Bab 12 Tool For Planning Is

Strategic Planning - Methods and Tools
Contents
i. Situation Analysis
ii. PEST Analysis
iii. SWOT Analysis
iv. GAP Analysis
v. Root Cause Analysis
vi. Force Field Analysis
vii. Gantt Chart
I. Situation Analysis - refers to analysis of current status, gaps
and internal and external environment and factors that
influence its existence and performance, progress and
sustainability and also the problems and root causes of
problems and possible solutions
Indispensable step in planning

Once the vision and mission are clearly identified, the university
must analyze its
– performance levels and status,
– Issues and problems
– internal and external environmental factors
• Internal - strength, weaknesses,
• External - emerging opportunities and threats
– Gaps to be filled and goals to be achieved
– Root causes of problems
– Possible alternative strategies and solutions
Situation Analysis .. Contd.
Situation Analysis proceeds through 4

sequential steps
Step I: Planning
Step II: Data collection and tabulation
Step III: Analysis and Interpretations – gap
and problem analyses and root causes and solutions
identification
Step IV: Report Preparation – final analysis and

report writing
Situation Analysis .. Contd.
Step I: Planning
Includes identification of
• Scope of planning
• Project Planning Matrix
• Objects of Situation Analysis
• Types of data that must be collected from the
identified objects
• Sources of data, methods of data collection (i.e. primary
and secondary data)
• Methods of analysis and tools of analysis (i.e. brain
storming sessions, PEST, SWOT , GAP Analyses, etc)
Situation Analysis ….. Contd.

Step II: Data collection and tabulation
Project Planning Committee (PPC) has to collect

data from primary and secondary sources
- Primary data are usually collected through interviews,
rapid appraisals, case studies, tracer studies, etc.
- Secondary data are gathered from published reports
and institutional records
- Data are then sorted, tabulated and analyzed and
reported.
Situation Analysis ….. Contd

Step III – Analysis and Interpretation
It requires use of several effective, sometimes
indispensable tools
Most commonly done through several brain storming
sessions involving stakeholders
Commonly used tools at brain storming sessions are
– PEST Analysis
– SWOT Analysis
– GAP Analysis
– Root Cause Analysis
Situation Analysis ….. Contd

Step IV: Report Writing (final analysis and report writing)
PPC proceeds to develop the Final report on the format
agreed upon at the beginning
Report generated from Situation Analysis is commonly

referred as Self-evaluation Report (SER)
SER – provides data, findings, gaps and problems and root

causes and recommendation on possible alternative
solutions
This will form the basis for synthesis of development plan

(sometimes this is refereed as Project Development Framework or
Project Planning Framework
II. PEST Analysis
Purpose: Analysis of the external macro-

environment in terms of political, economic, and
social policies and technological advances and
trends (that are usually beyond the institution control) which
define boundaries, limitations and opportunities
Method: Conduct in a Workshop environment,

brainstorming and moderator listing information
and factors relevant to and bearing on the
institution mandatory functions under 4 topics.
PEST Analysis …. Contd
Example. _ PEST Analysis for a Higher Educational Institute
Political Factors
– Government policy on higher education
– Government regulations that govern institutions mandatory functions
– Political stability and hence student political ideology and motives
– Workers and students charters
– Etc.
Economic Factors
– Type of economic polices and system
– Government interventions in the market
– Economic cycle stage (e.g. prosperity, recession, recovery)
– Comparative advantage of the country for higher education
– Unemployment rates
– Skill levels of work force
– Etc.
PEST Analysis …. Contd

Social Factors
– Demographic factors – types of students and ethnic composition
– Types of students and their level of competency in languages and
ICT
– Expectations – parents, students and employers
– Attitudes of stakeholders
– Learning habits, culture and diversity of stakeholders
– Etc.
Technological Factors
– Recent technological developments and opportunities
– Technology’s likely impact on institutional mandatory functions
– Impact on cost structure
– Etc.
SWOT Analysis
Purpose
SWOT stands for analysis strengths, weaknesses, opportunities of

and threats faced by the institution/company.
SWOT is used in many instances for multiple purposes

–for rapid rural appraisals, for tracer studies, for case studies, and very often
for short consultancy studies leading to development of sectoral development
plans to obtain stakeholder participation and views and opinions pertinent to
the task or question in hand
SWOT is also used in Situation Analysis for institutional planning.

In such instances, SWOT analysis can serve as an interpretative
filter to reduce the large amount of information to a manageable
quantity of key issues.
SWOT Analysis … contd.
Overall aim of the development plan of any institution is to use

the strengths of and opportunities available for the institution
to overcome weakness and threats
SWOT is very robust and easy tool that any group could use to
extract the required information on strengths, weaknesses,
opportunities and threats as perceived by the stakeholders
SWOT is also used as a tool to “internalize” planning process

so that the stakeholders get a sense of ownership of the final
plan
When analysis is completed a SWOT Profile can be generated

and use as the basis of goal setting, strategy formulation and
implementation.
SWOT Analysis …. Contd
Method
SWOT analysis is a common, very effective tool used in Brain
Storming Sessions to enhance stakeholder participation in
discussions and also it is an effective tool in extracting very
valuable views and opinions from stakeholders.
SWOT is also used as a filter to extract most important issues

and problems emanating from self-evaluation report and
identify pertinent problems and likely causes and possible
solutions
It is usually performed in a workshop environment with

participation of a sample of key stake holders.
Commence with a presentation of key findings of Self

Evaluation Report and followed by a discussion.
SWOT Analysis …. Contd
Method … contd.
The moderator of the brainstorming session should not

prescribe any listings of strengths, weaknesses, opportunities
and threats; let the participants to define them and list.
Then the group is divided into 3-4 groups and each group with
a group leader performs a SWOT analysis on the institution
using the information gathered from PEST, SER and also
based on their own views and perceptions.
This is followed by presentation of group reports and the PPC
could use the group reports to prepare SWOT Profile which
could form the framework to proceed into the next stages of
planning (i.e. gap analysis s and problems analysis, root cause
analysis and listing of alternative solutions)
IV. GAP Analysis

Purpose
Identifying the gaps between the current state and the future
state or desired state is the beginning point of design and
implementation of institutional/university improvement plan
This could be easily accomplished by using GAP analysis

Relatively simple tool that could be applied at the problem
analysis situation.
It act as an complementary tool to root-cause analysis.
GAP analysis process can be viewed as a way of preventing

institutional planning team concentrating only around
problems hence narrowing the scope of improvement plan
GAP Analysis …. Contd
Data Analysis using

current and recent data
Self-Assessment questions
to Identify Current State
Problem
Statement and
GAP is the
GAP Root Cause
starting
Analysis`
point
Identification of School Improvement

Future State Plan`
GAP Analysis …. Contd.

Purpose ….. Contd.
GAP analysis hence could be used to ensure that
the improvement process does not jump from
identification of problem areas to proposed
solutions without understanding the conditions that
created the current state.
It is done in conjunction with Root Cause Analysis

(RCA) in a brain storming session conducted for
Situation Analysis, preferably prior to proceed to
RCA
Example - Gap Analysis
Where do we
want to be?
Market share
The Gap
If we do
nothing!
0
Time
Example -Gap Analysis – Possible interventions
Price
Place
Product
Market share
Promotion
Marketing Mix
Process
Physical Evidence
0
Time
IV. GAP Analysis … contd.
Method
GAP analysis is usually applied in brainstorming session or small
group planning session
It could proceed through two steps, provided the problem
identification has already completed.
Step 1. Identification of gaps between the current and future
desired state and factors led to the current state.
What is the future desired state – e.g. Number one university
in Sri Lanka or Highest market share for company products?
What factors or problems led to current state?
What do we need to do or conditions to fulfill or gap to be
bridged to reach the desired state?.
IV. GAP Analysis … contd.

Method …. Contd.
Step II: Setting the goal and identification of
driving and restraining forces in promoting or
preventing accomplishing the goal.
This takes the planning team to the next stage

Root Cause Analysis to identify roots of problems
Force-field analysis to select SMART and champion

activities to achieve the goal.
V. Root Cause Analysis

Purpose
As an analytical tool, Root Cause Analysis (RCA) is an essential way
to perform comprehensive system-wide review of significant
problems as well as the factors leading to them.
Root-cause analysis (RCA) is a popular and often-used technique
that helps people answer the question of why the problem occurred
in the first place
RCA seeks to identify the origin of a problem. It uses a specific set of
steps, with associated tools, to find the primary cause of the
problem, so that you can,
determine what happened?
determine why it happened?, and
figure out what to do to reduce the likelihood of happening it
again?
Root Cause Analysis …. Contd.
Purpose … contd.
RCA assumes that system and events are interrelated.
For any given problem there may be three types of causes.

Physical causes – tangible, and material terms
Human causes – attitudes, habits and work norms; e.g.
people did something wrong or did not do anything that was
needed
Organizational causes – systems, processes or policies;

e.g. no system is in place or procedures and approaches may be
deficient or no institutional policy directive is in place.
Root Cause Analysis ….. Contd.
Method
RCA is usually applied in brainstorming sessions or
small group planning sessions
It could proceed through three steps, provided the
problem identification has already completed.
Step 1. Identification of possible causal factors
– What sequence of events led to the problem?
– What conditions had allowed the problem to occur?
– What other problems surround the occurrence of the
central problem?
Root Cause Analysis …. Contd.

Method … contd.
During Step I: Identify as many causal factors as possible. Too often people
identify one or two factors and then stop, but that is not sufficient. With
RCA, you don’t want to simply treat the most obvious causes – you want to
dig deeper.
Use the following tools to help to identify causal factors:
Appreciation – appreciate the views of stakeholders; ask probing
queries such as “so what” to determine all the possible consequences of
a fact.
“5 whys” – ask “why” until you get to the root of the problem
Drill down – breakdown a problem into small detailed parts to better
understand the big picture.
Cause and effect diagrams – a chart or diagram of all of the possible
causal factors to see where the trouble may have begun (eg. fish-bone
diagram).
Root Cause Analysis …..contd.
Method … contd.
Step II: Identify Root Causes of Problems
Having identified causal factors, now proceed to

ask more probing questions and queries.
This includes,
Why does the causal factor exist?
What is the real reason the problem occurred?
At this step tools used in Step I could also be used

Aim of the probing is to dig deeper at each level of
cause and effect
Root Cause Analysis …..contd.
Method … contd.
Step III: Recommendation on possible solutions
Having identified the root causes and the roots
of each factor, finally, seek possible solutions
and make recommendations on possible solutions
that would prevent occurring the problem
This may include
neutralizing or removing negative forces and
promoting or strengthening facilitating forces or
addressing the deficiencies as regard to physical,
human and organizational causes and deficiencies
VI. Force Field Analysis

Purpose
Force Field Analysis (FPA) is a relatively simpler, highly

effective way to identify restraining forces as well driving
forces of a problem or forces preventing goal accomplishment.
Identifying restraining forces that can prevent occurring the

problem or prevent the goal from being achieved, Or
Identifying the driving forces that are pushing the goal

accomplishment or driving force that aggravate the problem
Force Field Analysis … contd.

Purpose … contd.
Therefore, FPA provides a framework for developing strategy
that helps to achieve the goal or solve the problem
Change strategy or action plan to resolve the problem or
achieve the goal could therefore can include
Increasing driving forces
Decreasing driving forces
A combination of both
These usually form activities and sub-activities under the

respective goals and/or objectives of the development plan
Force Field Analysis … contd.

Method
Once the planning team through the situation analysis has identified
the gaps and problems and root causes, the PPC should proceed to
develop goals and actions plans or activity plans that describe how
the goals will be accomplished or problem will be resolved.
This is often referred as Formulation Phase of the Planning Cycle and

it is useful at this stage identify any barriers they may encounter that
prevent goal accomplishment.
FPA is a effective and yet simple tool to apply for this purpose.
Force Field Analysis …. Contd.
Method …. Contd.
This is done following completion of problem analysis.
This could best be accomplished in a small group discussion with key

stakeholders through a brain storming session.
List the goals to be accomplished or problems to be resolved

(suggestion - reword problem statement into a statement of goals to
be achieved)
Ask the stakeholders the two questions

List the goal on the top of a worksheet.
What are factors or forces that will prevent us accomplishing the
goal? – List the factors on the right side of worksheet
What are the factors that will prevent us achieving the goal?.- List
factors on the left side of worksheet
Force Field Analysis …. Contd
Goal or Problem
Driving Forces Restraining Forces
(Factors Facilitating Goal Attainment) (Factors Inhibiting Goal Attainment)

Force Field Analysis …. Contd.

Method ….. Contd.
Once you have identified the driving forces and the

restraining forces, the next step is to determine
what can be done to strengthen the driving forces
and minimize the retraining forces.
This can be done in many ways. Easiest way s to

ask the participants what could we do to reduce the
impact of restraining forces or strengthen the
impact of driving forces
VI. Force Field Analysis

Method
Through this process
identify most effective 2 or 3 actions that could be taken to
minimize the effect of restraining forces
identify most effective 2 or 3 actions that could be taken to
strengthen the impact of driving forces.
This exercise is repeated until you get a list of SMART

activities for every key problem or goal identified
Finally proceed to work out the detailed activity plans as

prescribed.
VII. Gantt Chart

Bar Chart, arranged in columns and rows
that illustrates
i) Project Work Breakdown Structure
(WBS)
ii) Implementation time schedule
iii) Progress achieved
iv) Persons-in-charge (PICs) and
v) other important details of the project
VII. Gantt Chart
WBS refers to summary elements ( main activities) and

terminal elements (sub-activities ) of the project with
essential details
Gantt Chart, developed on Excel Worksheet will depict the

WBS, implementation schedule, progress achieved, etc. on a
single sheet or screen
Gantt Chart could be designed to cater for the needs of the

Project Planning and Implantation Team and it could be
updated on periodic intervals
VII. Gantt Chart …. Contd.

- Example on MS Excel template
Thank you

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Strategic Planning - Methods and Tools

Indispensable step in planning

Situation Analysis .. Contd.

Situation Analysis proceeds through 4

Step IV: Report Preparation – final analysis and

Situation Analysis .. Contd.

Situation Analysis ….. Contd.

Project Planning Committee (PPC) has to collect

Situation Analysis ….. Contd

Situation Analysis ….. Contd

Report generated from Situation Analysis is commonly

SER – provides data, findings, gaps and problems and root

This will form the basis for synthesis of development plan

Purpose: Analysis of the external macro-

Method: Conduct in a Workshop environment,

PEST Analysis …. Contd

SWOT stands for analysis strengths, weaknesses, opportunities of

SWOT is used in many instances for multiple purposes

SWOT is also used in Situation Analysis for institutional planning.

SWOT Analysis … contd.

Overall aim of the development plan of any institution is to use

SWOT is also used as a tool to “internalize” planning process

When analysis is completed a SWOT Profile can be generated

SWOT is also used as a filter to extract most important issues

It is usually performed in a workshop environment with

Commence with a presentation of key findings of Self

SWOT Analysis …. Contd

The moderator of the brainstorming session should not

IV. GAP Analysis

This could be easily accomplished by using GAP analysis

GAP analysis process can be viewed as a way of preventing

GAP Analysis …. Contd

Data Analysis using

Identification of School Improvement

GAP Analysis …. Contd.

It is done in conjunction with Root Cause Analysis

IV. GAP Analysis … contd.

IV. GAP Analysis … contd.

This takes the planning team to the next stage

Force-field analysis to select SMART and champion

V. Root Cause Analysis

Root Cause Analysis …. Contd.

For any given problem there may be three types of causes.

Organizational causes – systems, processes or policies;

Root Cause Analysis ….. Contd.

Root Cause Analysis …. Contd.

Root Cause Analysis …..contd.

Having identified causal factors, now proceed to

At this step tools used in Step I could also be used

Root Cause Analysis …..contd.

VI. Force Field Analysis

Force Field Analysis (FPA) is a relatively simpler, highly

Identifying restraining forces that can prevent occurring the

Identifying the driving forces that are pushing the goal

Force Field Analysis … contd.

These usually form activities and sub-activities under the

Force Field Analysis … contd.

This is often referred as Formulation Phase of the Planning Cycle and

This is done following completion of problem analysis.

This could best be accomplished in a small group discussion with key

List the goals to be accomplished or problems to be resolved

Ask the stakeholders the two questions

Force Field Analysis …. Contd