STRATEGIC PLANING for the PUBLIC SERVICE – SPPS
PAPER 12th WORLD CONGRESS FOR TQM
(Edinburg - Scotland - Sep 2007)
AREA: Systems approach to Management Strategies
STRATEGIC PLANING for the PUBLIC SERVICE – SPPS
(José Ailton Baptista da Silva – firstname.lastname@example.org)
KEY WORDS: 1. Planning 2. Strategical 3. Public 4. Model 5. TQM 6. Diagnosis 7. Strategy 8. Vision.
We have prepared for use in the public organizations, the Strategic Planning for the Public Service – SPPS™, starting from the model STRATEGOS, used as a script and model for the strategic planning activities in the private sectors. SPPS™ is based in twelve fazes, or steps, that can be recognized in most of the best propositions, and have been applied very successfully in public organizations. The implementation of a strategic planning demand a team in which the presence of a planning specialist is recommended and desired, but not always achieved. Baring this thought, we have detailed the activities so they can be well executed by the team members, even without outside advice. Besides the expected results achieved with the process, the participation in it also brings growth to the team in terms of consciousness, strategic thinking, responsibility towards the organization and commitment with the results. The proposal is not rigid; it embraces adaptations and changes on the sequence of the steps. It is not prescriptive either as far as the usage of the tools of management or decision support, it can and should be used the ones that best fit at the time of the job, and the teams stage of evolution and needs should be considered.
1. - INTRODUCTION
TQM - TÉCNICAS DE QUALIDADE E MARKETING LTDA. it prepared the STRATEGICAL PLANNING for the PUBLIC SERVICE - SPPS™ - from its product STRATEGOS™, used as script and model for the strategical planning activities in the competitive sector. Model STRATEGOS™ was tested in ESCELSA and ENERSUL, and its contribution certainly was decisive for the success of the model of management of these companies (1a). Later the SPPS™ was used in diverse public services and can cite as example: AGEPAN - State Agency of Regulation of Public Services of Mato Grosso of South and CRA/MS - Regional Advice of Administration of Mato Grosso of the South. A special version of called model SPC™ (Strategical Planning for City) was supplied for thirty cities of the south of the state of the Espirito Santo, with the sponsorship of UNIMED SULCAPIXABA. The TQM used the special model in the President Kennedy City with excellent results.
These products of the TQM if base on the evolution of the knowledge and the methodologies used in the practical theory and of the planning activities, lead for consultants, executives, authors, professionals and professors who if dedicate all to the subject in the world. As example of it influences positive for the proposal of the STRATEGOS we cite professor Kostas Dervitsiotis, who called our attention for some basic aspects of the planning. The beddings of product SPPS™ are detailed in a work (with about one hundred pages), identified by “MODEL OF STRATEGICAL PLANNING FOR PUBLIC SERVICE - SPPS™”, and that it is destined to be consulted whenever to need itself bigger clarifications during the execution of the diverse stages of the model.
Considering the strategical planning as a process, it is verified that diverse methodologies proposals are similar, varying some sequences of execution, with differentiated emphases, most of the time in function of the type of organization where is used or of the end that if destines. The SPPS™ is composed in a set of twelve stages, or steps, that are in the majority of the best proposals, and that they are used successfully in public organizations and of the concurrencies market. A conduction of a process of strategical planning has necessity of a team, where the presence of specialists in planning is recommended and desired, but neither what nor always it is obtained. With this perspective fact, a manual was prepared (with about fifty pages) that it details the activities so that the components of the planning team can execute them in the best possible way. Beyond the results waited with the process, the participation in the same brings a great growth for the people in terms of awareness, strategical thought, responsibility with the organization and commitment with the results. The perfection comes with practical and the reevaluations and reflections that the team must make. Evidently that better resulted they will be gotten with better plans. It is exactly therefore that some organizations win and others fail. What it is in the base of the strategical planning is that, by means of the elaboration and of the implementation of efficient strategies, it is possible to improve the performance of the organizations, also the public service. But it is necessary will and devotion to take ahead all the tasks and activities that compose the process, in order to conclude it with success.
2. - PARTICIPATION IN THE PLANNING PROCESS
The question of the participation in the process of strategical planning in the scope of the public service is complex, and must very be well lead. Beyond you command them, assistants, assessors and main administrators, can exist institutions, related to the agency, whose necessary participation to be defined and coordinate, and eventually some groups of interest can value the works. All they can be heard e, in the possible measure do, integrated in the direct process or indirectly. It is necessary to create, for each specific situation, mechanisms and adjusted structures to manage eventual conflicts and to become the participation effective. Due to complexity and to the type of organization of the public sector, the leadership and coordination of the process must be attention object. It is important that the same it makes use of competent leaderships, that have social sensitivity and a sensible fort of participation. A minimum of operational resources must exist for support. It is important that the participants have the will and the disposal to change structures, procedures, habits and behaviors, therefore without this disposal the process will not obtain to fulfill its intention, and it will not add anything to the quality of the planning. Also the doubts of all must be clarified, and must be made evaluations of the advantages and disadvantages of the process, so that the responsible ones form a certainty of the challenges, costs and benefits of the initiative. Specialists can apply dynamic techniques of work, that provide to greater participation, and that they contribute to facilitate to the communication between the participants and interested parties, and improve the results and the understanding of the questions that appear in elapsing of the process. The conduction of a process of strategical planning has necessity of a team, where the presence of specialists in planning is recommended and desired, but what nor always it is obtained. With this perspective fact, the manual of the SPPS™ details the activities so that the components of the planning team can execute them in the best possible way. Beyond the results waited with the process, the participation in the same brings a great growth for the people in terms of awareness, strategical thought, and responsibility with the organization and commitment with the results.
In generic way a structure can be recommended to take the process ahead, that it is divided in two basic levels:
For the directive level one sends regards that a committee is formed, whose composition can be made with chosen participants of the agency. The number of components must keep to relation with the structure and size of the public organization, reach of the planning, challenges to be successful, local situation politics, availability for the works, spirit of team and disposal for the involvement in the treated subjects, amongst other factors. For the executive level a work group can be formed, with professionals of the agency, for the process as a whole or lesser group to take care of the diverse stages. Also groups with specific activities, as for example, forums of planning, groups of thematic studies, teams, etc. can be formed.
3. - IMPLEMENTATION OF THE PROCESS OF THE SPPS™
The implementation of the process for the model of the Strategical Planning for Public Service SPPS™ - it must in accordance with be made the particularitities of each agency, supporting itself in the methodology proposal for the TQM - Techniques of Quality and Marketing Ltda . The proposal is not rigid and holds adaptations and changes in the sequence of the stages or steps. Also she is not prescriptive concerning the use of tools of management or support to the decision, having to be used those that better take care of at the moment of the works, in view of the evolution and the necessities of the teams.
With the objective to facilitate to the direction and the execution of the works for the coordination and the teams, and with sights to get best resulted the possible ones, the TQM suggests that three distinct sets of tasks and activities of the process are considered, with regard to the sessions techniques:
I. Before the sessions (preparation)
II. During the sessions (elaboration)
III. After the sessions (execution)
The tasks and activities of each suggested set need provide anticipated, to be taken for the responsible one for the conduction of the difficult works and to foresee in details, but what it is followed it intends to guide what to make for the attainment of best resulted the possible ones:
I.) Before the sessions:
- To know the content of the Model of Strategical Planning for the Public Service
- To study the contained one in the MANUAL OF PRACTICAL
- To decide on the participation in the process
- To form (s) the team (s)
- To elaborate the internal diagnosis
- To elaborate external diagnosis
II.) During the sessions
- To clarify as they will be the works and the objectives to be reached
- To take off the doubts and to level the knowledge of the participants
- To form the groups for the proposals of the mission, vision and values.
- To conclude the elaboration of the diagnostics internal and external
- To identify the success factors
- To formulate strategies
III.) After the sessions
- To register all the work carried through
- To prepare the action plans
- To structuralize the accompaniment and has controlled
- To execute the action plans
- To carry through the reflections periodically
- To perfect the planning.
Summarizing must be answered to the following questions:
• Where we are?
• For where we will go?
• As we will make this?
• How much will cost?
4. - NEW PUBLIC MANAGEMENT
The new public administration or “new public management (NPM)” estimates to apply in the public organizations the models of management of the private initiative and the concepts of strategical administration of the enterprise businesses. The NPM has defended that the public managers must behave as new entrepreneurs and as enterprising, more dedicated and increasing in positions of privatization of the government, not emulating only the practical ones, but also the values of the businesses. The proponents of the NPM had developed its ample arguments for contrasts with the old public administration (“old public administration”), for the “new public service” where the primary paper of the public server is to help the citizens in the joint and the meeting of its shared interests, in the place to try to control or to guide the society. As result, some highly positive changes had been implemented in the public sector. The evolution of the movement of the NPM added more pressure in the public officers to become the organizations most responsive for the citizens as customers. Without a doubt, it is an important advance in the contemporary public administration.
5. - STRATEGICAL PLANNING FOR PUBLIC SERVICE SPPS™
This subject still is relatively little treated in Brazil, and as consequence still exists few experiences on the same. Diverse not governmental organizations have, however, fact great advances with the use of the techniques of the private sector, and have good indications that the same already it starts to occur in the public sector. With the use of the process of strategical planning many will be the benefits for all the citizens and community. The adaptation and adequacy of methodologies of success in the private sector certainly will take the public sector best to use its resources and to explore its potentialities. We detach that diverse benefits can be obtained, if adequately lead the works, and can say that the planning helps to elaborate a vision of the future, to take the decisions necessary, to sketch the longed for changes, to follow the process efficiently and to organize the cooperation of the diverse actors. In many cases it will not be possible to carry through it without an assessorship external technique. If the strategical planning is carried through in partnership with not governmental organizations can also be waited a series of inputs in the management and organization areas. Soon, at the beginning of a possible process of strategical planning, it must be evaluated and considered who it goes to manage the process and which the paper of an external assessorship. We prepare a Practical Handbook, that it is an instrument for use in the work of the teams of strategical planning, so that exactly without the participation of specialized consultants, the process can be taken the good term. The effort directed and supported in documents of the SPPS™, certainly produces resulted useful. Also the research in books improves the agreements. Moreover consultant TQM has its site in the Internet (www.tqm.com.br), with some information on its products, as well as she answers the doubts and questions of the public (email@example.com).
6. - COMPOSITION OF the SPPS™
The Strategical Planning for the Public Service - SPPS™, is composed of following the twelve elements or steps:
1. Declaration of mission
2. Establishment of vision
3. Definition of the beliefs, values and principles.
4. Elaboration of diagnostics internal and external
5. Identification of the factors of success
6. Determination of objectives
7. Formularization of strategies
8. Preparation of the plans of action
9. Execution of the plans of action
10. Organization of the structure of the accompaniment and control
11. Accomplishment of reflection
12. Perfectioning of the planning
7. - CHARACTERIZATION OF THE ELEMENTS OR STEPS OF THE SPPS™
1. - Declaration of the mission
The organizations define its mission to be divulged between all the interested parties. When the mission well is defined, the final result is shared in terms of direction, meaning and accomplishment, therefore a well clear definition of the mission functions as a force capable to join the people to work of independent form and collectively to reach the goals of the organization.
Peter Druker suggests the following questions basic to define the mission:
• Why it exists
• Is the reason of being of the organization
• Which the function of the organization in the society
• Who we are
2. Establishment of the vision
Is important to establish a clear vision because it inhales and motivates supplies orientation and promotes the success, it is essential for the organizations of the future and allows the evaluation of the progress and the results. After to establish and to enunciate a vision are necessary to assume themselves of this vision, to believe it, show it through the behavior and of the choices and to orient themselves every day for it.
Some questions that can be made to define the vision of the organization:
• Where we will be
• As we want to be seen
• What we will be in the future
3. - Definition of the beliefs, values and principles (philosophy)
The essential values act as shoring that support and direct the people in the work. They say respect to the way as we treat ones to the others and as we see the customers, the employees, the suppliers and the society as a whole. In accordance with James Collins the essential values are the principles and the orienting beddings of the organization, on which its proper continuity depends. There if they include the values deep, that they determine where if they point out the people in the organization.
Some important questions are:
• Which will be our ethics
• Which will be our behavior
• As we will make our work
• Where we believe
4. - Elaboration of the diagnostics internal and external
The diagnosis of the internal environment, given the multiplicity of the activities that the organizations develop to reach the objectives, holds varied forms of boardings, all presenting advantages and limitations. The best way to make a strategical diagnosis of the organization is to start for its resources. The resources are constituted by asset (good and capacities), that they are joint complexes of abilities and collective learning, which assure the execution of functional activities for the processes of the organization. The capacities of the organization mention the potential to it to organize, to manage, to co-ordinate or to undertake a specific set of activities. The analysis of the internal environment is the instrument that the knowledge of the current and potential abilities of the organization will propitiate, and that it will give meant and direction to the actions in search of the vision and fulfillment of the mission. The diagnosis also can be made with the use of models of evaluation of the management, which in the case of Brazil is of the National Foundation of the Quality and serves of base for the National Quality Award. Documents derived from the complete model exist and that they can be used for organizations that are if initiating in the process (1b).
The external strategical diagnosis - also called ambient analysis or auditorship of position - is the way as the organization makes the ambient mapping and the analysis of the forces that exist in the environment. The purpose of the external strategical diagnosis is to identify the pointers of trends, to evaluate the environment, the evolution, to analyze and to understand the groups strategical. The accompaniment of the changes in the environment, the acquisition of information in the external environment, must be present daily in the organizations. The best way to analyze the environment is not trying to understand it as a set of other systems or organizations, but to see it as information that if becomes available for the organization or the one that the organization, by means of an activity of search, can have access. The changes, the events, the chances and threats in the environment, continuously create signals and messages. The organizations detect these messages, execute some type of processing to transform them into information and they use to understand them the new conditions. When the decisions it’s based on these messages, more information are generated and transmitted, generating new signals and decisions.
• Internal environment: identify to the Strong Points (positive factors) and the Weak Points (negative factors).
• External environment: identify to the Chances (positive factors) and the Threats (negative factors).
5. - Identification of the success factors
Is the main factor that can influence the performance of the organization and which depend the success on the strategical planning. This resource of the methodology is a stage of the process, inserting itself it enters the diagnosis and the formularization of the strategies properly said. They look for to evidence really critical questions for the organization, whose solution will depend the achievement on the mission. The determinative factors or of success also are called critical factors of success and direct the politics. The critical factors of success (CFS) are defined on the basis of the organizational vision. One is about the areas where the organization must be excellent to survive, or those that are of extreme importance for the organizational success. These strategical subjects are exclusive of the organization; in general, they indicate its strategy. They are the factors that, related with essential abilities, they make possible that the organization if has detached. These factors also guide the organization and can be basic for its success or failure. Exactly having been created for use in organizations of the traditional market, we can all use the material developed for the strategical analysis of the public organizations, in view of that the same ones also concur for scarcer resources each time, in such a way governmental how much of institutional investors.
In summary the critical factors of success are:
• Which the characteristics, conditions or variable that can have significant impact on the success of our organization, under any important aspect.
6. - Determination of the objectives
The strategical objectives are resulted measurable, derivatives of the critical factors of success, with the intention to carry through the organizational vision. They are used verbs of action to describe in summarized way the visualized results. The strategical objectives will be efficient will only have been formulated in way to be measurable and to exert influence on the controllers and employees. Each critical factor of success has one or more objective strategical. In this point it is prevented quantification of the objectives, what it will happen in posterior phase, by means of the pointers and goals of performance. It is improved understanding of the strategical objectives, first identifying to the strong points and the weak points of the organization (internal) and the chances and threats with that it confronts itself in its environment of performance (external). During the formularization of the strategical objectives, all the interested parties must be taken in account.
• Make one lists of the objectives to be reached
• Make the quantification
• Characterize the period of planning
• Challenge the people to surpass the current performance
• To be realistic
7. - Formularization of the strategies
To reach the objectives is necessary to have a proper strategy, to be defined in terms of specific plans, implemented and adjusted to the considered objectives well. Organizations of same sector can adopt different strategies, all viable ones, a time that have different objectives, chances and resources. The successful strategical formularization requires a comprehensive evaluation, as well as making forecasts in the external environment. It requires, equally, a rigorous evaluation of the internal environment. It must result, from the establishment of the strategical target, the perspectives presented for the macro ambient scenes, analysis of the relationships and the environment. Its elaboration, in the external scope, must explore the chances, neutralize or minimize the current and future threats of performance of the organization and to identify and to establish ways for the materialization they desired relationships. The strategy can be defined as the relation enters the operational vision of the organization and plans to be followed in daily bases. In other words, a strategy describes the rules, the facts and the basic decisions necessary organization to pass it of the present situation for that one desired in the future, the vision. The real process to formulate a strategy is, usually, sufficiently complex and asks for one arrives in port substantial of resources. One of the reasons is that, generally, it has numerous aspects and variable to be considered. As in many other areas, it does not have agreement how much to the adjusted procedure to formulate the strategy of an organization.
• Take in account all the previous stages
• To differentiate itself
• To provider bigger value
8. - Preparation of the action plans
A time established the strategies to reach specific objectives, the organization has that to develop action plans to carry through these strategies. Each area reflects on what it must make in the future of the organization, materializing it in objectives and action that it intends to develop in the direction to reach them. The key of the success of the strategical planning is to transform the same into operational activities. Everything what was made until this stage must provide an indication for the adequate joint between processes, people and resources to be placed in each plan of action. They are the action plans that go to materialize the resultant strategies of the followed process, translating them in day to day action with future impacts. The plans must contemplate the activities to be developed to take care of to the corresponding objectives to the social and economic demands of the performance environment. They are the objectives that go to head the action plans, allowing of activities responsible definition and, the development stated period identification of necessary budgetary resources. A strategical plan is a plan for the action. But the formularization of the strategies of this action is not enough only. It is necessary to implement them by means of programs and specific projects.
• To evaluate the costs.
• To prepare clear instructions.
• To define what, who, where, as, when, because and how much.
9. - Execution of the action plans
The execution of the action plans is the guarantee of success of the strategical planning; exactly structuralized a strategy formulated and plain well of action is not the sufficient, if it will not have implementation and control. Everything what was established so far will have little meant if to lack of a thing: execution. The key of the success is to become the plane operational. The general objective must be detailed in specific objectives. The specific objectives according to differ paper from each area in the implementation of the adopted strategy. To become a clear strategy is only one necessary step to the successful strategical management. Its implementation corresponds to a decisive moment in the power to decide process. It results of the disposal of the directive body in taking decisions you criticize as synthesis of all the developed process.
• To give special attention to the execution of the definite strategies.
• The imperfections in this stage are responsible for the majority of the failures
10. - To structuralize of the accompaniment and the controls
The action of the administration goes to affect the organization in the successful implementation of the strategies and of the programs and, in the implementation phase, it fits to the organization to detect the results and to follow new developments in the environment. A thing is certain: the surrounding change even though during the planning phase. E when the surrounding change, the organization has that to make adjustments in one more than or the components of the planning process, in order to reach the objectives, or same to modify them will be necessary. The type of adjustment goes to depend on the level and the speed of the change of the environment. This because economic, technological, legal, cultural the environment, the desires of the population and the behavior of some organizations are more or less steady, whereas in others, the surrounding one moves to the few, in way more or less previsible e, finally, has turbulent environment cases, where the change is quicker and unexpected. In turbulent environments, it is necessary organization to be prepared to revise the planning, the strategies, the goals and, in some cases, even though the mission.
• To define a frequency to verify if the actions they are being executed.
• It measures the progress and the performance.
• It confers the expenses.
• It analyzes the gotten information. It corrects the errors.
11. - Accomplishment of the reflection
This stage is directed for the verification of how much the formulated strategies had been efficient to reach the objectives and the factors of success. The phase of the process is mentioned to it in which the controllers evaluate if its strategical formularization and as he was implemented, he is allowing to reach the objectives. This wants to say that if it must evaluate and improve the actions that had been executed and had consisted of the plans. She is one of the main functions of the controllers who had participated of the stages of the strategical planning. The activity of reflection looks for to review what it was implemented to decide the new routes of the process, keeping what it was success cause and I resell what is not functioning.
• Invites the main participants of the process.
• Convokes the responsible ones for the execution of the plans.
• Identifies the problematic points.
• Looks the causes of the problems.
• Searches alternative to cure the difficulties.
12. - Perfectioning of the planning
With the experience acquired in all the steps of the process, and mainly with the result of the accomplishment of the reflections, the organization collects elements for the perfectioning of the strategical planning. Beyond this natural form of perfectioning the organization can, in elapsing of the time, being more sensible to the factors of influence in its activities and to add more value to the works. New methods and new tools can be incorporated the process in its diverse stages, since that efficient for the situation and moment of the organization. The participation mechanisms of course go being improved, more groups of interest if approach and can contribute for the evolution of the process. The planning model was presented for professionals who had frequented a course of specialization in ESCELSA and ENERSUL. Diverse suggestions had been made, of form that many had been absorbed and the models had been perfected, with the aid of the team of professors who had given the diverse modules of the course (1c).
• Incorporates improvements in each step of the process.
• Uses results of the reflection.
• Uses brought up to date tools.
• Improves the methods.
(1) José Ailton Baptista da Silva
(2000) a) The Fifth World Congress- Sheffield – UK - “Two Successful Cases in Brazilian Electrical Utility Companies (Escelsa/Enersul”.
(2001) (b) The 6th World Congress for TQM Saint Petersburg. “Self Assessment by Multi-levels”.
(2001) (c) The 6th World Congress for TQM Saint Petersburg. “Continuous Education in TQM”.