restoring
the Character Ethic, Business Library, Melbourne.
Covey, S.R., Merrill, A.R., & Merrill, R.R. 1995, First Things First: To Live,
to Love, to Learn, to Leave a Legacy, Simon & Schuster, New York.
Charles Sturt University, University Strategy and Plans 2007-2011.
CSU Training (2007) Frontline Management Learning Guides: BSB405B
Implement Operational Plan; BSB51004 Manage Operational Plan.
Cole, K. (2005) Management: Theory and Practice, Pearson Education
Australia
Spencer, L.J. (1989) Winning Through Participation. The Institute of
Cultural Affairs, USA.
The Institute of Cultural Affairs (2005) Technology of Participation (ToP)
Module 3: Strategic Thinking and Planning of the Facilitation Methods
and Foundational Wisdom Program.
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ATTACHMENT 1 Preliminary Timeline for Planning, Budget and
Review Activities 2008
http://www.csu.edu.au/division/plandev/strategic_planning/docs/timeli
ne.pdf
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ATTACHMENT 2: Users Guide to Planning – The Planning and Review Cycle
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ATTACHMENT 3: CSU Operational Plan Templates
Charles Sturt University
Faculty/Division of [insert text here]
2008 Operational Plan
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Statement of Context
Set the context of the Plan: a succinct, outline of how the plan sits
within/relates to ongoing work or developmental activities;
consequences for other areas, etc.
Key Objective 1: Support of the CSU Course Plan
Link to Course Plan Context / planned outcomes
historic performance / proposed actions /
expected outcomes (targets or
deliverables) / timeline [Associated Risks]
Statement/planned
outcome/target No 1
Statement/planned
outcome/target No 2
Statement/planned
outcome/target No 3
Statement/planned
outcome/target No 4
Statement/planned
outcome/target No 5
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Key Objective 2: Support of the CSU Research Plan
Link to Research Plan
Context / planned outcomes
historic performance / proposed actions /
expected outcomes (targets or deliverables) /
timeline [Associated Risks]
Statement/planned
outcome/target No 1
Statement/planned
outcome/target No 2
Statement/planned
outcome/target No 3
Statement/planned
outcome/target No 4
Statement/planned
outcome/target No 5
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Key Objective 3: Support of the CSU Learning and Teaching Plan
Link to Learning and
Teaching Plan
Context / planned outcomes
historic performance / proposed actions /
expected outcomes (targets or deliverables) /
timeline [Associated Risks]
Statement/planned
outcome/target No 1
Statement/planned
outcome/target No 2
Statement/planned
outcome/target No 3
Statement/planned
outcome/target No 4
Statement/planned
outcome/target No 5
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Key Objective 4: Support of the Institutional Development Plan
Link to Institutional
Development Plan
Context / planned outcomes
historic performance / proposed actions /
expected outcomes (targets or deliverables) /
timeline [Associated Risks]
Statement/planned
outcome/target No 1
Statement/planned
outcome/target No 2
Statement/planned
outcome/target No 3
Statement/planned
outcome/target No 4
Statement/planned
outcome/target No 5
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ATTACHMENT 4: CSU DLS 2008 Operational Plan
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ATTACHMENT 4: CSU DLS 2008 Operational Plan continued
Individual Statistics
Proformas
Data entry by
designated operating
team
Monthly Team
checking
(Confirm data and
note patterns, trends,
etc)
Operating Teams?
Draft Monthly
Statistics Report
CONSOLIDATED
MONTHLY
STATISTICS
REPORT
(To Director, Manager
Business Services)
QUARTERLY
STATISTICS
REPORT
(To Executive
Director)
ANNUAL
STATISTICS
REPORT
(to Executive
Director)
BENCHMARKING
REPORTS
(e.g. CAUL statistics)
Design data collection
(Section Manager
signs off in
consultation with team
managers and
Development
STATISTICAL REPORTING
FUNCTIONAL REPORTING
Individual Monthly Functional Reports
to direct supervisor
(Note activities undertaken and
planned, difficulties and issues)
Operating Teams? Monthly Functional
Reports to Section Manager
(Note activities undertaken and
planned, difficulties and issues,
relating to operational area)
Consolidated Monthly Function
Report – Section Manager
(Note progress towards strategic
priorities, operational goals, major
activities undertaken and planned,
significant achievements, emerging
difficulties, trends and issues)
Design report templates
(To ensure required content is
included – consultative process
between person providing and person
receiving report)
Quarterly Function Report
(To Executive Director, describing
progress towards organisational
objectives, operational Plan priorities,
and significant achievements;
highlighting emerging trends and
issues and analysing Quarterly
statistical data to identify emerging
trends, risks and opportunities)
Annual Function Report
(To Executive Director, organised to
reflect University Strategic Goals and
Divisional Operational Plan Priorities,
highlighting significant achievements,
emerging trends, risks and
opportunities in the operating
environment and analysing Annual
statistical data to identify emerging
trends, risks and opportunities)
DIVISIONAL OPERATIONAL
PRIORITIES PLAN
QUALITY IMPROVEMENT
PLAN
WORKFORCE PLAN
RISK MANAGEMENT PLAN
BUDGET PROCESS
SECTION OPERATIONAL
PLANS
TEAM OPERATIONAL
PRIORITIES
INDIVIDUAL
PERFORMANCE PLANS
PLANNING PROCESSES
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ATTACHMENT 5: Strategic Planning at a Glance (ICA 2005)
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ATTACHMENT 6: A basic planning format (Cole 2005) or the 5 W’s and an H
What is to
be done
(Target)?
Why will we
do this
(Overall
goal or
objective) ?
When is it
to be
done
(target
date)?
Where will
it be
done?
How will it
be done
(the tasks
involved,
stages/key
points)?
Who will
do it?
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ATTACHMENT 7: CSU Effective Team Leadership Action Planning Template
Objectives Strategies and
Actions
Timeframe Person
responsible
Resources
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ATTACHMENT 8: Technology of Participation Implementation Planning Template
Vision Statement (insert here)
Strategic
Directions/
Objectives
Key Actions, Steps and
Milestones
By (insert date)
Who is
responsible?
Quarterly
scorecard/Timeline/When?
90 day or quarterly targets
Victory or
goal/measure
of success
1 2 3 4
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ATTACHMENT 9: Transformational Leadership
FOR THE PUBLIC GOOD
VICE-CHANCELLOR’S FORUM
September 2007
TRANSFORMATIONAL LEADERSHIP
Key Success Factors For Supportive Leadership: Building
CSU’s Performance Capability (Sept 2007)
Alignment
Performance Relationships
Supportive
Leadership
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ATTACHMENT 10.: Circle of Concern / Circle of Influence
12
Another way to be come more aware of your own degree of proactivity is to look at where you
focus your time and energy – e.g. on your health, children, problems at work, nuclear war
The Circle of Concern encompasses everything that reaches your awareness and about which
you have some feeling. In this circle, there are some things over which you have no real control
and others that you can do something about.
Your Circle of Influence lies within the Circle of Concern and defines the concerns you have that
you can do something about.
Your Centre of Focus lies within the Circle of Influence. It is here that the things you are
concerned about, that are within your ability to influence, and that are in harmony with your
deepest values and your mission, are found.
Proactive people focus their efforts in the Circle of Influence or Centre of Focus. They work on
things they can do something about. The nature of their energy is positive, causing their Circle
of Influence to increase. They find in their growing personal strength the ability to influence
more people and circumstances in positive ways.
Reactive people, on the other hand, focus their efforts in the Circle of Concern. They focus on
the weaknesses of other people, the problems in the environment, and circumstances over
which they have no control. Their focus results in blaming and accusing attitudes, reactive
1
Covey, S.R. 1989, The Seven Habits of Highly Effective People: Restoring the Character Ethic, Business Library,
Melbourne.
2
Covey, S.R., Merrill, A.R., & Merrill, R.R. 1995, First Things First: To Live, to Love, to Learn, to Leave a Legacy,
Simon & Schuster, New York.
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language, and increased feelings of victimisation. The negative energy generated by that focus,
combined with neglect in areas they could do something about, causes their Circle of Influence
to shrink.
The problems people face fall into one of three areas:
direct control - problems involving their own behaviour
indirect control - problems involving other people?s behaviour
no control - problems they can do nothing about, such as their past or situational realities.
The proactive approach puts the first step in the solution of all three kinds of problems within
your present Circle of Influence:
Direct control problems are solved by working on your habits.
Indirect control problems are solved by changing your methods of influence. These are
the “public victories” of habits 4, 5 and 6.
No control problems involve taking the responsibility to genuinely and peacefully accept
these problems and learn to live with them, even though you don?t like them. In this way, you
do not empower these problems to control you.
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ATTACHMENT 11 – L.J.Spencer (1989) Winning through Participation, Institute of
Cultural Affairs.
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doc_680109914.pdf
Leading People
Leading and Facilitating Planning
Version 1.0
© Charles Sturt University, 2008
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Acknowledgement:
Workplace Productivity Program (WPP) grant from DEEWR.
CSU Training for the use of the Frontline Management Learning Guides: BSBFLM405B Implement
Operational Plan and BSB51004 Manage Operational Plan, 2007.
This module and these resources will be available on the Organisational Development, Division of
Human Resources website from second session 2008.
© Charles Sturt University, 2008
Learning resource Owner Version: Summary/Overview of changes
Leading People Series
– Leading and
Facilitating Planning
Hedy Bryant 1.0 August 2008
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Table of Contents
LEARNING IN THE WORKPLACE 4
PROGRAM OVERVIEW 5
ICONS 5
SESSION PLAN 6
FRAMEWORK FOR DELIVERY OF PROFESSIONAL DEVELOPMENT RESOURCES 7
THE CONTEXT 8
CSU PLANNING CYCLES 9
WHY PLAN? 12
EXERCISE – INTRODUCTIONS 12
WORKPLACE LEARNING ACTIVITY - PLANNING 12
WHAT IS A STRATEGIC PLAN? 13
EXERCISE – KEY ELEMENTS OF THE CSU STRATEGIC PLAN 14
REFLECTION – KEY ELEMENTS OF THE CSU STRATEGIC PLAN 15
WHAT IS AN OPERATIONAL PLAN? 16
HOW TO PLAN? 18
EXERCISE – GROUP REFLECTION 19
WORKPLACE LEARNING ACTIVITY – TEAM CONVERSATIONS CHARACTERISTICS 20
EXERCISE – SWOT ANALYSIS 21
EXERCISE – BARRIERS, OBSTACLES OR UNDERLYING CONSTRAINTS (ICA 2005; 1998) 21
EXERCISE – DEVELOPING AN OPERATIONAL OR IMPLEMENTATION PLAN 22
REFLECTION – PUTTING THE STRATEGIES INTO PRACTICE 25
WORKPLACE LEARNING ACTIVITIES 26
RESOURCE MANAGEMENT ONLINE UNIT 26
REFERENCES AND FURTHER READING 27
ATTACHMENTS 27
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LEARNING IN THE WORKPLACE
To continue to reinforce your learning from this workshop and prior to the follow up session, when you
return to your team use the table below to assist you to reflect on the concepts introduced. Your
reflection may also incorporate other behaviours that you have observed from other leaders within your
workplace as well. You should aim to identify at least 10 different situations.
As part of your reflection, identify some of your key strengths and opportunities for
improvement in the way you apply planning principles within the workplace. What steps might you
be able to take to improve your own practice?
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I N T R O D U C T I O N P a g e | 5
PROGRAM OVERVIEW
This module will provide participants with:
? an overview of Unit 1 - their responsibilities for leading and guiding consultative planning; the
framework and processes for strategic planning and quality assurance at CSU
? an introduction to the principles of consultative strategic and operational planning
? the principles of aligning planning, people and resources
? a suite of tools, processes and resources to support the planning process including:
communication and facilitation skills.
Session Objectives
At the end of this session participants will:
? know their responsibilities for leading and guiding consultative planning within the CSU planning
and quality cycles
? be better prepared to facilitate operational planning with their teams
What will we cover?
What is strategic and operational planning? The CSU/university planning and quality cycles. Continual
improvement
Why plan? If you fail to plan you plan to fail.
Who (should) manage planning? The manager as leader & facilitator of planning.
Who should be involved? Consultation, collaboration and participation of the team.
How to plan? How to measure performance? Five key groups of resources.
Tools for identifying barriers and constraints; Strengths, Weaknesses, Opportunities, Threats.
The workshop will be a mixture of facilitated and focussed discussions as a whole group and/or in groups
as well as presentation of key concepts and information.
ICONS
The following icons appear within this learning resource. They highlight important information
as well as activities that can be completed:
These are the outcomes that relate to a section of the resource.
An Individual or group exercise.
A key message or important point
Self-reflection
This is a workplace activity
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SESSION PLAN
9.00am Welcome
Objectives of the Session & Outline of
the Process for the Workshop
The Context: University Strategy:
Frameworks, Tools & Resources:
Planning Cycles
Facilitator
9.30am Why Plan? Introductions & PIRI
If you fail to plan you plan to fail
Group exercise
9.45am What is a strategic plan? Vision,
mission, objectives; five key groups of
resources; KPIs
What is an operational (or business)
plan? Examples
Group and individual
exercises
10.45am Morning Tea
11.00-4.30pm How to plan?
11.00am Who manages planning?
The manager as a facilitator of
planning; CSU responsibilities;
Frontline Management Skills
Facilitator
11.15am Who should be involved? Team
consultation, collaboration and
decision making
Facilitator
11.30am Group exercises for facilitating
planning:
SWOT Analysis
Identifying barriers & constraints
Facilitated group exercises
12.30am Lunch
1.00-4.30pm Developing a Team Implementation
or Action Plan: using SMART goals,
actions
Facilitated group exercises
3.00pm Afternoon Tea
3.15pm Groups report back on their plan Facilitated group exercises
4.004.30pm On-the-job Applications: Developing a Plan, Evaluation & Close
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FRAMEWORK FOR DELIVERY OF PROFESSIONAL
DEVELOPMENT RESOURCES
For leaders and managers to enhance their business knowledge and increase organisational
effectiveness and readiness for change.
How will the program be delivered?
Leading People Series of Workshops:
- Change Management
- People Management
- Resource Management
- Planning (Strategic Context)
- Business and Report Writing Skills
Online Learning Resources:
- Change Management
- People Management
- Resource Management
- Planning (Strategic Context)
- Business Reporting Language
Leadership Programs and Management Forums
- Frontline Management; Graduate Certificate in University Leadership and Management;
Leadership Development for Women
- Senior Managers Forum; senior Women?s Network; Middle Managers Forums; Heads of School
Forum; Course Coordinators Forum
For details on dates refer to the Staff Development Calendar:
http://www.csu.edu.au/division/humres/services/sd/
2. SKILLING & TOOLS
- Discipline, systems,
delegations
- Project management
tools & templates
- Initiatives & funding
proposals &
mechanisms
- Reports – committees,
Academic Senate etc
- Business and report
writing skills
- Leadership programs
& Leading People
Series
- Online learning
resources on OD
website
1. FRAMING:
- University
Strategy & core
plans &
frameworks
- Core processes
& University/
Enterprise
Model:
yourCSU; WPI;
BPM
- OD Frameworks
Delivery:
Resources: books, articles, web
links
Workshops
Online learning modules
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THE CONTEXT
Charles Sturt University (CSU) in its University Strategy 2007-2011, under Institutional Development, has
committed to:
“Continue to build institutional strength, reputation and sustainability by aligning institutional values,
planning and performance through commitment to quality and continual improvement”
A number of other initiatives, some outlined below, importantly Work Process Improvement (WPI), the
CSU Planning Cycle, the adoption of a quality cycle (referred to as PIRI) by our senior managers and the
Performance Management Scheme, support Faculties, Divisions and Centres to conduct operational
planning and continual improvement.
Workplace Productivity Program (WPP) and the Enterprise Model
University Strategy
Institutional
Development
- Organisational
Culture (&
Change)
- Service Alignment
- Workforce
Planning
- Sustainability
Work Process
Improvement
(WPI) 2006
Organisational
Development Frameworks:
- Leadership &
Management
- Performance
- Continual PD
- Change Management
Business Knowledge modules & Leading
People Series:
- Change Management
- People Management
- Resource Management
- Planning
CSU Project Management Framework
Implement
Review
w
Improve
PD delivery & development: OD & WPP
Workplace Productivity
Program (WPP)
- Enterprise model yourCSU
- Organisational Change &
Renewal Framework
- PD resources for leaders &
managers (YOU)
- WPI Stage 2: Business
Process Management (BPM)
Plan
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CSU PLANNING CYCLES
PIRI Cycle for Quality and Continuous Improvement
Since 2005 CSU Strategic Planning has been linked to
performance outcomes using the PIRI cycle:
2005 - 2006 Planning stage - to set direction and intent for the University.
2007-2008 Implementation stage
? gaining a better sense of quality and excellence;
? leading a performance culture to drive CSU outcomes;
? creation of a line of sight for the individual to organisational planning
and outcomes through the Performance Management Scheme.
2009-2010 Review stage - AUQA review; determining the framework for quality for
CSU planning for the next iteration of the University Strategy 2011– 2016.
2011 Improvement stage - realisation and assessment of outcomes; defining the
next steps to achieve the vision; beginning the implementation of the
University Strategy 2011 - 2016.
Vice-Chancellor?s Roadshow Oct „07
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A culture of planning and performance for quality in learning and
teaching and research is built through continuous improvement.
PIRI CYCLE
the strategic priorities are
implemented in accordance
with the plans and budget
CSU’s strategic directions;
identifying, assessing & managing
risks;
developing & managing a budget to
achieve strategic goals & priorities
areas for improvement are
identified, and
the plans are modified to
improve quality
organisational performance is
continually monitored
annually evaluated and reported
in relation to KPIs
PLAN
IMPLEMENT
REVIEW
IMPROVE
Vice-Chancellor?s Roadshow Oct „07
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The University Planning and Review Cycle, Timeline and Tools on the Planning & Audit website:
http://www.csu.edu.au/division/plandev/strategic_planning/
1. Preliminary Timeline for Planning, Budget and Review Activities 2008 (Attachment 1)
2. Users Guide to Planning – The Planning and Review Cycle (Attachment 2 and below)
3. Faculty and Divisional planning and risk assessment documentation guided by planning
templates (Attachment 3)
CSU’s Planning Processes
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WHY PLAN?
Exercise – Introductions
Workplace Learning Activity - Planning
Introduce yourself to the people at your table. Discuss what the quote means to you and your
team?s performance?
Some areas you could address include:
purpose of planning
advantages of planning
what can happen if we don?t plan
impact of planning on people and resources
What were your main ideas?
(Exercise from BSBFLM405B Implement Operational Plan – CSU Training 2007)
If you fail to plan you plan to fail
(Source unknown)
Hold a similar discussion to that above with your team before your next planning event.
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WHAT IS A STRATEGIC PLAN?
Strategic plans are longer term plans (normally 3-5years with some being longer) whereas operational
plans, also referred to as business plans are generally annual or for up to 2 years. There are several
ways that strategic plans can be developed. Two processes will be explored. The key elements of a
strategic plan are (Cole, 2005; The Institute of Cultural Affairs, 2005):
Values: What do we stand for?
Vision: Where we?re headed; Where the group wants to be.
Mission: How we?ll get there What is our business, What are we here for?
Goals, Objectives (SMART), Strategies or Strategic Directions:
? Goals
? An overall or longer-term aim providing focus and direction for day-to-day activities and a
reference point for decision making
? Objectives
? A clear, specific measuring post indicating progress towards achieving a goal. A short-
term goal
? The best objectives are measurable and time-framed (SMART)
? Statements that describe an intended outcome
? Strategies: the how!
? An approach or an implementation methodology that will lead to achieving the objective
and will overcome obstacles, barriers or constraints
? Strategic Directions
? Broad directions or proposals about how the group will get there
? Striving to be innovative and creative
? mixing creative ideas with conservative ones
? not simply more of what we already do
? Providing a target for people, to help avoid simply being busy
Outcomes, Targets and Key Performance Indicators – Monitoring Progress:
? Outcome measure
? The yardstick or standard used to measure success in achieving an objective
? Each objective should have an accompanying outcomes measure
? Each objective should use identical terminology
? Targets and Milestones
? Are normally even shorter-term than objectives and more specific
? Both establish a performance standard and help us to monitor our performance
? A specific, measurable and trackable indicator of performance or „measure of success?:
? Specific and concise
? Measurable
? Ambitious or Achievable or Action-able yet challenging, Accountable
? Related to the overall department and enterprise goals or Realistic or Relevant
? Time-framed or Timely
? Ecological
? Sustainable
? Trackable, or easily monitored
? SAM – specific, achievable and measurable
? Can be considered as similar to an outcome
? Key performance indicators (KPIs)
? Are measures of success in reaching targets and goals.
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Exercise – Key elements of the CSU strategic plan
Key Resources Underpinning a Strategic Plan (Cole 2005 pg 454)
Five resource areas needed to support an organisation?s vision and strategic plans:
1. Structures, which includes the physical layout of the organisation, the organisation design (the
way it groups and links its employees and functions together), and it?s financial and budgeting
arrangements yourCSU - Charles Sturt University
2. Staff (or people), which includes its recruitment and selection processes, succession plans and
capabilities, and the attitudes of its employees Workforce Planning - Division of Human
Resources - Charles Sturt University
3. Skills, which includes training for the future as well as the present in technical and interpersonal
skills, leadership, and strategic and conceptual thinking. Organisational Development - Division of
Human Resources - Charles Sturt University
4. Systems, which includes training systems, administration and information systems, customer
service and delivery, sales, productivity, wastage, cost control and other operating systems and
processes. (What’s the link here to CSU?: Group discussion)
5. Culture and values, or „the way we do things?, which includes problem solving and
communication methods and styles, leadership style, trust responsibility and accountability
http://www.csu.edu.au/division/humres/org-dev/Change/change.htm
In small groups examine the values, vision, mission and key objective statements of CSU. What
would the values and vision tell a prospective employee (or student) about the organisation as a
place in which to work or study? What do they tell about the University?s role in the community?
The way it operates? What it believes in? How do these statements aid you and your team in your
day to day decision making? How do they guide the actions of both managers and employees?
Exercise after Cole (2005)
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Reflection – Key elements of the CSU strategic plan
Table 1:
Developing a strategic plan….operational plan (ICA)
Cole (2005) The Institute of Cultural Affairs (ICA) (2005) (also
refer to Attachment 5)
1. Agree on your values 1. Practical vision (agree on)
2. Agree on your vision 2. 3. Mission, Goals, Values are elements of the
practical vision
3. Agree on your mission
4. Do a SWOT analysis 4. Identify underlying obstacles or constraints
(SWOT; Force Field Analysis; Environmental
Scan)
5. Agree on your top critical issues 5. 6. Strategic directions
6. Agree on your strategic objectives
7. Do a gap analysis
8. Get to work!: The operational planning
process:
8. Implementation planning – SMART
accomplishments
9. Step 1: Establish realistic goals,
objective and targets
9. Strategies, targets
10. Step 2: List Actions: who? What?
Where? When? Why? How?
10. Who? When?
11. Step 3: Sequence activities 11.
12. Step 4: Communicate the Plan 12.
13. Step 5: Implement the plan 13.
14. Step 6: Check your progress 14. Monitoring and evaluation
Also refer to Strategic Planning at a Glance (ICA 2005) (Attachment 5)
In observing these five resource areas how do you consider CSU is positioned to achieve its
Strategy 2007-2011?
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WHAT IS AN OPERATIONAL PLAN?
Definitions
1. Cole (2005) (BSBFLM405B Implement Operational Plan – CSU Training 2007) provides a definition
and overview of the essential elements of operational plans:
Middle and first-line managers develop operational plans for their department or team,
showing how the organisation?s long term plans and objectives will be achieved. They
are shorter term than the overall business plans they support, generally looking ahead
one week to one year. As plans become more short-term, their precision increases.
Work schedules, holiday?s rosters, departmental training plans, and health and safety
improvement plans are some typical operational plans line managers and team leaders
work with.
Operational planning calls for precision about what is to be done (objectives and targets)
when it is to be done (today, tomorrow, next week), where it is to be done (at the
workplace, in the stockroom), how it will be done (Steps to be taken) and who will do it
(list people by name).
2. The Institute of Cultural Affairs (2005) defines it?s method for operational planning as
Implementation Planning or Action Planning (also refer to Attachment 5 and Table 2 and
Attachment 8):
Where people put design or detail to specific actions to implement strategies.
3. Division of Library Services Operational Plan 2008 is an excellent example of an operational plan
and uses the CSU template (Attachment 4):
http://www.csu.edu.au/division/library/restricted/docs/operational-plan.pdf
4. CSU Effective Team Leadership
Action plan - an annual action plan aligns with the team?s vision and:
Builds on strengths
Eliminates or reduces weaknesses
Takes advantage of opportunities
Avoids or overcomes threats, barriers, constraints and underlying obstacles
The action plan should consist of:
Objectives - What do you intend to achieve in the next year?
Strategies - How do you intend to achieve the objectives?
Time frames - When should the strategies be completed
People - Who is responsible for implementing each strategy?
Resources - What resources (e.g. staff, budget, materials) are required?
NOTE: It is important that the team plan is consistent with and supports the plans of the Division/Faculty
and the University.
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The action plan should be implemented then monitored or reviewed on an ongoing basis, and
improvements or adjustments made to ensure the success of the plan. The plan should then be
reviewed after 12 months to determine:
Which objectives were achieved?
What contributed to their achievement?
Which objectives were not achieved?
What hindered or prevented their achievement?
What areas could be improved for the future?
How could they be improved?
The continuous improvement cycle of plan, implement, review and improve is used to effectively
manage the performance of teams and individuals.
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HOW TO PLAN?
Who manages planning? The manager as leader and facilitator
Managing work (Generic responsibilities) Services and Systems - Division of Human Resources -
Charles Sturt University
The supervisor/manager:
establishes the work unit?s objectives and priorities to align with and support the objectives and
priorities of the Faculty/Division and University;
understands and communicates the relationship between individual, team, Faculty/Division and
University objectives to staff;
regularly evaluates the work unit?s objectives, plans, procedures and practices, and makes
appropriate changes if needed; and
defines and evaluates the work unit?s achievements within the context of the University?s
objectives and priorities.
Accountability statements for Executive and Senior/Middle Managers:
leading and guiding consultative planning and the management of performance to set and
implement a Division?s, Faculty?s, Section?s objectives and strategies that contribute to the
achievement of the University?s objectives;
leading and guiding the development and implementation of policies and procedures that
contribute to the achievement of the University?s mission, values, priorities and objectives
Frontline Management Program (CSU) key competencies or generic skills relevant to managing
and implementing operational plans:
Communicating ideas and information sharing information with all stakeholders,
including members of work teams to manage
the facilitation of the operational plan
negotiating variation to operational plans
Collecting, analysing and organising information ? acquiring information for reporting and planning
purposes to aid in the development and
management of the operational plan
Planning and organising activities ? planning resource acquisition and usage
including human resources and contingency
planning
Working in a team ? managing the operation to achieve planning
outcomes, especially in regard to team
effectiveness
Using mathematical ideas and techniques ? developing, analysing and monitoring budget
and financial plans
Solving problems ? developing and managing risk management
and contingency plans and addressing
unsatisfactory performance in all areas of the
operation
Using technology ? using technology to assist the management of
information and to aid the planning process
Innovation skills ? managing the team?s operations by developing
innovative operational plans to achieve
organisational outcomes (ed. an important
point in relation to CSU style or format for
operational planning)
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Who should be involved? Team consultation, collaboration and decision making – why?
The Institute of Cultural Affairs Technology of Participation (ToP) (Spencer 1989) is a method of
facilitating participatory decision making and group planning that has at its centre the manager as
facilitator and the facilitator as leader.
The manager as facilitator is…..
? skilled at asking the right questions and eliciting answers
? drawing out a vision and developing plans that motivate everyone to achieve agreed upon goals
? a conductor, orchestrating and bringing forth the talents and contributions of others
? a communicator, networker, fostering communication from decentralised and cross-departmental
teams
? a promoter of continual learning
? a teacher, mentor, a developer of human potential
from and for their team.
The facilitator as leader ….
? ultimately responsible for the organisational learning process (Peter Senge as cited in Spencer 1989)
? provides visionary inspiration, motivation and direction
? attracts and inspires people to put forth incredible efforts in a common cause
? achieves organisational transformation through participation
Exercise – Group Reflection
How do these descriptions of the manager and leader as a facilitator of participatory decision
making align with the transformational and supportive leadership directions for CSU? Refer to
Attachment 9.
What is consultation? Is it the same as participation?
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Workplace Learning Activity – Team Conversations Characteristics
Facilitating planning through identifying the forces, barriers, constraints and underlying obstacles
Why do this?
There are a number of methods for identifying what the internal and external forces are that are operating
to facilitate or strengthen the process and that are operating against or threatening the process of
developing a plan. It is important to identify these so that the team may develop strategies to work with
the strengths and opportunities, and overcome the underlying contradictions and threats.
These are identified in the ICA (2005) (Attachment 3)
They include:
1. SWOT analysis: this identifies the Strengths, Weaknesses, Opportunities, and Threats
2. Barriers, constraints and underlying contradictions
3. Force Field Analysis
Spend a few minutes and reflect on the conversation patterns in your work team. Select two
topics that have recently been considered by your team, then use the characteristics in the
table below and determine whether the conversation was debate, discussion or dialogue. It is
suggested that you draw up a blank table with the characteristics only and two columns for
topic 1 and 2 and place your answers against the characteristic. The discussion and dialogue
formats make it much easier to deal with information, and to translate it into a useful decision-
making process. (p58 Benjamin 2006)
Characteristics Debate Discussion Dialogue
Listening To defeat To persuade To understand
Judgement Absolute conviction
of correctness of
own position
Acknowledges value
of other? positions
Suspends judgement
Presentation Telling Selling Asking
Agreement Not possible; forced Ultimate goal;
compromise
Not necessary;
multiple positions
possible
Focus Attack person and
ideas
Change other?s
positions
Draw out values and
positions from others
Process Repeat and reinforce
own position
Bring all positions
out on table
Explores issues
without taking
positions
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Exercise – SWOT Analysis
Exercise – Barriers, Obstacles or Underlying Constraints (ICA 2005; 1998)
Using your group?s common purpose…
What are the issues, obstacles, constraints or barriers that could prevent this purpose (or
vision) from becoming a reality?
Individually brainstorm ideas, discuss these then with your group. Select your 5 or 6 best
ideas and write them on the coloured paper. Post these up to the board.
Facilitator will cluster these cards into common themes.
What is the root cause problem to all of the cards in each cluster? These become titles for
each cluster.
What are the items that you can do something about: Circle of Concern (Attachment 10.): in
the Circle of Control and the Circle of Influence not in the Circle of Concern?
Notes:
- if your work team does this really well, it will provide a window of opportunity for the future.
It will identify which things need to change, or be acted on
- participants often identify a “lack of…” This is a mechanism for not taking ownership of an
obstacle, and putting the responsibility to act onto someone else. Hint: keep asking “why”
to dig below “lack of”.
- participants need to focus on the things they can do something about: the Circle of
Concern
In your groups, identify a common purpose from your individual operational plans:
What is the team?s purpose?
SWOT analysis (this may be a Workplace Learning Activity depending on time available in the
workshop)
It is important that a team identify any internal strengths and weaknesses and external
opportunities and threats before developing a team plan. This is called a SWOT analysis:
1. What are the team?s strengths?
2. What are the team?s areas of
weakness?
Write 2 strengths on a separate piece of
coloured piece of paper
- P
ost these up to the wall chart
Write 2 weaknesses on a separate
piece of coloured piece of paper
- Post these up to the wall chart
3. What opportunities can the team
use to its advantage?
4. What threats or areas of
vulnerability will the team need to
avoid or overcome?
Write 2 opportunities on a separate
piece of coloured piece of paper
- Post these up to the wall chart
Write 2 threats on a separate piece of
coloured piece of paper
- Post these up to the wall chart
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Operational, Implementation, or Action planning
There are a number of different methods and templates for developing an annual operational or action
plan. These include: Cole (2005) (Attachment 6; CSU Effective Tem Leadership (Attachment 7); CSU
Operational Plan template (Attachment 3) and the ICA ToP (2005) method (Table 2; Attachment 8)
Bookmark link to: Operational Plan Templates in Attachments.
Exercise – Developing an Operational or Implementation Plan
Using the ToP method of action planning develop an action or implementation plan for
the next 12 months. For one objective or strategic direction (which we will agree to in the
workshop) identify the actions and implementation steps and timelines to achieve the
objective. Identify what victory (the goal) would look like for each strategic direction or
objective.
This process will be guided by the facilitator to establish an implementation calendar and
debrief the key themes.
Use the template Table 2 that has guiding questions on the next page and a blank
template is available in Attachment 8.
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Table 2. Technology of Participation Implementation Planning Template
Vision Statement (insert here)
Strategic
Directions/ Objectives
Key Actions, Steps and Milestones
By insert date
Who is
responsible?
Quarterly scorecard/Timeline/When?
90 day or quarterly targets
Victory or goal
1 2 3 4
Insert one Objective or
strategic direction
Considering the SWOT and constraints/risks?:
Brainstorm the practical actions (5 to 6) or
accomplishments for the next year in 90 day
implementation steps
Prioritise the actions:
Which are the most urgent AND important
actions? Which are the easiest to accomplish
and will therefore generate momentum?
SMARTEST
Place each main action on a coloured piece of
paper and when finished place these up on the
calendar
If you get time consider the resources that will
be required
Resource Management is another Unit that will
consider resources
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Source: Spencer, L.J. (1989) Winning through participation, Institute of Cultural Affairs, Page 42.
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Reflection – Putting the strategies into Practice
Identify 3 strategies from this planning that you will implement with your work team. Try to be
specific and think in practical terms.
1
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_______________________________________________________________________________
_______________________________________________________________________________
2
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
3
_______________________________________________________________________________
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WORKPLACE LEARNING ACTIVITIES
To continue to reinforce your learning from this workshop with your team, use some of the workplace
learning activities identified. When undertaking team planning use some of the strategies, tools and
templates that you have practised in the workshop.
RESOURCE MANAGEMENT ONLINE UNIT
It is recommended that this unit be accessed in conjunction with operational planning. The allocation
of resources for each action or target is important so that proposals for funding and resources can be
prepared ensuring the success of your plan.
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REFERENCES AND FURTHER READING
Benjamin, N. (2006) Operational Planning. Frontline Management Learning Guide. Pearson Education
Australia
Covey, S.R. 1989, The Seven Habits of Highly Effective People: Restoring the Character Ethic, Business
Library, Melbourne.
Covey, S.R., Merrill, A.R., & Merrill, R.R. 1995, First Things First: To Live, to Love, to Learn, to Leave a
Legacy, Simon & Schuster, New York.
Charles Sturt University, University Strategy and Plans 2007-2011.
CSU Training (2007) Frontline Management Learning Guides: BSB405B
Implement Operational Plan; BSB51004 Manage Operational Plan.
Cole, K. (2005) Management: Theory and Practice, Pearson Education Australia
Spencer, L.J. (1989) Winning Through Participation. The Institute of Cultural Affairs, USA.
The Institute of Cultural Affairs (2005) Technology of Participation (ToP) Module 3: Strategic Thinking and
Planning of the Facilitation Methods and Foundational Wisdom Program.
ATTACHMENTS
Preliminary Timetable for Planning, Budget and Review Activities 2008
Users Guide to Planning – The Planning and Review Cycle
CSU Operational Plan Templates
CSU DLS 2008 Operational Plan
Strategic Planning at a Glance (ICA 2005)
A Basic Planning Format or the 5 W?s and an H
CSU Effective Team Leadership Action Planning Template
Technology of Participation Implementation Planning Template
Transformation Leadership
Circle of Concern / Circle of Influence
L.J.Spencer (1989) Winning through Participation, Institute of Cultural Affairs.
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Source: Spencer, L.J. (1989) Winning through participation, Institute of Cultural Affairs, Page 42.
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PUTTING THE STRATEGIES INTO PRACTICE
Identify 3 strategies from this Planning that you will implement with
your work team. Try to be specific and think in practical terms.
1
2
3
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WORKPLACE LEARNING ACTIVITIES
To continue to reinforce your learning from this workshop with your team,
use some of the workplace learning activities identified. When undertaking
team planning use some of the strategies, tools and templates that you
have practised in the workshop.
RESOURCE MANAGEMENT ONLINE UNIT
It is recommended that this unit be accessed in conjunction with
operational planning. The allocation of resources for each action or target
is important to identify the resource requirements. Proposals for funding
and resources can then be prepared to ensure that these are provided,
ensuring the success of your plan.
Note: this unit will be available in October 2008.
REFERENCES AND FURTHER READING
Benjamin, N. (2006) Operational Planning. Frontline Management Learning
Guide. Pearson Education Australia
Covey, S.R. 1989, The Seven Habits of Highly Effective People: Restoring
the Character Ethic, Business Library, Melbourne.
Covey, S.R., Merrill, A.R., & Merrill, R.R. 1995, First Things First: To Live,
to Love, to Learn, to Leave a Legacy, Simon & Schuster, New York.
Charles Sturt University, University Strategy and Plans 2007-2011.
CSU Training (2007) Frontline Management Learning Guides: BSB405B
Implement Operational Plan; BSB51004 Manage Operational Plan.
Cole, K. (2005) Management: Theory and Practice, Pearson Education
Australia
Spencer, L.J. (1989) Winning Through Participation. The Institute of
Cultural Affairs, USA.
The Institute of Cultural Affairs (2005) Technology of Participation (ToP)
Module 3: Strategic Thinking and Planning of the Facilitation Methods
and Foundational Wisdom Program.
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ATTACHMENT 1 Preliminary Timeline for Planning, Budget and
Review Activities 2008
http://www.csu.edu.au/division/plandev/strategic_planning/docs/timeli
ne.pdf
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ATTACHMENT 2: Users Guide to Planning – The Planning and Review Cycle
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ATTACHMENT 3: CSU Operational Plan Templates
Charles Sturt University
Faculty/Division of [insert text here]
2008 Operational Plan
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Statement of Context
Set the context of the Plan: a succinct, outline of how the plan sits
within/relates to ongoing work or developmental activities;
consequences for other areas, etc.
Key Objective 1: Support of the CSU Course Plan
Link to Course Plan Context / planned outcomes
historic performance / proposed actions /
expected outcomes (targets or
deliverables) / timeline [Associated Risks]
Statement/planned
outcome/target No 1
Statement/planned
outcome/target No 2
Statement/planned
outcome/target No 3
Statement/planned
outcome/target No 4
Statement/planned
outcome/target No 5
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Key Objective 2: Support of the CSU Research Plan
Link to Research Plan
Context / planned outcomes
historic performance / proposed actions /
expected outcomes (targets or deliverables) /
timeline [Associated Risks]
Statement/planned
outcome/target No 1
Statement/planned
outcome/target No 2
Statement/planned
outcome/target No 3
Statement/planned
outcome/target No 4
Statement/planned
outcome/target No 5
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Key Objective 3: Support of the CSU Learning and Teaching Plan
Link to Learning and
Teaching Plan
Context / planned outcomes
historic performance / proposed actions /
expected outcomes (targets or deliverables) /
timeline [Associated Risks]
Statement/planned
outcome/target No 1
Statement/planned
outcome/target No 2
Statement/planned
outcome/target No 3
Statement/planned
outcome/target No 4
Statement/planned
outcome/target No 5
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Key Objective 4: Support of the Institutional Development Plan
Link to Institutional
Development Plan
Context / planned outcomes
historic performance / proposed actions /
expected outcomes (targets or deliverables) /
timeline [Associated Risks]
Statement/planned
outcome/target No 1
Statement/planned
outcome/target No 2
Statement/planned
outcome/target No 3
Statement/planned
outcome/target No 4
Statement/planned
outcome/target No 5
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ATTACHMENT 4: CSU DLS 2008 Operational Plan
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ATTACHMENT 4: CSU DLS 2008 Operational Plan continued
Individual Statistics
Proformas
Data entry by
designated operating
team
Monthly Team
checking
(Confirm data and
note patterns, trends,
etc)
Operating Teams?
Draft Monthly
Statistics Report
CONSOLIDATED
MONTHLY
STATISTICS
REPORT
(To Director, Manager
Business Services)
QUARTERLY
STATISTICS
REPORT
(To Executive
Director)
ANNUAL
STATISTICS
REPORT
(to Executive
Director)
BENCHMARKING
REPORTS
(e.g. CAUL statistics)
Design data collection
(Section Manager
signs off in
consultation with team
managers and
Development
STATISTICAL REPORTING
FUNCTIONAL REPORTING
Individual Monthly Functional Reports
to direct supervisor
(Note activities undertaken and
planned, difficulties and issues)
Operating Teams? Monthly Functional
Reports to Section Manager
(Note activities undertaken and
planned, difficulties and issues,
relating to operational area)
Consolidated Monthly Function
Report – Section Manager
(Note progress towards strategic
priorities, operational goals, major
activities undertaken and planned,
significant achievements, emerging
difficulties, trends and issues)
Design report templates
(To ensure required content is
included – consultative process
between person providing and person
receiving report)
Quarterly Function Report
(To Executive Director, describing
progress towards organisational
objectives, operational Plan priorities,
and significant achievements;
highlighting emerging trends and
issues and analysing Quarterly
statistical data to identify emerging
trends, risks and opportunities)
Annual Function Report
(To Executive Director, organised to
reflect University Strategic Goals and
Divisional Operational Plan Priorities,
highlighting significant achievements,
emerging trends, risks and
opportunities in the operating
environment and analysing Annual
statistical data to identify emerging
trends, risks and opportunities)
DIVISIONAL OPERATIONAL
PRIORITIES PLAN
QUALITY IMPROVEMENT
PLAN
WORKFORCE PLAN
RISK MANAGEMENT PLAN
BUDGET PROCESS
SECTION OPERATIONAL
PLANS
TEAM OPERATIONAL
PRIORITIES
INDIVIDUAL
PERFORMANCE PLANS
PLANNING PROCESSES
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ATTACHMENT 5: Strategic Planning at a Glance (ICA 2005)
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ATTACHMENT 6: A basic planning format (Cole 2005) or the 5 W’s and an H
What is to
be done
(Target)?
Why will we
do this
(Overall
goal or
objective) ?
When is it
to be
done
(target
date)?
Where will
it be
done?
How will it
be done
(the tasks
involved,
stages/key
points)?
Who will
do it?
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ATTACHMENT 7: CSU Effective Team Leadership Action Planning Template
Objectives Strategies and
Actions
Timeframe Person
responsible
Resources
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ATTACHMENT 8: Technology of Participation Implementation Planning Template
Vision Statement (insert here)
Strategic
Directions/
Objectives
Key Actions, Steps and
Milestones
By (insert date)
Who is
responsible?
Quarterly
scorecard/Timeline/When?
90 day or quarterly targets
Victory or
goal/measure
of success
1 2 3 4
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ATTACHMENT 9: Transformational Leadership
FOR THE PUBLIC GOOD
VICE-CHANCELLOR’S FORUM
September 2007
TRANSFORMATIONAL LEADERSHIP
Key Success Factors For Supportive Leadership: Building
CSU’s Performance Capability (Sept 2007)
Alignment
Performance Relationships
Supportive
Leadership
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ATTACHMENT 10.: Circle of Concern / Circle of Influence
12
Another way to be come more aware of your own degree of proactivity is to look at where you
focus your time and energy – e.g. on your health, children, problems at work, nuclear war
The Circle of Concern encompasses everything that reaches your awareness and about which
you have some feeling. In this circle, there are some things over which you have no real control
and others that you can do something about.
Your Circle of Influence lies within the Circle of Concern and defines the concerns you have that
you can do something about.
Your Centre of Focus lies within the Circle of Influence. It is here that the things you are
concerned about, that are within your ability to influence, and that are in harmony with your
deepest values and your mission, are found.
Proactive people focus their efforts in the Circle of Influence or Centre of Focus. They work on
things they can do something about. The nature of their energy is positive, causing their Circle
of Influence to increase. They find in their growing personal strength the ability to influence
more people and circumstances in positive ways.
Reactive people, on the other hand, focus their efforts in the Circle of Concern. They focus on
the weaknesses of other people, the problems in the environment, and circumstances over
which they have no control. Their focus results in blaming and accusing attitudes, reactive
1
Covey, S.R. 1989, The Seven Habits of Highly Effective People: Restoring the Character Ethic, Business Library,
Melbourne.
2
Covey, S.R., Merrill, A.R., & Merrill, R.R. 1995, First Things First: To Live, to Love, to Learn, to Leave a Legacy,
Simon & Schuster, New York.
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language, and increased feelings of victimisation. The negative energy generated by that focus,
combined with neglect in areas they could do something about, causes their Circle of Influence
to shrink.
The problems people face fall into one of three areas:
direct control - problems involving their own behaviour
indirect control - problems involving other people?s behaviour
no control - problems they can do nothing about, such as their past or situational realities.
The proactive approach puts the first step in the solution of all three kinds of problems within
your present Circle of Influence:
Direct control problems are solved by working on your habits.
Indirect control problems are solved by changing your methods of influence. These are
the “public victories” of habits 4, 5 and 6.
No control problems involve taking the responsibility to genuinely and peacefully accept
these problems and learn to live with them, even though you don?t like them. In this way, you
do not empower these problems to control you.
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ATTACHMENT 11 – L.J.Spencer (1989) Winning through Participation, Institute of
Cultural Affairs.
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doc_680109914.pdf