a handbook for strategic planning
TRANSCRIPT
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The TQL Office provides technical advice as well to a number of organizations inside and
outside of govern men t. It has respon sibilities in six key areas: TQL edu cation and
training; consultant services; new technologies; assessment; networking and liaison; and
information and comm un ication.
The mission of the Total Quality Leadership (TQL) Office, Office of the Un der Secretary of
the N avy is to assist the Department of the Navy leaders in their qualify-focusedimprovem ent efforts through ed ucation, consultation, information sharing, networking,
and technical adv ice.
Education and TrainingThe TQL Office is responsible for man aging
the technical and conceptual content of theDepartm ent of the Navy (DON) TQL
curriculu m. This work involves designing
and developing courses as well as training
instructors. The staff advises the DON on
integration of TQL material into the
training pipeline.
Consultant ServicesTQL Office members provide technical
advice to the Under Secretary of the Navyand other senior Navy and Marine Corps
leaders on the application of TQL principles
and m ethods within the DON and on
strategic plann ing. Advice may also take
the form of recomm endations on policy as
well as on Defense Performance Review
initiatives.
New Technologies
Technology can provid e critical sup port toDON quality imp rovement efforts. The job
of the TQL Office is to assess new
technologies related to organ izational
change and p rocess improvem ent and
translate them into app lications for the
DON.
AssessmentSystems are needed to assess the way in
which TQL implementation is enhan cingmission accomp lishment in DON
organ izations. The TQL Office is designing
and developing feedback mechanisms for
that pu rpose as well as developing
innovative app roaches to imp rove overall
organ izational effectiveness.
Networking and LiaisonThe TQL Office has much to share w ith
other organizations, both government andprivate, and mu ch to learn from them. Staff
mem bers p articipate in TQL-related
networks and professional organizations.
As resou rces perm it, the TQL Office
sponsors TQL conferences and seminars.
Information and CommunicationThe TQL Office educates the DON about
TQL policies and initiatives through a
newsletter (TQLeader), articles and reports,and presentations at conferences and
meetings. It is developing a
comp uter-based qu ality information
network to facilitate comm un ication w ith
DON organizations.
About the TQL Office
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Foreword i
Foreword
This hand book was w ritten for Departm ent of the Navy (DON) comm and ing officers, TQL
coordinators, and strategic plann ing facilitators in response to the m any questions about
the strategic plann ing process and how it should be condu cted w ithin the DON . It is not
intended to teach th e intricacies of strategic plann ing, but is merely p rovided to answ er
process questions. While we cannot an ticipate every question, the handbook details one
way to do strategic plann ing that is consistent w ith the strategic plann ing mod el presented
in the DON Senior Leaders Seminar and ap proved by the DON leadership throu gh its
Executive Steering Grou p. While this is not the only method ology, it is the one we use
wh en working w ith N avy and Marine Corps organizations.
To be successful, strategic planning requ ires comm itment on th e part of three peop le: the
leader (comm and ing officer) of an organization, the TQL coordinator of that organization,
and a strategic plann ing facilitator. This handbook attempts to delineate the roles and
responsibilities of each and suggests a process by which the three, together, can point th e
organization toward its futu re. Strategic plann ing is a continu ous consulting process that
mu st be tailored to accomm odate the climate of an organ ization. Our experience has
proven that strategic plann ing benefits both pu blic and p rivate organizations.
Words ofCAUTION an d ADVICE are interspersed throughou t the document and are
based up on our experience with DON organizations. We hope you find it valuable as you
begin your strategic planning efforts.
A Handbook for Strategic Planning is envisioned as the first of a series of han dbooks
designed to assist mem bers of the quality comm un ity in their efforts to implement TQL.
The authors extend a special thanks to Mr. Pat Malone, formerly of this office, and Ms.
Mary Jones, an organizational development consultant, for their valuable sup port an d
encouragement throughout this project.
Denise L. Wells Linda M. Doherty, Ph.D.
Director, Information Resources Center Director
DON DON
TQL Office TQL Office
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Forewordii
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Contents
Benefits of Strategic Planning 1
Role of the TQL Coordinator 3
Getting Started 5
Checklist of Supplies and Equipment 6
Who will be our strategic planning facilitator? 7
What will the facilitator do? 7
Who should be on the strategic planning team? 8
Should we invite some of our customers to be on the team? 8
Where will we do this? 9
How long will this process take? 9
Proposed Agenda 10
What can th e organization expect to get out of this investment
of time and effort? 11
Preparing for the Off-Site: Role of the Facilitator 13
What about the rest of the strategic planning team? 13
Who conducts the interviews? 13
What questions shou ld th e facilitator ask the strategic planning
team members? 13How does the facilitator conduct the interviews? 14
What is done with the information collected? 15
How are the interview data an d executive summary shared
with the team? 16
Are there other ways to assess the organization? 16
Selecting the Leadership Team: Advice to the Boss 19
Size 19
Community 19
Position in the Hierarchy 20
Knowledge Level 20
Abilities 20The Strategic Planning Session 21
Opening Remarks 22
Administrative Remarks 22
Strategic Planning Overview 22
Ground Rules 24
The Decision-Making Process 25
What is consensus? 25
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Which decision-making method works best? 26
Planning Assumptions 27
Vision 27
But shouldnt we develop the mission first? 27
Shouldnt we do the mission next? 28
Guiding Principles 29
Mission 29
Why are we doing strategic planning? 29
How do you define a system? 29
How can I do strategic plann ing when someone above me in
the chain of command isnt doing it? 30
Why is systems thinking important to strategic planning? 30
We already h ave a m ission statement d ictated by ExecutiveOrd er, law, instruction, or some other formal
document. Why do we need another one? 31
Gap Analysis 33
Strategic Goals, Strategies, and Objectives 33
Next Steps 35
Updating the Strategic Plan 37
How do the team and the facilitator know wh en to start the
cycle over? 37
How will the team and the facilitator know wh en the planning
assumptions change? 37
Are there other reasons for the strategic plan to change? 37Will the process be the same or d ifferent the second time around? 38
Should the facilitator do the interviews again? 38
What is d ifferent about the strategic planning process? 39
What is a SWOT analysis? 39
How is a SWOT analysis done? 39
What is meant by opportunities and threats? 40
Why is a SWOT analysis important? 40
Should customers be invited to participate this time? 40
How is the strategic planning process d ifferent this time? 41
How is the process the same? 41So, strategic planning becomes an iterative process? 41
Read-Ahead Materials for the Planning Team 43
References 45
About the Authors 47
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Benefits of Strategic Planning
Strategic plann ing is the process by which the gu iding m embers of an organ ization
envision its futu re and develop the n ecessary procedures and operations to achieve that
futu re (Goodstein, Nolan , & Pfeiffer, 1992). It is an iterative p rocess, with no clear
beginning or end ing point. It can be viewed much like a merry-go-round . What an
organization does first depend s upon where it gets on.
The purpose of strategic plann ing is to transform th e organization. Strategic plann ing
helps leaders to:
Create their own organizations future
Provide a framework and a focus for improvem ent efforts
Optimize organ izational systems
Provide gu idance for day-to-day d ecisions
Provide a learning opportu nity for top leaders
Build a critical mass
Provide a m eans for assessing p rogress
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Benefits of Strategic Plann ing2
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Role of the TQL Coordinator
The DON Senior Leaders Seminar teaches that strategic planning is the responsibility of
the top leadership in the organization. It should not be delegated or staffed ou t to others.
However, it is reasonable to expect the senior leaders to ask their TQL coordinators for
support.
ADVICE
The TQL coordinator should not act as the strategic planning facilitator.
Strategic planning seem s to be most successful when the process is facilitated
by someone from outside the organization. However, regardless of whether
or not the TQL coordina tor acts as the strategic planning facilitator, he or she
should kn ow as much about the p rocess as the other players to fun ction in the
role ofprocess consultant.
The TQL coord inator m ay be expected to act as both a process consultant and a process
facilitator. As a process consultant, the TQL coordinator shou ld be the person w ho helps
the senior leaders answer the following qu estions:
Who shou ld be ou r strategic planning facilitator?
What will the facilitator do?
Who shou ld be on the strategic plann ing team?
Should w e invite some of our customers to be on the team?
Where will we do th is?
How long will this process take?What can the organ ization expect to get out of this investment of time
and effort?
(Answers to these questions follow in the Getting Started section.)
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Getting Started
What the senior leader d oes next depends upon whether the organization is just beginning
the strategic planning process or is upd ating an existing plan. Below is a checklist of
things to do.
Consultation
Leader and facilitator meet and negotiate:Expectations
Agenda
Ground ru les
Strategic planning m ethodology
Leader selects p lanning team
Facilitator conducts interviews
Facilitator compiles interview data
Facilitator prep ares executive su mm ary
Facilitator br iefs lead er
LogisticsSet da tes
Select p lace
Arrange for sup plies and equipment
Set up interviews
Prepare read-ahead material
Distribute read-ahead and interview package
CAUTION
Once the leader has d ecided to do strategic planning, too often wheels are set
into motion without a clear un derstanding of how mu ch u p front work
needs to be done.
Getting Started
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Checklist ofSupplies and Equipment
Supplies
Easels-at least 2
Flip chart paper
Marking p ens
Transparencies
Transparency marking pens
Dictionary
Thesaurus
The Power of V ision video by Joel Barker
Paper, p ens, pencils
Post-it notes
Nam e tents
Equipment
Computer
Word processing software
Printer and p aper
Disks
Overhead projector
Screen
VCR with monitor
Copy machine and paper
Fax machine
Getting Started
TM
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The following questions shou ld be considered by the senior leader
and the TQL coord inator before further d ecision making.
Who will be our strategic planning facilitator?
This may be th e most important d ecision of the prep lanning p rocess. It is often
possible to borrow someone at no cost, from outside the command but inside the
government, to be the facilitator.
CAUTION
Facilitating strategic plann ing is not the sam e as facilitating a Quality
Management Board (QMB) or a Process Action Team (PAT) even th ough
many of the skills are transferable. If possible, the TQL coord inator should
select a facilitator wh o has strategic plann ing experience and who is
comfortable working with senior leaders. The facilitator should be brough t
into the p replann ing activities as soon as possible.
What will the facilitator do?
Once the facilitator is selected, the senior lead er and the facilitator shou ld m eet for
the pu rpose of negotiating a contract. During th is meeting, which should take
about an hour, the leader an d the facilitator discuss su ch elements of strategicplann ing as the methodology they will use, who the p lanning team m embers will
be, what they expect to accomp lish, what the agend a will includ e, and w hat the
groun d ru les will be. It is helpful, though n ot necessary, to write dow n these
decisions, but it is imp ortant that they agree on a strategy.
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Who should be on the strategic planning team?
It depend s. If an Executive Steering Committee (ESC) alread y exists, it may serv e
as well as the strategic plann ing team.
CAUTION
If there is no ESC, the peop le selected to participate in strategic plan ning w ill
probably want to continue some sort of ongoing effort. They may self-select
as the ESC.
ADVICE
The decision abou t wh o is asked to participate should be though tfully
considered . It probably should n ot be all the department heads or all the
colonels, for examp le.
The team should num ber between five an d nine mem bers. For a comp lete
discussion of this question, refer to the section en titled Selecting th e
Leadersh ip Team: Ad vice to the Boss.
Should we invite some of our customers to be on the team?
Maybe not. For the first cycle of plan ning, the team is learn ing to function as a
team. The members may not, as yet, have reached consensus among themselves
about w hat to do and what their strategies should be. Besides, if there is no ESC
and the strategic planning team evolves into the ESC, there is the real question of
wh ether the team w ould w ant its customer(s) to continue to meet with it in thatcapacity.
Maybe so. On the other hand , if the planning team has already been meeting
together and is ready to act on customer feedback, customer pa rticipation can be
mutually beneficial.
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Getting Started 9
Where will we do this?
The site is not as imp ortant as the fact that it shou ld be aw ay from the regu lar worksite. This allows participants to concentra te on the strategic plan ning effort with a
minimu m of interrup tions. In making the arrangements, the TQL coordinator w ill
want to consider a meeting room break-out rooms if the group is largeand
rooms wh ere the team can work into the evenings and have their meals (together,
separate, special d iets) and social gath erings. The TQL coordinator shou ld also
consider th e availability of exercise rooms and the need for transportation to an d
from the site.
How long will this process take?
It depend s upon what the team expects to accomplish. A team that is committed
can norm ally d raft a vision, a mission statement, gu iding p rinciples, goals, and
outline some stra tegies and objectives in a 3-day off-site.
TOOL
A sample agenda follows. The times are approximate and a re
provid ed to give the team an idea of what can be d one in a 3-day off-site.
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Getting Started10
Proposed Agenda
Strategic Planning(Name of Organization)
Day 1
0800 Opening remarks Leader
0830 Introduction of participants TQL coordinator
Administrative remarks TQL coordinator
0845 Strategic planning overview Facilitator0930 Break
0945 Ground rules Facilitator
0950 Planning assumptions Facilitator
1050
The Power of Vision videotape
1120 Vision exercise Facilitator
1200 Lunch
1300 Recap/ refocus Facilitator
1315 Guiding principles exercise Facilitator
1415 Break
1430 Customer identification Facilitator1500 Mission exercise Facilitator
1700 Summary Facilitator
Day 2
0800 Opening remarks Leader
0815 Recap/ refocus Facilitator
0830 Small groups meet to draft vision,
guid ing principles, and mission1000 Break
1015 Small groups brief first d rafts
1200 Lunch
1300 Recap/ refocus Facilitator
1315 Small groups meet to finalize
vision, guid ing pr inciples, and mission
1430 Small groups brief final d rafts
1700 Summary Facilitator
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Day 3
0800 Opening remarks Leader
0815 Recap/ refocus Facilitator
0830 Gap analysis Facilitator
1000 Break
1015 Identify strategic goals
1200 Lunch
1300 Identify strategies and objectives
1500 Next steps Facilitator
1700 Closing remarks Leader
ADVICE
This is hard work. Every leader thinks his or her team can accomp lish more
than this in a 3-day off-site. The TQL coordinator, working w ith the
facilitator, should try to p revent the team from setting u nreasonable
expectations for itself. But . . . the team mu st develop goals du ring the
workshop. Without goals, there is no imp lication for action in theorganization.
What can the organization expect to get out of this investment oftime and effort?
The purpose of strategic plann ing is to transform the organization. The team can
expect p rodu cts (outp uts)a p lan which features a vision, mission, gu idingpr inciples, goals, strategies, and objectives. But the team w ill also get by-products
(outcomes)teambu ilding among the top leaders of the organization,
organizational alignm ent, consensus of the leadership, an d a focus for the futu re.
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Preparing for the Off-Site:
Role of the Facilitator
The strategic plann ing off-site will be more p rodu ctive if everyone par ticipating h as an
idea of what to expect. So far, only the leader , the TQL coordinator, and the facilitator
have assessed th e situation and reached agreement.
What about the rest of the strategic planning team?
One way to get them to think about the plann ing session and the future of the
organization is for the facilitator to interview each of them pr ior to the off-site. The
interviews help the leader, the TQL coordinator, and the facilitator to und erstand
the current environment in the organization.
Who conducts the interviews?
The facilitator . . . in p rivate. At the time of the interv iew, the facilitator shou ld
explain to the par ticipant tha t the answers to the questions will be shared with the
group , but that the sources of the answers will remain anonymou s.
What questions should the facilitator ask the strategic planningteam members?
1. What is the main function or mission of (your organization)?
2. Who are the important customers that you serve?
3. What are the key products and/ or services that (your organization) delivers
to these customers?
4. Describe (your organization) of the future. Do you see any change of focus?
Emerging m issions?
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5. What are the operating values and/ or guiding principles that should guide
behavior in (your organization) to attain this vision? What current
behavior(s) need to be modified?
6. How must the (your organization) change and evolve in order to realize your
vision of the futu re? (What are the fears or barriers?)
7. Which major processes or systems should be targets for improvement to help
you better serve your customers?
8. How are reorganization and resource reductions going to affect your
organization? What need s to be done to ensure that core missions continu e to
be done w ell?
9. If you could change just one thing to improve (your organization), what one
thing would you change?
10. What are the things you would make obsolete?
11. What are your expectations about the strategic planning session? What
concerns do you have?
12. What question should I have asked you that I didnt?
ADVICE
The questions above are not to be considered all inclusive. These shou ld be
reviewed by the facilitator and tailored to fit the organization.
How does the facilitator conduct the interviews?
The facilitator shou ld schedu le one-hour interviews w ith each strategic plann ing
participan t. Some interviews may conclud e in 30 minu tes; others may take 90
minutes. It is best for the facilitator to start with the leader, because once that
person has made the comm itment, the other team mem bers will do the same.
Some plann ing team members may ask to have the questions provided prior to the
interview.
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CAUTION
While providing the qu estions prior to the interview sounds like a good idea,
the facilitator should be aw are tha t some of the par ticipants w ill staff them
out to be answered and then read the answers during the interview.
ADVICE
It seems to work best wh en the participan ts hear the questions cold. The
facilitator should give them time to think, and repeat the qu estion if
necessary.
What is done with the information collected?
Two things. First, the facilitator should p repare a docum ent that simp ly dum ps
the d ata, listing questions and all the answ ers to them from all the participan ts,
without attribution. This allows everyone to see how his or her answ ers compare
with those of the rest of the group . Participants w ill be able to get their issues on
the table and to see where there is consensus or d iversity amon g themselves.
Second , the facilitator prepares an executive summ ary from th e interview da ta.
Normally, this is a strawman vision, guid ing principles, mission, and a set of
plann ing assump tions. Each of these terms is d iscussed and d efined in the pages
ahead.
CAUTION
In preparing the executive sum mary , it is extremely imp ortant that thefacilitator not w rite the vision, guiding principles, or mission for the team,
nor should the facilitator make any value jud gments about w hat d ata are
includ ed and what are exclud ed. The strawman is merely a set of bullets that
reflect the issues, positive and negative, as verbalized by the team members.
The final version will be ham mered out and consensus reached at the
strategic planning off-site.
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How are the interview data and executive summary shared with theteam?
The interview process itself provides the strategic plann ing team mem bers with a
sense of what top ics w ill be covered d uring the off-site.
The facilitator should provid e the interview d ata and executive sum mary to the
leader so that he or she has an opportu nity to review the information and see wh at
the issues are in advance. Copies of this package should be p rovided to the TQL
coord inator for d istribution prior to the off-site.
CAUTION
Because the packages can sometimes contain sen sitive information, they
should not be distributed u ntil a day or two before the off-site. Sometime
du ring the off-site the team members shou ld d iscuss and agree on wh ether or
not they wish to share the data packages with anyone else when they return
home.
ADVICE
The source of all data must be kept confidential. The facilitator should not
share the source with either the TQL coord inator or the leader.
Are there other ways to assess the organization?
Yes. There are man y, and the organization shou ld use the ones that best suit its
needs. However, these instruments should be used to sup plement, not replace, theinterview process because the interview p rocess provides organizational inpu t for
the strategic plann ing process. For example, the Defense Produ ctivity Program
Office, through a contract with General Research Corp oration, has d eveloped a
Quality and Productivity Self-Assessment Guide for Defense Organizations (1990). This
guid e assesses climate, processes, tools, and ou tcomes. It was d eveloped and tested
for DOD organizations with quality and prod uctivity improvem ent as its main
focus.
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The DON has two evaluation instruments: The Total Quality Implementation Survey
(TQIS) and the Total Quality Leadership Climate Survey (TQLCS), both d esigned to
assist comm and s in implementing TQL. These surveys provide insight into the
organizations internal environment, includ ing commun ication, cooperation, trust,
commitment, teamwork, and innovation.
ADVICE
The facilitator shou ld always ask the lead er if any of these instruments or
others have been ad ministered. If so, and if the leader is willing to share the
results, having access to the da ta can help th e facilitator und erstand the
environment of the organization.
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Selecting the Leadership Team:
Advice to the Boss
The boss has just told you to pu ll together some of the key p eople in the organization to
do strategic plann ing. In fact, the boss wants you to take care of everything. What d o
you do now?
Besides th e obvious ad ministrative and logistic details that n eed to be taken care of, one of
the first things that m ust be d one is the selection of the strategic plann ing team. There is
no right or w rong w ay to make the selection, but a s a consu ltant to the boss, you should
encourage him or h er to consider the m any alternatives.
Size
What size should the strategic plann ing team be? Some COs think they have to includ e all
their departm ent heads even wh en they num ber over 30 people. It is true that a large team
maximizes organizational inpu t, but it is also much m ore d ifficult to reach consensus on
the issues. Group s this large limit participation by the ind ividua l members and , therefore,
encourage offline d iscussion of the issues. They almost always require that su bgroup s be
formed to work the issues.
Smaller teams reach consensus m uch m ore easily because the whole team can work the
issues together. The d isadvantages are that they limit the amou nt of inpu t and tend to be
perceived by others as elitist. With prop er dep loyment, however, these perceptions can be
overcome.
Community
Should both military and civilian commu nities be represented? Perhaps the militarymembers should come from both the active and reserve forces. Are wom en and minorities
adequately represented?
Not everyone should be included , but everyone should be considered . Ultimately,
selection should be based on w hat the individu al can contribute to the strategic plann ing
effort.
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Position in the Hierarchy
A persons place in the hierarchy of the organ ization is also imp ortan t. Occasionally, and
for a variety of reasons, a CO is temp ted to include one or more junior people. It is well to
remember that jun iors often acquiesce to the real or perceived w ishes of their seniors.
Having jun ior members on the team tend s to encourage senior members to delegate the
work to them, thus d iluting leadership resp onsibility.
Knowledge Level
Members shou ld be selected for the know ledge they bring to the team, particularly
organizational know ledge. They should u nd erstand the organizations mission and
functions as well as the value of system optimization. A thorough grou nd ing in TQL ispreferred, but not necessary, although it certainly helps to und erstand th e philosophy.
Abilities
Consideration should also be given to an individu als abilities. Is the person capable of
innovative thinking? What are his or her comm un ication skills, both written and verbal?
Is this person flexible? Will this person listen to the ideas of others and consid er various
options? Is he or she willing to learn?
Selecting the m embers for the strategic plann ing team m ay be the single most imp ortant
step in the strategic plann ing effort. The quality of everything that follows h inges on this
decision, which ultimately belongs to the boss.
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The Strategic Planning Session
Now that the prep lanning and assessment activities are comp lete, the team is ready to
begin to develop th e initial strategic plan . This section explains the plans essential
elements and h ow they can be developed . It also provid es some ADVICE, CAUTIONs,
an d TOOLs for the conduct of a strategic plan ning off-site.
Conducting the off-site is a challenge for the leader, the TQL coordinator, and the
facilitator. The leader h as comm itted the organization to an expensive investment of time
and money an d m ay be anxious abou t the outputs and the outcomes, especially if this is
the leaders first experience with strategic planning or first association with the facilitator.
The facilitator can help th e leader (and the team) be more comfortable with th e process by
explaining the p rocess as they work throu gh it and by checking with the leader, off line, to
ensure tha t things are going well.
ADVICE
Since the facilitator is on stage, it is critical that the TQL coord inator beresponsible for all adm inistrative and logistics activities. It is too difficult to
facilitate the p rocess and be called aw ay, for example, to deal w ith hotel staff
about the arrangements for lunch or the temperatu re in the room.
Dur ing the next 3 days, the facilitator will probably wan t to alternate between some m ini-
edu cational sessions an d the actual facilitated exercises used to d evelop the strategic
planning produ cts. How mu ch edu cation the team needs will be determined by thefacilitator, based on the information derived from th e interview p rocess.
The previous section presented a proposed agenda. While the times are approximate, the
activities listed p rovide a gu ide of what needs to be accomp lished an d in w hat general
order.
So, lets get started . . .
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Opening Remarks
The leader shou ld open the session, welcome the pa rticipants, and introdu ce anyonewho is new to the group . The leader should express personal comm itment to the process,
thank the members for their participation in the interviews, and provid e the team with an
idea of what is expected of the off-site.
Sometim es, a leader has an item of business which is non-negotiable. That is, it is not open
for discussion . . . perhaps because it has been discussed at length an d decided a t some
previous p oint in time, or perhap s because the leader has been given ord ers from someone
higher in the chain or comm and . If this is the case, non-negotiables should be laid on the
table. It is unfair to allow the team to d ebate an issue for several hours or days an d th en
tell them its too late to do anyth ing abou t it.
Administrative Remarks
The TQL coordinator shou ld p rovide information about h otel accomm odations, telephone
messages, meals, sched ules, etc., and should introdu ce the recorder, explaining that the
recorders pu rpose is to prod uce drafts of the outpu ts, not to record the d eliberations and
conversations of the team.
Strategic Planning Overview
This time is set aside for the first mini-edu cational session. The facilitator shou ld d iscuss
with the team the d efinition of and the pu rpose for strategic planning and perhaps
comp are strategic plann ing with other types of plann ing.
Strategic Planning Other Planning
Top-down Bottom-up/ Staff-generatedCreates future Extends present
5- to 20-year horizon 1- to 5-year horizon
Gu id es m an agem en t beh avior Little or no gu id an ce for man agem en t beh avior
External customer focus Internal customer focus
Effectiveness Efficiency
Emphasizes the process Emphasizes the plan
Proactive Reactive
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ADVICE
The facilitator shou ld emphasize that other p lanning is not bad ; it has itsplace, but it is not strategic.
The facilitator may w ant to review the ou tcomes and benefits that result from strategic
plann ing. Strategic plann ing is driven by the futu re and th rough it the leaders try to bring
that future about. The plan talks about w hat w ill be different in the organization.
Transformation takes time, which is why a strategic plan has a 5- to 20-year horizon.
The facilitator may also explain th e strategic plann ing model and the fact that the team will
be working on the strategic framework .
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Strategic Planning Model
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The Strategic Planning Session
He or she should d efine the vision, mission, guiding principles, and planning assump tions
in their simp lest terms. They can be d iscussed in more d etail as each is developed.
Vision
An idealized view ofwhere or whatan organization w ould like to be in the futu re.
Mission
An endur ing statement of pu rpose. Describes what the organization does, who it
does it for, and how it does it.
Guid ing Principles
The values and ph ilosophy of an organ ization that guide the behavior of its
members.
Planning Assumptions
A belief based up on past experience and know ledge about how current and
future events, both internal and external to the organ ization, are likely to affect the
achievement of desired resu lts.
Depend ing on what the facilitator gleaned from the interview d ata, he or she may
want to d iscuss other aspects of the strategic planning p rocess or to provid e other
definitions. The facilitator will, of course, need to remain sensitive to the needs of the
team, to have question-and -answer sessions, and to take breaks as needed .
Ground Rules
So far the team has been in the listening mod e. Unless the team alread y has a set of
groun d rules, the facilitator should p robably propose and obtain agreement on a set of
ground rules before going to work.
TOOL
A set of groun d ru les is provid ed below. They can be presented to the group
on a overhead tran sparency, but it is also helpful to have them d isplayed on
flip chart pap er and hu ng on th e wall for all to see. The facilitator may ask
for d iscussion of, add ition to, and consensus on th e ground rules.
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Ground Rules
H ere and now no sea (war) stories
E xplore the possibilitiessuspend disbelief
R espect and responsibility for the group
O penn essspirit of inquiry
Energy
Strategic thinking an d listening
P articipation without side conversations
A ttack challenges, not each other
C onfidentiality
T imeliness
CAUTION
Some groups want to develop their own ground rules and can spend hours
(or even days) writing th em. Since this is not the purpose of the off-site, it is
best to have some ground rules prepared in ad vance.
The Decision-Making Process
There are many w ays to arrive at decisions. Because w e work in a m ilitary organization,
some participan ts will expect the boss to tell them w hat to do. Those who think strategic
plann ing shou ld be d ifferent, more p rogressive, expect the issues and priorities to be
decided by voting, with the majority ruling. Another w ay to make group d ecisions is
through consensus.
The Strategic Planning Session
C
What is consensus?
It means that everyone on the team may n ot be in 100
percent agreement, bu t they can live with the d ecision of the
group . The fact that th e boss has agreed to the strategic
plann ing process with the other leaders of the organization is
an ind ication that th e boss is willing to share decision-
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making au thority with the others. The boss wants ideas and op inions
from the rest of the group about how to shap e the organization of the
future. It is often the participan ts, rather than the leader, who are
un comfortable with this notion.
Which decision-making method works best?
Each method h as its advantages and d isadvantages. Voting is
a cleaner process. It allows the team to move forward mu ch
more qu ickly, but it sets up a perception of winners and losers.
Consensus is messier. Issues mu st be d iscussed , analyzed , and
discussed again, until the group finds a solution that everyone
can live with. While it takes more time, it allows the w hole teamto buy into the d ecision.
ADVICE
The facilitator shou ld explain to th e team which process
will be used and use it consistently. The facilitator shou ld
not try to reach consensus on one issue and vote on
another.
CAUTION
Some team s fail to make progress because they allow a
member to exercise veto power.
Even unan imity does not ensure that a decision is a good one. Alfred P.
Sloan, former chairman of General Motors, is quoted as saying,
Gentlemen, I take it we are all in complete agreement on th e decision
here . . . Then I propose we postpone fur ther d iscussion of this matter
un til our n ext meeting to give ourselves time to d evelop d isagreement
and perhaps gain some un derstanding of what the decision is all about
(Jan is, 1972).
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Planning Assumptions
By now the group is probably ready to go to work. The facilitator should review thedefinition of planning assum ptions.
If the facilitator has prepared an executive sum mary , he or she should ask the team to refer
to the section on planning assump tions and explain that these are not the facilitators
plann ing assump tions; they are the teams plann ing assump tions, taken d irectly from the
interview data. In fact, the participan ts should recognize their own w ords. The facilitator
may w ant to give team mem bers an opportu nity to brainstorm ad d itions, changes, or
mod ifications to the planning assum ptions they have d eveloped . As in any exercise of this
type, these should be captu red on flip chart pap er.
If the facilitator is not working from an executive sum mary , he or she may want to lead thegroup in a brainstorming session to identify the planning assump tions. One of the benefits
of iden tifying plann ing assum ptions is that it allows team members to get whats bothering
them off their chest and onto the table. It is a warmup exercise that establishes a baseline
for the plann ing team.
Vision
But shouldnt we develop the mission first?
It depend s. From the preplanning and assessment
activities, the facilitator should be able to determine
whether or not the organization has a fairly clear sense
of its mission.
ADVICE
If it does, it is best to develop the vision first, to
stretch the thinking of the team. However, if the
organ ization is a fairly new on e or if it has been
recently reorganized, the facilitator may w ant to
start with the mission statement. If the
organ ization doesnt have a clear sense of its
mission, it will be very difficult to develop the
vision first.
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Guiding Principles
The facilitator shou ld review th e d efinition of gu iding p rinciples.
Guid ing p rinciples reflect the valu es of the organ ization. They are a set of statements
about h ow p eople in the organ ization relate to each other an d to their external customers
and su pp liers. All organizations develop values and beliefs that guide their behavior. In
many cases, they are not explicit, but they do exist. Behaviors that are consistent with
these values and beliefs are usua lly reward ed and perp etuated . They are part of the
organizations culture.
As w ith the visioning exercise, the facilitator will probably w ant to brainstorm the inpu ts
for the guid ing principles, adding, changing, and modifying those provided in the
executive sum mary.
The planning team needs to spend some time discussing the implications of the new
guid ing principles on day-to-day behavior. They need to und erstand these implications
and mu st be willing to commit to them before they are deployed. If the leaders espouse a
certain philosophy bu t d o not p ractice that ph ilosophy, they will lose credibility w ith the
workforce.
Mission
Before starting to work on th e mission, the facilitator should lead a mini-edu cational
session on systems thinking to help the grou p focus on issues facing the organization. The
discussion m ight includ e the following:
Why are we doing strategic planning?
The purpose of strategic planning is to improve the qu ality
of todays d ecisions in light of futu re d evelopm ents
(Hersh ey, 1992). We also want to optim ize the organizat ion
and its systems.
How do you define a system?
A collection of parts that interact with each other to
function as a w hole (Kauffman, 1980).
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The Strategic Plann ing Session
. . . a network of indep endent comp onents that work together to
try to accomplish the aim of the system [organization]
(Deming, 1993).
Strategic plann ing considers the entire organization as a system.
Top lead ership is responsible for improving the p erformance of
the whole organization, not just part of it. Integrating TQL with
strategic plann ing prov ides a strategic framework for optimizing
system performan ce.
How can I do strategic planning when someone above me inthe chain of command isnt doing it?
In theory, you shou ld have strategic plann ing guidance from
your superior. In reality, you may not get that guid ance for a
variety of reasons.
ADVICE
The facilitator can say, If you dont have that gu idan ce,
pu t a stake in the grou nd . You can still influence the
qua lity of your d aily decisions by having your
organization focused and aligned .
Why is systems thinking important to strategic planning?
The facilitator can say, As you begin to think about yourvision and mission an d develop you r strategic goals, you should
be working on those systems within your organization that will
have the most impact on taking you w here you want to go.
Many organ izations already have a mission statement d ictated by
Executive Ord er, law, instruction, or some other formal docum ent.
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The Strategic Planning Session
We already have a mission statement dictated by Executive
Order, law, instruction, or some other formal document. Why
do we need another one?
Maybe you dont. But if you d ont look at it, how w ill you
know ? Existing mission statements are often outd ated or changed
by reorganization, but because it is too hard to change the
formal docum ent, they are kept in a d rawer.
There is at least one recent notable success. After comp aring the
real mission of naval shipyard s with the documented
mission, the DON Shipyard Advisory Board was able to convince
the Secretary of the Navy that the documented m ission had to
be rewritten.
The exercise to d evelop a m ission might follow th e same format
used to develop a vision and gu iding principles. When the
facilitator interviewed the team m embers p rior to coming to the
off-site, he or she asked them to identify their customers, both
internal and external, and to identify the prod ucts and services
they p rovide to those customers. In effect, these responses answ er
the questions What do you d o? and Who do you do it for?
Now, the facilitator might w ant to lead a brainstorming session toidentify additional customers and additional products and
services. When th e list is comp lete, the group is ready to start
d rafting its vision, mission, and guid ing pr inciples.
Divide the group into three subteam s. One subteam can now
draft the vision statement, while the second d rafts the mission,
and the third drafts the guiding p rinciples.
ADVICE
They should be told to use the inpu t of the whole group, to
consider all the though ts and ideas. If the recorder has
been captu ring this data on the compu ter, he or she can
prep are a printou t for the teams to work with. The teams
should be given sufficient time to d raft their statements and
prep are overhead transparencies. Usually, the recorder can
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The Strategic Plannin g Session
type and prep are transparencies for the teams.
Sometimes, the team simp ly wr ites their statements on
blank transparencies. In either event, the subteams are
tasked to brief the whole team at the end of the allottedtime.
If the facilitator divides th e team into subteams, the
leader should probably not be assigned to any of them.
Instead, the leader shou ld float among the
subteams, making sure they are on track and
providing ad vice as necessary.
The TQL coordinator and other sup port p erson(s) may serve as
facilitator(s) for the subteam s. This gives the pr imary facilitator a
break, and allows him or h er to consult w ith the leader on theprogress of the group wh ile the subteams are working on their
assigned tasks.
When th e drafts of the vision, guiding p rinciples, and m ission are
comp lete, each su bteam briefs the others, getting comm ents and
additional inpu t, and reaching consensus that the d raft reflects the
wishes and ideas of the whole team.
ADVICE
The facilitator should probably call these statements
final drafts. This allows the planning team the
latitud e of clarifying and defining their statements as
they move throu gh the remainder of the process.
Some innova tive ideas are generated during off-line breaks, lunch,
and d inner. The facilitator should h elp the team members recapture
these ideas after such breaks, giving them a chance to share th eir
insights.
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Gap Analysis
Once a final draft of the vision, mission, and gu iding p rinciples is available, the team is
ready to begin d evelopm ent of strategic goals. This is what everybod y has been waiting
for, the chance to get some atten tion focused on their particular problem.
The recorder should p rovide each team mem ber with a copy of the final draft of the
vision, mission, and guid ing pr inciples. The facilitator should ask the m embers to look at
the current state (where they are now) and the futu re state (where they want to be). Th e
current state is defined b y the organizational assessmen t, the drafted m ission
statement, and the k nowledge of the organization that the p lanning team m embers
brin g to the plann ing process. The future state is defined by the drafted vision and
guid ing principles. The difference betw een the two is the gap .
Strategic Goals, Strategies, and Objectives
Strategic goals define the changes required to move the organization toward its vision.
They are long-range performance targets that are consistent w ith an organizations
mission, usu ally requ iring a substantial comm itment of resources and achievement of
short-term and m id-term supporting p lans. Achievement of strategic goals moves an
organ ization closer to realizing its vision. A strategy explains how the goal will be
achieved, and an objective describes who w ill do w hat by w hen.
The team shou ld identify no more than five or six strategic goals for the en tire
organization. This is very difficult to d o, because there is a tend ency to want to lay all the
problems out on the table.
ADVICE
The facilitator should lead th e group in a brainstorming session. He or she
asks the question, What is the change needed to m ove this organization
from its current state toward its futu re? The answers to that question
should be captured on flip chart paper and compiled as the input for the
strategic goals. In reality, the facilitator will be cap turing strategies and
objectives as well, but it is best to captu re all the ideas first and sort them out
later. One w ay is to let each member w rite his or her ideas on Post-it notes
and then d o an affinity diagram. This sorting automatically leads to
the identification of some strategies and objectives.
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CAUTION
There is a tendency to think of strategies (how you will accomp lish the goal)
and objectives (wh o does w hat by w hen) as less importan t than goals, and
some team m embers will protest having their goals turned into strategies or
objectives. The facilitator shou ld stress that they are not less importan t.
The strategies and objectives may be m ore narrow ly focused than goals, but
the fact is, when it comes to accomp lishment, the objectives are
accomplished first, then the strategies, and finally the goals.
Sometimes a team fears identifying a goal that they d ont know how to
accomplish.
ADVICE
The facilitator shou ld stress that strategic planning by its very n ature does
not have all the answers. One of the teams strategies may be to sponsor
research in an area of interest. In fact, if the team already has all the
answ ers, it probably is not doing strategic plann ing.
Once the team agrees upon the strategic goals, they need to compare them with the
guid ing pr inciples to make sure that they can accomp lish the goals (what needs to bedone) through the behaviors espoused (how people will act). After they have validated
that these two are consistent, they can begin to identify (additional) strategies and
objectives to accomp lish the goals.
CAUTION
As objectives and strategies are outlined , the team shou ld not fall into the
trap of thinking that there is a 1:1 or a linear relationship betw een them all.
Sometimes the accomplishment of an objective may lead to the
accomp lishment of more than one strategy and the accomplishment of one
strategy may affect two goals. Sometimes, accomp lishment can have a
positive effect on one goal and a negative effect on another.
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ADVICE
As the facilitator works throu gh the pr iorities and relationships, he/ she
may w ant to consider the seven managem ent and plann ing tools detailed inThe M emory Jogger Plus+ by Michael Brassard . However, the team will almost
certainly not reach this level of detail in its first stra tegic plann ing off-site.
Next Steps
There is at least one other activity that shou ld occur at the strategic plan ning off-site. The
facilitator should lead the team in a d iscussion of:
What w ill we do next?
How do w e treat the interview data and the executive summary?
How do w e treat the prod ucts from this session? Do we share them or
keep a close hold?
Should w e form an ESC (if we d ont already have one)?
Should w e assign goal groups (or QMBs) to continue to w ork on the
goals?
Should we meet again? When?
Do we have the right people?
The facilitator may also want to d o an evalua tion of the strategic plann ing process. Were
expectations met?
Lastly, the leader shou ld make app ropriate closing rem arks.
The team m ay expect to be interviewed again. After all, interviews are part
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39
of the process as the team m embers know it, and anonym ity allows the
par ticipants an opp ortun ity to get their frustrations out and lay any new
ssues on the table for consideration.
What is different about the strategic planning process?
The organization is d ifferent . . . or shou ld be. The strategic planning team has a
comm on un derstand ing of what strategic plann ing is and wh at it can do to help
focus an d align the efforts of the entire organization. The organization is ready to
stretch.
What is a SWOT analysis?The facilitator m ay choose to d o a SWOT analysis, an analysis ofStrengths,
Weaknesses, Opportunities, and Threats. Usually, strengths and weaknesses are
d iscovered by looking internally, wh ile opportu nities and threats are defined as
external d rivers.
How is a SWOT analysis done?
Since strengths and weakn esses come from w ithin the organization, the strategic
plann ing team m embers w ill be able to identify them in the interview p rocess or
perhaps in a brainstorming session set up for that pu rpose. The facilitator may
choose to ask the mem bers to iden tify strengths and weaknesses directly, or may
choose to simp ly pu ll them from the interview d ata and list them as p lanning
assumptions in the executive summary.
Opportu nities and threats are harder to identify. Ideally, the leader shou ld ask
few subject matter experts to add ress the strategic plann ing team on relevant
subjects prior to the off-site. A relevant subject is one pertaining to the
organizations strategic goals. The reason this is not d one dur ing the initial
plann ing session is because the p lanning team has not yet iden tified what isimp ortan t, i.e., their stra tegic goals.
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What is meant by opportunities and threats?
Theoretically, anything outside th e organization that impacts its futu re, such as
actions by Congress. But, unless they are limited to th e vital few, the group may
never get past the analysis stage. The vital few op portu nities and threats are those
that directly relate to the business the organization is inthose that, if changed
today, would alter the way it does business, i.e., create a parad igm shift.
Why is a SWOT analysis important?
Once the team reaches consensus on its strengths, w eaknesses, opportun ities, andthreats, they will want to develop n ew goals that will allow the organization to
maximize its position relative to each.
Should customers be invited to participate this time?
The quality of the organizations produ cts and services is defined by its customers.
It is essential, therefore, that it develop systems of communication that allow it to
stay in constant touch w ith its customers (not just wh en it is doing strategic
plann ing). However, the leader may wan t to have a special session with the
customers and the team p rior to the off-site just as he or she d id w ith the speakers
add ressing the vital few op portu nities and threats.
CAUTION
If the leader invites speakers to the strategic planning session, they may w ant
to remain for the rest of the session an d participate in the p lanning p rocess.
Thus, the leader m ay be introdu cing variation into the team plann ing
process. Ad ditionally, the time set aside for planning m ay be eaten up by
long speeches or by long question-and-answer sessions.
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ADVICE
The team needs to specify wha t kind of inp ut or feedback it wan ts from its
customers before inviting their participa tion. The customers time is
valuable. Also, the customer should n ot be left with the impression that the
team is wasting its own time.
How is the strategic planning process different this time?
Normally, the vision, guiding p rinciples, and mission will not change. The
interview process will have allowed the facilitator to validate them or to determ ine
whether changes are needed . Assuming they are still current, the planning team
can move d irectly into up da ting goals, strategies, and objectives and developing
new ones.
On th e other hand , if the vision, mission, or guiding p rinciples need u pd ating, time
to do the u pd ates should be bu ilt into the off-site and the plann ing team shou ld
reach consensus on th e changes before they w ork on the goals, strategies, and
objectives.
How is the process the same?
The tools that the facilitator usesinterviews, brainstorming, affinity diagrams, the
groun d rules, consensus d ecision making, etc.are exactly the same. The planning
team is more mature now an d is fun ctioning as a more aligned , purp oseful
organization . They begin to self-facilitate.
So, strategic planning becomes an iterative process?
Yes. And th e planning group becomes indep end ent from the facilitator as m embersbecome a cohesive team an d become m ore familiar with the p rocess and the
available tools. Each iteration moves the organ ization closer to its tran sformation,
and that is the purpose of strategic plann ing.
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Read-Ahead Materials for the
Planning Team
Publications
Blackerby, P. (Winter Issue, 1994). An overview for comp lying with GPRA. Armed Forces
Comptroller, 39, 17-22.
Blackerby, P. (Winter Issue, 1994). History of strategic plann ing. Armed Forces Comptroller,
39, 23-24.
Departm ent of the Navy. (February 1992). Department of the Navy vision, guiding
principles, and strategic goals. Washington, DC: Au thor.
Hamel, G., & Prah alad , C. K. (May-June 1989). Strategic intent. Harvard Business Review,
67(3), 63-76.
Kotter, J. P. (May-Jun e 1990). What leaders really do. Harvard Business Review, 68(3)
103-111.
Rummler, G., A., & Brache, A. (Janu ary 1991). Managing the white space. Training, 18(1),
55-70.
Other
For the planning organ ization, its higher echelon vision, mission, and guid ing principles.
Curren t copy, if any, of the p lanning organizations strategic plan.
43Read-Ahead Materials for the Plann ing Team
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Read-Ahead Materials for the Plann ing Team44
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References
Barker, J. (Augu st 1990). The power of vision (videotap e, 38 mins.). Burnsville, MN :
Charthou se International Learning Corporation.
Brassard, M. (1989). The memory jogger plus+. Methuen, MA: GOAL/ QPC.
Dem ing, W. E. (1993). The new economics for industry, government, education .
Cambridge, MA: Massachu setts Institute of Technology.
Departm ent of the Navy. (1993). Total Quality Implementation Survey (TQIS). Washington,
DC: Author.
Departm ent of the Navy. (1993). TQL Climate Survey (TQLCS). Washington, DC: Au thor.
General Research Corporation. (19 April 1990). Quality and productivity self-assessment
guide for defense organizations (Contract MDA903-88-C-0267). Washington , DC:
Departm ent of Defense.
Good stein , L. D., Nolan, T. M., & Pfeiffer, J. W. (1992). Applied strategic planning: Acomprehensive guide. San Diego, CA: Pfeiffer & Co.
Hershey, C. (May 13-15, 1992). Strategic planning (course). Williamsbu rg, VA: Am erican
Management Association.
Janis, Irving L. (1972). Preven ting group think. Victims of groupthink. New York:
Hough ton Mifflin.
Kauffman , D. L., Jr. (1980). Systems 1: An introduction to systems thinking (The Innovative
Learning Series). Minneapolis, MN: Futu re Systems.
Wells, D. (Septem ber 1992). Strategic plan ning: Selecting the lead ership team . TQLeader,
1(3), 3.
45References
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References46
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47About the Authors
About the Authors
Denise L. Wells
Director, Information Resources Division
Department of the Navy
Total Quality Leadership Office
Denise L. Wells is the Director of the Information Resources Division in the Total QualityLeadership Office, Office of the Under Secretary of the Navy. Her prim ary responsibility
includ es sup porting the Departm ent of the Navy leadership in imp lementing Total
Qu ality Leadership (TQL). She has extensive experience as a strategic plan ning facilitator
and in-house consultant to senior civilian executives and military leaders in th e Navy an d
the Marine Corps.
Ms. Wells is a native of Pennsylvania who spent most of her life in South Carolina. After
graduating from Winthrop College in 1968 with a Bachelor of Arts in English, she began
her career with the Air Force, spend ing almost four years in ind ustrial engineering. In
1972, she retired to become the moth er of two children, Dana and Michael.
She re-entered government service in 1978 at Charleston Naval Shipyard , working first in
prod uction engineering and later on the staff of the Shipyard Command er. In that
position, she managed the first Model Installation Program within a naval shipyard ,
thereby establishing the prototype for others to follow. Relocating to Wash ington , DC, in
1987, Ms. Wells spent 18 months at the Naval Sea Systems Command and a year w ith the
Assistant Secretary of the Navy (Shipbuilding and Logistics).
She accepted h er current position in the Office of the Und er Secretary in May 1990 and
received the Super ior Civilian Service Aw ard in 1993. She has completed var ious courses
toward a Master of Science in Administrative Science, specializing in Organizational
Management.
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Linda M. Doherty, Ph.D.
Director
Department of the Navy
Total Quality Leadership Office
Lind a M. Doherty received her d octoral degree in qu antitative psychology from the
University of Southern California. She has taught statistics, measuremen t, and
psychological testing at universities in both Los Angeles and San Diego.
She joined the N avy Personnel Research and Developm ent Center as a research
psychologist, directing research efforts in the areas of man agement, tra ining, prod uctivity,
program evaluation, and the design and administration of organizational and customer
surveys using microcomp uters. Later, she became senior scientist for Total Quality
Managem ent/ Total Quality Leadership (TQM/ TQL), in charge of research and
developm ent focusing on qu ality-based concepts and method s in Depar tment of Navy
organizations.
Since Jun e 1990, Linda has served as the Director of the Dep artm ent of the N avys Total
Qu ality Lead ership (TQL) Office. The TQL Offices role is to assist Navy an d Marine
Corps leaders in their qu ality transformation efforts by providing ed ucation andconsultat ion. Specifically, the TQL Office (1) manages the techn ical and conceptua l
content of the DON TQL curr iculum , (2) acts as the Und er Secretary of the Navys agent in
sponsoring and supporting TQL activities, including special research efforts, (3) designs,
develops, and implements feedback mechanisms to enhance TQL imp lementation, and (4)
provid es techn ical ad vice on TQL to the Und er Secretary an d high-level policy grou ps.