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A methodological approach for effective and

sustainable strategic planning in


Independent Authorities: the case of the
Hellenic Ombudsman

Athanasios Raptis, Odysseas Kopsidas, Labrini Motsia, Stefanos


Polymenopoulos, Athamadia Simopoulou, Athanasios Gegkas,
Haralampos Platis

National School of Public Administration and Local Government, 211


Pireos Str.,17778, Tavros, Athens, Greece
This work aims to….

• develop a Strategic Plan


• be adopted by an Independent Authority, the Ombudsman
• implement strategic planning is based on the statute
4369/2016
• analyze the external environment using the PESTEL
Analysis
• use the SWOT Analysis
• use the Balanced Scorecard business model to specify
strategic goals in business and develop measurement
metrics
The final product of this work…

• Is that:
• the focus is placed on the citizen as a user of the
services of this Independent Authority
• and
• the other dimensions are set in such a way as to
allow and guide its quality service
The Ombudsman

• is at the heart of European identity


• continues quest for core values in a abstract
form
• concerns the need of an organ to contrast the idea
of the economy domination over society
• balance of power between the Executive and
Parliament, and the relationship between
Parliament and the electorate
The strategic management
necessity
• The total number of complaints a ombudsman receives
varies from hundreds to thousands annually
• This variation depends not only on the demographic scale
of the nation
• This is exactly the need of visibility and awareness, among
the need to respond in a proper rate and the need of
accountability

• These reasons drive us to the strategic management


necessity
The Ombudsman's Strategic
Management
• is usually referred as the alignment of internal capabilities
with external demands
• take the form of plans, patterns, positions, perspectives,
and plots
• considered a field that makes it possible for the leaders of
public and private organizations to ‘take options on the
future’
• invented and implemented to deal with the ‘industrial
dynamic’
• marked by ‘competitive behavior’
Materials and Methods

• Strategic management in public organizations includes ten steps in:

• identifying the institutional framework and expectations of stakeholders


• analyzing the existing situation within the organization and external
influences
• highlighting strategic issues
• strategic objectives
• the definition of operational objectives for their achievement and their
measurement ratios
• the development of a plan of actions for the implementation of strategic
planning
• monitoring and evaluation
Materials and Methods

• Many of the used methods (each Bryson step may be assumed as a


discrete method) are data driven.
• The data set used constitutes from open data available in the official
page of Greek ombudsman, such as the annual reports.
• In addition, several other open sources used, such as macroeconomic
reports in order to implement the pestle analysis.
• In order to improve the situational awareness of the organization, crude
qualitative and quantitative analysis performed.
• The quantitative analysis implemented using SPSS v.20 while the
qualitative analysis (context analysis) performed using the Nvivo v.10
software.
Strategic Plan Development

• Step1: Developing an Initial Agreement


• Step 2: Recognition and Clarification of Orders from “Above”
• Step 3: Development and Clarification of Mission and Values
• Step 4: Analysis of the environment
• Step 5: Identification of Strategic Issues
• Step 6: Strategy Formulation And Development Using Balanced Scorecard
• Step 7: Reviewing and Adopting the Strategy
• Step 8: Description of the Future Image of the Organization
• Step 9: Development of Effective Application processes
• Step 10: Strategy and Strategic Planning Procedures Reevaluation

• We use the model "5-step process" of Bryson (Bryson, 2004, 2010). According to this
model, here found the following questions:
What alternative values are to
address the strategic issue ?

• Here we compare the do-nothing scenario with alternative


scenarios / options to address each strategic issue.
• For example, the do-nothing comes to measuring citizen
satisfaction may lead to decreasing use of the
Ombudsman's services and thus the obsolescence of the
institution.
What barriers exist as to the
realization of strategic options?

• As regards for example the internal operation of the


Ombudsman (operations management) and the effort to
improve processes and procedures are likely to have
reactions from the staff.
What recommendations can be made
for dealing with complaints over
obstacles?

• For the above example, the Ombudsman can develop


diffusion pattern of changes in the program staff.
What actions meters can be realized with the
resources available to the organization, within
the next two years , in order to implement the
operational plans ?

• In this step the strategic objectives specified in operational


objectives, taking into account available resources.
• In this step, a critical parameter is the ownership
(ownership) of the strategic planning of all staff.
• This is largely achieved through the use of the methodology
of the Scorecard Balanced.
What specific actions should be
undertaken in the next six months and
who is responsible for them?

• In the last step the operational objectives are translated into


objectives of administrative units and individual targets
(efficacy-effectiveness of the organization and citizens
satisfaction) with six targeting.
In the case of public institutions such as the Ombudsman, the
focus is put the citizen - user services and other dimensions are
set so as to allow and guide the quality of service.

• Therefore, the four dimensions we choose are:

• Providing value added services (Value Added Services)


• Internal processes (Internal operations)
• Human resources
• External Actions and Partnerships (External Processes)
Strategic and Operating Objectives in
relation with the four Dimensions of the
Balanced Scorecard
STRATEGIC OBJECTIVES
1. Improve 2. Investigate 3. Improving
quality services extension of the effectiveness
to citizens powers and and efficiency
Dimensions Operational Objectives establishment of the
status / public Ombudsman's
image of action
Ombudsman
Create a 1 stop shop
Ombudsman service in
selected ADS throughout the
country
Provided Added Improving level civil service
Services
Improving cooperation
Worth
Ombudsman&
Administration
Improving front-line
services
optimization Ombudsman
Redistribution - reducing
internal
operating costs Ombudsman
Processes
Improving scientific staff
efficiency
Training for staff front-line
staff
Human
Increase staff participation
resources
in the organization's change
process
Strengthening Ombudsman
External projection (horizontally)
Actions and
Ombudsman viewing aid to
Collaborations
vulnerable groups (vertical)
Balanced Scorecards for each one of the
four dimensions. Dimension 1 (output).
Provided Value added services (Value
Added Services)
s Operational curren implementation Implemente
Indicator target price
/ objective t price actions r 22
Creating a
"one stop-
shop" • Cooperation
provision with the Ministry of
Ombudsman Interior ( responsible for
% Partner CSC Services Head /
services in the ADS ) for the
(which would Ombudsman Quality
selected ADS determination of levels
1 provide - function in 35% Manager /
throughout the of responsibility and to
Ombudsman of CSC Regions Operations
country for change the institutional
services) Regions 2020 Manager
preventive framework
information 23 • Reorganizatio
, collecting n body 24
citizens'
complaints
• Citizen
• Locating
s satisfaction
• Rating synergies and grouping Quality
degree ( by
> 80% of reports Manager /
Improving completing the
• Actions Operations
2 level civil relevant form / -
motivational personnel ( Manager /
service questionnaire )
eg by introducing model Personnel
• %
• <2% " Employee of the Officer
Complaints on
Month " )
all reports
• Development
of interactive online
services ( chat , skype )
for the effective and
efficient collaboration
% Of reasonable
Improving 25 Ombudsman and Quality
complaints
cooperation Administration and Manager /
with successful
3 Ombudsman& 83% 90% dealing "organizational Operations
resolution with
Administratio failures" Manager
actions of the
n • Improving Manager ICT
Ombudsman
coordination with
Administration
incorporating new ICTs
and platforms As
SYZEFXIS II 26
• Front-line
update (
CRC&Ombudsman )
Quality
% Reporting • Interactive (
Improving Manager /
except interactive ) form
4 front-line 48% 25% Operations
competence reports with immediate
services Manager /
Ombudsman notification in case of
Head of ICT
lack of jurisdiction
• Management
reports
Dimension 2. Internal Processes
(Internal Operations)
s Operational current implementation Implemente
Indicator target price
/ objective price actions r
Number of
business cycles
6 cycles 27 • reorganization Chief
3 cycles 28
optimization Ombudsman
1 Number of
Ombudsman • recording / Operations
documented 50 / year
- procedures Manager
procedures /
year
Redistributio • Redistribution
n - reducing administrative and Chief
operating 388,000 280.000 EUR scientific staff in ADS Ombudsman
2 rent Buildings
costs euros 2020 • Reducing / Finance D /
Ombudsman operating costs due to Director
29
space-saving
• %
Fulfilled cases /
• 89 • 95
total cases
% % Quality
competence • motivational
Manager /
Ombudsman actions
Improving Supervisors
• Numb • Development
scientific • 45 • 90 Activity
4 er Fulfilled management system
staff references / reports / year Cycles
reports / year / matters using ICT
efficiency Yea g / / official until Ombudsman
scientimoniko U • Defining
officer 2020 / ICT
pallilo appropriate indicators
• 90 Officer
• Media
• - imeres
n x rono q
handling cases
Dimension 3. Human
Resources
s Operational current target implementation
Indicator Implementer
/ objective price price actions
Specialized
Training for staff 50 training programs
Number of certified Personnel
1 front-line staff (ADS - employees in Civil Service
employees Officer
&Ombudsman staff) / year issues (eg in
EKDDA)
Number of
Increase staff Personnel
proposals adopted One Introduction
participation in the Manager /
2 and implemented / - proposal / process "half
organization's change Quality
set of proposals at semester Motion"
process Manager
the 6-month basis
Dimension 4. External Actions and
Partnerships (External Processes)
s Operational current implementation
Indicator target price Implementer
/ objective price actions
• Cooperation
with the Ministry of
Interior
• Use
Chief
existing structures
Strengthening Ombudsman,
(CSS) for creating
Ombudsman % Awareness Head of External
1 - > 80% one stop shop
projection 30 Actions,
Ombudsman
(horizontally) Operations
• Market
Manager
research ,
questionnaires ,
advertising on public
transport
• Number
of actions • 20 • Information
Strengthening
renovation / year measures on
Ombudsman Responsible
2 vulnerable groups - vulnerable groups
projection external actions
• % • > • Surveys, e
(vertical)
Awareness of 50% rotimatologia
vulnerable groups
The SWOT Analysis (New applications per year)
Our research
group…