Visioning and Strategic Planning: Fundamentals and Foundations for Court Leaders

1. Visioning and Strategic Planning:Fundamentals and Foundationsfor Court Leaders National Association For Court Management

2. Three Day Overview Day One • Vision and Strategic Planning Fundamentals • KSAs and Readiness • A Nine-Step Approach • Step 1 – Plan Initiation (Fundamentals, Examples, Exercises, Lessons) Day Two • Step 2 – Mission • Step 3 – Vision • Step 4 – Trends and Scenarios • Step 5 – Capacity Assessment • Steps 6 and 7 – Strategic Issues and Strategies Day Three • Step 8 – Implementation/Operationalize • Step 9 – Institutionalization and Monitoring

3. Session Learning Objectives: Overall Participants will be able to: • understand the key concepts of visioning and strategic planning; • describe the motivations for visioning and strategic planning in the Courts; • determine if their court is ready to undertake a visioning and strategic planning process;

4. Session Learning Objectives: Overall Participants will be able to: • understand the scope of the KSAs needed for effective visioning and strategic planning; and • have experience working with a nine-step visioning and strategic planning process.

5. Day One Agenda 8:30 – 9:00 a.m.Introductions and Session Overview -- agenda -- outcomes 9:00 – 10:00 a.m.Vision and Strategic Planning Fundamentals -- definitions -- motivations -- KSAs 10:00 – 10:15 a.m.Break

6. Day One Agenda 10:15 a.m. – 12:00 p.m. KSAs and Readiness: Is Now The Right Time For Visioning and Strategic Planning In Your Court 12:00 – 1:00 p.m. Lunch 1:00 – 3:00 p.m. Approach and Nine-Step Process Overview 3:00 – 3:15 p.m. Break

7. Day One Agenda 3:15 – 4:15 p.m. Step 1 – Plan Initiation -- fundamentals -- examples -- exercise 4:15 – 4:30 p.m. Wrap-Up 4:30 p.m. Adjourn

8. Session Learning Objectives:Day One Participants will be able to: • understand the key concepts of visioning and strategic planning; • describe the motivations for visioning and strategic planning in the Courts;+ • determine if their court is ready to undertake a visioning and strategic planning process;

9. Session Learning Objectives:Day One Participants will be able to: • understand the scope of the KSAs needed for effective visioning and strategic planning; and • have experience working with Step 1, initiating a strategic plan, in nine-step visioning and strategic planning process.

10. Definitions • Visioning is a process for defining a preferred future for a court -- what a court desires to become or what it should be at its best. • Strategic planning is an ongoing, disciplined effort to produce fundamental decisions and actions that shape and guide what a court is, what it does, and why it does it.

11. Motivations • Visioning and strategic planning supports local trial court autonomy by placing the onus for change and the responsibility for creating it squarely on the trial court’s judges and staff. • The processes help build consensus within the court and between the court and its justice partners and community leaders about what the court will become, and when and how it will do it.

12. Motivations • A strategic plan develops priorities and goals that are clear and accepted throughout the court and justice system. • A vision of the future, the long-range strategic plan and its implementation help ensure continuity when the leadership of the court changes

13. Motivations • Strategic planning is an acceptable change and alignment mechanism modeled by courts across the nation. • Strategic planning supports a positive response to public demand for increased court accountability.

14. General NACM Model

15. Core Competencies: Know and Be Able To Do • Court Purposes, Environment, and Processes • Fundamentals • Organizational Foundation • Change and Alignment • Strategic Thinking

16. Know and Be Able To Do Court Purposes, Environment, and Processes • Visioning and Strategic Planning require understanding of the purposes of courts and how court management delivers on the American promise of equal justice under law, due process and judicial independence and impartiality. Visioning and Strategic Planning help court leaders, their justice and community partners ensure that the future of the courts and the justice system matches their enduring purposes and responsibilities. Their plans take into account alternative and current court jurisdiction, structure, and performance; case processing; and, the types and numbers of cases being processed.

17. Know and Be Able To Do Fundamentals • When implementing visioning and strategic planning, court planning teams draw upon proven principles, methods, and techniques. They use the most appropriate visioning and strategic planning tools.

18. Know and Be Able To Do Organizational Foundation • The court must have the capacity to produce a long-term strategic direction built through an inclusive and collaborative visioning and planning process. Adequate organizational foundation produces understanding and commitment about what the court, their justice partners, and the community wish to achieve, how they will do it, and when.

19. Know and Be Able To Do Change and Alignment • Visioning and Strategic Planning facilitate change; link visioning, planning and action; and move the court, its judges, staff, and their justice partners in a common direction toward shared commitments. Strategic Thinking • When carrying out Visioning and Strategic Planning court leaders think and act futuristically and strategically, by anticipating and promoting change.

20. Core Competencies: Knowledge, Skills, and Abilities • Court Purposes, Environment, and Processes Core Competency • Fundamentals • Organizational Foundation • Change and Alignment • Strategic Thinking (See the Visioning and Strategic Curriculum Guidelines http://www.nacmnet.org/CCCG/cccg_10_corecompetency_visioning.html)

21. Court Readiness For Visioning and Strategic Planning • People throughout the court have time to participate in developing and following through on the strategic plan. • There is an urgent and compelling need – or pressing reason or opportunity – to do strategic planning. • There are several champions or sponsors for the visioning and strategic planning process and the completed strategic plan.

22. Court Readiness For Visioning and Strategic Planning • Court leaders, including judges, executives and managers, are genuinely interested in and willing to critically assess court performance. • Judges, leaders, and managers are willing to change the priorities of the court and do work differently in the future. • There is stability in the court’s leadership.

23. Court Readiness For Visioning and Strategic Planning • Based on the strategic plan, the court is willing and likely to shift how its resources are distributed and utilized. • Court leaders will collectively work together to follow-through on the strategic plan. • The court’s organizational culture supports an open and inclusive planning process that will determine the court’s long term direction and priorities.

24. Court Readiness For Visioning and Strategic Planning • The outcomes to be achieved and the benefits to be gained by developing and following through on a vision and strategic plan are clear.

25. Nine-Step Process • Step 1– Initiate a Planning Process. • Step 2 – Define Mission. • Step 3 – Establish Vision. • Step 4 – Conduct Trends Analysis and Construct Scenarios. • Step 5 – Conduct Organizational Assessment.

26. Nine-Step Process • Step 6 – Identify and Define Strategic Issues or Key Results Areas. • Step 7 – Develop Comprehensive Strategies. • Step 8 – Operationalize the Strategic Plan. • Step 9 – Monitor and Evaluate Progress and Update Plan as Needed.

27. Step 1– Initiate Planning Process Fundamentals • Carefully select the appropriate individuals to participate in the planning effort. • Develop a common understanding of the process, purpose, scope, benefits, drawbacks, expectations, and desirable outcomes of long range strategic planning.

28. Step 1– Initiate Planning Process Examples • In-court vs. a broader-based planning process? • Who should be involved in the planning process? • Type and length of the planning process? • How to involve users & stakeholders of the court?

29. Step 1– Initiate Planning Process Examples • Who will facilitate the strategic planning effort? • Who will be primarily responsible for tracking progress and monitoring performance on the plan?

30. Step 1– Initiate Planning Process Lessons Learned • Establish commitment of top leadership (e.g., executive team such as the chief judge, other judges, court administrator, senior managers). • Select the appropriate planning committee. • Conduct an introductory session on visioning and long range strategic planning.

31. Step 1– Initiate Planning Process Lessons Learned • Set an appropriate meeting schedule. • Appoint a strategic planning coordinator. • Use experienced external facilitators. • Find/use appropriate meeting facilities.

32. Day One Wrap-Up • Were the learning objectives addressed? • What was most useful? • Process and style modifications for day two?

33. Day Two Agenda 8:30 – 8:45 a.m. Introductions and Session Overview -- agenda -- outcomes 8:45 – 10:15 a.m. Mission, Vision, Values -- fundamentals -- examples -- exercises 10:15 – 10:30 a.m. Break 10:30 a.m. – 12:00 p.m. Trends and Scenarios -- fundamentals -- examples -- exercises

34. Day Two Agenda 12:00 – 1:00 p.m. Lunch 1:00 – 2:00 p.m. Capacity Assessment -- fundamentals -- examples -- exercises 2:00 – 3:00 p.m. Strategic Issues and Strategies -- fundamentals -- examples -- exercises

35. Day Two Agenda 3:00 – 3:15 p.m. Break 3:15 – 3:45 p.m. Strategic Issues and Strategies (cont.) 3:45 – 4:15 p.m. Lessons for Sustaining Planning Effort 4:15 – 4:30 p.m. Wrap Up

36. Day Two Learning Objectives • Have experience working with: -- mission, vision, values; -- trends and scenarios; -- capacity assessment; and -- strategic issues and strategies. • Understand lessons learned in other planning efforts about how to sustain process.

37. Mission, Vision, Values Alignment • Key values need to be reflected in Court mission and vision statements.

38. Values Examples • Integrity – follow the law, be impartial, and act respectfully towards court users and colleagues. • Equal Access – effectively serve all community members regardless of where they live, their ethnicity, income, or education, and consistently work to identify and remove barriers to court access and service. • Respect and Dignity – be respectful to all those who come before the courts and work for the courts.

39. Values Examples • Independent Judicial Decision Making – serve as a check and balance on legislative and executive power, maintain independence in light of state and local political considerations and public opinion, and resolve cases on their merits. • Fair and Efficient Administration of Justice – do individual justice in individual cases, and use all resources efficiently.

40. Values Examples • Awareness and Responsiveness to User Needs -- anticipate and develop services for meeting the changing needs of the community, court users, and court personnel. • Professionalism -- employ skilled, well-trained, neutral, staff. • Innovative -- incorporate new approaches and technologies into all aspects of branch operations.

41. Values Examples • Understandable -- provide information and conduct business in a manner that can be understood by court users. • Protect Rights and Confidentiality -- protect individual rights and liberties while protecting the confidentiality of court participants. • Work With The Community -- develop and implement services in partnership with the community.

42. Values Examples • Thorough and Comprehensive -- provide a range of forums and services to meet diverse community needs. • Collaboration and Integration – work across agencies with the common focus of most effectively serving the community. • Transparency – assure that decisions and work processes are transparent to the public and other agencies.

43. Values Examples • Rehabilitate – Work toward the betterment of offenders. • Safety and Well Being – Promote safety and well-being throughout the community.

44. Step 2 – Mission Fundamentals • A mission statement defines an organization’s purpose -- why it exists. It helps an organization focus on what is important and provides a reference point for developing and prioritizing goals and strategies. • Developing a mission statement includes two very important steps: (1) identifying and assessing the court’s formal and informal mandates and (2) conducting a stakeholder/customer/user analysis which includes identifying the court’s stakeholders and primary customers/users, identifying and discussing their expectations, and assessing how well the court is doing in meeting the expectations of its customers/users and stakeholders.

45. Step 2 – Mission Examples The Mission of the AAA Court is to: • Provide effective and timely resolution of legal matters, assuring dignified and fair treatment to all participants while promoting respect for the justice system and maintaining the independence of the judiciary.

46. Step 2 – Mission Examples Mission For Serving Children The mission of the courts of the BBB Judicial District when protecting children and serving juveniles is to: • promote the health and welfare of children and their families; • provide effective and timely resolution of legal matters that meet the needs of children, families, and the community; and • assure dignified and fair treatment of all court participants.

47. Step 2 – Mission Exercise • Draft Mission Statement Using Template

48. Step 3 – Vision Fundamentals • Develop a vision statement. Use a visionary process to define a preferred future. The vision should represent what an organization desires to become or what it should be at its best. • A vision statement defines a future ideal state; it describes the direction the court intends to move towards.

49. Step 3 – Vision Examples To provide the highest quality of Court services to the people of AAA County, the AAA District and Superior Courts will: • administer a comprehensive trial Court system which coordinates the services necessary for an effective and efficient judicial system; • work as an independent branch of government alongside other branches of government to achieve common goals; • educate the justice system community, legislative and executive agencies and the public about the Courts; • build respect and confidence in the Courts;

50. Step 3 – Vision Examples To provide the highest quality of Court services to the people of AAA County, the AAA District and Superior Courts will: • Provide a uniform and predictable level of service; • Provide efficient, convenient, and safe facilities; • Maintain a diverse and professional workforce, and reflect the diversity of the community in the workplace; • Seek out and use modern technology and equipment;