Guidebook

inFocus:
A guide for strategic

thinking and
improvement
planning
ENVISIONING PHASE
PLANNING PHASE
IMPLEMENTING PHASE
EVALUATING PHASE
© 2023 Cognia, Inc. | v2023-05-09
This document is subject to the Cognia, Inc. copyright and Terms and Conditions.
inFocus: A Guide for Strategic Thinking and Improvement Planning | 1

| TA B L E O F C O N T E N T S
Table of Contents
Preface. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Successful Improvement Planning, Continuous Improvement, and the Strategies Tool. . . . . . . . . . . . . . . . . . . . . . . . . 7
How Does Strategies Work?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Additional Resources and Tools for Continuous Improvement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
A Measured Approach to Continuous Improvement: Leveraging Theories of Action. . . . . . . . . . . . . . . . . . . . . . . . . . 10
Phase 1: Envisioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Overview of Envisioning Phase. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Subphase 1: Determine the current reality. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Subphase 2: Explore the future . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Subphase 3: Synthesize results. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Theory of Action: Envisioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Envisioning Phase Templates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Subphase 1: Determine the current reality.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Information That Matters Template – The Learner . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Information That Matters Template – The Institution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Information That Matters Template – The Community. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Subphase 2: Explore the future.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
The Future Trends and Sources Template. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Categorize the Trends Template. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Stakeholders Most Impacted Template. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Subphase 3: Synthesize Results.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Cluster the Information Template . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Strategic Themes and Priority Statements Template. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Guidelines. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Guiding Principles Template. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

Phase 2: Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Overview of Planning Phase. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Subphase 1: Use Priorities to Create Objectives and Identify Critical Initiatives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Subphase 2: Identify Outcomes and Key Measures for Each Critical Initiative. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Subphase 3: Develop Strategy Map . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
Subphase 4: Develop Annual Plan. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Theory of Action: Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Planning Phase Templates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Subphase 1: Use Priorities to Create Objectives and Identify Critical Initiatives. . . . . . . . . . . . . . . . . . . . . . . . . . 41
Subphase 2: Identify Outcomes and Key Measures for Each Critical Initiative.. . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Objectives and Key Measures Template. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Subphase 3: Develop Strategy Map.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
The Strategy Map Template. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Subphase 4: Develop Annual Plan.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
Annual Improvement Plan Template. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
Phase 3: Implementing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
Overview of Implementing Phase . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
Subphase 1: Design Implementation Plan. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Subphase 2: Assign and Communicate Responsibilities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Subphase 3: Enact and Monitor Progress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Theory of Action: Implementing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Implementing Phase Templates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Subphase 1: Design Implementation Plan.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Annual Implementation Plan Template. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Subphase 2: Assign and Communicate Responsibilities.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
Stakeholder Responsibility Card Template. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
Subphase 3: Enact and Monitor Progress.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Progress Monitor Card Template. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

Phase 4: Evaluating . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Overview of Evaluating Phase. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
Subphase 1: Determine Impact of Critical Initiatives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
Subphase 2: Judge the Success of the Annual Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
Subphase 3: Address the Implications for Future Work. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Evaluating Phase Template. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Subphase 1: Determine Impact of Critical Initiatives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Theory of Action Template . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
Resources: Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
Glossary of Key Terms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
Resources: References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
References and Suggested Readings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77

| P R E FAC E
Preface
Cognia developed Strategies on the Cognia This four-phased process pushes institutions
Improvement Platform (myJourney) for to become divergent, creative, analytical, and
practitioners looking to move beyond forward thinkers instead of only focusing on the
accountability check lists and voluminous here and the now. To assist institutions with this
improvement plans that gather dust on a shelf. new approach, Cognia has developed inFocus: A
Instead of generating a large impractical plan, Guide for Strategic Thinking and Improvement
following Cognia’s strategic thinking Planning. This practical Strategies guide helps
and improvement planning institution leaders achieve their vision for
process creates a concise, student improvement.
customized strategy map.
This tangible output The value of annual planning—
focuses attention on the short- and long-term
critical initiatives that planning—is not in the plan
will help your institution itself or even in the powerful
move forward for three Strategies planning tool, the
to five years. Strategies value is in the process that
enables institution leaders challenges institutions to think,
to follow a dynamic planning plan, and improve in a whole new
process to establish actionable way.
strategies to cultivate a culture of
continuous improvement that brings value, Acknowledging continuous improvement is not
context, and meaning unique to each institution. a destination but a journey, it is our belief all
In developing this research-based improvement institutions can and should improve. Whether
planning process, Cognia was deliberate underperforming or high achieving—your
in its intention to shake up the way most institution can use Strategies to help identify
institutions engage in improvement planning. and meet improvement needs while breaking

| P R E FAC E
out of the tedious and reactive annual planning implementation, incorporating current data
cycle. This inFocus document will guide you and the impact of future trends. Rather, the
through establishing institution objectives, value is in the process that enables institutions
critical initiatives, and influential factors, and to focus on actionable intelligence to sustain
ensure you consider relevant assumptions student improvement.
supporting your mission and vision. In moving
away from strategic planning to strategic Bring in to focus all of the ways you can break
thinking and informed reflection, institution the cycle of reactive or stagnant annual
leaders will see a singular plan with a holistic planning. Strategies takes institutions through
view of current reality. They also will be able a dynamic improvement planning process
to look ahead five years to see disruptors and that incorporates both short- and long-
opportunities on the horizon that may never term strategies, taking into account current
have been considered before. conditions, past successes, and challenges,
and looking at future conditions that may
Institutions employing the Cognia Continuous impact student learning. Engaging the
Improvement System use the Cognia Strategies process with fidelity will produce a
Improvement Platform suite of tools as a customized plan of action. More importantly,
powerful resource to chart their own course it will empower institution leaders to take
for student improvement. The value of ownership of their continuous improvement
Strategies is not in the plan or the dynamic journey. Get ready to bring your continuous
strategy map that fosters thoughtful improvement planning inFocus.

| INTRODUCTION
Introduction
Successful Improvement Planning, Continuous Improvement,
and the Strategies Tool
How many school improvement plans have you analyze at least 5,000 institutions each year,
written in your career? How many have you enabling us to gain important insights into how
actually read and implemented? How many do continuous improvement practices lead to more
you have collecting dust on a bookshelf in your effective schools.
office? Nearly all institutions create excellent,
Grounded in the belief all schools can improve,
detailed plans—only to leave them untouched
our work can be thought of in terms of
after submitting them for approval. The last
Continuous Improvement System (CIS).
thing you need is another plan trapped in a
Engaging all stakeholders in common goals is a
three-ring binder serving as a bookend on your
hallmark of effective continuous improvement.
shelf. While planning is an important part of
With so much on the line, how can institutions
the continuous improvement journey, it is not
best approach this immense responsibility?
the destination. All you really want is for your
students, school, and system to improve— Continuous improvement requires more than
hopefully, year over year. the development of a plan. To assist institutions
with the strategic thinking and improvement
Cognia defines continuous improvement as
planning process, Cognia has developed
“An embedded behavior within a school’s
Strategies as both a process and a tool. We
culture that constantly focuses on conditions,
organize the work of continuous improvement
processes, and practices to improve teaching
into four phases: 1) Envisioning, 2) Planning,
and learning.” (Elgart, 2016). In our quest to
3) Implementing, and 4) Evaluating. Each
create a world of opportunities for every learner,
phase contains a number of associated sub-
we have cultivated an Cognia Improvement
phases that together reflect the guidance of the
Network (AIN) of more than 36,000 institutions
Cognia CIS.
across the United States and in 70 countries.
As a result, our education experts observe and

| INTRODUCTION
How Does Strategies Work?

Through a guided process of strategic are well on your way to adopting a personalized
thinking and improvement planning, the web- improvement journey. Each phase of the
based Strategies tool makes it easier for process is a how-to guide for continuous
institution leaders to undertake a flexible and improvement. No matter where your institution
adaptive process to actualize their vision for is in its improvement journey, each phase takes
improvement. The Strategies application uses institutions closer to achieving their continuous
a research-based improvement process that improvement goals.
takes into account today’s landscape and
By using inFocus and Strategies, all of the
challenges, as well as future opportunities.
work you put into continuous improvement is
inFocus: A Guide for Strategic Thinking and
connected through a unified and systematic
Improvement Planning can be accessed in the
approach. From seasoned veterans to the
Strategies application as you go through the
novice principal, any educator will find support
planning process. It also can be downloaded.
and guidance in the resources and continuous
Once the Strategies planning process is improvement process used throughout
integrated into an institution’s daily practice, you Strategies.
Additional Resources and Tools for Continuous Improvement

Cognia has developed a variety of resources and • inFocus: A Guide for Strategic Thinking
tools to support your continuous improvement and Improvement Planning—This resource
journey. These resources and tools conveniently acts as either a stand-alone guide or a
are located within the Strategies application guide for moving through every phase of
and can guide you through the Cognia Strategic the Strategies application. The guide helps
Thinking and Improvement Planning process. you stay on course to achieve intended
outcomes.

| INTRODUCTION
• The inFocus guide process templates— • Glossary—This resource defines and

These templates help institutions engage clarifies newly introduced or specialized
in meaningful continuous improvement by terms specific to inFocus: A Guide for
analyzing, streamlining, and using data: Strategic Thinking and Improvement
Annual Implementation Plan Template Planning.
Annual Improvement Template • As your institution embarks on its

improvement journey, Cognia’s Strategies
Categorize the Trends Template
and inFocus guide process provide the
Cluster the Information Template resources, tools, and guidance for sustainable
Future Trends and Sources Template continuous improvement. Continuous
Guiding Principles Template improvement isn’t easy, but it can be
worthwhile and rewarding. Follow the Cognia
Information that Matters Template
Strategic Thinking and Improvement Planning
Objectives and Key Measures Template process to get started seeing actionable,
Progress Monitor Card Template sustainable results.
Stakeholders Most Impacted Template
Stakeholder Responsibility Card Template
Strategic Themes and Priority
Statements Template
Strategy Map Template
Theory of Action Template
Are you ready to bring your continuous improvement planning inFocus?
Let’s get started!

| INTRODUCTION
A Measured Approach to Continuous Improvement:

Leveraging Theories of Action
The term improvement implies movement outcomes produced, and other influential
from a point of relative weakness to a place of factors that may impact the work.
relative strength. Improvements should not be
Finally, and perhaps most important, a theory
accidental but rather a result of intentional and
of action contains the assumptions you have
careful planning. In fact, this is the foundation
made regarding each critical initiative. In other
of a continuous improvement plan: to develop
words, at some point, you identified an optimal
and articulate a predetermined course of action
way (critical initiative) to address a particular
for moving from weakness to strength. Though
problem. The decision to choose that particular
plans differ from institution to institution, what
critical initiative relied on certain assumptions
unifies every continuous improvement plan
as to how it would lead to important changes.
at the fundamental level is a belief that the
Including these assumptions in a theory of
identified actions will have a positive impact
action ensures you are reminded throughout the
on important outcomes. When formalized, this
planning process of the reasoning behind your
belief can be explained and evaluated as a
decisions and efforts.
theory of action.
The inclusion of assumptions is especially
A theory of action has a number of components.
helpful when it comes time for evaluating
Together, these components create a reasoning
stakeholder efforts. For example, an institution’s
map that explicitly displays how an institution
outcomes at the end of the year may indicate
thinks its mission-based work will ensure the
student scores in reading increased—perhaps
institution achieves its objectives and realizes
even beyond what leadership predicted.
its vision. The associated “work” the institution
commits to along this path is guided by critical At first glance, this might suggest the new
initiatives. A strong theory of action also makes professional development opportunities
explicit those resources required to accomplish the institution added were very effective.
critical initiatives, key measures of success, However, a closer inspection might indicate

| INTRODUCTION
otherwise. If the theory of action included the as the prior year, then the assumption was not
assumption that the critical initiative calling for satisfied, and the plan cannot be ruled a clear
new approaches to professional development success regardless of the improved outcomes.
would change classroom instruction, leading to
Many continuous improvement teams go
improved student outcomes, then for the plan
through the process of informally developing
to be effective, instruction would need to have
theories of action but do not capture their
changed as well. If a review of the year’s data
decisions in a concrete way.
shows instructional methods remained the same
THEORY OF ACTION IN USE IN EACH PHASE
Input
• Mission
ENVISIONING
• Vision
Populates the Theory of Action Template
Input
• Objectives
• Critical Initiatives
• Assumptions
PLANNING
• Intended Outcomes
• Key Measures
• Influential Factors
Input
IMPLEMENTING • Resources
If working through Strategies from beginning to end, use the complete

(pre-populated) template to assess effectiveness of critical initiatives.
EVALUATING If completing the Evaluating Phase by itself, manually input factors into
the Theory of Action Template and then assess effectiveness of critical
initiatives.

| INTRODUCTION
Fortunately, Strategies was designed to capture application easily. If you’re just getting started,
outputs from the multiple stages of continuous allow the application to guide you through the
improvement planning and compile them in an process.
easy-to-follow Theory of Action Template. In
Determining the success or failure of an
each of the four phases, guiding questions and
initiative or plan is a complicated and nuanced
templates help generate the information needed
process requiring the expertise of dedicated
for completing a theory of action for each critical
stakeholders and leaders like you. By organizing
initiative.
the institution’s choices into theories of action
The continuous improvement planning process (one per critical initiative), you can articulate and
that guides Strategies provides the flexibility evaluate your work and the reasoning behind it
for you to begin the process no matter where in a clear and logical manner.
you are on your improvement journey. This
We hope you find this resource to be an
has important implications regarding the
empowering tool for guiding and assessing your
Theory of Action Template. If you already have
efforts along your continuous improvement
completed the work of Envisioning, Planning,
journey.
and Implementing outside of the Strategies
application, you may enter this information in the

PHASE 1: ENVISIONING
1 ENVISIONING
Purpose
The Envisioning Phase expands an institution’s view must pay attention to patterns, disruptors, and
of its current reality and potential future to establish trends that could be a source of ongoing issues or
a foundation for decision-making around goals and the levers of positive change. The three subphases
strategies. This phase builds upon what institutions of Envisioning are featured in the Overview of
typically do well (assess their current reality) and Envisioning Phase.
guides leadership through a process to examine
future trends that could significantly impact the “The first step toward creating an
institution’s future success. Understanding current
improved future is developing the
reality is important, as it provides a snapshot of the
institution’s everyday experiences through the lens of ability to envision it.”
learners and other key stakeholders in its community. —Unknown
To understand its reality, an institution typically uses
data from its past. To envision its future, an institution
Overview of Envisioning Phase
SUBPHASE GUIDING QUESTIONS WHAT TO DO WHY IT IS IMPORTANT
Determine the What is the institution’s current Select and analyze information Provides a starting point
current reality reality? to understand current reality. for understanding the
How does the institution know? Make connections to identify institution’s possibilities.
topics and themes.
Explore the future What factors will drive change Comb through a variety of Gives guidance and
in education the next 10 years? sources to gain insight about potential levers for long-term
Which stakeholder groups will the future. improvement.
be most impacted? Categorize results into four
How does the institution know? areas or factors.
Determine stakeholder groups
most impacted by factors.
Synthesize results What are the connections and Determine connections and Creates connections and
gaps between the future and gaps between current reality identifies gaps for short- and
current reality? and future priorities. long-term improvement.
What are the big ideas or Turn the connections into
strategic themes for each priority statements.
priority statement? Ensure institution’s guiding
Do the institution’s existing principles align with the priority
guiding principles align with the statements.
priority statements?
How does the institution know?

1 ENVISIONING
SUBPHASE 1: DETERMINE THE CURRENT REALITY
GUIDING QUESTIONS  ACTIONS
What is the current reality? • Review and analyze information sets to

understand institution’s current reality.
How does the institution know? • Use results to make informed conclusions about
current reality.
What Happens/What to Do
The Continuous Improvement Team:
1. Determines what sets of information 2. Analyzes information sets and determines
are most relevant and accessible for review. what was learned. Conduct a thorough review
This is an important first step in the process of the information set for each stakeholder
to understand the institution’s current reality. group. Keep this analysis at as high or as
By making decisions about the types of granular a level as appropriate. It is important
information that are easily accessible, relevant, to remember you are not writing objectives
qualitative and quantitative, you are identifying during this process but attempting to obtain
information that provides a clear picture of a big picture of the learners, the institution,
the institution’s current reality. Using multiple and its community through filters, including
years of prior data has an important role in perceptions, achievements, and demographic
understanding an institution. However, for this or profile-like data. The simple question, “What
exercise, it is recommended data be more did we learn?” can guide you through this step.
“real-time” rather than historical. Focus on
3. Makes connections from the information to
retrievable and relevant information for the
identify topics or themes of the current reality.
following stakeholder groups:
In this step, conduct a comprehensive review
• Learners of all the “what we learned” analyses, and
• Institution identify connections or patterns to categorize
by learners, institution, and community. This
• Institution’s community summary information will be used in the last
subphase, so it is important to identify these
connections.
Resource for this Subphase:

• Information That Matters Template

1 ENVISIONING
SUBPHASE 2: EXPLORE THE FUTURE
What factors will drive change in education over • Discuss the future and how future trends impact
the next 10 years? education.
• Gain insight into how stakeholder groups will be
Which stakeholder group will be most impacted? impacted by these trends.
• Determine which trends become priorities to
How does the institution know for sure? address.
• Use results to make informed conclusions about
the current reality.
1. Engages in readings, reviews virtual economic, or political factor. Engaging in this
information, shares insights and experiences categorization exercise helps to stimulate
to learn about future trends. This exercise discussion and fine-tune the list of trends.
helps focus on emergent patterns not yet
considered to be a trend and pay attention 3. Determines the stakeholder group most
to emerging disruptors that may impact the impacted by each trend. Discuss each trend
institution’s future. Without judgment, it is to make decisions about the stakeholder
important to read, observe, and talk with group most impacted should this trend
young people regarding their habits, attitudes, come to fruition. Additionally, consider being
behaviors, and likes and dislikes to gain realistic about 1) knowing which trends are
insights into future trends. within the institution’s purview of control
and responsibilities; 2) selecting the trends
2. Categorizes each trend through the lens that are opportunities for improvement and
of social, technological, economic, and sustainability; and 3) agreeing which trends
political factors. Once trends have been could become priorities to address later.
shared and discussed through a broad lens,
determine if the trend is a social, technological,
Resources for this Subphase:

• Future Trends and Sources Template
• Categorize the Trends Template
• Stakeholders Most Impacted Template
1 ENVISIONING
SUBPHASE 3: SYNTHESIZE RESULTS
What are the connections and gaps between the • Discuss the future and how future trends impact
future and current reality? education.
• Gain insight into how stakeholder groups will be
What are the big ideas or strategic themes for impacted by these trends.
each priority statement? • Determine which trends might become priorities
to address during the short and long terms.
Do the institution’s existing guiding principles align • Choose a big idea or strategic theme to capture
with the future priority statements? the essence of each future priority.
• Use results to make informed conclusions about
How does the institution know? current reality.
1. Identifies the gaps and connections between 3. Determines the strategic theme for each
the current reality and the future priorities. priority statement. Once the future priority
Now that the leadership team has spent time statements are completed, think about the
understanding the institution’s reality and clear message each statement conveys. A
thinking through possible future trends, these simple question to ask is, “What is the theme or
two separate sets of information are viewed in big idea of the priority statement?” Simplifying
an integrated manner. Look for ways the two the statement will make communication to
align and where there are gaps or no/limited stakeholders much easier.
connections.
4. Reviews, revises, and/or develops vision and
2. Develops priority statements that reflect the mission statements to ensure alignment.
connections or gaps. Refer to the determined Take a fresh look at the institution’s vision and
connections or gaps from the previous step, mission statements now that the reality and
and write statements to represent the findings. future have been examined. Disaggregate the
For example, the following question can be words in the institution’s guiding principles,
used to guide the development of the synthesis such as the vision, mission, and beliefs; there
statements: “If one of our future priorities is could be alignment or misalignment between
_______, what current reality do we need to the current guiding principles and the newly
change to realize the future?” If the future identified priorities. Invest time to ensure all
priority does not connect with a current reality guiding principles and priorities align and
or vice-versa, leave this information blank. convey the same messages.
There should not be a forced connection.

1 ENVISIONING

• Strategic Themes and Priority Statements Template
• Guiding Principles Template
• Cluster the Information Template
Theory of Action: Envisioning

A thoughtfully crafted theory of action provides Note: If you have been entering your information in
an explicit model that explains how the institution’s Strategies, the information entered is automatically
plans lead to desired outcomes. A well-constructed populated.
theory of action also serves as a tool for evaluation
while work is in progress and upon completion. As a
result of the Envisioning Phase, you have confirmed
the institution’s mission and vision statements.
These two items will appear on every theory of
action that institution leaders create and serve as a
reminder that all planning efforts are guided by those
fundamental elements.
THEORY OF ACTION BY PHASE
ENVISIONING Input
Vision
Mission
Output

1 ENVISIONING
Envisioning Phase Templates

Subphase 1: Determine the current reality. KEY TIPS
STEP 1 » Ensure information is

relevant to the stakeholder
Complete and use the Information That Matters Template as an group.
organizer to 1) list information that is current and easily accessible
for each category; and 2) write a concise summary of what you » Make information quickly
learned about the information. accessible.
Remember that for the purpose of this subphase, pouring over
» Focus on current
years and mounds of data will bog down the process and result
information (not older than
in difficulty understanding the current reality. This phase is about
one-two years).
understanding the institution’s current reality through three lenses:
the learners, the institution, and the community.
STEP 2
Use the guiding questions to understand what you have learned for each stakeholder. There are guiding
questions to assist in viewing the current reality from the learners’ perspective, the institution’s perspective, and
the community’s perspective.
The Learner
Ask questions like:
What did we learn from a review of the…

• learner achievement data? What is obvious?
• learner perceptions? What is obvious?
• learner behaviors? What is obvious?
The Institution
Ask questions like:

• institution profile data? What is obvious?
• stakeholders’ perceptions? What is obvious?
• institution-generated information (e.g., observations, professional development, focus groups)?
What is obvious?

1 ENVISIONING
The Community
Ask questions like:

• community profile data? What is obvious?
• community partnership/volunteer data? What is obvious?
See the following examples of the Information That Matters Template for each stakeholder group.
Information That Matters Template – The Learner
CATEGORY OF INFORMATION THAT IS

WHAT WE LEARNED
INFORMATION ACCESSIBLE AND CURRENT
LEARNER
ACHIEVEMENT
LEARNER
PERCEPTIONS
LEARNER
BEHAVIORS
Example: Lincoln Elementary School

WHAT WE LEARNED
• Fourth and fifth grade Reading • Male students score lower on reading
Comprehension standardized comprehension than female students in the
test results same grade levels; English Language Learner
LEARNER (ELL) students score significantly lower on
ACHIEVEMENT • Second and third grade Math Problem
Solving standardized test results reading comprehension
• ELL students score lower on the Math
Problem Solving areas
• Student inventory results for third through • Students in third grade have a more positive
fifth grades experience in school than fifth grade students
LEARNER
PERCEPTIONS • Student culture/climate survey results for • Students in these grades most frequently
grades 3–5 cited that they listen to teachers, complete
worksheets, memorize, and work alone
• Promotion/retention data for grades 1–5 • ELL students have higher retention rate in
LEARNER • Attendance data for grades 1–5 grades 3–5
BEHAVIORS • ELL students have higher absentee rate than
non-ELL students
1 ENVISIONING
Information That Matters Template – The Institution

WHAT WE LEARNED
INSTITUTION
PROFILE/
PUBLIC SELF
STAKEHOLDER
PERCEPTIONS
STUDENT
OBSERVATIONS

WHAT WE LEARNED
SCHOOL • Teacher retention/mobility; socio-economic • High teacher turnover rate in fifth grade
PROFILE/ level of overall school population; teacher • Thirty percent of teachers have master’s
PUBLIC SELF credentials and experience degrees
• Parent culture/climate survey results • Positive parent perception results about
• Teacher Inventory results school; low response rate
STAKEHOLDER
PERCEPTIONS • Inventory results indicate lack of interaction
with instructional coaches and a need for
training on ELL intervention strategies
• Classroom observations of students • Overall, students in grades two and three
interacting with learning in grades 2–5 (total were more actively engaged than in grades
STUDENT 50 observations) 4–5
OBSERVATIONS • Students not observed using technology
during reading and science instructional
times

1 ENVISIONING
Information That Matters Template – The Community

WHAT WE LEARNED
COMMUNITY
PROFILE DATA
COMMUNITY
INVOLVEMENT/
PARTNERSHIPS

WHAT WE LEARNED
• Demographics, types of businesses, average • New technology company opening in one

education level of adults, number of post- year
COMMUNITY secondary institutions • Decrease in number of adults enrolled in
PROFILE DATA post-secondary institutions
• Average education level is dropping; currently
at eleventh grade or its equivalent
• Number of partnerships with local businesses • Five “thriving” partnerships
COMMUNITY
INVOLVEMENT/ • Number of volunteer hours from community • Increase in volunteer hours; increase in
PARTNERSHIPS members/partnership employees retired community members volunteering in
school (tutoring students)

1 ENVISIONING
Subphase 2: Explore the future.
STEP 1 KEY TIPS

Complete and use the Future Trends and Sources Template » Read future trends
to begin a discussion about factors that could impact education literature from professions
and/or the institution in the next 10 years. outside of education.
After reviewing literature, combing through information and » Talk to learners of all ages
looking for clues about the future, list these trends in the first to ask what they think.
column. Be sure to list trends and their sources to ensure
» Think in terms of new ideas
credibility.
that might disrupt the
norm.
» If nothing surprises the

team, then the team might
be missing something.
The Future Trends and Sources Template
FUTURE TREND HOW DO WE KNOW

1 ENVISIONING
FUTURE TREND HOW DO WE KNOW
Everything is moving faster—speeding up • Instant information, easy access for everyone, short and
fast communication
Information, items to purchase, etc., is personalized • Personalized retail items (shoes, soft drinks), websites
and apps for personalized services, personalized
medicine based on genetic makeup, personalized meals
at restaurants
More intense focus on safety • Increased security at public events, places,
transportation, homes
Increased use of robots, smart advisors, virtual personal • Virtual assistants
assistants
Virtual communication • Decrease in use of land lines, mail, and increase in short,
digital messages
STEP 2
Use the list of trends to complete the Categorize the Trends KEY TIPS
Template. When engaging in this activity, know there might be » Be certain to know the
more trends listed in one or two categories. difference between
economic and political
There is no need to have an even number of trends for each trends.
category; however, if there is one category with a full list while
» Engage in discussions when
others have a much shorter list, you might want to re-engage in the
categorizing. This is not a
future trends activity. In other words, perhaps the future thinking
one-person activity.
was not broad enough.
» Ensure the completed
Categorize the Trends
Template shows broad
thinking.

1 ENVISIONING
Categorize the Trends Template

SOCIAL TREND TECHNOLOGICAL TREND ECONOMIC TREND POLITICAL TREND

More intense focus on Increased use of robots, Reduction in imports Local vs. global
safety smart advisors, virtual
personal assistants
Information, items Access to data Growth in healthcare Virtual communication

to purchase, etc., is occupations
personalized
Everything is moving Cyber security Increase in interest rates, Media, reporting, and
faster—speeding up inflation what is real information
Changes in regional 3D printing Salaries/wages stagnant Anti-establishment

demographics movement

1 ENVISIONING
STEP 3
Use the information from the Categorize the Trends Template to determine which stakeholder group will be
most impacted by each trend should it come to fruition. Discuss each trend, determine which stakeholder group
will be most impacted, and designate your decision by placing a unique symbol on the chart to represent the
stakeholder group.
Upon completion of this exercise, you should view holistically the symbols, and determine which trends and
stakeholder groups are within the institution’s realm of control. A few examples are provided on the Lincoln
Elementary School Template.
Stakeholders Most Impacted Template


1 ENVISIONING
Key: Learners School Community
TECHNOLOGICAL
SOCIAL TREND ECONOMIC TREND POLITICAL TREND
TREND
More intense focus on Increased use of robots, Reduction in imports Local vs. global
safety smart advisors, virtual
personal assistants
Information, items Access to data Growth in healthcare Virtual communication

to purchase, etc., is occupations
personalized
Everything is moving Cyber security Increase in interest rates, Media, reporting,

faster—speeding up inflation and what is real
information
Changes in regional 3D printing Salaries/wages stagnant Anti-establishment

demographics movement

1 ENVISIONING
Subphase 3: Synthesize Results. KEY TIPS
STEP 1 » Use the Categorize the

Trends and Stakeholders
Use the Cluster the Information Template to list the institution’s Most Impacted Templates
top three to five future priorities, and place them in their respective to complete this activity.
category. Next, match the current reality to the trend. Remember
to think about the connections or impacts the future can have on » If you are having difficulty
completing the activity,
reality and vice versa.
go back to the previous
Once the connections are set, think about the big idea or strategic templates and discuss the
information again.
theme for each priority statement.
» It is okay if there is not a
match or connection for
every trend and current
reality item.
» It is possible to have
multiple priorities per trend.
Cluster the Information Template
SOCIAL TECHNOLOGICAL ECONOMIC POLITICAL
Future Priority Future Priority Future Priority Future Priority
Current Reality Current Reality Current Reality Current Reality
Future Priority Current Reality

1 ENVISIONING

SOCIAL TECHNOLOGICAL ECONOMIC POLITICAL
More intense focus on Robots, smart advisors, Virtual communication

Salaries/wages stagnant
safety virtual personal assistants (tweeting, social media)
No connection to current Minimal use of technology Teacher turnover high; Stakeholders pleased with
reality during class time 60 percent new teachers communication from school
every two years Community engagement
Minimal postsecondary lacking; change in
opportunities for adults demographics
Personalization
Literacy skills declining for

English Language Learners
Future Priority Current Reality
STEP 2
Complete the Strategic Themes and Priority KEY TIPS

Statements Template. Each priority statement has a
» Let the information flow
central theme or big idea. Take each priority statement and from the previous chart.
drill down to the essence of the concept using the one- or There is no new information
two-word theme as an organizer. here.
» Think about this exercise as

an “if and then” statement.
» Keep it simply stated so all

stakeholders understand
the context.

1 ENVISIONING
Strategic Themes and Priority Statements Template
FUTURE PRIORITY CURRENT REALITY PRIORITY STATEMENT STRATEGIC THEME
Use statement or terms Use the current reality If _______ is the future Ask: What is the big idea or
from Cluster the Information phrase from Cluster the priority, then what current strategic theme of the future
Template. Information Template. reality needs to change to priority?
realize the future? What is
the alignment?
FUTURE PRIORITY CURRENT REALITY PRIORITY STATEMENT STRATEGIC THEME
Personalization Students need to improve Implementing personalized Personalized Learning

their literacy skills to be learning instruction can Experiences
ready for middle school. improve student readiness
for middle school.
Virtual communication Stakeholders pleased with Using a variety of virtual Stakeholder Engagement
(tweeting, social media) communication from school, communication methods
but overall engagement is can improve stakeholder
lacking. engagement.

1 ENVISIONING
STEP 3
Complete the Guiding Principles Template. The purpose of this KEY TIPS
step is to ensure all guiding principles align with the institution’s
» Engage stakeholders
new priority statements. to develop or revise the
institution’s guiding principles.
If the institution’s vision, mission, and set of beliefs need to be
revised because there is misalignment with the priorities, take the » Ensure the vision and mission
opportunity to update the language and check for the accuracy statements are written
of each statement. For example, some institutions might find concisely so they are easily
their mission statement contains sections that read more closely remembered and therefore
like a vision statement and vice versa. This is not an uncommon embraced.
practice, but it is not considered a best practice. Although there
» Eliminate any educational
are three separate guiding principles, each one should connect
jargon from the guiding
to the other. The guidelines below reflect best practices for the principles.
revision or development of each guiding principle.
Guidelines
GUIDING PRINCIPLE DESCRIPTION BEST PRACTICES
Vision statement Communicates the future the institution Use inspiring words that are clear to
strives to achieve anyone; keep statement to less than 30
words; use future tense
Mission statement Communicates why the institution exists Use words that are clear to anyone; write
concise statements; keep statement to
less than 30 words; use present tense
Beliefs Communicates what the institution holds Use words that align with the mission
as its fundamental criteria guiding all and vision statements; can be stated as
decisions and actions; what the institution bulleted items; keep the list of beliefs
knows to be true succinct so they are easily remembered

1 ENVISIONING
For this template, review the vision, mission, and Note: The future priorities to be included in the
beliefs statements, and determine if there is an Guiding Principles Template should be taken from
alignment with the new direction for the future. If not, the Cluster the Information Template.
engage in discussions and decision-making to revise
the guiding principles. It is important everything is
moving in the same direction.
Guiding Principles Template
ALIGNMENT OR
VISION MISSION BELIEFS FUTURE PRIORITY
REVISION?

Vision: Our vision is that every student is achieving at his or her maximum potential in an engaging,
inspiring, and challenging environment.
Mission: To ensure all students receive a world-class education that prepares them for success in
college, career and life.
Beliefs: We believe all students can learn given equitable opportunities. It is our responsibility to
prepare students for the future and provide a safe and secure learning environment.

1 ENVISIONING
ALIGNMENT OR
VISION MISSION BELIEFS FUTURE PRIORITY
REVISION?
Every student All students Equity Personalization Alignment
Robots, smart
advisors, virtual
personal assistants
Maximum potential Prepares them for All can learn Alignment
success
Engaging, inspiring, World-class Responsibility to Media, reporting, Alignment
and challenging education prepare them for the and what is real
environment College, career, and future information
life Virtual
communication
(tweeting, social
media)
Responsibility to More intense focus on Alignment
provide a safe and safety
secure learning
environment
Stagnant salaries N/A
Embracing your past and understanding your current reality places you on a clear path to envisioning
the future.

PHASE 2: PLANNING
2 PLANNING
Purpose
The Planning Phase is the phase in which the The Planning Phase is all about identifying actions
continuous improvement team works toward and measures, prioritizing these actions, and
organizing how priorities will be addressed. The communicating the information to the institution’s
unique context of your institution is an important stakeholders. The subphases of Planning are
factor in this process, as is the continuous featured in the Overview of Planning Phase.
improvement team’s specific approach and
philosophy to drive positive change in the institution.
“Planning is bringing the future into the
present so that you can do something
about it now.”
—Alan Lakein, writer
Overview of Planning Phase

Use priorities to create What are the objectives that Turn each priority into an Allows time to plan for the
objectives and identify address the priorities? objective. institution’s long- and short-
critical initiatives What critical initiatives will Use evidence-based practices term improvement based on
enable the institution to to address and achieve each identified priorities.
achieve the objectives? objective.
Identify outcomes and What is the intended Determine the result institution Establishes desired results
key measures for each outcome of each critical leaders expect from each critical of critical initiatives’
critical initiative initiative? initiative. implementation; helps
What are the key measures Decide how each critical initiative to define relationships
for each critical initiative? will be assessed or measured for between outputs and
its effectiveness. outcomes.
Develop Strategy Map What information about Use a visual representation to Provides a concise,
improvement planning does show the institution’s long-term comprehensive summary
the institution share with its direction for improvement. of the institution’s
stakeholders? Identify ways to communicate improvement plan to share
How is the information the long-term direction with with all stakeholders.
communicated to stakeholders.
stakeholders?
Develop Annual Plan What does the institution Decide what the institution’s focus Ensures the Annual
want to accomplish during is for the first year, and tentatively Improvement Plan has
the coming year? plan for subsequent years. priorities to focus on for the
Develop the Annual coming year.
Improvement Plan.

2 PLANNING
SUBPHASE 1: USE PRIORITIES TO CREATE OBJECTIVES AND IDENTIFY CRITICAL INITIATIVES
What are the objectives that address the priorities • Address priorities by creating objectives for
in the short and long term? the short- and long-term improvement of the
institution.
What critical initiatives will enable the institution to • Determine evidence-based critical initiatives to
achieve the objectives? implement and achieve each objective.
1. Creates an objective to address each priority. 2. Determines evidence-based critical initiatives
It is now time to determine a set of priorities for to reach the objectives. You are now ready
the institution to address over the next three to address each objective. To do this, find
to five years. This already may have been implementable, evidence-based practices
completed prior to the Planning Phase. Use that will achieve each objective. Critical
these priorities and their strategic themes to initiatives answer the question, “What
discuss and answer the question, “How will the actions can the institution take to achieve
institution achieve the priority?” to determine the objective?” These critical initiatives
the objective or objectives for each priority. or evidence-based practices should be
In the Lincoln Elementary School example, sequenced to ensure an appropriate workflow
a priority was “personalization,” and its (order of critical initiatives). Write the critical
respective strategic theme was “personalized initiatives clearly but not granularly; in other
learning experiences.” To turn this priority and words, the statements give direction but not
strategic theme into an objective, you might specific details.
write the objective like this: “Provide active and
personalized learning opportunities to support
student readiness for middle school.” Note
the priority did not change; it was reworded to
provide a more realistic, specific, and tangible
statement that gives direction to address
the priority. An institution might have more
than one objective for a priority, but the ideal
objective statement is written at a high level
(without specifics) to avoid writing multiple
objectives.

2 PLANNING
3. Explicitly states the assumptions regarding details of how and why the approach should
the effectiveness of each critical initiative. In be successful. By making these beliefs or
developing plans to achieve the institution’s assumptions explicit, you can defend your
objectives, you must choose to pursue certain actions throughout the year and properly
critical initiatives instead of others. Each of evaluate the work of stakeholders.
these choices should be made based on

• Objectives and Key Measures Template
SUBPHASE 2: IDENTIFY OUTCOMES AND KEY MEASURES FOR EACH CRITICAL INITIATIVE
What is the intended outcome of each critical • Identify the intended outcome of each critical
initiative? initiative.
• Determine the key measures for each critical
What are the key measures for each critical initiative.
initiative?
1. Identifies intended outcome of each critical 2. Determines the key measures for each critical
initiative. To build an effective theory of action, initiative. It is important institutions have
you need to specify the expected outcomes access to a variety of data for monitoring and
when each critical initiative is implemented. In evaluating the implementation and impact of
other words, what does the institution want to the critical initiatives. Key measures answer
happen as a result of the institution’s focus on the question, “How will the institution know it is
the critical initiative? Identifying the intended achieving the objective?” You might consider
outcome for each critical initiative makes it key measures that provide information on the
possible to connect short-term improvements performance of the institution, conditions that
to longer-term objectives. impact performance, accountability data, and
perception data from its stakeholders. Identify
these sources for all critical initiatives.

2 PLANNING
3. Identifies and records factors outside the are not a part of the plan. It is likely you can
critical initiative’s scope most likely to impact think of many examples, but it is best to only
desired outcomes. Institutions do not operate record the three or four most likely to have an
in a vacuum. Myriad forces inside and outside effect. Considering the role of these factors
of the institution can influence the outcomes is a crucial part of the eventual evaluation of
of a critical initiative, even if those factors critical initiatives.

• Objectives and Key Measures Template
SUBPHASE 3: DEVELOP STRATEGY MAP
What information about improvement planning • Create a visual representation (Strategy Map) of
does the institution share with its stakeholders? the institution’s direction for improvement.
• Share the Strategy Map with stakeholders.
How is the information communicated to its
stakeholders?
1. Generates Strategy Map. As a result of the beliefs, priorities, objectives, critical initiatives,
previous subphases, a significant amount and key measures reflect the decisions
of information has been assimilated. This made in the previous subphases. The key to
information, when formatted into a single yet an effective and concise Strategy Map is to
comprehensive diagram such as a Strategy keep the information clear but at a high level.
Map, can be used as a visual representation Remember, this is a communication tool that
of the institution’s overall direction for its shows the institution’s direction and not its
future. Before sharing the Strategy Map with detailed plan.
stakeholders, a thorough review should be
conducted of all of the information on the
Strategy Map to ensure the mission, vision,

2 PLANNING
2. Shares Strategy Map with stakeholders. The community members see the institution’s
Strategy Map is an easy way to communicate big picture. Sharing the Strategy Map on the
the institution’s big-picture direction for the institution’s website, social media pages, and
next three to five years with all stakeholders. during meetings can serve as a way to keep
Although the institution probably has involved everyone moving in the same direction with
stakeholders all along to make decisions, it the same information.
is unlikely all staff members, parents, and

• Strategy Map Template
SUBPHASE 4: DEVELOP ANNUAL PLAN
What does the institution want to accomplish • Decide on year one’s focus for improvement
during the coming year? planning, and tentatively plan the subsequent
years’ foci.
• Complete the Annual Improvement Plan.
1. Makes decisions about the institution’s initiatives, and current reality. Also, think how
focus for the coming year. Once you have one strategic theme might impact another
established the institution’s Strategy Map, it one. If the strategic themes are connected,
is important to identify the focus for year one meaning one supports the achievement of
and, ideally, have a vision for the order of the another, the institution might decide to select
priorities, objectives, and critical initiatives for all of the strategic themes to address during
subsequent years. The order might change, the coming year and prioritize the sets of
but it is important to establish a tentative critical initiatives.
sequence of improvement work so each
year’s plan builds on the ones before it. Take
into consideration the institution’s human and
resource capacities, the scope of the critical

2 PLANNING
2. Generates an Annual Improvement Plan. In the institution’s focus for one year. All of the
much the same way that the Strategy Map information for the Annual Improvement Plan
captures the long-term direction for the has been completed as a result of the previous
institution’s improvement journey, the Annual subphases.
Improvement Plan provides a summary of

• Annual Improvement Plan Template
Theory of Action: Planning

A thoughtfully crafted theory of action helps an assumptions that explain why each critical initiative
institution by providing an explicit model explaining should be successful and listed influential factors
how plans lead to desired outcomes. A well- that might impact success. These components
constructed theory of action also serves as a compose the majority of the information on the
tool for evaluation while work is in progress and theory of action.
upon completion. During the Planning Phase, you
Note: If you have been entering your information in
created objectives and critical initiatives. You also
Strategies, the information entered is automatically
identified the key measures and intended outcomes
populated.
associated with each. You also made explicit the
PLANNING Input
• Objectives
• Critical Initiatives
• Assumptions (inFocus guide only)
• Intended Outcomes
• Key Measures
• Influential Factors (inFocus guide only)
Output
• Populates the Theory of Action Template

2 PLANNING
Planning Phase Templates

KEY TIPS
Subphase 1: Use Priorities to Create
Objectives and Identify Critical Initiatives. » Write objective statements
that can be communicated
Subphase 2: Identify Outcomes and Key clearly to stakeholders—
Measures for Each Critical Initiative. refrain from writing
measurable outcomes in
Complete and use the Objectives and Key Measures the statements.
Template as an organizing tool to put key information in one chart.
Begin by selecting a priority and strategic theme, and continue » Select critical initiatives
through the six steps listed in the template. Note that each priority from research and
and strategic theme has its own objective, set of critical initiatives, respected practitioner-
intended outcomes, and key measures. oriented literature.
STEP 1 » Consider the institution’s

reality and future when
Use the priority statement and its strategic theme as the guiding
determining the critical
organizer to write the objective statement. The objective
initiatives, intended
statement answers the question, “How are we going to achieve the
outcomes, and key
priority?”
measures.
STEP 2
Complete this exercise for each priority and objective statement. Each objective statement needs
accompanying evidence-based practices or critical initiatives for the institution to implement.
STEP 3
Identify the intended outcome the institution will strive to achieve for each critical initiative.
STEP 4
Explicitly state what the institution believes regarding how and why each critical initiative will be successful upon
execution when writing the assumptions.

2 PLANNING
STEP 5
Decide on three or four (keep the quantity small) factors that could influence the success of the critical
initiatives. Influential factors are outside the institution’s control but have the potential to change the critical
initiatives’ intended outcomes.
STEP 6
Determine appropriate indicators or key measures that track the progress and achievement of the critical
initiatives. Each critical initiative can have one or multiple means to measure its effectiveness and/or
performance.
Objectives and Key Measures Template
PRIORITY: STRATEGIC THEME: (REFER TO THE STRATEGY MAP)
OBJECTIVE:
Critical Initiatives Intended Outcomes Assumptions Influential Factors Key Measures

2 PLANNING
PRIORITY: Personalization STRATEGIC THEME: Personalized Learning Experiences
OBJECTIVE: Provide more active, personalized learning opportunities to support student readiness for middle school
Critical Initiatives Intended Outcomes Assumptions Influential Factors Key Measures
• Invest in • Teachers will • Aligning • School board’s • Materials

curriculum have resources curriculum budgeting process inventories;
materials aligned necessary to to instruction and approval curriculum
to/in support implement active maximizes for curriculum distribution lists
of instructional reading strategies learning. materials • Classroom
practices with fidelity. walkthrough data
that promote
personalized
learning.
• Provide • All staff will • Professional • Effectiveness/ • Teacher surveys
professional gain knowledge development quality of teacher • Classroom
development necessary to is an effective training observation;
for personalized transition into approach to teacher
learning. personalized improving teacher evaluation
learning behaviors.
instruction. • Teachers will gain
new skills.
• Implement • Students will be • Teachers will • Stakeholders’ • Student
personalized more engaged implement reactions to or engagement
learning in learning and strategies acceptance of survey; classroom
program to demonstrate according to personalized observations
increase student better training. learning • Student
engagement. performance • Personalized approach performance
on readiness learning on readiness
measures. practices will benchmarks
increase student (reading, math)
engagement.
• Increased student
engagement will
lead to higher
reading scores.

2 PLANNING
Subphase 3: Develop Strategy Map.

Complete the Strategy Map Template. Use the information from KEY TIPS
the previous exercises to develop the institution’s Strategy Map.
» Check to be sure the
correct information is
transferred to the Strategy
Map.
» Keep the institution’s

stakeholders in mind when
completing the Strategy
Map. It is meant to be a
communication tool that
conveys the institution’s
direction.
» Keep the statements

digestible to a broad
audience.

2 PLANNING
The Strategy Map Template
Vision Mission Beliefs
Strategic Theme Strategic Theme Strategic Theme
Objectives Objectives Objectives
Critical Initiatives Critical Initiatives Critical Initiatives
Key Measures Key Measures Key Measures
Source: Template image from Cognia Strategies application.

2 PLANNING
Vision Mission Beliefs

Our vision is that every student is achieving at To ensure all students receive a world-class We believe all students can learn given
his or her maximum potential in an engaging, education that prepares them for success in equitable opportunities. It is our responsibility
inspiring and challenging environment. college, career, and life. to prepare students for the future and provide
a safe and secure learning environment.
Personalized Learning Staff Stability External Stakeholder Engaging Learning Technology

Experiences Engagement Environment
Objectives Objectives Objectives Objectives Objectives

Provide more active, Provide choice programs for Provide proactive Develop school environment Provide appropriate and
personalized learning professional development communication and strategic where all students feel sufficient technology
opportunities to support toward advanced involvement opportunities intellectually safe and have resources to students and
student readiness for middle certification programs to for parents and other opportunities to succeed. teachers in all classrooms.
school. stabilize teaching staff. community members.
Critical Initiatives Critical Initiatives Critical Initiatives Critical Initiatives Critical Initiatives
• Invest in curriculum, • Conduct leadership study • Conduct audit of • Conduct schoolwide • Revise school technology
materials aligned to/in group to establish needs community engagement diagnostic student interest plan
support of instructional and identify potential • Develop and implement and engagement • Conduct schoolwide
practices that promote programs stakeholder engagement • Implement advisory block needs assessment
personalized learning • Reallocate human and plan • Redistribute counseling • Identify and apply for
• Provide professional fiscal resources to manage • Develop and implement resources external resource and
development for choice program and strategic partnership plan partnership opportunities
personalized learning provide teacher support
• Implement personalized • Develop and implement
learning program strategic partnership plan
to increase student
engagement
Key Measures Key Measures Key Measures Key Measures Key Measures
• Materials inventories; • Participation rates for • Communication record • Student surveys • Technology needs
curriculum distribution choice programs data • Parent surveys assessment data
lists • Completion rate for choice • Stakeholder surveys • Student observation
• Support staff inventories
• Teacher surveys programs ratings
• Student portfolios
• Classroom observation • Staff surveys • Student inventories
• Student engagement • Teacher retention data • Technology integration
survey plans/artifacts
Source: Template image from Cognia Strategies application.

2 PLANNING
Subphase 4: Develop Annual Plan.

Complete the Annual Improvement Plan Template. This KEY TIPS
template is used to capture decisions about which strategic
themes the institution will focus on during the coming year, as » Remember a strategic
well as the accompanying information that clarifies strategic theme can have more than
themes. There is no new information to generate to complete one critical initiative.
this subphase; the main task is to list the institution’s focus for
improvement for one year. » Transfer the information
from the previous
templates, and ensure
everyone is in agreement
with the institution’s focus
for the coming year.
Annual Improvement Plan Template
INSTITUTION NAME: TERM:
Strategic Theme 1 Objective 1: Key Measures:
Critical Initiatives:

2 PLANNING
SCHOOL NAME: LINCOLN ELEMENTARY SCHOOL TERM: 2017–2018 SCHOOL YEAR
Strategic Theme 1 Objective 1: Provide more active, personalized learning Key Measures:
Personalized Learning opportunities to support student readiness for middle school. • Materials: inventories,
Experiences curriculum, distribution
Critical Initiatives: lists
• Invest in curriculum materials aligned to/in support of • Classroom observations
instructional practices that promote personalized learning.
• Provide professional development for personalized learning.
• Implement personalized learning program to increase
student engagement.
Strategic Theme 2 Objective 2: Provide choice programs for professional Key Measures:
Staff Stability development toward advanced certification programs to • Participation rates for
stabilize teaching staff. choice programs
• Completion rate for choice
• Conduct leadership study group to identify programs. programs
• Reallocate human and fiscal resources to manage programs • Staff surveys
and provide support.
• Teacher retention data
• Develop and/or purchase professional development
curriculum.
Strategic Theme 3 Objective 3: Provide proactive communication and strategic Key Measures:
External Stakeholder involvement opportunities for parents and other community • Communication record
Engagement members. data
• Stakeholder surveys
• Conduct audit of community engagement.
• Develop and implement stakeholder
engagement plan.
• Develop and implement strategic partnership plan.
Note: This is an example and not all strategic themes are displayed.
The Planning Phase provides you the perfect opportunity to identify actions and measures, prioritize these
actions, and communicate the information to stakeholders.

PHASE 3: IMPLEMENTING
3 IMPLEMENTING
Purpose
The Implementing Phase converts plans into results. This also will inform course corrections when
actions. Through engaging in this phase, the needed.
continuous improvement team determines concrete
steps for making progress toward achieving The three subphases of Implementing are featured in
objectives and critical initiatives. Success in this the Overview of Implementing Phase.
phase depends on regular monitoring and reporting
updates to ensure execution of the plan. The work
“Ideas are easy. Implementation is hard.”
of Implementing can and should involve a degree
of evaluation to determine whether the plan is – Guy Kawasaki
proceeding as expected and producing acceptable
Overview of Implementing Phase
Design What steps are involved in Break down critical initiatives Divides critical initiatives into
Implementation executing this critical initiative? into actionable activities. smaller steps to provide clear
Plan How long should this take? Determine a timeline for direction and make work
completion of tasks. manageable.
How will each activity be
measured? Establish activity measures
What will be the target for along with targets for
progress? improvement.
Assign and What are the individual/ Determine specific stakeholder Organizes tasks by stakeholder
communicate team benchmarks for this groups responsible for tasks groups to ensure each person
responsibilities target cycle? and measures of success. has a part to play and knows
Begin working toward that part.
completing activities at a Makes stakeholder
pace appropriate for reaching responsibilities transparent
targets. and adds an important layer of
mutual accountability.
Enact and Is the institution doing what it Collect progress data from Monitors progress in a routine
monitor progress said it would do as planned? stakeholder groups. and regular manner and
What progress is being made Revisit the Annual communicates progress and
toward the targets? Implementation Plan to make changes.
Do any targets need to be changes as necessary. Keeps stakeholders informed of

revised? Update any activities affected the work that lies ahead.
Are there enough resources to by the adjustments.

continue as planned? Communicate all changes, with
evidence-based rationale, to all
stakeholders.

3 IMPLEMENTING
SUBPHASE 1: DESIGN IMPLEMENTATION PLAN
What are the steps involved in executing this • Break down critical initiatives into actionable
critical initiative? activities.
• Communicate plan to all stakeholders.
How long should this take?
How will each activity be measured?
What will be the target for progress?
1. Develops Annual Implementation Plan by development digital portfolio is an example of
identifying activities necessary for carrying what might be measured.
out the Annual Improvement Plan. Objectives
and critical initiatives are too high-level when 3. Defines a target cycle. Break the work up into
it comes to actually doing the work required regular, manageable time periods throughout
to implement the plan. This work is important the year. This way, stakeholders are less
to ensure the involvement and buy-in of the prone to becoming overwhelmed by the work.
institution’s staff members and to create Further, it allows for identifying potential issues
digestible actions or activities for each critical before it is too late to make changes. Be sure
initiative. to include a launch date for each activity so
the Progress Monitor can track the timing of
2. Determines activity measures that signal multiple events that may be occurring during
success. Now that activities are determined, it different target cycles or times of the year.
is essential for their success to clearly describe
progress measurement for each activity. These 4. Shares and discusses Annual Implementation
activity measures answer the question, “What Plan with stakeholders. Successful
will we look to when we assess progress?” implementation requires clear communication
You might consider reviewing the collection to all staff members on the overall plan, as
of information or data (see Envisioning Phase, well as each individual’s role in implementing
Information That Matters Template for an activities. You should frequently, and in
example) to list the various types of resources a variety of settings, discuss the Annual
used by the institution. A professional Implementation Plan and its progress
with stakeholders through the institution’s
communication resources.
3 IMPLEMENTING
5. Oversees stakeholder groups as they review, for the entire institution. The scope of work can
clarify, and learn responsibilities outlined be carried out only through the involvement of
in the Annual Implementation Plan. The all individual stakeholders. It is imperative each
Implementation Plan represents the body of group and individual understands his or her role
work required to execute the critical initiatives and responsibilities.

• Annual Implementation Plan Template
• Annual Improvement Plan Template (optional)
SUBPHASE 2: ASSIGN AND COMMUNICATE RESPONSIBILITIES
What should individuals/teams be doing or • Execute previously identified tasks/activities.

working on now?
What are the individual/team benchmarks for this

target cycle?
1. Assigns activities by stakeholder groups and activities on Stakeholder Responsibility Cards,
organizes them on Progress Monitor and you can provide stakeholders a more concise
group-level Stakeholder Responsibility and focused overview of their assigned
Cards (see the templates). Not all activities. Stakeholder Responsibility Cards
stakeholders need access to the entire Annual allow individuals to guide their actions and
Implementation Plan; however, you need to work toward benchmarks with fidelity.
keep stakeholders informed of the progress
as the activities roll out. Progress Monitor 2. Ensures the resources identified for tasks
Cards ensure all actions are monitored by are available for stakeholders to use. All
at least one person (internal staff member). educators know the best plans and activities
You also will need to determine what run the risk of being unsuccessful if the
activities should be implemented by specific resources are unavailable. To reduce the
stakeholder groups. By organizing these risk of this happening, you should be realistic
about the availability of resources and the

3 IMPLEMENTING
institution’s budget. However, if the resources 3. Checks with stakeholder groups to make sure
are listed for each activity and determined they are keeping track of their own progress.
to be realistic and accessible, it is your As a target cycle concludes, stakeholders will
responsibility to provide the resources and need to provide updates to their respective
assist staff members with their use. For Progress Monitors. By tracking individual
example, if institution leadership established progress in an ongoing fashion, stakeholders
the expectation that department heads attend can help limit the work of Progress Monitors.
one professional development conference per Some stakeholder groups may need more
year, then those resources should be made encouragement than others to fulfill this
available to the department heads. responsibility.

• Progress Monitor Card Template
• Stakeholder Responsibility Card Template
SUBPHASE 3: ENACT AND MONITOR PROGRESS
Is the institution doing what it said it would do as • Assess and report progress made during a target
planned? cycle.
What progress is being made toward the targets?
Do any targets or actions need to be revised?
Are there enough resources to continue as

planned?

3 IMPLEMENTING
1. Reviews Progress Monitor Cards to discuss ii. Update Progress Monitor Cards to reflect
progress and determine whether changes new target cycle and any changes to the
are needed. Despite careful thought and Annual Implementation Plan.
good intentions, some approaches may need iii. Update Stakeholder Responsibility Cards
to be adjusted based on what the Progress to reflect any changes to the Annual
Monitor reports. This review and feedback Implementation Plan.
are best received if presented as supportive
and collaborative. First, listen to the Progress iv. Communicate changes to all stakeholder
Monitor to determine if the work related to the groups.
activity is not progressing or the benchmarks 3. Updates the theory of action when new
are not being met. A good practice is to influential factors emerge. During any school
establish a peer review atmosphere where year, it is possible for the unexpected to
two Progress Monitors are teamed together happen. For instance, a new law might be
to discuss similar activities. This helps keep enacted impacting the planned funding source
everyone on track. for a critical initiative. When these instances
2. Revisits the Annual Improvement Plan (if occur, be sure to record them on the Theory
changes are needed). In some cases, a lack of of Action Template so you remember to
progress may be the result of overly ambitious consider their influence when the time comes
or optimistic objectives. In other instances, to evaluate.
unforeseen challenges may have arisen that
need to be addressed before the entire year
passes. In either situation, you should formally
amend the Annual Improvement Plan to reflect
the new circumstances. Other tasks also
should be addressed:
i. Update Annual Implementation Plan
to reflect changes to the Annual
Improvement Plan.

• Annual Improvement Plan Template
• Stakeholder Responsibility Card Template

3 IMPLEMENTING
Theory of Action: Implementing

A thoughtfully crafted theory of action will each critical initiative. These items will appear on
help an institution by providing an explicit model every theory of action the institution creates, serving
explaining how the institution’s plans should lead as reminder that faithful implementation of critical
to desired results. A well-constructed theory of initiatives depends upon having the appropriate
action also serves as a tool for evaluation while required resources.
work is in progress and upon completion. During the
Note: If you have been entering your information in
Implementing Phase, you identified the resources Strategies, the information entered is automatically
required for enacting the activities associated with populated.
IMPLEMENTING Input
• Resources
Output
• Populates the Theory of Action Template

3 IMPLEMENTING
Implementing Phase Templates

Subphase 1: Design Implementation Plan. KEY TIPS
Complete and use the Annual Implementation Plan Template
» Seek input from staff
to break down objectives and critical initiatives into actionable
members when developing
activities necessary for assessing progress and/or making
activities and launch dates.
adjustments. Target cycles help stakeholders divide potentially
overwhelming activities into more manageable segments.
» Determine launch and
check-in dates based on
the institution’s calendar
and major events.
» Communicate regularly
with staff members about
the team’s progress in
developing the Annual
Implementation Plan.
Annual Implementation Plan Template
ANNUAL IMPLEMENTATION PLAN
OBJECTIVE 1: STRATEGIC THEME:
Required Targets
Critical Activity
Activities Financial Launch Date
Initiative Measure(s)
Resources Cycle 1 Cycle 2 Cycle 3

3 IMPLEMENTING

Note: This is an example and not all critical initiatives are displayed.
ANNUAL IMPLEMENTATION PLAN
OBJECTIVE 1: Provide more active,

personalized learning opportunities to support STRATEGIC THEME: Personalized Learning Experiences
student readiness for middle school.
Required Targets
Critical Activity
Activities Financial Launch Date
Initiative Measure(s)
Resources 30 Days 60 Days 90 Days
1.1 – Provide 1.1a Collect N/A Classroom First survey 100% of 20% of
professional data observations, completed classrooms classrooms
development regarding Teacher self- during pre- observed observed a
for teachers’ assessment planning, 100% of second time
personalized current surveys, August 8 teachers
learning knowledge Professional completing
of/familiarity learning survey
with credits (PLC)
personalized minutes
learning
strategies
1.1b – Identify $1,000 Professional August 16 20% of 50% of 100% of

and engage in for online development teachers teachers teachers
professional professional digital reviewing reviewing reviewing
development learning portfolios at least one at least one at least one
opportunities enrollment personalized personalized professional
fees learning learning development
professional professional session
development learning 20% of
session session teachers
reviewing two
personalized
learning
professional
development
sessions

3 IMPLEMENTING
Subphase 2: Assign and Communicate KEY TIPS

Responsibilities.
» Consider asking staff
Complete and use the Stakeholder Responsibility Card members not in leadership
Template to communicate the actions for which stakeholder roles to be responsible for
groups will be responsible and document activities from the an activity. Develop leaders
Annual Implementation Plan. Include measures of success to when possible.
assess progress toward the end-of-year target. Keep in mind, while
the language of objectives and critical initiatives will not change » Ensure all stakeholders
from the Strategy Map, activities should be worded to describe understand their roles.
the work of the particular stakeholder connected to that critical
initiative. » Regularly communicate
expectations and offer
assistance so the institution
achieves its objectives.
Stakeholder Responsibility Card Template
STAKEHOLDER RESPONSIBILITY CARD
CRITICAL ACTIVITIES
OBJECTIVE ACTIVITIES TARGETS
INITIATIVE MEASURES

3 IMPLEMENTING

STAKEHOLDER RESPONSIBILITY CARD
CRITICAL ACTIVITIES
OBJECTIVE ACTIVITIES TARGETS
INITIATIVE MEASURES
Provide more active, 1.1 – Provide Complete surveys Survey and self- Completed by end of
personalized learning professional and self-assessments. assessment reports first month
opportunities to development for
support student personalized learning. Attend professional Sign-in verification Three hours of
readiness for middle development and reflection related professional
school. sessions related to responses for digital development by end
active learning. portfolios of first term, 200-
word reflection for
each session
Subphase 3: Enact and Monitor Progress. KEY TIPS

Complete and use the Progress Monitor Card Template to » Use the Annual Implementation
track progress made toward completing activities and reaching Plan to fill in the Progress
short-term goals identified for each target cycle in the Annual Monitor Card.
Implementation Plan. Also, identify the stakeholder(s) responsible
for overseeing individual activities, as well as resources required » Ensure each Progress Monitor
for successful implementation. Be sure to fill in the current is accountable for collecting
target cycle (e.g., first quarter) and include important due dates the information for each target
or checkpoints that occur during the current target cycle in the cycle.
Benchmarks column.
» Establish strong communication
processes between the
Progress Monitors and the
Continuous Improvement Team.
» Continue to monitor progress in

advance of target cycles.

3 IMPLEMENTING
Progress Monitor Card Template
OBJECTIVE 1, CRITICAL INITIATIVE 1.1
TARGET
PROGRESS MONITOR
CYCLE
(Critical Initiative)
Activity Launch Date Person(s) Resources Current Benchmarks Status/Notes

Responsible Needed Target

3 IMPLEMENTING

OBJECTIVE 1, CRITICAL INITIATIVE 1.1
TARGET
PROGRESS MONITOR: Al Collins, Instructional Coach 30 60 90 120 150 180
CYCLE
1.1–Provide professional development for personalized
learning.
Activity Launch Person(s) Resources Current Benchmarks Status/Notes

Date Responsible Needed Target
1.1a – Collect August 8 Administration Observation 80% of Kindergarten & First Grade:
data regarding instructional forms classrooms August 10
teachers’ coach observed Second Grade:
current August 12
knowledge of/
familiarity with Third Grade:
personalized August 13
learning Fourth Grade:
strategies. August 15
Fifth Grade:
August 16
1.1b – Identify August 15 Classroom Registration 20% of Enrolled in first session by
and engage in teachers; lists for teachers August 30
professional Grade level teacher reviewing
development teacher leaders professional at least one
opportunities. development personalized
enrollment learning
professional
development
session
The Implementing Phase turns your plans into actions to ensure you are getting the intended results.

P H A S E 4 : E VA L U AT I N G
4 E VA L U AT I N G
Purpose
The Evaluating Phase guides the continuous requires a clear understanding of the ever-
improvement team to use the knowledge, changing link between the data being collected
ideas, and questions gathered from the and the questions being asked throughout
previous phases (or other prior work) to answer the lifecycle of the continuous improvement
important questions identified throughout the process. In the Evaluating Phase, the continuous
process. The Evaluating Phase is intended to improvement team examines the congruence
help organize pertinent information needed to between what was expected to happen and
make a judgment related to the significance, what actually happened. The three subphases
effectiveness, or quality of a given critical of Evaluating are featured in the Overview of
initiative. Managing the ever-increasing amount Evaluating Phase.
of information about the learning process
“One of the great mistakes is to judge

policies and programs by their intent
rather than their results.”
– Milton Friedman

4 E VA L U AT I N G
Overview of Evaluating Phase
SUBPHASES GUIDING QUESTIONS WHAT TO DO WHY IT IS IMPORTANT
Determine impact What existing issues/practices/ Compare outcomes to starting Provides the basis for
of critical initiatives conditions were problematic? points. evaluating success.
What, if anything, has Determine whether outcomes Ensures any positive outcomes
changed? indicated positive results. can be attributed fairly to the
Did the outcomes data indicate Verify the critical initiative was plan that was proposed.
success? carried out with fidelity. Helps determine whether
Was the proposed solution Explore alternative critical initiatives should
executed as planned? explanations. be counted as a success,
sustained for another year,
Are there other explanations revised, or abandoned
(beyond the intervention) that altogether.
might explain the results?
Judge success of Do the outcomes tied to critical Discuss findings from critical Brings together multiple
Annual Plan initiatives align to our overall initiatives in relation to one measures of success to
plans? another. provide a high-level analysis
Did we make progress toward Describe results in a holistic of the work of an entire school
our objectives based on way. year.
strategic themes?
Address How should this year’s findings Decide whether sufficient Guides subsequent planning
implications for influence next year’s plans? progress was made. efforts.
future work Organize results to inform
future planning.
SUBPHASE 1: DETERMINE IMPACT OF CRITICAL INITIATIVES
What existing issues/practices/conditions were • Examine outcomes in relation to inputs.

problematic? • Analyze findings to determine success of the
critical initiatives.
What, if anything, has changed?
Did the outcomes data indicate success?
Was the proposed solution executed as planned?
Are there other explanations (beyond the

intervention) that might explain the results?

4 E VA L U AT I N G
1. Displays pre- and post-data together, and 4. Discusses the role of influential factors that
compares outcomes to starting points to also might explain the results. After verifying
identify differences. Evaluating the success of the critical initiative was implemented as
any critical initiative requires the comparison planned, take more time to explore other
of baseline data to outcomes observed influential factors that may have led to the
after implementation. Displaying these data outcomes. It may appear, based only on
together enables a side-by-side picture for outcomes, that a critical initiative did not lead
review. Consider whether any variances are to expected results even though the plan of
substantively different or only marginally action was followed. For example, perhaps the
changed. instructional coach resigned in the middle of
the year and his replacement was less familiar
2. Determines whether outcomes, key measures, with the institution’s new critical initiative
and activity measures indicated positive regarding personalized learning. It is possible
results of the critical initiative and related the critical initiative was appropriate, and it
actions. Before enacting the critical initiative, was implemented faithfully. It is also possible
you identified key measures, along with that the impact of the instructional coach’s
intended outcomes, that would indicate resignation outweighed the impact of the plan.
success at the end of the year. Now, determine If no such explanations appear to exist, you
whether the summative data collected satisfy might conclude the critical initiative was a
those conditions for success. success.
3. Verifies the critical initiative was carried out
with fidelity. The review of the pre- and post-
data may indicate changes that suggest the
critical initiative was successful. Do not be too
quick to attribute changes to the institution’s
planned work, though. First double-check to
make sure the activities aligned to the critical
initiative were carried out correctly.

• Theory of Action Template

4 E VA L U AT I N G
SUBPHASE 2: JUDGE THE SUCCESS OF THE ANNUAL PLAN
Do the outcomes tied to critical initiatives align to • Make recommendations for future work based on
our overall plans? the successes and/or failures of the most recent
year.
Did we make progress toward our objectives
based on strategic themes?
1. Discusses the findings from the evaluation b. Are these differences what the
of individual critical initiatives in relation institution expected to see? The Annual
to one another. In the previous subphase, Improvement Plan was intended to
you considered the effectiveness of critical generate change. Did the changes bring
initiatives one-by-one. The next level of the institution closer to its long-term
analysis requires a consideration of how these objectives? Refer to the key measures
critical initiatives may be connecting with one the institution identified to help with this
another. The questions that follow are similar decision.
to those you just used to evaluate each critical c. Did the institution faithfully execute the
initiative but are expanded to allow you to Annual Improvement Plan as written? The
consider the entire Annual Improvement Plan. Annual Improvement Plan the institution
a. Is our now current reality different from created likely contains more than one
our then current reality? The current critical initiative. If one or more of them
reality an institution investigated before was not implemented in the way it was
last year is not necessarily its new current intended, this should influence how you
reality. At least, it should not be if the plan view the overall success of the Annual
worked. Use the data the institution has Improvement Plan.
collected throughout the year to compare d. Are there alternative explanations for
where it was then to where it is now. success or failure? Certain circumstances
can influence individual critical initiatives.
Consider the example of the instructional
coach who suddenly resigns.

4 E VA L U AT I N G
This might contribute to less than 2. Describes the combined results of the critical
expected effects tied to the personalized initiatives in a holistic way that speaks to the
learning critical initiative while having no effectiveness of the Annual Improvement Plan.
effect on other critical initiatives. Some The prior steps call for a thorough exploration
factors, however, might cause larger-scale of outcomes at multiple levels. Based on those
disruptions. Severe weather, for example, conversations, write a summary of the findings
might leave a school closed for weeks at regarding the effectiveness of the Annual
a time, no doubt disrupting work among Improvement Plan. How did the work related to
many (if not all) of the critical initiatives. the critical initiatives connect to any progress
(or lack thereof) toward achieving long-term
objectives?
SUBPHASE 3: ADDRESS THE IMPLICATIONS FOR FUTURE WORK
How should this year’s findings influence next year’s • Consider how work guided by the Annual
plans? Improvement Plan connects to the long-term
objectives of the institution.
1. Decides whether sufficient progress was 2. Organizes results in a way that informs
made toward completing critical initiatives and future planning. In many cases, you will begin
meeting objectives. A review of the institution’s planning for the subsequent year immediately
accomplishments could uncover a variety after evaluating the work of the prior year.
of findings. In some cases, a critical initiative As such, it is important you thoughtfully
might have been executed perfectly, leading summarize your findings, so they can be
to the desired and predicted outcomes. In incorporated easily into the planning work for
other instances, problems may have arisen the upcoming year.
that contributed to a lack of results. Before
moving on to making plans for the next year,
determine which critical initiative(s) can be
retired, revised, and/or abandoned.

4 E VA L U AT I N G
Evaluating Phase Template

Subphase 1: Determine Impact of Critical KEY TIPS
Initiatives.
» Keep in mind that
Complete and use the Theory of Action Template to Strategies will input only
financial resources. All
create a visual representation of the institution’s theory of
other resources need to be
action. If you have gone through the Strategies process, most input manually.
of the parts of this template already should be completed,
and you should check what was entered for accuracy. » Involve stakeholders who
were decision-makers or
had responsibilities for the
plan’s execution to ensure
they know the impact of
their contributions.

4 E VA L U AT I N G
Theory of Action Template
Source: Template image from Strategies application.

4 E VA L U AT I N G
Source: Template image from Strategies application.
Engaging in the Evaluating Phase helps you organize pertinent information needed to make
judgments about any given critical initiative and allows the examination of what was expected to
happen and what actually happened.

| CONCLUSION
Conclusion
It is the duty of educators to constantly strive Planning and carrying out the improvement
to improve their institution, educational work required during a school year is clearly no
practices, and learning environments. From small feat. We hope you find this resource to be
early learning to K–12, public to nonpublic, an empowering tool for guiding and assessing
digital to postsecondary and everything in your efforts along your continuous improvement
between, it is an educator’s responsibility to journey.
make education better today than yesterday
and still to do even better tomorrow. This
ongoing quest to be and do better is the essence
of continuous improvement. With so much
on the line, how can educators approach this
immense responsibility? Cognia’s Strategic
Thinking and Improvement Planning process,
which is embedded throughout Strategies,
serves as a guide to assist educators with their
continuous improvement goals, planning, and
implementation. inFocus: A Guide for Strategic
Thinking and Improvement Planning outlines
Cognia’s research-based approach to sustained
continuous improvement that complements the
Strategies application.

RESOURCES: GLOSSARY
| GLOSSARY
Glossary of Key Terms

Activity/Activities– an action that provides more specific information on how the critical initiative will
be approached or implemented.
Activity Measure– a source of data used to evaluate the effectiveness of activities in completing the
work of critical initiatives.
Annual Implementation Plan– a detailed yearly improvement plan that provides staff members with
clear direction on the activities, financial resources, activity measures, launch dates, and target dates
to execute the plan.
Annual Improvement Plan– a summary of an institution’s short-term or immediate focus for the
coming year that features its strategic themes, objectives, critical initiatives, and key measures.
Assumptions– the underlying beliefs or rationale for the intended outcomes, critical initiatives, and/or
expectations for overall success; these beliefs will be considered accurate or questioned depending on
the results of the intended outcomes.
Beliefs– the core values that help define the identity and culture of an institution.
Critical Initiative– an evidence-based method used to guide the implementation of actions required
to achieve objectives (sometimes referred to as a strategy).
Current Reality– an analysis of information and data to determine a comprehensive status of an

institution at a given point in time.

| GLOSSARY
Disruptors– something that causes or prevents processes, practices, or events from continuing in
their current state; something that causes change in the way people function, operate, and/or think.
Future Trends– the process of analyzing patterns, disruptors, and changes from a variety of
disciplines to develop insights and understand their impact on the institution in the years ahead.
Improvement Journey– a research-based, ongoing process in which institutions engage for

the purpose of increasing overall effectiveness and making positive, measurable impacts on all
stakeholders, primarily students, by focusing on and implementing three essential elements: learn and
share, examine and plan, and act and evaluate.
Influential Factors– anything outside an institution’s control or sphere of influence that could
positively or negatively impact the institution’s direction toward improvement.
Input– resources, programs, people, etc., currently in place to achieve the institution’s critical
initiatives.
Intended Outcomes– the results an institution expects as a consequence of undertaking a critical

initiative and its key measures.
Key Measure– a source of data used to evaluate the effectiveness of critical initiatives in reaching
short-term (annual) improvement goals.
Mission– a statement that defines an institution’s purpose or reason for existing.
Objective– statement representing intended outcomes of long-term direction; featured on the

Strategy Map (sometimes referred to as goals).

| GLOSSARY
Output– initiatives, activities, and/or services implemented or produced.
Priority/Priority Statement– a statement developed by the continuous improvement team that

represents the connections and gaps between the current reality and the future priorities developed
in the Envisioning Phase.
Progress Monitor– the individual on the continuous improvement team who is responsible for
aggregating data regarding progress made toward the goal/target.
Progress Monitor Card– a stakeholder resource that visually represents expectations of individuals
and measures to be examined.
Stakeholder Responsibility Card– a resource used by individual staff members to track both
his/her progress toward implementing activities and meeting activity measures and targets.
Strategy Map– a tool used to communicate an institution’s long-term improvement plan that
features long-term objectives, critical initiatives, key metrics, vision, mission, and beliefs.
Strategic Theme– a theme developed from the priority statement.
Target Cycle– an interval of time determined by the institution’s continuous improvement team to
review measures from the Implementation Plan.
Vision– the aspirational destination the institution wants to reach over the long-term.

RESOURCES: REFERENCES
| REFERENCES
References and Suggested Readings

AdvancED. (2013). Examining learning environments: Results from AdvancED’s classroom observation
tool. AdvancED. http://www.advanc-ed.org/sites/default/files/mobile_apps/eleot/eleot_wp.pdf
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experiences. http://www.wallacefoundation.org/knowledge-center/Documents/Theory-of-Change-
Tool-for-Strategic-Planning-Report-on-Early-Experiences.pdf
Bernhardt, V. (2013). Data analysis for continuous school improvement (3rd ed.). Routledge.
Bernhardt, V. (2013). Data, data, everywhere: Bringing all the data together for continuous school
improvement. Routledge.
Burke, W. W., & Litwin, G. H. (1992). A causal model of organizational performance and change. Journal
of Management, 18(3), 523–545.
Coghlan, D., & Brannick, T. (2014). Doing action research in your own organization (2nd ed.). Sage.
Collins, J. C. & Porras, J. I. (1996). Building your company’s vision. Harvard Business Review, 74(5),
65–77.
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Conway, M. (2002). Scenario planning: An innovative approach to strategy development. Swinburne

University of Technology. https://thinkingfutures.net/#about-futures-ready
Dary, T., Pickeral, T., Schumer, R., & Williams, A. (2017). Weaving key elements of student engagement
into the fabric of schools. The Source. AdvancED. https://source.cognia.org/

| REFERENCES
Denmark, V. (2012). Transformational leadership – A matter of perspective. The Source. AdvancED.

https://source.cognia.org/
Dumont, H., Istance, D., & Benavides, F. (2012). The nature of learning: Using research to inspire
practice. OECD: Centre for Educational Research and Innovation.
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Elgart, M. (2015). What a continuously improving system looks like. The Source. AdvancED.
Elgart, M. (2017). Meeting the promise of continuous improvement: Insights from the AdvancED
continuous improvement system and observations of effective schools. AdvancED.
Elmore, R. F., Fiarman, S. E., & Teitel, L. (2009). Instructional rounds in education: A network approach
to improving teaching and learning. Harvard Education Press.
Evans, R. (2012). The savvy school change leader. The Source. AdvancED. https://source.cognia.org/
Fullan, M. (1992). Successful school improvement: The implementation perspective and beyond.
Open University Press.
Fullan, M. (2003). Change forces with a vengeance. RoutledgeFalmer.
Fullan, M. (2014). Leading in a culture of change. Jossey-Bass.
Gabriel, J.G., & Farmer, P.C. (2009). Developing a vision and a mission. How to help your school thrive
without breaking the bank. ASCD.

| REFERENCES
Gilovich, T., Griffin, D., & Kahneman, D. (Eds.). (2002). Heuristics and biases: The psychology of intuitive
judgment. Cambridge University Press.
Hanover Research (2014). Best practices for school improvement planning. Hanover Research.
http://www.hanoverresearch.com/media/Best-Practices-for-School-Improvement-Planning.pdf
Kaplan, R. S., & Norton, D. P. (2000). Having trouble with your strategy? Then map It. Harvard Business
Review, 78(5), 167–176.
Kaplan, R. S., & Norton, D. P. (2004). Strategy Maps: Converting intangible assets into tangible
outcomes. Harvard Business School Press.
Kern, T., & Rubin, A. (2012). Designing the future of learning. 2Revolutions.
http://www.rodelfoundationde.org/wp-content/uploads/2014/03/2Rev_Designing_the_Future_of_
Learning.pdf
Knowledge Works. (2016). Shaping the future of learning: A strategy guide. Knowledge Works
Foundation. https://knowledgeworks.org/wp-content/uploads/2018/01/shaping-future-learning-
strategy-guide.pdf
Libert, M. & Bonchek, B. (2017, July 11). To change your strategy, first change how you think. Harvard
Business Review. hbr.org/2017/05/to-change-your-strategy-first-change-how-you-think.
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of organization development (pp.137–150). Sage.
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https://hbr.org/2013/02/dont-let-strategy-become-plann
Martin, R. (2014). The big lie of strategic planning. Harvard Business Review, 92(1/2), 3–8.

| REFERENCES
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D. J. Flanders & S. J. Thornton (Eds.), The Curriculum Studies Reader (2nd ed., pp. 171–182).
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Harvard Education Press.
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execution
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John Wiley & Sons, Inc.
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| REFERENCES
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inFocus:

A guide for strategic

inFocus: A Guide for Strategic Thinking and Improvement Planning | 1

inFocus: A Guide for Strategic Thinking and Improvement Planning | 2

inFocus: A Guide for Strategic Thinking and Improvement Planning | 3

inFocus: A Guide for Strategic Thinking and Improvement Planning | 4

inFocus: A Guide for Strategic Thinking and Improvement Planning | 5

inFocus: A Guide for Strategic Thinking and Improvement Planning | 6

inFocus: A Guide for Strategic Thinking and Improvement Planning | 7

How Does Strategies Work?

Additional Resources and Tools for Continuous Improvement

inFocus: A Guide for Strategic Thinking and Improvement Planning | 8

• The inFocus guide process templates— • Glossary—This resource defines and

Annual Improvement Template • As your institution embarks on its

Are you ready to bring your continuous improvement planning inFocus?

Let’s get started!

inFocus: A Guide for Strategic Thinking and Improvement Planning | 9

A Measured Approach to Continuous Improvement:

inFocus: A Guide for Strategic Thinking and Improvement Planning | 10

THEORY OF ACTION IN USE IN EACH PHASE

If working through Strategies from beginning to end, use the complete

inFocus: A Guide for Strategic Thinking and Improvement Planning | 11

inFocus: A Guide for Strategic Thinking and Improvement Planning | 12

Overview of Envisioning Phase

SUBPHASE GUIDING QUESTIONS WHAT TO DO WHY IT IS IMPORTANT

inFocus: A Guide for Strategic Thinking and Improvement Planning | 14

SUBPHASE 1: DETERMINE THE CURRENT REALITY

GUIDING QUESTIONS  ACTIONS

What is the current reality? • Review and analyze information sets to

Resource for this Subphase:

inFocus: A Guide for Strategic Thinking and Improvement Planning | 15

SUBPHASE 2: EXPLORE THE FUTURE

GUIDING QUESTIONS  ACTIONS

Resources for this Subphase:

SUBPHASE 3: SYNTHESIZE RESULTS

GUIDING QUESTIONS  ACTIONS

inFocus: A Guide for Strategic Thinking and Improvement Planning | 17

Resources for this Subphase:

Theory of Action: Envisioning

THEORY OF ACTION BY PHASE

inFocus: A Guide for Strategic Thinking and Improvement Planning | 18

Envisioning Phase Templates

STEP 1 » Ensure information is

What did we learn from a review of the…

What did we learn from a review of the…

inFocus: A Guide for Strategic Thinking and Improvement Planning | 19

What did we learn from a review of the…

CATEGORY OF INFORMATION THAT IS

Example: Lincoln Elementary School

CATEGORY OF INFORMATION THAT IS

Information That Matters Template – The Institution

CATEGORY OF INFORMATION THAT IS

Example: Lincoln Elementary School

CATEGORY OF INFORMATION THAT IS

inFocus: A Guide for Strategic Thinking and Improvement Planning | 21

Information That Matters Template – The Community

CATEGORY OF INFORMATION THAT IS

Example: Lincoln Elementary School

CATEGORY OF INFORMATION THAT IS

• Demographics, types of businesses, average • New technology company opening in one