The Process of Transformation Through Strategic Planning and Action

Transforming a human system results from commitment to a common purpose over time. The creativity of people, combined with a structured process for planning and implementation, are essential ingredients. Transformation Systems, Ltd. provides the structured process and the people within the system provide the creativity and effort.
The associates of Transformation Systems, Ltd. (TSL) recognize four stages in the transformation process. They are:

Click the stage title for quick reading:

Stage 1 – Preparing for Transformation
Stage 2 – Planning Transformation
Stage 3 – Creating Transformation
Stage 4 – Learning and Adjusting

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Recognizing the uniqueness of each client, Transformation Systems, Ltd. associates strive to design the transformation process best suited for each system, taking into account current structures, previous change efforts, time lines, and other specific needs of the client.
Consistent with the mission and core values of TSL, all stages of the transformation process are characterized by inclusion, consensus, long term commitments, and building and maintaining trust and an internal locus of control.
A general description of stages of transformation follows.

Stage 1
Preparing For Transformation
“Preparation is everything.” Ford

Rationale:
The primary purpose of a transformation process is to design, implement and sustain a system’s commitment to achieve the purpose it values most highly. Preparing for Transformation is designed to ensure that leaders within EARCOS (The EARCOS Board and to the Executive and Associate Director) understand the transformation process and can assess EARCOS’ readiness to participate. Therefore, system leaders are the primary target audience for the activities in this stage. In organizations such as EARCOS this would include the Executive and Associate Director, EARCOS Board, leaders at the administrative level, and others identified as formal and informal leaders within the system. In some communities, external leaders are involved as well.

The rule of thumb to remember — it is nearly impossible to overcome a poor start.

Purpose:

The purposes of Preparing for Transformation include:
To achieve understanding and support for the transformation process among system leaders;
To determine EARCOS’ readiness to engage successfully in the transformation process;
To target and address those conditions which need to be created before transformation can occur;
To prepare key organizational personnel to coordinate the transformation effort and define their leadership responsibilities; and
To build excitement and energy for the transformation process.

Description:
In order to achieve these purposes, several components are addressed. The first component encompasses the general tasks of engaging organizational leadership in activities that develop a deeper understanding of the transformation process. Activities might include presentations, which provide an overview of the scope and implications of the entire process, developing a comfort level among leadership regarding the process. This could be accomplished via the NESA example, readings on planning, and statements from WASC, which requires a planning component for school improvement as part of the accreditation process.

The second component includes the gathering and assessment of baseline information to ascertain the readiness of EARCOS for transformational activity. This information includes, but is not limited to, the nature and style of leadership, the use of information to influence decision-making, the locus of control as perceived by leadership and the means with which EARCOS develops the capacity of its work force.

This is also when the timing of the planning process is considered. Certain internal events can interfere with the system’s ability to focus on the planning process. Specifically, leadership changes or highly controversial efforts are important to consider when determining the appropriate time to begin the transformation process.
Next, the current means with which EARCOS communicates with its internal and external publics will be examined and preparations will be made for the challenges of ongoing communications during the subsequent stages of the transformation process.

While much of the information collected at this stage allows EARCOS to make judgments regarding its readiness to transform itself, the information will be of great use in Stage Two, as well. The associates of Transformation Systems, Ltd. will assist EARCOS in analysis of the information gathered, in light of the conditions necessary for the change initiative to be most successful. Much of the thinking about instituting a planning process has been processed by the Board and past executive director and it appears that all agree that EARCOS is ready and that the time is “ripe” to seriously look at the future of EARCOS and what shape it should take for the future.

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Stage 2
Planning For Transformation

Rationale:
The Planning for Transformation stage is characterized by a structured series of events, which result in the development, and approval of a strategic plan and corresponding plans of action and measurement tools. This stage requires a six to nine month period of involvement by EARCOS leadership, staff, and other individuals essential to ensure diversity of thinking. The strategic plan will serve as the blueprint for the transformation process, the plans of action will describe the incremental changes essential to achieve the desired transformation, and the measurement tools will allow EARCOS to measure progress toward the mission. EARCOS should seek to involve people who are willing to engage in constructive, creative, consensual planning. Participants will contribute to the development of the strategic plan as members of the Core Planning Team, the development of plans of action as members of Action Planning Teams, and the development of measurement tools as members of the Measurement Team. The Core Planning Team, Action Planning Team and Measurement Team will take on a different look for this type of organization. This is explained in the attached draft memo.

Purpose:

The purposes of Planning for Transformation are:
To produce a long-term, consensus-based, vision-driven strategic plan which will serve as the blueprint for change and a framework for decision making for several years;
To create concrete, specific and implementation-ready plans of action which will lead to the achievement of the mission and objectives included in the strategic plan
To design a measurement system aligned to the objectives of the plan.
To energize the people in EARCOS and community served by EARCOS to create the context for a sustained change effort.

Description:
Planning for Transformation is divided into nine major components described on the following pages with typical time frames indicated in parentheses.

1. Raising the Awareness of the EARCOS Board and EARCOS Community

This stage begins with a comprehensive communication component directed towards all staff and community members. The purposes of this component are to explain the transformation process, invite staff and community members to become active participants and to set a tone of openness, honesty and inclusion.
The communication component, which should offer opportunities for dialogue, provides a rationale for engaging in the transformation process. A description of the specific stages of the process and the means through which interested people can be involved and kept informed will be provided. This component creates the initial energy and excitement concerning the transformation process.

2. Collecting Baseline Information

As a human system, EARCOS can only be described in a context, which includes the past and present EARCOS leadership and the relationship of EARCOS to its community. Transformation of an organization is more successful if it is undertaken with consideration given to its past and current conditions and to the prevailing trends of the community in which it exists.
This step of the planning for transformation process calls for the gathering of data, which objectively describes EARCOS. Where possible the data should extend at least 5 years in the past to reveal trends. The data should be organized by category, with particular attention paid to the following categories: population served, performance of EARCOS, personnel data, financial data, facilities data, program data, organization chart, existing plans and implementation information.
In addition, information should be included which describes the community. This information would include the following categories: demographic trends, economic trends, trends in education policy, area community based/not for profit and for profit/parochial/home school information.
The baseline information should be collected and organized in a binder and provided to each Core Planning Team Member prior to the First Planning Meeting. The information would be made available to others interested in it.

3. Selecting the Core Planning Team

The Core Planning Team – a group typically consisting of between 15 and 25 members – is an ad hoc and advisory group charged with drafting the strategic plan for transformation. Approximately half of the Core Planning Team is composed of internal EARCOS personnel, including board members and the EARCOS leaders. The remaining members of the Core Planning Team are participants in the communities and organizations served by EARCOS.
It is critical that the membership of the Core Planning Team reflect the full range of diversity of the staff and community served by EARCOS. Members of the Core Planning Team do not serve as representatives of any particular group and therefore are not encumbered with the need to speak for an absent constituency. Rather, Core Planning Team members are asked for their personal perspectives and ideas, their own hopes and passions for change, with the realization that, collectively, they will reflect EARCOS and the community. Again, please see memo to see how I might suggest that this process is modified to better meet the needs of EARCOS.

4. Initial Planning Meeting for Development of the Strategic Plan for Transformation

During the initial planning meeting, which takes place in a retreat setting, the Core Planning Team drafts a strategic plan, which describes the transformation desired. The strategic plan for transformation, once approved by the Board, becomes the long-term, decision-making blueprint for EARCOS. The plan provides focus and context for all decisions that will be made in the future. The components of the strategic plan for transformation are described briefly below. It is critical to stress that all decisions relative to the content of the transformation plan reflect consensus of the Core Planning Team.

Components of the Strategic Plan for Transformation

Core Values – Statements that describe the most fundamental assumptions of the Core Planning Team. These form the common ground on which all Core Planning Team members stand and on which the remaining components of the plan stand. The core values answer the question ‘Who are we?’

Mission/Vision – A description of the preferred future of EARCOS. The mission provides both aspiration and focus. In particular, the mission, which reaches out 10 years or longer, describes the unique purposes to be fulfilled for the clients of EARCOS. The mission will be derived from the visions of the Core Planning Team members. The mission answers the questions ‘What is our purpose and who are we most concerned about serving?’

Goals – Verifiable end results EARCOS commits to achieving en route to achieving its mission. The mission, a long-term statement of aspiration, is translated into shorter-term measurable achievements toward which EARCOS directs it resources and assessments. The goals are verifiable, organization-wide results typically stretching out no more than five years. They describe the results EARCOS commits to producing and, once achieved, provide evidence that the mission is being achieved. Goals answer the question ‘For what organization wide outcomes is EARCOS willing to be held accountable?’

Strategies – The means the planning organization will employ in order to achieve its goals and ultimately its mission. Strategies deemed essential for achievement of transformation are derived from analysis of internal and external conditions within the context of the mission. Strategies answer the question ‘What must we do as a organization to ensure the achievement of our goals, and ultimately, our mission?’

Strategic Delimiters – Achieving a mission requires focus and commitment over time. The strategic delimiters detail those practices that the planning organization will not engage in, thereby allowing it to remain focused. Strategic delimiters answer the question ‘In order to achieve our mission, what must we refrain from doing?’

In addition to the components described above, the Core Planning Team conducts extensive analysis of the strengths and weaknesses of EARCOS, any competition for providing education to the constituents, and the opportunities and threats EARCOS faces. This analysis is based in large measure on the information collected in Preparing for Transformation and provided to the Core Planning Team.

Strengths, Weaknesses and Environmental Scan – a thorough, objective examination of the attributes of the planning organization relative to achievement of the mission and an examination of the environmental forces, that will likely influence the planning organization’s capacity to achieve its mission. These external forces include a thoughtful and respectful analysis of competing organizations.

Opportunities and Threats – An examination of the circumstances within and trends outside EARCOS which will have a significant affect on achieving the goals and mission.

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5. Designing Measures & Collecting Data on Your Goals

“Before you can create what you want to create, you must know what you are after” (Fritz, 1989).
The goals are a measurable statement of a EARCOS’ mission. Measuring the goals provides clarity and focus as EARCOS implements its strategic plan. Data regarding progress provides feedback that can then be used to inform the action plans used to achieve the system’s mission.

The purposes of this step in the planning process are: (1) to define operationally the key concepts included in the goals; (2) to develop performance standards for the goals at various points in EARCOS; (3) to develop measurement tools (rubrics, tests, etc.) to be used to assess EARCOS’ progress for that goal; (4) to develop a plan for communicating the standards and measures to the internal and external publics; (5) to develop a plan to field test the standards and measures; to prepare staff in procedures to administer the standards and measure; and to utilize data gathered from administering standardized measures.

A system’s goals generally describe results that EARCOS is not currently producing or would like to enhance. The plans of action should provide for the development of new processes that support producing the results described in the goals. If assessments are developed prior to the action planning process, plans of action can be designed to specifically support the outcomes operationalized by the assessment tools.

Later, a review of current system processes, which may not be impacted by the strategy action plans, is needed to identify areas that are misaligned with the goals. This alignment should be done systematically to ensure that subsystems or current practices do not prevent achievement of the goals.

The amount of time necessary depends on the number of goals in the plan. Following this, the process of staff training, implementation, data collection, reporting and learning must be institutionalized. Associates of TSL will provide tailored support based on the needs of the system.

6. The Development of Plans of Action

This component of Planning for Transformation is the most time consuming, people intensive and exciting. It is also at this point that the planning organization begins to discover and design the specific and short term change initiatives necessary to achieve its goals and eventually its mission.

An Action Planning Team consisting of the Executive Director and Associate Director along with others on a voluntary basis, will be formed and work on each strategy with the facilitator. This would most likely occur in the US during the summer. Action Planning Teams, which are also ad hoc and advisory, consist of the Executive Director and Associate Director along with others on a voluntary basis, experienced and knowledgeable about the strategy. Their task is to develop specific plans of action (for implementation) necessary to accomplish their respective strategy. In addition, the Action Planning Team will project the costs and benefits for each plan of action it proposes.

The action planning process involves 1) a through review of the meaning and intent of the Core Planning Team in developing each goal; 2) a review of the work of the Measurement Team and understanding of the goals; 3) envisioning the potential of the strategy in transforming EARCOS; 4) researching both other educational applications and ideas from other sectors to suggest possible plans of action; 5)defining the current processes in place which may hinder or support the development of the strategy; 6) writing Action Plan result statements, which, when implemented, are both essential to and sufficient for operationalizing the strategy; 7) developing suggested steps for implementation; and 8) analyzing the costs and benefits of implementation of each suggested action plan.

The work of the Action Teams is also reviewed by the Core Team in the middle of the Action Planning process to ensure that the intent of the Core Team is being fully realized and to provide support for the lengthy, yet highly creative work of creating plans of action.

7. Second Planning Team Meeting

This component of Stage Two has three major purposes. The first is to review the plans of action developed by each Action Planning Team and the work of the Measurement Team. The second purpose is to review the draft strategic plan for transformation before it is recommended for approval. The third purpose is to provide the Executive and Associate Directors with recommendations regarding the sequence of implementation.

The second Planning Meeting involves the Core Planning Team, now limited to the EARCOS Board and representation from the Action Planning Teams and Measurement Team. It would be our hope that we could conclude the approval of the Plan in a half-day meeting. This information will be sent out well in advance and additions, deletions, and/or corrections may be made before the actual meeting, which would be the EARCOS Board Meeting in 2006. At the meeting, the plans of action, measurement tools and measurement implementation plan are presented to the Core Planning Team for their review, analysis and approval. Consensus of the Core Planning Team is required to accept plans of action.

The Core Planning Team also reviews the strategic plan for transformation, which has been circulating as a draft within the system, and community for several months. It is at this point the Core Planning Team refines components of the plan, if necessary.

Finally, the Core Planning Team reviews all of the plans of action they approved and works with the Executive Director and Associate Director on which plans of action should be implemented first in the first year of Stage 3, Creating Transformation.

9. Approval of the Plan for Transformation

EARCOS has, by this time, developed a long term, visionary strategic plan for transformation consisting of a mission for the next 5-10 years, goals for the next 3-5 years and plans of action, each with one year time horizons. The primary purpose of this step in the process is to secure Board approval of the strategic plan for transformation, the plans of action and allocation of resources necessary to begin implementation. The Board also celebrates the accomplishments of those who have been engaged in the strategic planning process.
Once the Second Planning Meeting is complete, the Executive and Associate Directors determine which plans of action will be implemented during the first year of the transformation process. This prioritization process is accompanied by a description of the resource implications of the plans of action targeted for immediate implementation. This would basically be the task of the EARCOS administration.
The Board will be asked to approve the strategic plan for transformation and bring it to the general membership. Approval will be sought for the core values, mission/Vision, goals, strategies, strategic delimiters and plans of action. In addition, the Board will be asked to approve the resources necessary to implement the plans of action targeted for the first year.

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Stage 3
Creating Transformation

Rationale:
Creating Transformation is the most challenging stage of the transformation process. It is here that implementation begins. The time, effort and creativity invested to this point in the planning process is lost unless system leadership takes deliberate and systematic steps to merge the initiatives outlined in the strategic plan with the operational activities of the system. The implementation component of the transformation process focuses on merging and/or replacing existing operational practices with ideas, programs and initiatives described in the plans of action.

The high level of involvement generated in Stages 1 and 2 of this process will be of great help while Creating Transformation. The leadership group involved in Preparing for Transformation plays a key role in this stage. Staff members will align their functions with the strategic plan in general and the plans of action being implemented, in particular.

Purpose:

Several purposes are achieved during Creating Transformation:
To create an EARCOS-wide understanding of the strategic plan for transformation;
To communicate, internally and externally to the system, information about the particular change initiatives being implemented;
To clarify accountability and specific commitments of individual staff members to achieve results described in the plans for action;
To provide appropriate staff development to ensure the success of the plan for transformation;
To formally align and assign resources to the implementation effort;
To align current subsystems and, if necessary, create new subsystems necessary to achieve the plan for transformation;
To make progress toward achieving the goals;
To monitor implementation efforts and adjust resources as necessary;
To recognize and celebrate progress.

Description:
The overall responsibility for achievement of the strategic plan for transformation rests with the Executive and Associate Directors of EARCOS. To accomplish this, the Executive and Associate Directors of EARCOS may delegate responsibility to EARCOS staff. In some instances implementation teams will be utilized involving EARCOS staff, faculties and administrators on a volunteer basis.

It is critical that implementation of the plan for transformation be the subject of direct and ongoing communication the EARCOS community at large. The importance of establishing open and continual dialogue about the plan, its meaning and implications cannot be over emphasized. The groundwork for communication will have been established in Preparing for Transformation and Planning for Transformation.

Developing commitment and accountability are also key to the success of Creating Transformation. The achievement of a long-term plan can only be accomplished incrementally, with clear delineation of who is accountable for the particular increments. Plans of action are the increments of implementation; for each plan of action, one or more EARCOS staff will accept accountability for implementation. The number and degree of involvement of staff will be evident from the details of each plan of action. Some action plans will have uniform, EARCOS-wide implications and others will be carried out in specific areas.

Systems change only when people change; therefore, there will be allocation of time and resources to develop the capacity of system personnel to contribute to the achievement of the plan for transformation. It is essential that EARCOS continually develop the knowledge and skills of its employees and the EARCOS Board, so that their talents and efforts are aligned with and contributing to the directions outlined in the plan for transformation.

Key to establishing credibility during the Creating for Transformation stage is the measurement of progress toward achieving the goals. EARCOS may use this information to adjust course(s) of action and identify progress to be celebrated. This component requires the EARCOS Board to establish and communicate expectations and standards; create means of data collection to monitor progress; conduct periodic review and reflection opportunities with established procedures for assessing progress; monitor and adjust plans as necessary; and recognize those who have successfully contributed to the transformation of EARCOS. Thus, each year, the plan will be reviewed and assessed before moving into the following year’s implementation.

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Stage 4
Learning and Adjusting

Rationale:
Learning is essentially an act of reflection and the generation of new meaning. The phrase “learning community” refers to the design of deliberate structures that allow organizations to stop, reflect, generate new learning and then use that new understanding to adjust actions moving forward. This stage is designed to facilitate the creation of a learning community.
All plans, if they are to be useful, require review, refinement and revision. Stage 4, Learning and Adjusting, offers the system opportunities for formal review, refinement or revision of the strategic plan for transformation and plans of action. During the year of implementation, many unanticipated events can occur. Whether internal or external, these events will, in all likelihood, have implications for the course of action outlined in the strategic plan for transformation. In addition, the year of implementation will reveal more clearly the obstacles to change, thereby allowing the system to further adjust its course of action. This stage depends on the use of data to inform the Core Planning Team and EARCOS leadership about the progress and insights gained during the recently completed period of implementation. The Core Planning Team and other parties critical to implementation of the plan for transformation meet at regularly scheduled intervals to analyze the transformational changes that have occurred in EARCOS and the unanticipated events that have affected progress. Typically, the Core Planning Team (The EARCOS Board) reassembles every 12 months to formally revisit and refine the plan.

The components of the Learning and Adjusting stage include data collection and analysis; review of the components of the strategic plan for transformation; recommendations for continued implementation; assignment or reassignment of accountability for plans of action to be implemented; recommendations to the Executive and Associate Director; continuing alignment of resources with the plan for transformation; and recognition and celebration of progress.

Purpose:

There are several purposes for the Learning and Adjusting stage. They are:
To assess and document progress toward transformation in a formal, systemized fashion;
To formalize recommitment to the plan for transformation;
To offer opportunities for adjustment of the plan for transformation in light of experience and unanticipated events;
To schedule additional plans of action for implementation; and
To demonstrate flexibility of the plan for transformation.

Description:
Learning and Adjusting requires reconvening the Core Planning Team. This stage consists of a review session that typically occurs after 12 months of implementation experience. During the review process, the Core Planning Team revisits all the components of the plan for transformation and suggests adjustments to the plan. These adjustments are the result of a review of recent achievements and a forecasting of internal and external events. In addition, the Core Planning Team makes recommendations for initiatives to be undertaken for the next implementation period.
Following the review session, the EARCOS Board is asked to re-approve the strategic plan for transformation and to publicly recognize and celebrate the progress made toward achievement of the plan’s objectives. The Executive and Associate Director then works with EARCOS staff and others to clarify individual commitments and responsibilities for implementation activities appropriate for the next implementation period.

Summary
The work described in the four stages of the Process for Transformation challenges many of the old assumptions about how systems change and improve. This process is based upon the assumption that transformational change requires the purposeful, focused and sustained effort of not only a system, but of a community. The Process for Transformation does not provide a recipe or a magic program. It does provide a structure that capitalizes on the creativity, energy and hopefulness of a community to discover its dream, chart a course and embark upon a journey. The Process for Transformation is difficult work, but it is work that must be done for our children and our communities; and it is work that can be done by working together.

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