Module 2 - Session 2 - The institute-level planning process

Session Guide - The institute-level planning process
Hand-out 1 - A planning example

DATE

TIME

FORMAT

Plenary participatory lecture

TRAINER

OBJECTIVES

At the end of this session participants should be able to describe an eight-step process of long-range planning at the institute level.

INSTRUCTIONAL MATERIALS

Exhibit 1 The eight steps

Exhibit 2 Planning process flow chart

Exhibit, 3 Consensus building: an aid to planning

Hand-out 1 A planning example

SPECIAL EQUIPMENTS AND AIDS

Overhead projector and chalkboard

Session Guide - The institute-level planning process

Initiate the session by asking the participants if any of them have previously been involved in a long-range planning exercise. If some have, try to elicit from them a description of the process in terms of the steps taken, the time involved in the exercise and the resources devoted to the planning effort. The trainer may wish to note the planning process on the chalkboard.

Show EXHIBIT 1 and discuss each step, noting that objectives are at a lower hierarchal level than goals. After discussing the first three steps the trainer should draw on the chalkboard the diagrammatic planning process exhibit used in Session 1 (Exhibit 3: Principles of Research Planning), and note the similarities between this generalized planning process and the current process being discussed for institute-level planning.

The logistics of the plan includes the resources, such as staff, equipment, facilities, etc., needed to carry out the operational plans denoted in Step VI of EXHIBIT 1. Finally, recall, as we noted in the previous session, that planning is an interactive process. We should take into account this iterative nature by including a formal recycling step, as shown in the last step in EXHIBIT 1.

Show EXHIBIT 2. Using the flow chart, discuss how the various planning steps naturally flow from one to next. Note that Step II, Assessment of Constraints and Opportunities at the Institute Level, is not included in the flow chart as it is not one of the plan outputs, exhibit 2 being a flow chart of plan outputs.

The institute's goal leads to institute strategic objectives. Based on these objectives, programme goals are formulated. Programme goals lead to programme strategic objectives. These strategic objectives result in the institute's operational plan for the goal of interest. Also flowing from programme strategic objectives is the programme operational plan for meeting those objectives. Based on the operational plans, one is able to determine the resources or logistics needed to carry out these plans. The summation of the needed programme logistics (usually expressed in terms of project budgets) results in the institute logistics for the given goal. The trainer should provide some simple examples of the process of moving from institute goals to logistics.

Note that it is important during the entire planning process that as many institute staff members as possible be involved in developing and implementing the plan. This will help ensure that no good thoughts are overlooked. Consensus building is very helpful in planning. Show EXHIBIT 3 and discuss 'How do you build consensus?' Participants should be encouraged to share their experiences in this regard.

Give participants Hand-out 1. This example should be reviewed in detail, showing how each step in the process logically leads to the next. Start with institute Goal I and follow the example through to the logistics for Goal I.

You have achieved consensus decision when all members of your group support the decision, though it may not be exactly what each of them wants. Consensus decisions are better than decisions arrived at through voting or executive order because everyone supports them. This makes implementation easier. Show EXHIBIT 3 and discuss what one should do and what one should not do during the process of planning through consensus.

EXHIBIT 1

THE EIGHT STEPS: A PROCESS OF LONG-RANGE PLANNING FOR RESEARCH INSTITUTES

STEP I

Goal setting and the search for new opportunities (Institute level)

STEP I

Assessment of constraints and opportunities (Institute level)

STEP III

Strategic objectives (Institute level)

STEP IV

Transferring institute-level strategic objectives to multiprogramme goal setting

STEP V

Strategic objectives (Programme level)

STEP VI

Operational plans (Programme level)

STEP VII

Logistics of the plan (synthesized from programme operational plans)

STEP VIII

Recycling of the plan (reiterations)

EXHIBIT 2 - PLANNING PROCESS

EXHIBIT 3

CONSENSUS BUILDING: AN AID TO PLANNING

DO'S

DON'TS

DO get all your assumptions and issues 'on the table'

DON'T come to easy, early agreements

DO get everyone to participate and listen to everyone's input

DON'T vote (although a show of hands is OK as an indicator)

DO look at disagreements as opportunities to get new points of view

DON'T compete or argue strongly for extreme positions

DO consider all the alternatives before arriving at a solution

DON'T make executive decisions if you can avoid it

DO decide the criteria for a 'good' solution before discussing solutions

DON'T talk about solutions until everyone agrees on the problem

DO get all the data you can on the issue

DON'T be negative

DO make sure that people to be affected by the decision also help to make the decision

DON'T discourage divergent points of view

Hand-out 1 - A planning example

LEVEL: All institute

GOAL 1: To increase the value of coconuts in the national economy

STRATEGIC OBJECTIVES FOR GOAL 1

1A To increase productivity of the nation's coconut plantations

1B To discover additional coconut product formulations with a potential international market

1C To assist the local metal-working industry to improve their ability to produce coconut processing equipment

PROGRAMME STRATEGIES FOR GOAL 1

AGRICULTURAL ENGINEERING PROGRAMME

1A To improve harvest and post-harvest equipment and facilities

1C To assist the local metal-working industry to improve their ability to produce coconut processing equipment

FOOD PROCESSING PROGRAMME

1B To discover additional coconut product formulations with potential international markets

GENETICS PROGRAMME

1A To identify coconut cultivars with higher productivity

1B To identify coconut cultivars with fruit with improved taste characteristics appropriate for international markets

TACTICS TO ACHIEVE GOAL 1

Operational Plans

Logistic requirements

1A-1

Develop improved coconut storage facilities

1A

2 engineers and 2 extension agents/data collectors to initiate first year of post-harvest equipment and facilities project, etc.

1A-2

Identify cultivars that will increase tree productivity by 20% in 5 years

1B-1

Screen current formulations that may have international market potential

1B

1 researcher with food formulation background; a new autoclave; etc.

1B-2

Ensure that trees identified with production increase potential also produce coconuts that meet the required taste requirements

1C-1

Develop new or improved coconut processing equipment designs

1C

1 master trainer/consultant for metal-working technology; a new vehicle to transport trainer/ consultant to metal-working firms; etc.

1C-2

Improve skills of metal-working technicians through training

Strategic Objectives

Operational Plans

1A-1

Develop improved coconut storage facilities

1A

Establish project to determine criteria and design of facility; produce prototype facility; demonstrate to farmers

1C-1

Develop new or improved coconut processing equipment designs

1C

Set up training/consulting team to visit interested metal-working firms on a regular basis

1C-2

Improve skills of metal-working technicians through training

1B-1A

Develop taste preference profiles for major international markets

1B

Establish a project to develop a formulation for canned coconut milk, etc.

1B-1B

Screen current formulations that may have international market potential

1B-1C

Develop new formulations

1A-2

Identify cultivars that will increase productivity by 20% in 5 years

1B

Establish a test plot to screen indigenous and imported germ-plasm for productivity, etc.

1B-2

Ensure that trees with the desired productivity also have fruit with the needed taste characteristics

DATE
TIME
FORMAT	Plenary participatory lecture
TRAINER

THE EIGHT STEPS: A PROCESS OF LONG-RANGE PLANNING FOR RESEARCH INSTITUTES
STEP I	Goal setting and the search for new opportunities (Institute level)
STEP I	Assessment of constraints and opportunities (Institute level)
STEP III	Strategic objectives (Institute level)
STEP IV	Transferring institute-level strategic objectives to multiprogramme goal setting
STEP V	Strategic objectives (Programme level)
STEP VI	Operational plans (Programme level)
STEP VII	Logistics of the plan (synthesized from programme operational plans)
STEP VIII	Recycling of the plan (reiterations)

CONSENSUS BUILDING: AN AID TO PLANNING
DO'S	DON'TS
DO get all your assumptions and issues 'on the table'	DON'T come to easy, early agreements
DO get everyone to participate and listen to everyone's input	DON'T vote (although a show of hands is OK as an indicator)
DO look at disagreements as opportunities to get new points of view	DON'T compete or argue strongly for extreme positions
DO consider all the alternatives before arriving at a solution	DON'T make executive decisions if you can avoid it
DO decide the criteria for a 'good' solution before discussing solutions	DON'T talk about solutions until everyone agrees on the problem
DO get all the data you can on the issue	DON'T be negative
DO make sure that people to be affected by the decision also help to make the decision	DON'T discourage divergent points of view

LEVEL: All institute
GOAL 1: To increase the value of coconuts in the national economy
STRATEGIC OBJECTIVES FOR GOAL 1	1A To increase productivity of the nation's coconut plantations
	1B To discover additional coconut product formulations with a potential international market
	1C To assist the local metal-working industry to improve their ability to produce coconut processing equipment
PROGRAMME STRATEGIES FOR GOAL 1
AGRICULTURAL ENGINEERING PROGRAMME	1A To improve harvest and post-harvest equipment and facilities
	1C To assist the local metal-working industry to improve their ability to produce coconut processing equipment
FOOD PROCESSING PROGRAMME	1B To discover additional coconut product formulations with potential international markets
GENETICS PROGRAMME	1A To identify coconut cultivars with higher productivity
	1B To identify coconut cultivars with fruit with improved taste characteristics appropriate for international markets

	Operational Plans		Logistic requirements
1A-1	Develop improved coconut storage facilities	1A	2 engineers and 2 extension agents/data collectors to initiate first year of post-harvest equipment and facilities project, etc.
1A-2	Identify cultivars that will increase tree productivity by 20% in 5 years
1B-1	Screen current formulations that may have international market potential	1B	1 researcher with food formulation background; a new autoclave; etc.
1B-2	Ensure that trees identified with production increase potential also produce coconuts that meet the required taste requirements
1C-1	Develop new or improved coconut processing equipment designs	1C	1 master trainer/consultant for metal-working technology; a new vehicle to transport trainer/ consultant to metal-working firms; etc.
1C-2	Improve skills of metal-working technicians through training
	Strategic Objectives		Operational Plans
1A-1	Develop improved coconut storage facilities	1A	Establish project to determine criteria and design of facility; produce prototype facility; demonstrate to farmers
1C-1	Develop new or improved coconut processing equipment designs	1C	Set up training/consulting team to visit interested metal-working firms on a regular basis
1C-2	Improve skills of metal-working technicians through training
1B-1A	Develop taste preference profiles for major international markets	1B	Establish a project to develop a formulation for canned coconut milk, etc.
1B-1B	Screen current formulations that may have international market potential
1B-1C	Develop new formulations
1A-2	Identify cultivars that will increase productivity by 20% in 5 years	1B	Establish a test plot to screen indigenous and imported germ-plasm for productivity, etc.
1B-2	Ensure that trees with the desired productivity also have fruit with the needed taste characteristics