Local Government Management Guide - Strategic Planning

1 Thomas P. DiNapoliDIVISION OF Local Government AND SCHOOL ACCOUNTABILITYOFFICE OF THE NEW YORK STATE COMPTROLLERLOCAL Government Management GUIDESTRATEGIC PLANNINGO riginal Issue DateAUGUST 2002 Issue DateMAY 2003 Table of Strategic Planning Key I Strategic Planning : What is it?..7Is Strategic Planning Really for Us?Why do we need a Strategic plan?..8 Who to Planning FundamentalsWhat is Strategic Planning ?..14 Basic Elements of Strategic II Strategic Planning : A How-to OrganizedThe Strategic Planning the Planning Strategic Planning on a Strategic Planning ProcessWhere are we now?..21 Where do we want to be in the future?..22 How do we get there?..24 How do we gauge progress?..25 Putting it all Together The Strategic PlanWho or which part of the organization is it for?..29 How will it be organized?..29 What will our communication strategies be?

2 29 Developing Elements of the Strategic PlanMission ApproachesThe Basics Do Stay the and via Performance MeasurementWhat should be evaluated and often should you measure?..37 Who should measure?..37 How to III AppendicesA. Tools of the Trade Working with Teams Brainstorming Affinity Diagram Consensus Prioritization SWOT AnalysisC. Considerations for Internal Mission, Values and Vision .. 52 Environmental Scans (Internal and External) .. 53 Identifying Stakeholders and Customers .. 55 Goals and Affected Customers and Stakeholders .. 57 Action Plans: Getting from Here to Additional Publications Articles Web Sites MiscellaneousCentral Office Office Planning - 1 IntroductionYou re probably a Strategic Planning veteran and don t even know it. Think about it:family vacations, retirement funds, sending your children or yourself to college, theseare all examples of events that required some degree of long-term Planning .

3 And that sexactly the essence of Strategic Planning : a long-term, usually multi-year, roadmapcomprised of a set of goals and objectives that help you successfully move forwardfrom where you are now to where you want to Strategic plan is founded on a vision and continues long after the initial groundwork isset. It s a common sense tool that sets a clear path for the future, while also allowingfor your vision to mature and change as time Planning is also a preventative measure designed to assist you in achievingmaximum effectiveness and equity before a program or department reaches crisis , in Management terms, Strategic Planning is proactive, instead of reactive. Se-mantics aside, Strategic Planning translates into good, common may be following all the principals but not formalizing your plans in a structuredformat for all to see and follow. By formalizing a plan and having input from theparticipants and stakeholders, you are more apt to get buy in from all concerned.

4 In thismanner, a Strategic plan is more apt to be successful. To help you and your municipalitybetter understand the mechanics of Strategic Planning , we offer a fictional account of amunicipality involved in the Strategic Planning process on pages 3-6. We take youthrough each phase of the Strategic plan and explain why certain choices were madeand what steps the planners should take at various points along the way. It is our goal,that after reading the sample Strategic plans, you will realize that applying the strategicplanning process to your particular municipal project will assist in its these in mind, it s time to take your Strategic Planning expertise to your Planning is more than just good business, it s good practice. If done correctly,it has the power to transform today s visions into tomorrow s realities. But what exactlyis it? Strategic Planning helps your Local Government realize its long-term vision bysetting up goals and objectives in a systematic, incremental manner.

5 Simply put, itmakes you take a look at what s going on today, where you want to be tomorrow andwhich steps you will need to take to get Strategic Planning is a valuable tool that assists all sizes of Government plan forthe future, it must be emphasized that the process is only as strong as its , Strategic Planning may only succeed if it has the unequivocal support of thechief executive, legislative body and affected department Planning2 - Chapter 16: Local Government Management GuideTo garner top-level support, hold a meeting or brainstorming session that allows execu-tives and department heads to ask questions, make suggestions and discuss theirconcerns. By bringing these issues to the table, you can show how each item may beenhanced or better served through Strategic have divided this module into two distinct, but complimentary, parts. The firstsection gives you a more theoretical explanation of what Strategic Planning is.

6 It helpsyou gauge whether your municipality is ready to undertake a project of this nature byillustrating basic principles and concepts. The next section is a How-To Guide thattakes the theory and puts it into practice. This particular part has been designedspecifically for municipal officials who want to be able to implement Strategic Planning ,but have little to no prior facet of the How-To section is to provide you with actual forms that your localgovernment may use if it decides to engage in Strategic Planning . We have also brokendown each chapter within this section so that you and your colleagues can easily refer-ence what you have accomplished, as well as what lies ahead. We created this to be apractical Guide that serves as the roadmap for your Strategic Planning the next few pages is a brief example of the Strategic Planning process that illus-trates which key elements are needed for implementation and offers you a Guide tofollow in your own goal in creating this module is to provide you with another tool that will assist you inyour daily and long-term municipal have designed this publication for both elected and appointed Local officials who areinterested in Strategic Planning .

7 This Guide assumes no prior knowledge of strategicplanning and takes a very basic approach to the rudiments involved in creating andimplementing such a Strategic publication aims to convey the following: Description of Strategic Planning : what it is, key terms and concepts Why Strategic Planning is beneficial How to apply this technique Who should be involved, and at which stages Offer a how-to Guide that takes you from inception to implementationThe Office of the State Comptroller advocates Strategic Planning as another tool topreserve your municipality s fiscal health and overall well-being. By taking a look at thepast and present, we believe that you will be better equipped to craft your own this chapter, we will further explore the benefits and challenges to imple-menting Strategic Planning . Our goal in creating it is to offer you another tool that canassist you with both your daily, as well as long-term, duties.

8 We believe that you willfind this Guide to be accessible, and we encourage you to adapt these basic principlesin a manner that will help you and your locality effectively carry out its Planning has also been designed to compliment other chapters of this example, Financial Condition discusses capital Planning , another type of long-rangeplanning that is built upon forward-looking principles and procedures. Other goodresources include Annual Budgets, Multi-Year Capital Plans, Reserves and Strategic Plan Key ElementsThe fictitious scenario below takes you through the Strategic Planning process andoffers examples and organizational techniques for you to : The City of Townville, population 70,000, has experienced a crime waveover the past year. Loitering, graffiti, stolen property and other minor, but nevertheless,illegal acts have been reported. Understandably, everyone wants to eliminate crime,but since Townville is a small city, there are only so many police officers.

9 In the mean-time, the Mayor, City Council and Police Commissioner have been barraged by callsfrom concerned residents and Local media regarding the current state of City Manager, you believe that you have a solution: community assistance. Byincreasing the number of people walking Townville s streets, you feel that it will helpdeter crime. In addition, it would heighten community involvement and build moraleand trust. The citizens would work in conjunction with the police department and serveas neighborhood monitors. The question now is: how do we do this?To get a sense if this project is right for Townville, you ve had to do some ve researched how other municipalities have utilized community patrols by readingarticles, accessing websites and interviewing public officials who have had success withthis. After investigating the legal ramifications, meeting with police personnel and unionrepresentatives, crunching numbers, taking an inventory of Townville s resources andthen garnering support from the Mayor, Council and Police Commissioner, you areready to implement the City of Townville s first Community Safety Unit.

10 On the followingpage is Townville s Strategic Plan for the Police Department s Community Safety Unitfrom start to finish: Strategic Planning - 3 For (department, program or unit): Police Department s Community Safety Unit,The City of TownvilleStart date:January 1 (beginning of the City of Townville s fiscal year [FY]Mission Statement: The City of Townville s Community Safety Unit is a cooperative effort be-tween the citizens of Townville and its Police Department that strives to keepthe municipality free of illegal and unwarranted activity. The CommunitySafety Unit ensures equality for all persons who either live or visit our areaand promotes integrity, honesty and a sense of community pride. Under thedirection of the Mayor, City Council, Police Chief and a Citizen President, theCommunity Safety Unit and its members are charged with maintaining thehigh quality of life that the people of Townville so deserve.)