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ED 265 158 

SP 027 182 






Pascarelli, Joseph T.; And Others 
Educational Leadership Through Proactive Planning. 
Pathways to Growth. 

Northwest Regional Educational Lab., Portland, 

National Inst, of Education (ED), Washington, DC. 
Nov 85 

54p.; For the other documents in this set, see SP 027 

Reports - Descriptive (141) — Guides - Non-Classroom 
Use (055) 

MF01/PC03 Plus Postage. 

Decision Making; ^Educational Administration; 
♦Leadership Responsibility; *Long Range Planning; 
Management Systems; ^Organizational Objectives 
IDENTIFIERS *k>roactive Planning 


A model of proactive planning is presented in this 
paper which incorporates the latest research findings related to: (1) 
environmental scanning (external); (2) long-range planning 
(internal); (3) strategic planning; and (4) educational management. 
Proactive planning as it occurs in the private sector is analyzed and 
valuable lessons which can be learned by educational leaders are 
underscored. The focus of the paper is on creating a vision as a 
leader's first role, followed by attracting people who can help 
realize that vision and share responsibility for achieving it. This 
document is one of three publications making v.p the Pathways to 
Growth series, designed to assist school leaders in planning and 
implementing organizational growth in the schools. (LR) 

* Reproductions supplied by EDRS are the best that can be made 

* from the original dociunent. 

******* ************it****1cii**1e***1e**t:1c*********lc***1c**ic****lc**lcii**1t**1c* 



Joseph T. Pascarelli^ Ed.D. 
James Carnes 

Leslie Crohn 

Prepared for the Northwest Regional Exchange 
Director: Joseph T. Pascarelli 

Northwest Regional Educational Laboratory 
300 Southwest Sixth Avenue 
Portland, Oregon 97204 
(503) 248-6800 

November 1985 

The work upon which this publication- is based was performed pursuant to 
Contract 400-83-0005 of the National Institute of Education* It does 
not, however, necessarily reflect the views of that agency. 

All wn have the stars r but they are not the 

sane things for different people. For somef 

vrbo are travelers, the stars are guides. 

For others, they are no more than little 

lights in the sky. For scholars, they are 

problems. But all these stars are silent. 

You—and you alone— Iwill] have the stars as 

no one elae has them... 

Antoine de Saint-Exupery 
The Little Prince 






Roots and Resistances of Traditional Planning 2 

Long-Range Planning and Its Limitation 4 

Strategic Planning . . • 5 


Strategic Planning in the Private Sector 21 

Shared Values 23 " 

Creating a Vision 23 

Using Clues from External Environments 24 

Proactive Planning for Educational Leaders 25 

Proactive Planning for the Schools 26 







As a way of addressing the rich variety of educational themes energing 
throughout the Northwest region, the Northwest Regional Exchange has been 
producing a collection of knowledge synthesis products over the past 
several years. These publications have served to sunmarize the most 
current and salient literature and research findings on a nuntoer of 
topi::s particularly relevant to educators in Oregon, Washington, Montana, 
Idaho ^ Alaska, and Hawaii. These publications, produced at the Northrest 
Regional Educational Laboratory include, in part: 

Global Education; State of the Art (1983) 

Designing Excellence in Secondary Vocational Education (1983) 

Tward Excellence; Student and Teacher Behaviors as Predictors 

of School Success (1983) 
The Call for School Refo rm (1983) 

State Level Goverance; Agenda for New Business or Old? (1983) 
Providing Effective Technical Assistance in Educational 
Settings (1983) 

Equitable Schooling Opportunity in a Multicultural Milieu (1983) 

•Pathways to Grcwth" represents a ne# direction for us. Three distinct 
yet interrelated topics are combined to form a set of materials which, 
when viewed as a unit, offer the greatest potential for assisting policy 
makers, administrators, and other school personnel as they go about the 
process of organizational growth, or as some would say, as they go about 


the process of school i»prove»ent. The Materials in "Pathways to Growth" 
include : 

The Expanding Role of the Teacher; A Synthesis of Practice 
and Research 

This paper looks at the ways in which the role of the teacher is 
expanding in schools across the country. The authors present 
the reasons behind such changes in the roles and 
responsibilities assigned to teachers and describe places where 
teachers are actually carrying out these expanded role». The 
knowledge base which answers the question "Why expand the 
teacher's role?" is synthesized and 5iaplications are drawn for 
future operation of schools, school '?lstrict8, and othfer 
educational agencies. 

Fulfilling the Promise; A Fresh Look at Collaboration and 

Resource Sharing in Education 
Three crucial factors which have inhibited past school 
improvement efforts are analyzed in this paper. These factors 
include; (1) promising more than can be delivered; (2) failing 
to effectively deal with the reality of limited resources; and 
3) failing to recognize and initiate opportunities for 
collaboration and resource sharing. The paper specifically 
focuses on the promise of the third factor — collaboration and 
resource sharing — to illustrate its tremendous potential for 
improving the quality of education for America's youth. Three 
case studies of comprehensive, successful collaiborative 
arrangements serve as illustrations. 


a 8 


Bducatlonal Leadership Through Proactive Planning 

A aodel of proactive planning is presented in this paper which 

incorporates the latest research findings related to: 

(1) environmental scanning (external)? (2) long-range planning 

(internal); (3) strategic planning? and (4) educational 

Banagenent. Proactive planning as it occurs in the private 

sector is analyzed and valuable lessons which can be learned by 

educational leaders are underscored. The focus of the paper is 

on creating a vision as a leader's first role, followed by 

attracting people who can help realize that vision and share 

responsibility for achieving it. 

These materials represent a sweep of emerging, dynamic, and "cutting 
edge" topics. The research bases are, as yet, unformed and incomplete. 
Therefore, the emphasis throughout the three products is on successful 
practices, success models, and case studies. We anticipate that these 
practices will beccwae the core foundation of future research studies. 

Joseph T. Pascarelli 
November 1985 





All too often, organizational planning is a flat, mechanistic, and 
technical activity that begins and, in rost cases, ends at an annual 
management retreat. In many insttiwces, an organizational mission, along 
with five to nine, broad*based goals ^ emerges froa a combination of 
on-the-spot impressions, closely-guarded vested interests, and 
too-limited views of the internal world of the organization that is 
locked in the present time frame. Following the retreat, individual 
units or departments cften break down these goals into a collection of 
discrete objectives and tasks that presumably become the bases for making 
decisions about staffing, programs, facilities, staff development, and 
budgets. The result: the production of a massive document that is made 
up of loosely-related detailed plans. At best, such plans are used by 
those who monitor task accomplishment rather than by all organizational 
levels as a basis for aligning and realigning action to fit changing 
conditions. A survey (Cohen and March, 1974) of educational 
administrators regarding the linkage between their organizational plans 
and current decisions, results in the identification of four patterns of 
responses : 

(1) "Yes, ve have a plan, it is used for capital project and 
physical locaticsn decisions." 

(2) "Yes, we have a plan. Here it is. It was made during the 
administration of our last president. We are working on a new 
one. " 

(3) "No. We do not have a plan. We should. We are working on one." 

(4) "I think there's a plan around here someplace. Miss Jones, do 
we have a copy of our comprehensive ten-year plan?" 


This condition need not continue. As a result of examining the knowledge 
bases in plarining, elements of a proactive model have been identified. 
Hhen integrated with current planning approaches in organizational 
settings, ve believe these elements yield a process that is more organic 
and dynamic in nature. Planning can become a shared adventure in 
organizational renewal, a process that binds an organization together to 
renw its sense of cowtitmentr and perhaps most significantly, to reduce 
the risks and uncertainties associated with the future. 

Roots and Resistances of Traditioral Planning 

Far will argue with the idea that an effective planning process is the 
hallmark of a successful organization. Yet consideratfle resistance to 
planning continues to exist in educational agencies as planning is viewed 
as an additional, unnecessary, and distracting process that gets in the 
way of improvement efforts. Some of this resistance can be traced back 
to the Mergence of school planning in the 1960s. 

Emanating from programs sponsored by the Departments of Defense and 
Agriculture, organizational planning quickly because part of the structure 
of the educational state and federal categoricaL programs (Hartley, 
1968). The language and tone of th^se programs were rooted in the jargon 
of program budgeting and performance measurement, both qualitative and 
quantitative. As a result, the plan itself became the goal of an 
organization and fundamentally served to pleaso an outside assessor 
rather than being a practical working tool to guide the organization in 
accomplishing its v?rk. 


This led to nisunder^tatidings, the use of inappropriate processes, and 
finally, resistance (Knexevich, 1973), For one thing, those affected by 
the planning process were not involved in the setting of goals and 
objectives. Further, goals were too lofty and vague for constituents to 
take seriously. Closed, top-down, goal-setting processes were used. And 
finally, objectives were set at* such finite levels that words like 
measurable, observable, and demonstrable became meaningless in the world 
of application. Even in the best of cases, where planning helped local 
improvement efforts by identifying a need for change, the natural 
resistance to change surfaced. Finally, traditional planning failed to 
consider or adjust to changes in an orgwization's external environment 
such as reductions in staff, changing student populatims, staff turnover 
or lack of, and results of forecasting efforts. In short, planning 
emanated as an imposed, top-down means to formulate a systenwide 
philosoj*y, general goals, and instructional objectives primarily for the 
purposes of accountability (Hartley, 1968). And in some cases, these 
panning means were legislated. One example of this situation occurred 
in the state of New Jersey with the implementation of the Thorough and 
Efficient legislation and the requirement that every school district 
develop districtwide goals, conduct a formeO. needs assessment process, 
and be monitored for. purposes of accountability. This type of legislated 
planning occurred again in California with the development of the School 
improvement Program in which districts had to address deficiencies 
identified in a needs assessment program. 


Lonci-Ranqe Planning and Its Limitation 

Moat educational enterprises are engaged in long-range planning which 
tends to focxxB on the final blueprint of a plan and organizational goals 
and objectives five years from now. One obvious benefit of long-range 
planning is that it looks beyond the present and attempts to project by 
using such techniques as forecuting or futures scenarios* usually 
organized as a separate and distinct function however, long-range 
planning stresses internal analysis • By applying quantitative methods, 
attention is given to such factors as internal resource and staff 
requirements over the neXv. five years. Usually, an organizational 
mission is identified along with priorities and long-range program 
additions and/or deletions. 

One key limitation of long-range planning is that it holds an inside-out 
perspective. That is, its pivotal base is the organization and the 
present. Long-range planning tends not to include, on a systematic 
basis, information about the changing external environment, but rather, 
bases planning on information learned from the past and inmediate 
present. Thus, xong-range planning is not cast in the future (for . 
example, taking trends, shifts, etc., into account) Long-range planning 
addresses four fundamental questions which in themselves speak to sound 
planning issues but are grounded in the here and now as a starting point 
for growth. These fundzunentad questions include (Morrison and Renfro, 
1984) : 

(1) Where is the organization now? (needs assessment) 

(2) Wiere is it going? (forecasting) 

1972s 4 23 

(3) Where does it want to go? (goal-setting) 

( 4) Ifhat does it have to do to change where it is going to where it 
wants to go? (change process or action plan) 

More specifically, long-range planning can viewed as a continuing and 
cyclical process: 

The long-range planning cycle begins by MONITORING 
selected trends o£ interest to the organization, 
FORECASTING the future of those trends normally based 
on extrapolation from historical data (using 
regression or other techniques), SETTING 
ORGANIZATIONAL GOALS in response to these forecasts, 
IMPLEMENTING operational plws based on these goals, 
and MONITORING the effect of these plems on those 
selected trends and issues (Morrison and Renfro, 1984) • 

While these eleronts reflect sound planning processes, they roust be 
merged with other elements found in the research on strategic planning to 
enhance the capability of organizations to plan more effectively in a 
changing world. 

Strategic Planning 

While long-range planning may be viewed as an "inside-cut" and 
operational planning process, strategic planning starts with a vision and 
is at once cast in a frame of reference that enables organizations to 
identify desired conditions first. Thus, strategic planning moves 
trad^.tional and long-range planning off dead center (the present) and 
aims to exploit the new and different opportunities of tomorrow, in 
oontrart to long-range planning, which tries to optimize for tomorrow the 
trendte of today (Drucker, 1980). With strategic planning, current and 
projected trends are used to make current and not future decisions. In 
light of environmental considerations, strategic planning makes explicit 
what the organization will have to do to accomplish its purposes. 





We can further contrast long-range and strategic plemning by looking at 
their respected timelines: long-range planning assunes a closed system 
within which short-range, five-to-ten year blueprints are constructed, 
whereas strategic planning assumes an open system whereby organizations 
must constantly change as they integrate information from turbulent 
environments (Cope, 1981). As a result, long-range planning focuses on 
the final blueprint of a plan, while strategic planning focuses on the 
process of planning. Figure 1 on the next page illustrates the contrasts 
between these two planning approaches. 

One definition of strategic planning states that it is "the process of 
developing and maintaining a strategic fit between the organization and 
its changing marketing oE?>or tun i ties" (Murphy, 1981). Strategic 
planning, then, is an "organ izationwide process that anticipates the 
futurer and culminates in statements of intention that match strengths 
with opportunities and the management of threats" (Morrison and Renfro, 
1884). In other words, with strategic planning, organizations can look 
toward the prcAable future to reach decisions and then cast those 
decisions into an overall institutional strategy (Keller, 1983). 

Ingram (1985) states that strategic planning is a process for: 

(1) Identifying the purpose or mission of an organization 

(2) Recognizing internal and external factors that do or can affect 
the organization 

(3) Analyzing those factors to determine the effects they do or will 
have on the organization's ability to accomplish its mission 

1972s 6 15 

Figure 1 

Characteristics of Long-range Planning 
Contrasted to Characteristics of Strategic Planning 

Long-Range Planning 

Trends of today are used to plan 
for tomorrow. 

A closed system is assumed. 

Short-ranger five-to-ten year 
blueprints are constructed. 

The focus is on a final blueprint 
of a plan. 

The focus is on internal analysis — 
applying quantitative fornulas 
and models for the development and 
distribution of resources. 

Existing data are used to project 
future plans. 

Tie emphasis is on the science of 
management, planning and decision 

A scientific process is ^ployed » 
using detailed and interrelated 
data sets, agency plans, and 
extrapolations of current budgets. 

Strategic Planning 

New and different opportunities of 
tomorrow are exploited. 

An open system is assumed. 

Plans are constantly modified as new 
information from changing environ- 
ments is integrated. 

The focus is on the process of 

The focus is on the external envi- 
ronment and judgmental decisions — 
applying qualitative information for 
resource commitments. 

Current and projected trends are 
used to make current (not future) 
decis ions. 

The emphasis is on changes outside 
the organization, such as vadues, 
governmental actions, and what 
other agencies and organizations 
are likely to do. 

An intuitive, creative process of 
decision making is employed, to 
determine how to guide the organiz- 
ation over time in a turbulent 

(Adapted from Morrisc»i and Renfro, 1984.) 

1972s 7 16 

(4) Developing strategies (a game plan) for dealing with them 

( S) Instituting action plans to carry out those strategies and 
achieve the mission 

The research delineates five major elements of strategic planningj 

(1) esteUdlishing a vision; (2) external scanning; (3) internal analysis; 

(4) establishing a mission; and (5) developing goals. Each of these is 

discussed in the following. 


Blement Mo. 1; Bstablishing a vision 

Although not identified as a primary element in most models of strategic 
planning, we feel this element, which is more attitudinal in nature, is 
also crucial. Establishing a vision is a proactive stance taken by 
organizational leaders who begin by sharing their dreams related to the 
future goals, activities, and accomplishments of the organization. 
Establishing a vision occurs when managers ask such questions eis "Where 
do we want to be?," "What do we want to look like?," and "How can we 
create our future?" In other words, establishing a vision involves an 
organization in self-examination and is, therefore, less analytical and 
more anticipatory amd stimulating. Establishing a vision involves: 

(1) Creating a focus, to keep an organization on track 

(2) Articulating intentions and calling people into the organization 

(3) Committing oneself as a leader at the head of an organization 

(4) Taking risks and motivating others to follow 

(5} Establishing confidence among employees that they are capable 
and a valuable asset to the organization 

(6) Hotivating and moving people into action 

(7) Discovering possibilities, reading signs of coming change, 
exploring ways to prepare for the future 

(8) Leading an organization with zest, enthusiasm, and energy 
1972s 8 17 

Ble—nt Wo> 2: Scanning the Bnvlroiuiftnt 

The second element in strategic planning has to do with identifying the 
social, political, econc^ic, and educationeiL forces in the environment so 
the organization can "fit in" or "mesh" with the external context. 
Environmental scanning helps managers align the organization; that is, 
environmental scanning helps managers identify the external factors that 
do or can affect the organization and then analyze those factors as they 
do or will affect the organization's ability to accomplish its mission. 
In education, environmental scanning has to do with looking at the 
effects of such conditions as fewer teachers, increasing or decreasing 
student populations, public demand for a better trained work force, 
reduced parental involvement with the schools, population shifts, and so 
on. Environmental scanning raises three basic questions (Murphy, 1981): 

(1) Hhat are the major trends in the environment? 

(2) What are the implications of these trends for the organization? 

(3) What are the most significant opportunities and threats? 

The purpose of environmental scanning is to develop a picture of the roost 
significant external factors that will affect an organization and around 
which that organization will formulate its future goals, strategies, 
structures, and systems. Environmental scanning is not futuring, nor is 
it developing future scenarios. It involves the study of certain shifts 
in the external world, such as the following: 

( 1) Pram centralization to decentralization 

( 2) Prom basic skills to higher order teaching skills 

( 3) Pron analysis to synthesis 

( 4) Pro« cultivating permanence to cultivating iraperroanence 

' 18 

( 5} From autonony to synergy 

( 6) Prom free standing or independent structures to interactive 

( 7) From mechanistic to organic 

( 8) From linear to dyneunic 

( 9) Fro© top-down to participating 

(10) From uniformity to diversity 

Put another way^ enviromnental scanning identifies: 

(1) Economic trends such as those which have to do with worker 
productivity^ employment, and technology 

(2) Social trends such as those which have to do with demographic 
shifts, and changes in the family unit 

(3) Personal trends such as those which have to do with greater 
demands for sensitivity and interpersonal skills 

(4) Political trends such as those which have to do with public 
support, or lack of support, for bond issues; the decreasing 
role of the government at state and local levels 

One way to deal with these types of trends is through a threat and 
opportunity analysis (Muri^y, 1981). Murphy defines an environmental 
threat thusly: "•••a challenge posed by an unfavorable trend or specific 
disturbance in the environment that would lead, in the absence of 
^rposeful action, to the stagnation, decline, or demise of an 
organization or one of its programs." Since not all threats are of the 
same magnitude, they will not demand the same action. Murphy (1981) 
notes that school administrators should assess each threat according to 
tao dimensions: (1) the severity of the threat (measured by how much it 
would cost the organization in terms of money or prestige; and (2) the 
probability that the threat will actually occur. 


10 19 

Murphy (1981) suggests that an opportunity analysis can be aora important 
than threat analysis to an organization. In carrying out a threat 
analysis, an organization can maintain status quo, but it will not move 
forward. In contrast, carrying out an opportunity analysis allows an 
organization to move ahead and take risks. Murphy (1981) defines an 
opportunity analysis thusly: ■; attractive area of relevant action 
in which a particular organization is likely to enjoy superior 
competitive advantages." Further, Murphy contends, m opportunity can be 
assessed on two dimensions: (1) the potential attractiveness of the 
opportunity (measured by how much the organization might profit from the 
opportunity; and (2) the probability that the organization can 
successfully take advantage of the opportunity. 

To sum, environmental scanning differs from the comprehensive, analytical 
process most organ izatiwis are familiar with. Managers who are 
successful at scemning the environment to determine future and current 
trends, are able to identify those external factors that can dramatically 
affect the organization. They are then able to analyze those factors in 
terms of har they will affect the organization's ability to accomplish 
its mission. 

Element Mo. 3; Internal Resource Analysis 

The third element in the strategic planning process has to do with 
identifying the strengths and weaknesses of an organization, and follows 
the environmental analysis. Some might call this step an "internal 
audit." This type of analysis studies the current situation of an 
organization in terms of available resources; that is, the analysis looks 
at staffing, student needs, resource allocation, staff and administrative 

evaluation data, facilitating coosnunity support groups, student 
achievement data, program offerings, organizational and management 
structures and so on. Murphy (1981) relates this internal resource 
analyzing element to his overall process of strategic planning in 
Figure 2, shown on the next page* 




Figure 2: Strategic Planning Process Model 

Bnviconm»ntaI Analyaia 

^ Internal environment 

• Market environment 

• Competitive environment|^ 

• Publ ic . env ir onmen t 

• Mac roenvir onmen t 
(Threat & Opportunity 

Analys is) 

Resource Analysis 

• Personal 

• Funds 

• Facilities 
(Strengths & Weaknesses 


(5oal Formulation 

• Mission 

• Objectives 

• Goals 

Strategy Formulation 

• Academic Portfolio 


• Product Market 


Organization Design 

• Organization 

• People 

• Culture 

Systems Design 

• Information 

• Planning 

• Control 

Source: Murphy, Patrick E. 'Strategic Planning for Higher Education, 
Journal of Higher Education ^ Vol. 52, No. 5, 1981. 







The critical aspect of this eleitent is that it is present-oriented* It 
answers the questions "What do we have going for us?" and •W^at are we 
lacking or weak in?" In evaluating their strengths and weaknesses, 
adninistrators should not rely exclusively on their own perceptions, but 
rather, should initiate an iaage study of hew the organization is 
perceived by its significant publics, such as students, parents, business 
and industry, and others* The findings of this type of study may reveal 
that the organization has certain strengths and weaknesses it nay not 
even be aiare of* The study may also reveal that administrators have 
placed too great an enp^,)asis on sone strengths or weaknesses or 
exaggerated others — perceptions the various publics nay not share. 

Kleaent Ho* 4: Identifying the Mission 

So far in the strategic planning process, a vision has been established 
from the external and internal analyses Administrators are now in a 
position to articulate the mission of the organization, out of which will 
come the goals (Element Ho. 5)* Murphy (1981) contends that a useful way 
for school administrators to examine their mission is for th^ to answer 
the following questions: 

(1) What is our business? 

(2) Who is the customer? 

(3) What is our value to the customer? 

(4) What will our business be? 

{ 5) What should our business be? 

Answering such questions may appear simple and obvious, yet school 
administrators often find them to be among the toughest questions they 


19728 • 14 

have to face. Successful administrators are those who continuously ask 
and answer these questions thoughtfully and thoroughly (Murphy, 1981) • 

Responses to such questions result in a statement of mission for the 
organization, which identifies the design and purpose of that 
organization. The statement of mission also determines how resources 
will be allocated to different and changing demands. In this sense, the 
mission statement is the "glue" of the organization as it keeps 
organization members from floundering — searching for a common and binding 

It's important to note that statements of mission are not designed to 
"express concrete ends, but rather, to provide motivation, general 
direction, an image, a tone, or a philosophy to guide the enterprise" 
(Steiner, 1979). In all cases, developing statements of mission must 
include the direct involvement of top management. 

Many statements of mission developed by organizations are somewhat vague 
in nature. Hcvever, this can be seen as a virtue as vagueness allows for 
flexibility in a changing environment. Most important, all statements of 
mission must be written and communicated widely to individuals and groups 
in the community. 

Finally, statements of mission help to crystallize a school or district's 
focus? they contribute to the overall effectiveness of an educational 
organization by leading to the next element in the strategic planning 
process — the development of goals. 

ERIC 25 

BBBMB ^^^^^ , IS. . 

Bltacnt no. 5t Goal fbrilation 

The enviroweent and resource analyses provide school administrators with 
necessary background and stimulus to develop basic organizational goals 
and objectives. Though the goals »ay be clear during the formative years 
of the organization, they will need to be reassessed and reviewed as 
environmental conditions change. A review of organizational goals can 
satisfy school leaders that the goa^ i are still clear, relevant, and 
effective (Murphy, 1981). 

The importance of goals to an organization is that they help create a 
clear and realistic picture about the nature and function of that 
organization and its future. Goals also help school leaders set 
priorities and directions; develop appropriate plana; set standards for 
performance; and develop procedures for evala^ting the results. 
Therefore, goals set the standard whereby school leaders are able to 
plan, control, and monitor activities. 

Murphy (1981) notes that the issue of organizational goals breaks into 
two distinct steps: (1) dete raining what the current goals are; and (2) 
determining what the goals should be. Individuals and groups within an 
organization will bring diverse perspectives to the formulation of goals, 
baaed primarily on their roles and responsibilities. For instance, a 
curriculum director may see as a major goal the upgrading of curriculum 
scope and sequence; the principal may see as a major goal the addition of 
more science and math teachers; and a district superintendent may see as 
a major goal decreased costs of education. Therefore, continuous review 
and revision of goals requires the involvement of many individuals and 
groups tx> determine thsir unique perceptions. Such Insights are not only 

ERIC 26 

iB^aa 19728 16 

valuable, but the goals are more likely to be embraced and supported 
because of group involvement in the process (Murphy^ 1981) • 

After organisational goals have been determined and agreed upon, the next 
steps in the planning process are the establishment of objectives and the 
development of action plans. These stages are direct outgrowths of 
long-range planning rather than unique to strategic planning. Hovever, 
the elements identified in the preceding discussion are those which are 
key to the strategic planning process, and give shape to the proactive 
and continuous nature of planning. 

A major difference between the long-range planning process and the 
strategic planning process is that strategic planning is more flexible 
and adaptive and allows for the testing of ideas. Strategic planning 
allcws for the continuous adaptation to changes in the environment. 
Strategic planning is a highly interactive process. It includes routine 
scanning of the literature, practices, and trends; continuous surveying 
of a variety of groups for information and attitudes; and frequent 
analyzing of the organization's level of fitness to be relevant and 
responsive. In short, strategic planning goes a step further than 
long-range planning by allowing the organization to become active in 
shaping its future. 

Figure 3 on the next page displays one strategic planning model for 
school systems taking technical and human dimensions into account. 


Figure 3 

A Strategic Planning Model for School Syateas 
Technical Di»enaion 

Huaan Diaenaion 

Key Stepa 

Key Questions 

Determining the Functions 
and Scope of Schools 

Who are our clients? 

What are their needs, wants? 

What business are we in? (To what do we allocate 

Catalytic force for change 

Situation Analysis 

Who is competing for resources? 
Who is the educational competition? 

Group processes 

Planning AsBumptions 

What economic, social, and technological trends are 
likely to prevail over the next five to ten years? 

What trends in education are likely to affect the 
public schools? 

Collaborative problem 
solving and decision 

Planning Contingencies 

What resources are likely to be available to schools? 

What positive forces are likely to exist? 

What constraints or negative forces are likely to exist? 

Maintenance of momentum, 
direction, climate 

Planning Objectives 

Row can schools respond more effectively to the needs 
of clients within the context of environmental 
factorSf assumptions, and contingencies? 

How can productivity be improved? 

Mechanisms for management of 
relationships, conflict 


What steps should be taken now, or later r to respond 
to the questions in the above section? 

Personal and organizational 
understanding of, and 
commitment to, the 
strategic plan 

Resources Required 

What resources are needed now? Later? In what 
amounts? Ho^ allocated 

Monitoring and Evaluation 

iX r — : rz rTTT ' 

Do assumptions remain operant? Contingencies? 
Are objectives still relevant? 
Are strategies still productive? 

Is resource allocation adequate and/or appropriately 

ERJC liuqugt 1984 r pp. 6-8. 

"What Business Are We In?* The School Administrator. 


Once the educational leader has a clear understanding of what strategic 
planning is, and is not, it becoaes apparent that an important dijiension 
is missing. As professionals, educational leaders bring to their roles 
additional complexities. The traditional description of strategic 
planning^ as an overlap of long«*range planning and environmental 
scanning, falls short of describing the activities that must occur if 
educational leaders are to make use of that model. When educational 
management activities are overlaid on the strategic planning model, the 
result is a more relevant and encoeqpassing model which can more 
appropriately be called PROACTIVE PIANHI196. 

While strategic plans might be described in terms of roadmaps with fixed 
pathways to specific, destinations, a sailing metaphor better describes 
proactive planning: 

The educational leader, as captain of the sailing vessel, chooses a 
destination and plots a course on the ship's charts. Once under sail, 
however, the captain must constantly make adjustments to sea currents, 
changing winds, the ebb and flow of the tides, and other conditions that 
may affect the course of the ship. The captain is at once reactive and 
proactive. The captain realizes the present set of conditions, and is 
aware of the anticipated conditions; therefore, the captain makes 
adjustments in the rigging of the sails and the angle of the tiller in 
response to existing requiranents, but never loses sight of the ultimate 




destination and the projected conditions to which adjustments are made. 
The actual path of the sailing vessel may have only a general resemblance 
to the charted course. Hcirever, the destination is reached. 

It is because of the proactive nature of the planning^ with its 
concomitant allowance for continuous adjustments according to existing 
and projected conditions, that the captain is able to finally arrive at 
the chosen destination. Without belaboring the metaphor, suffice it to 
say that many is the day that educational leaders may find themselves in 
turbulent waters, unable to rely on their charted courses, but able to 
make necessary adjustments to keep their organizations moving toward 
their destinations only because proactive planning heis allowed them to do 

• Strategic planning is not new to the educational leader. In the 
military, sports, and businera the concept has been applied for years. 
What makes it important for educational leaders to consider at this time 
is the acknowledgement that our society is changing from an industrial 
base to an information base, and that we cannot continue to ignore 
existing conditions, nor anticipated conditions. Through proactive 
planning, educational leaders can address the future with confidence and 
a sense of professionalism as illustrated on the next page (Figure 4) . 




Figure 4 


• Action plans based on professional judgments of 
educational leaders 

• Planning before necessity requires it 

e Plans of action built on positive responses to 
anticipated requirements 

• Plans designed to su^rt the education of students for 
the future 

• An ongoing process by which educational leaders adjust 
"proactive managaMent* to changing conditions' 

• A projection of future external and internal influences 
on the educational system 

• A forward-looking planning system which allows the future 
to haj^n for the institution, not to the institution 

1972s 20 32 ^0 

strategic planning is like trying to walk on water to reach the 
destination on the other side of the river; proactive planning, in 
contrast, is knowing where the stepping stones are. For the educational 
leader, proactive planning requires bringing the science and art of 
proactive educational mnageioent to bur upon the strategic plans o£ the 
school district. It requires the judicious use of intuition, 
professional judgment, understanding of the humanness o£ the enterprise, 
and idealism. Strategic planning requires the simultaneous application 
o£ the principles o£ proactive management in the planning and operation 
of the schools. Through proactive planning and management, educational 


Some valuable lessons can be learned by educational leaders from the 
private sector experiences with strategic planning and related activities. 

The military metephor implied in strategic planning limits our ability to 
think about management sensibly, according to Peters and 
Waterman (1982) in citing Karl Weik's conclusions: 

First, the use o£ the military metephor assumes that 
someone clearly wins and someone else clearly 
loses. In business, this is usually not the case. 
Second, ffeik argues that the militery metephor is a 
bad choice because people solve problems by analogy, 
and as long as they use the military analogue, "It 
£orces people to entertein a very limited set of 
solutions to solve ^ny problem and a very limited 
set of ways to organize themselves." 

While planning is important, care must be teken not to overdo it. A 
frequent sign of planning abuse is "paralysis by analysis". Some chief 
executive officers of major corporations suggest that once the plan is 

leadership becomes holistic. 


21 33 


developed, that plan should be put on the shelf, not to be used for 
decision making purposes, but to recognize change as it takes place. 
Horever, these sane CEOs recognize that it is essential to at least 
commit the plan to paper. 

One of the most striking observations of excellent companies is that they 
appear to "do their way into strategies, not vice versa." According to 
James Brian Quinn, a leading researcher of the strategic process, this 
means the role of a leader is one of labeler and orch^strator, of shaping 
actions, usually after the fact, into lasting commitment to a nmn 
strategic direction. In other words, excellent CQmp2mies act, then 
develop their goals and targets. 

Peters and Waterman (1982) believe that the major reason big companies 
stop innovating is due to their dependence on a number of mismanagements 
like rigid strategic direction setting. Thus, some of the big companies 
forget hov to learn and quit tolerating mistakes: 

The experimenting process is almost t evolutionary. 
It values action above planning, doing above 
thinking, the concrete above the abstract. It 
suggests, in a very Zen-like fashion, going with the 
flcv: doable [ aid tasks, starting with the easiest 
and most ready targets, looking for malleable 
champions rather than recalcitrant naysayers. 

"Strategic" is an overused word that has become an automatic modifier to 
planning. However, it does convey an important idea in the <Aange 
process— deliberate and conscious articulation of a direction. Strong 
leaders articulate direction, and create a vision of a possible future 
that allows them and others to knew which actions will lead to the gocls 
(Kanter, 1983} • 

ERIC 34 

W72S ^,,22, . _ ^- . . 


A fai key values can drive an organization to excellence, especially when 
employees are given the autonomy to take initiatives in support of those 
values. Autonomy is a product of discipline. The discipline (a fei# 
shared values) provides the framework. Discipline gives people 
confidence (to experiment, for Instance) stemming from stable * 
expectations about what reaaiy counts (Peters and Waterman, 1982). 

Companies that do focus on a few key business values have less need for 
daily instructions. Their values are clear, and they are acted out at 
all levels of the organization. It is not merely the articulation of 
those values, but their content which makes it clear whao the company 
stands for. This is the role of the leader: clarifying the value system 
and breathing life into it. 

In successful companies there is a balance between individual effort on 
the one hand and teawork on the other. A large company cannot succeed 
if each division goes off entirely on its own; there must be some 
team^^ork among divisions (Ouchi, 1984). It is obvious that excellent 
companies seem to have developed cultures that have incorporated the 
values and practices of the great leaders. Those shared values have 
survived long after the passing of the original leader. Therefore, it 
appears that the real role of the chief executive is to manage the values 
of the organization. 


Creating a vision for the organization is the leader's first role, 
followed by attracting people who can help realize that vision by 

er|c oc, 

vaa^ 1972s 23. 35 

adopting the vision as their oun and sharing responsibility for achieving 

The following list characterizes the concept of vision as Naisbitt and 


Abut dene (1985) allude to it in Re-inventing the Corporation: 

• The leader who would create a vision sufficiently compelling to 
motivate associates to superior performances must drw on the 
intuitive mind. 

• Successful leaders are concerm^rd not with "doing things right" but 
with "doing the right thing." 

• Alignment transforms a leader's vision into a shared corporate 

• The only way to translate vision and alignment into people's 
day-to-day behavior is by grounding these lofty concepts in the 
ccHnpany's day-to-day environment. 

• Alignment exists when there is a fit, a meshing between the 
company's goals and the individual's. 

• Hhen you identii^ with your company's purpose, when you experience 
Ofnership in a shared vision, you find yourself doing your life's 
work instead of just doing time. 

• When there is a synergistic relationship between your goals and 
the conpany's, your power to achieve personal goals is amyiified 
by the corporation. 

• Vision is the link between dream and action. 


While long-range planning is basically responsive to the conditions 
within the organization, the addition of environmental scanning of 
external conditions which effect the organization produces strategic 

In excellent companies, customers have input into every aspect of the 
business. The excellent companies really are close to their customers. 
Other companies talk about it, but excellent companies do it (Peters and 


Waterman, 1982). This external focus Mkes these companies extremely 
sensitive to the environment and more able to adapt than the 
oompetition. In other words, innovative companies are adroit at making 
continuous responses to changes of any sort in their environments. 

By listening to their cus tome rs and responding to the external 
environments, the excellent companies are inviting the customers into the 
company — a mutual partnership is the result. 

Ibgether with the need to scan the external environmeats whi<A affect the 
corporation, effective managers are recognizing that they must trust 
their guts more often in making key business decisions. Intuition is 
becoming increasingly valuable in the new information society because so 
many data are available. 

James MacGregor Burns (1978) has posited another, less frequently 
occurring form of leadership, something which he calls "transforming 
leader ship'*~leader ship that builds on a person's need for meaning; 
leadership that creates institutional purpose. Burns sees the 
transforming leader as someone who is also the mentor, the linguist, the 
value shaper, the exemplar, and the maker of meanings. The 
transformational leader, according to Burns, has a tougher job than the 
transactional leader, as the transformational leader is the true artist 
and the true pathfinder. 


Why do educational leaders need to be proactive planners? Naisbitt and 
Aburdene, in Re-Inventing the Corporation (1985), discuss the trends that 





are influencing the future of American education* They suggest that 
today's educational system was never meant to serve the needs of today's 
information society^ but rather^ was explicitly designed to fit the 
industrial society, a tine when "it made sense to treat everyone the 
same" (Naisbitt and Aburdene, 1985). Further, Haisbitt and Aburdene warn 
that to continue the type of education developed during the Industrial 
Age is to ill-equip young people to function in the Information Age. 
These authors note that the most creative educators and schools are those 
who are "experimenting with new mnj^ls, grouping for the new ways and new 
arrangements that make sense now." They go on to say, "Once we accept the 
challenge of re-inventing education, we are free to stop justifying our 
failures and move ahead to the creative part, which asks, 'Where do I go 
from here?'" (Naisbitt and Aburdene, 1985). 


Proactive planning is not a prescription or formula, it is a management 
style. As Ingram (1985) says, "It (strategic planning! is a process for 
being proactive and not allowing the people in an organization to view 
themselves as victims. It is what good coaches do in devising a system 
and building a team that can win; what outstanding musical conductors do 
in building and training a great orchestra; what reliable admirals and 
generals do in figuring out how to win a war; what scientists do in order 
to put a man or woman on the moon; and what successful business people do 
in making a profit." 

Proactive plauining is what educational leaders must do to develop a 
syst^ of education for the future that is responsive to the needs of the 
new students of the information age. It begins not where we are, but 

^.^^ 19728 26 38 ' ' 

with a vision of where we want to be; a vision of what education should 
be like. 

School districts gust visualize where they want to be, what they want to 
look like, set out to identify the social, political, economic and 
educational forces in their environnents, and establish a plan to control 
and manage those factors in terms of achieving their goals (Ingram, 1985). 

Public sector institutions such as sdiools face unique problems that make 
strategic planning efforts more challenging than in the private sector. 
According to Duckworth and Rranyik (1984) , major problems schools Mist 
face include politics, lack of leadership continuity, and constantly 
changing public demands for services based on special interests. Other 
problems as discussed by Duckworth and Rranyik (1984) include those that 
stem from the nature of teaching and learning as well as difficulties in 
defining priority learning outcomes and their subsequent evaluation. 

The case for proactive planning is strengthened by all these factors. 
Without proactive planning, external forces that affect school systems 
are dealt with randomly, rather than in an interconnected, holistic way. 

1972s 27 39 



Strategic planning approaches are increasingly found in educational 
organizations. In this section, we briefly present sone of these 
aK>roachesr including two school districts, a community college in 
Albany, Oregon, and a group of colleges in the state of California. 

Jefferson County Public Schools in Lakewood, Colorado, has been actively 
using strategic planning processes for over a year and a half. Oie 
assistant superintendent described the strategic planning process as a 
way of thinking; that is, he noted that it is imbedded in the processes 
of problem solving. Strategic planning in the Jefferson County school 
system has helped the district clari^ its mission and goals and become 
more skilled in the processes of ongoing change. The goal is to assist 
members of the scdiool system to think mDre strategically, thereby making 
the orgmization more responsive to changing conditions. 

A similar pioneering effort is underway in Detroit Public Schools where a 
shift has beei made from decentralization to recentralization. An 
underlying motive for the shift, according to one assistant 
superintendent, is to move Detroit from a reactive position into a more 
proactive position. District staff began work by searching the 
literature for models of strategic planning currently found in other 
organizations? however, few mDdels were found that directly related to 
long-range planning in a large urban school district. Therefore, for the 
most part, Detroit had to devise its own system. 

1972» 28 40 

The district is currently Midhiay in their efforts to develop a general 
direction, broad goal sUtements, and a workable plan* lb date, the 
district has completed the following (Dronka, 1985): (1) scanned 
external factors on national, state, and local levels; (2) analyzed the 
school system's internal status (finances, personnel, student profiles, 
and so on); (3) produced a key stakeholder's .report from surveys, 
meetings, and interviews with parents, cooamunity groups, students, school 
staff m^ers, board members, and the business community; and (4) formed 
a 12-member planning team comprised of the superintendent and top 
advisers. At a November, 1984, retreat, the planning team sifted through 
the data, drafted a mission statement, and set five district goals. 

The next step in the strategic planning process is arK>ther retreat 
planned with the board of education to solicit their feedback on 
accomplishments to date. This retreat will be followed by another at 
which time district goals will be finalized and measurable objectives 
will be developed. The plan is scheduled for completion during the 
summer of 1986. 

At Linn-Benton Community College (LBCC) in Albany, Oregon, a strategic 
planning process has been incorporated as part of overall managerial 
functions of that institution. The LBCC approach differs somewhat from 
the traditional long-range planning models typically used in educational 

Educational leaders at IBCC recognized that planning was a necessary part 
of management and therefore divided it into special areas such as 
facilities, construction, financial, and instruction and curriculum. 

which includes staffing and nanagement staffing with prescribed 
functions, LBCC chose to avoid the pitfall of developing a long-range 
plan as the culmination of the work of a oownittee (or full-time planner) 
which is then not used because the plan becomes outdated as conditions 
change. i£CC officials decided that it was imperative to use planning 
techniques which would stabilize a quality communiti' college in a highly 
unstable environment. They chose strategic planning as a process for 
management to consider when faced with planning for the future. 
Strategic planning or decision making at LBCC incorporates an analysis of 
the external environment ard focuses on keeping the institution in step 
with the changing environment. It requires a careful inward review of 
the campus and x review of the outside world. 

IBCC management developed a strategic plan using a set of planning 
assumptions which formed the basis for future refinement and review by a 
Blue RibbOT Citizen Comaittee and the Institution Advisory Council, In 
addition to this plan, information compiled by a market research 
consultant and additional statistical information was used to assist in 
formulating strategic decisions with respect to the future of LBCC. A 
comprehensive review of the role and mission of IBCC was accomplished and 
a review of the instructional program was completed. 

The IfiCC strategic planning process used input and information from a 
variety of sources both internal and external to the college. According 
to Gonzeaes and Thomas (1984), the advisory planning team has the 
following primary responsibilities: 

• Tb develop a {Strategic plan using community and internal 
assessment which translates into an action plan for campus 

• To develop ongoing mechanisms for oonmunity involvement in planning 

• To develop a financial plan that folloiifs the strategic planning 

This planning is a collaborative process of four groups: (1) admin- 
istrative staff; (2) community advisory council (Blue Ribbon Committee) ; 
(3) institutional advisory council; and (4) board planning committee. 
The planning process and the work of these committees take place 
simultaneously and it is viewed from that perspective. It is not a 
step-by-step linear process. The strategic planning process requires 
open communication and consensus toward the end result of strengthening 
LBCC and providing for its future. 

Another approach to strategic planning is found in a group of colleges in 
California — San Francisco COTmunity College District, Long Beach City 
College, Riverside City College, and the Yosemite Community College 

In 1982, the Educational Master Plan Project was launched in San 
Francisco Caranunity College District (SFCCD). Now, at the beginning of 
1986, this large-scale, complex project in comprehensive strategic 
planning is in full operation. The emphasis is on the process of 
planning and stemmed from a need by district staff to thoroughly 
understand themselves so they could anticipate change and "respond 
flexibly and effectively in order to maintain institutional vitality, 
quality, and a competitive edge" (Models of Strategic Planning in 
Community Colleges, 1983). The focus of the plan was to demonstrate 
accountability and document the quality and prod ictivity of college 

programs as well as to develop a plan for resource allocation in a 
changing and uncertain environment. 

The plan has led to extensive statements of mission and goals and the 
implementation of a "conprehensive strategic planning process that 
flexibly and responsibly connects program review^ budgeting^ and 
accreditation processes" (Models of Strategic Planning in Community 
Colleges, 1983). 

The key assumptions underlying the plan included: 

(1) The process of planning would be continuous, systematic, and 

(2) The process would be flexible and open to change. 

( 3) The process would encourage broad-based participation by all 
relevant constituencies in the district to maximize "ownership." 

(4) The process would model strategic, comprehensive planning, using 
data gathered from the district's external eivironment and from 
internal organizational operations. 

(5) The process would include future orientation, a stipulated time 
frame^ allocation of resources, and top-^level support. 

(6) The process would have as an outcome the foundation for making 
decisions related to resource/budget allocations, staffs 
facilities, educational programs and services, and the future 
directions of the district, 

(7) The process would include information gathering and 
dissemination, program reviar, budgeting and planning and be 
integrally interwoven into the organizational life of the 

The long Beach City College (LBCC) approach to strategic planning was 
geared to opening up communication among several constituencies on 
campus, as it was believed that without strong administrative support, 
planning cannot work. Rather than appointing one person as a planner. 



the approach was to involve a large number of staff in as many roles and 
activities as possible. The aim was to develop a continuous system that 
would operate smoothly through the five-year review of the Accrediting 
Commission and would, therefore, be an ongoing, functioning process. 

The key assumptions underlying the plan included: 

(1) The process would be ongoing. 

(2) The process would encourage open communication. 

(3) The process would include a strong commitment from all segments 
of the college. 

(4) The process would involve planning facilitators working directly 
with the various constituencies who woxild make up nine 
committees (organized around the nine accreditation standards). 

(5) The process would involve the formation of committees with both 
horizontal balance (sex, college area, campus division r 
ethnicity) and vertical balance (faculty, classified personnel, 
managers and students) . 

(6) The process would involve five environmental scan teams that 
would produce futures assumptions in such areas as lifestyle, 
demography, «nployment, public policy, and education. 

The result of the LBCX; strategic planning process has been a "^consensus 
on perspective" among the leadership of all college constituencies. 
Specifically, this leadership basically agrees on the following (Models 
of Strategic Planning in Community Colleges, 1983) : 

(1) The college is facing a serious fiscal problem. 

(2) The world has changed significantly; therefore, colleges cannot 
do "business as usual." 

(3) A clear direction is necessary for colleges to survive and 
preserve their autonomy. 

(4) Strong administrative leadership is necessary in the formulation 
of a future direction. 


At Riversid^^ City College (RCC) , a strategic planning process is underway 
that focuses on excellence^ pride^ and innovation in a climate that helps 
create cohesion. At an annual retreat^ college achievements^ based on 
established outcomes, are noted as they relate to creating a positive 
climate. The outcoiwes approach establishes targets, gets results, and 
keeps ROC on the move (Models of Strategic Planning in Community 
Colleges, 1983). The outcomes approach also introduces the concept of 
change to the faculty and sets the stage for planning. The attitude at 
ROC is one of being "on the mDve," taking risks, and committing resources 
to bring these changes about. A document has been developed to assess 
the strengths and weaknesses of RCC and to help the college face future 
probl^ns. This document is a result of three separate efforts: 
(1) strategic planning which includes the institution and its social 
environment? (2) procedural planning whidi is within the institution, and 
defines what needs to be done to get to where the college wants to be: 
and (3) operational planning whi<^ includes immediate steps with the 
locus prinmrily in programs. 

Key assumptions underlying the RCC planning document include: 

(1) The future will be different from the present. 

(2) Strategic planning is coherently dynamic, loose, and flexible; 
it is not static and must all« an institution to be able to 
shift and respond to changing trends. 

(3) An institution must take risks. 

Strategic planning helped the administrative staff of RCC to determine 
what direction the college should take to allow for future circumstances 
and to weigh the varions alternative o>urses open to them. Through 
strategic planning, administrators were also helped to determine resource 


allocation and to establish consensus among the faculty in terns of 
college directions and activities. 

ROC*s successful approach offers several key concepts which can be useful 
to other comunity college planners, regardless of demographic, 
employment, or environmental differences (Models of Strategic Planning in 
Community Colleges, 1983): 

(1) The development of a college th«ne fosters more universal 
sentiment and cooperation among the various constituencies in 
the college. The idea of sharing a vision of college ideals 
also brings about a greater sense of cohesion and mutuality. 

(2) Strategic planning is inherently dynamic . It changes with the 
changing face of the collegers and conmunity's needs. It must 
be flexible and respond to unexpected as well as predictable 
trends and events. 

(3) In order to grow, a college must be willing to take risks— the 
right and desired risks that can enhance the college and prosiote 
change both internally and externally. 

(4) The college climate is important so that an atmosphere for 
change and planning is created and sensed. The college should 
be guided by considering "where it is" and "where it wants to 
go" in the decades ahead. 

The planning process at Yosemite Community College District (YOCD) is now 
a way of life. It is an information based budgeting system and begins at 
the basic organizational units such as college departments. Strategic 
planning at YCCD is participatory and "bottom-up?" it links both planning 
and budgetary processes. Crucial to the planning process is an 
assessment system which gathers, processes, stores, and reports essential 
information. Because it builds on the foundations of the basic 
organizational units, the process has potential for involving a broad 
range of college and district personnel (Models of Strategic Planning in 
Communis Colleges, 1983) . 

Impetus for strategic planning at YOCD can be traced to the uncertainties 
and problems resulting from Proposition 13 and collective bargaining. 
School administrators desired a planning process which would involve 
people at all levels and help the district respond more effectively to 
crisis situations. Three steps were laid out: (1) to find out what YCCD 
is doing and what it should be; (2) to find out what YCCD can, or should, 
or ought to do; and (3) to find out hew to close the gap between what is 
and what should be. As a result, an assessment program was designed and 
iaplemented as well as a planning and budgetary system. Crucial to the 
plan were concurrent process goalB whidi included building confidence in 
the system, winning support and participation, and alleviating adverse 
attitudes . 

Underlying assumptions to the YCCD plan included; 

{ I) The process should grow slowly, be low key and low profile. * 

{ 2) The process should be developed by those who will be directly 
served or affected. 

{ 3) The process would reflect the literature and data gathered, but 
would be invented "at home." 

{ 4) The process would involve a number of committees "as small as 
possible but as representative as possible." 

( 5) The process would not have a time limit, hidden agendas, or 
blueprints drawn up in advance to predetermine the outcome. 

( 6) The process would have complete, unfaltering commitment from 
top management. 

{ 7) The process will be continuous, set on a yearly review cycle 
and be staged in clear, sequential phases. 

{ 8) The process will tie budget requests to operating unit needs, 
operations and plans. 

{ 9) The process will collect and use information which is timely, 
accurate, comprehensive, and uniform and capable of helping 
administrators see what is going on in the district. 

(10) The process will be an integral part of the overall college and 
district decision-aaking process. 

At YOCD, inprovenent in the processes and their products is continued, as 
experience and data accufflulate. The heavy investnents of time, energy, 
and resources during the first years have begun to return numerous and 
varied pay-offs. The benefits include improved accuracy in data, 
holistic monitoring capabilities, greater openness and candor aiiong 
staff, and improved employer and onployee relations. 





The aaount of tine devoted to proactive planning is directly proportional 
to the level of responsibility an educational leader has within the 
organization. In other words^ the higher a leader's position appears on 
the organizational charts the more time the leader should spend in the 
proactive planning process. 

Ingram (198S) notes ^ in referring to the strategic planning process^ that 
it is a survival skill for educational leaders^ and therefore^ should 
dominate the time and attention of school board members, superintendents, 
and top managers in all school districts. Strategic planning is a 
powerful tool because it embodies an integrated set of actions that can 
improve organis^ation's well-being and strength, relative to its 

The superintendent, as chief executive officer^ must assume major 
responsibility for planning efforts. To be effective in this role, the 
superintendent must have a broad perspective of the external environment, 
an understanding of planning models and processes^ and understanding and 
skill in human relations. Duckworth and Kranylk (1934) also see 
proactive planning as a survival skill: 

The public education community has an opportunity to 
create a bright, new future for the schools of this 
nation in the next decade. Hew 1:echnology, new ways 
of organizing schools and motivating teachers, and 
more favorable economic and social conditions will 
help make a quantum leap ahead possible in a social 
institution characterized by limited responsiveness 
to nm CMditions. Computer-based telecommuni- 
cations will revolutionize teaching an^ learning in 

•any aspects of the curriculum. The application of 
nm human resources concepts concerned with such 
areas as reward systems, career opportunities, and 
job redefinition, greatly enhance the impact of 
teachers, as well as the teaching profession. The 
Improving econosy will provide a market for better 
educated youth, most of wboai will be employed in 
some aspect of the "knowledge" industry. 

The greatest challenge facing the schools will be 
the need to move from existing curricula, 
structures, and societal relationships to new forms 
that will secure the role of public education in 
America in the decades to come. Clearly, a 
proactive stance tovard the future is an essential 
ingredient in this effort. 

A proactive leader who is responsible for districts and schools to 
flourish in the future is a master of change (Kanter, 1983). This leader 
must be adept at introducing new procedures and nmt possibilities as 
organizations become more responsible to external pressures. This person 
encourages and listens to neif ideas from inside the organization, and 
tends to focus more on what is not known than on trying to control the 
known. The proactive leader is able to rearrange the known, remove 
barriers before an external crisis develops, and then steer the 
organization by a deliberate and conscious articulation of a direction, 
enhanced by the drive to continuously integrate and interconnect. 

Strategic planning is a matter of spirit, energy, and vision that makes 
up the tool kit of the proactive educational leader. Therefore, the 
proactive leader is less interested in developing a step-by-step rational 
plan that focuses on the past and the present and is more interested in 
"[managing] a set of guiding principles that can help people understand 
not hof it should be done but hoc to understand what might fit the 
situation they are in" (Kanter, 1983). In essence, the proactive leader 

plans the organization's future now by creating larger visions and 
engaging people's inaginations in pursuit of those visions. 

Bean, John P. and George Kuh. "A Typology of Planning Problems." 

Journal of Higher Education. Vol. 55, No. 1, January/February, 1984, 
pp. 35-71. 

Boliaan, Lee G. and Terrence E. Deal. Modern Approaches to Understanding 
and Managing Organizations . San Francisco, CA: Jossey-Bass 
Publishers, 1984. 

Burns, J. M. leadership . Men York, NY: Harper ft lUw, 1978. 

Bennis, Warren and Burt Nanus. Leaders; The Strategies for Taking 
Charge . New York, NY: Harper and Rov Publishers, 1985. 

Capra, Pritzof. The Turning Point . New York, NY: Simon and Schuster, 

Cohen, M. D., and J. G. March. Leadership and Ambiguity: The American 
College President . New York, NY: McGraw-Hill, 1974. 

Dronka, P. "Likely Future Trends, Information Feedback Guide ASCD*s 
Five-Year Plan Development." ASCD Opdate . April, 1985, p. 7. 

DruckeiT, Peter. Management: Tasks, Responsibilities, Practices . New 
York, NY: Harper and Roi, 1973. 

Duckworth, Alice and Robert Kranyik. "What Business Are We In?" The 
School Admins trator . August 1984, pp. 6-*8. 

Baton, Judith. "Building Tomorrow." Paper Presented at the National 
Conference of the League for Innovation in the Community, Newport 
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