Scoping Paper for Initial Project Proposal for Strategic Initiative. Business Planning Cycle and Process Review

Transcription

1 Scoping Paper for Initial Project Proposal for Strategic Initiative Business Planning Cycle and Process Review Background Following a review of the Brooke Operating Model in 2015 a number of recommendations were made around a number of organisational processes. Recommendations included a mix of improvements to existing processes and need for new processes, all of which are in different stages of maturity and development. In April 2017 a cost saving requirement of 2M also highlighted the need to step back and review our processes and how they align with each other to ensure optimum organisation efficiency and effectiveness. Proposal It has been agreed that a Strategic Initiative (SI) be undertaken, with an objective to review and make recommendations for improvements to Brookes organisation-wide business processes in 2017/18 (PHASE 1), support development and delivery of communication plan to ensure the outputs are understood consistently across the organisation (PHASE 2) with implementation of recommendations from 1 April The aim / goal of this SI is to ensure that key processes and procedures are aligned coherently and clearly communicated and understood to optimise resources used across the organisation. To deliver all of the above work streams, it is proposed that external facilitation is procured as appropriate to support delivery. Approach A fundamental principle of this exercise is to consider the evolution of Brooke in recent years and to build on achievements and progress in key developments such as our Theory of Change, Effectiveness Framework, Restricted Funding and Multi Year Planning. Phase 1 will focus on 2 areas: 1 Theory of Change (already underway as a separate exercise) 2 Brooke Business Planning Cycle and associated processes 1 Theory of Change (Participatory review already underway) A Theory of Change (ToC) summarises the mechanisms or sequence of events by which an organisation s activities are expected to achieve its ultimate strategic goals and informing future strategy and plans.

2 A participatory review of Brooke s existing ToC will be undertaken in order to strengthen it in line with DFID s quality criteria and checklist for ToC best practice. This review will seek to improve how we illustrate, describe and test our ToC. The outputs will be: An overall goal-level ToC diagram which complies with DFID quality criteria A specific ToC diagram for each existing ToC element (Services, Communities and Advocacy) An accompanying narrative including a one page summary and detailed description of component elements such as overall logic, risks, assumptions and available evidence. It is expected to be completed by November 2017 with a communication plan to ensure the outputs are clearly understood across the organisation by March This will support preparation for the mid-term review of our Global Strategy in and our journey in considering wider development themes such as livelihoods and gender. 2 Brooke Business Cycle and associated processes This aspect of the review will focus on the business cycle and processes used by Brooke to implement and deliver our Global Strategy. Key areas of focus will be: Multi-year Planning and Budgeting (MYPB) / Restricted Funding (RF) o In 2016 Brooke introduced MYPB using a Results Based Management (RBM) approach to ensure that our activities, products and services all contribute to the achievement of desired results. o The RF process (introduced in 2014) sets out steps to be taken by all staff members, both in the UK and Country Programmes, involved in ensuring that funds donated to Brooke for a specified purpose are spent, recorded and reported on accordingly. o It is imperative that our systems and processes are aligned coherently to support smooth programme delivery and fundraising. This exercise will map our current processes and identify opportunities to streamline and align these further. Effectiveness Framework / Monitoring tools (review underway) o In 2012 the concept of the Effectiveness Framework started to evolve as a framework of indicators and measures with which to monitor the delivery of the ToC and the results of our programmes to achieve improved welfare. o Clarity is required on the most appropriate definition for the Effectiveness Framework and how this is articulated going forward. In addition, a review its required of the design and use of the Effectiveness Framework tools in order to ensure that they are adequate and appropriate for the tasks intended, and to assess whether improvement can be made.

3 Reporting (key dates for deliverables throughout the year including Board of Trustees approval and accountability oversight) The outputs from this exercise will identify any process efficiencies to be had and clearly articulate the interdependencies of each of these processes and how they fit together to support successful implementation of operational plans and our global strategy. Phase 2 will support development and delivery of communication plan to ensure the outputs are understood consistently across the organisation. This will include clear articulation of the agreed recommendations and development of learning materials / content to ensure a clear understanding of the newly developed Brooke Business Planning Cycle is acquired by all Brooke employees Issue / Opportunity Brooke s processes and procedures are to be streamlined, coherently aligned and clearly articulated / documented in a way that maximises efficiency and minimises the risk of duplication and improper use of time. Success in Phase 1 will be: Agreed strengthened ToC Approved proposal for streamlined RF and alignment with MYPB Approved proposal for streamlined budgeting through multi-year planning process Approved proposal of updated multi-year planning process Approved EF tools (improved if relevant) A clear overview of Brookes business calendar to include scheduling of key meetings with oversight for approvals and accountability. Success in Phase 2 will be: Key dates, roles and responsibilities etc. are clearly articulated through published Business Planning Cycle documentation All Brooke staff fully understand business processes, key dates, roles and responsibilities etc. Brooke staff feel that the updated processes and procedures will improve the effectiveness and delivery of their day to day role and have clear visibility of all new processes and procedures Project Refusal There is a fundamental importance for SLT and the wider organisation to have a clear coherent and consistent understanding of how key processes are delivered through the business year. As there have been many changes to the way the organisation operates over the past few years, and so in some cases there is now a lack of clarity on how key processes are delivered through the business year, it is timely to assess the processes and procedures

4 which are in place/are required to ensure maximum effectiveness and suitable proportionality. Should this SI not go ahead, there is a danger that a number of the key organisational operating tools will fail due to inconsistencies in understanding and application. Workplan Phase 1 ( ) Theory of Change Review Effectiveness Framework Tools Review Process Mapping Restricted Funding Process Mapping MYP o Issue MYPB survey o Assess MYPB responses o Undertake MYPB Learning Exercise o Develop MYPB process mapping & learning exercise report (including recommendations) Process Mapping Budgeting Key meetings mapping and revised scheduling as required Phase 2 ( ) Publish findings and recommendations of Business Cycle review Publish new Business Cycle and outputs of review exercise (including ToC & EF articulation, revised processes, key meetings schedules, internal comms strategy,) Develop understanding of new processes and procedures across organisation (Share & Learns / training) 1 April Implementation of streamlined processes Budget TBC Team Project Sponsor Petra Ingram - Key role of the Project Sponsor is to highlight importance of this SI to the wider organisation, provide authority and assistance / support to the Project Lead(s) when required and attend and specific Business Cycle Review meetings and PGB meetings (plus any other relevant meetings) to ensure they are is up to date on progress and can push this forward if required. Project Lead- Lesley Young (supported by Nichola Harper) - The key role this person(s) will play is the assessment of the organisations current processes and procedures, making suitable recommendations to overcome issues, align processes accordingly, ensure

5 proportionality and consistency, and ensure a comprehensive understanding of the processes and procedures is developed across the organisation accordingly. In addition, the Project Lead will coordinate actions required to meet the recommendations made and provide advice and guidance to all Brooke teams as the SI progresses. This may also include contribution to development of suitable training modules and guidance papers to assist the organisation as we move forward. In addition, this person(s) will attend all relevant meetings (e.g. PGB) to update key parties on progress, issues etc. End Users - Whole Organisation - All staff MUST ensure that they are operating in accordance with the required processes and procedures as part of their day to day role. Beneficiaries - Whole organisation plus our donors etc. - Streamlined processes and procedures will ensure a more effective and efficient organisation, allowing us to focus more on the beneficiaries / the end goal. Inputs External facilitation of ToC review - Participatory review of ToC to generate: 1. An overall goal-level ToC diagram 2. A specific ToC diagram for each existing ToC element (Services, Communities and Advocacy) 3. Narrative covering overall logic, assumptions, uncertainties, risks and possible knockon effects. This will build upon the Desk Review and the Evidence Mapping already undertaken. External assessment of EF tools - While the results provided by EF tools so far have proved extremely useful, a review of design and use is required to ensure adequacy and appropriateness for the tasks in hand. The results of this review will be used to identify what revisions (if any) should be made. External facilitation of process mapping (Restricted Funding, MYP, Budget) - Detail TBC in this ToR Results Outcome: Optimum use of resources across the organisation through streamlined processes which are aligned coherently and clearly understood. Outputs: 1. Definition of Brooke Planning Cycle, this should provide: - A clear articulation of key planning activities and how they integrate smoothly

6 2. Process mapping for each of the 3 existing ( as is ) and proposed ( to be ) processes (Multi-year Planning, Restricted Funding, Budgeting), this should include a narrative which covers the following: - A one page summary of the review and the proposed changes - Detail on the overall logic behind the changes made to each of the processes and the benefits the suggested improvements will create 3. Action Plan for delivery of recommendations, this should include: - Detail on logistics to support implementation such as scheduling of key meetings (Board of Trustees, Senior Leadership Team etc.) and associated roles and responsibilities - Clearly defined role and responsibilities across all teams - A list of and discussions on assumptions / risk / interdependencies / other processes; - Recommendations for ways in which the proposed changes should be implemented and communicated Outputs: 1. Process mapping for key business processes - recommendations to be made on making existing processes more proportionate and streamlined 2. Current (as-is) governance procedure mapping including the production of a schedule of key meetings and reports (i.e. Board of Trustees, ISLT, SLT, Quarterly Reviews etc.) 3. Clearly defined Brooke Business Cycle (to include key organisational processes i.e. Strategy, Planning & Budgeting, Forecasting, Operational management, PDRs etc.) 4. Clearly defined scope of key meetings (i.e. ToRs confirming attendees, clear decision making authorities, tools etc.) 5. Well defined roles and responsibilities across all teams support development and delivery of communication plan to ensure the outputs are understood consistently across the organisation (PHASE 2) 6. Defined linkages with the strategic planning process e.g. midterm review of Global Strategy 7. Clear team roles and responsibilities to ensure collaborative working and improved accountability, whilst being agile and responsive 8. A proposal/action plan on a phased approach for short terms actions as the organisation moves towards executing the overall recommendations within an agreed timeframe Enabling factors - Complete commitment of SLT members as and when required - Approval from PGB / SLT for appointment of external consultants / facilitators - Expectations of wider organisation are considered / well managed / incorporate - Making change acceptable to all and ensuring a suitable environment that supports change - Make processes and tasks clear and visible

7 Key Risks & Associated Mitigation Risk 1. Buy in and full support from SLT is not achieved meaning changes cannot be implemented / do not work 2. Buy in from wider organisation is not achieved (UK and overseas) meaning changes cannot be implemented / do not work 3. Flexibility is not built in to new processes resulting in additional red tape and OTT procedures 4. Lack of coordination of teams / staff both during review and following implementation, leads to confusion 5. Project creates huge disruption to teams and the way in which they operate Mitigation measures 1. Early consultation with SLT through development of clear delivery plan, fed into by SLT 2. Early consultation with teams / staff to develop a shared understanding and shared ownership of the process, the changes required and how this will impact ways of working. Make change acceptable as better informed staff are more likely to adopt change and refine their ways of working. 3. Consider processes which require flexibility (i.e. communication) and discuss options with external facilitator / obtain advice from process expert. 4. Clear roles and responsibilities are to be developed and an environment that supports change should be considered in order to make this process inclusive, inspiring and engaging. 5. Realistic timeline for SI developed and implementation agreed. This is also to be an inclusive project creating visibility and clarity, so involvement and buy in from all parties should be sought.