A methodological approach for

effective and sustainable strategic

planning in Independent Authorities:
the case of the Hellenic Ombudsman

Athanasios Raptis1a, Odysseas Kopsidas1, Labrini Motsia1, Stefanos

Polymenopoulos1, Adamadia Simopoulou1, Athanasios Gegkas1,
Charalampos Platis1
1National School of Public Administration and Local Government, 211 Pireos Str.,17778, Tavros, Athens, Greece .
a)Corresponding author: raptisa@students.ekdd.gr

Abstract: This research project aims to develop a Strategic Plan as a method demonstration
and a paradigm based on available open data, released via the case study agency. This
strategic plan is to be adopted by an Independent Authority, the Ombudsman, which is a
part of Hellenic Public Administration. The Bryson model of strategic public administration
was selected. All the steps of strategic planning, strategy selection and strategy
implementation, as well as the definition of operational objectives and how to monitor their
achievement are presented in detail. The whole strategic plan development constitutes from
the hypothesis of several methods; each Bryson step may assumed as a discrete method, as
well as the implementation of crude qualitative and quantitative analysis, using SPSS and
Nvivo software. Key role in the whole procedure engraves the Balanced Scorecard business
model to specify strategic goals in business and develop measurement metrics. This
partnership is a tool to expand the service network in terms of efficiency and may have the
form of public to public or public to private and it is an new trend in the public
management The final proposed product of the strategic planning of the Ombudsman is
that the focus is placed on the citizen as a user of the services of this Independent
Authority and the other dimensions are set in such a way as to allow and guide its quality
service.

Keywords: Strategic Management, Ombudsman, Public Administration, SWOT Analysis,

PESTEL Analysis, Balanced Scorecard

1. Introduction
The foundation of the classical ombudsman is a Swedish idea. The Swedish
Ombudsman for Justice was founded in 1809 and its foundation was a part of a
major political reform (Magnette, P. 2003). However, it is accepted that the later
scope of such organizations was somewhat closer to defending human rights. Since
their initial emergence in Sweden in 1809, 178 NHRIs (National Human Rights
Institutions) have been established in 133 countries. Depending on the typology, a
number of countries have adopted both a classical ombudsman and a commission,
but the majority use only one model.
Strategic management is usually referred as the alignment of internal
capabilities with external demands (Johnsen, A. 2015). This may take the form of
plans, patterns, positions, perspectives, and plots” (Mintzberg et al., 2009).
According to Williamson (1999), “strategy is now considered a field that makes it
possible for the leaders of public and private organizations to ‘take options on the
future” Strategic management was initially invented and implemented in order to
deal with the ‘industrial dynamic’ marked by ‘competitive behavior’ (Porter, 1982).
2

As a topic of knowledge, strategic management has been originated, taught and

implemented for over half a century.
In recent years, many countries have seen multiple reforms in the public domain
with varying priorities. The, so called, New Public Management (NPM) reforms have
been a significant influence in various sectors of the public domain (Hansen R.G. et
al 2016). A typical example of this type of public sector organization is the Hellenic
ombudsman, which is the case study of this paper. The complete methodology of
the formulation of a strategic plan for this organization will be briefly presented in
the next paragraphs.

2. Materials and Methods

This research project aims at developing a Strategic Plan to be adopted by the
Independent Authority (usually named “agencies”) of the Hellenic Ombudsman
(hereinafter "Ombudsman"). For the development of this Strategic Plan, we applied
Bryson’s Strategic Management Model for Public Institutions (Bryson, 1988), due to
Ombudsman being an element of Public Administration. According to this model,
strategic management in public organizations contains ten essential steps: 1. Initial
agreement. 2. Identification of the institutional framework and expectations of
stakeholders. 3. Mission formulation and values identification. 4. Analysis of the
existing situation within the organization and external influences. 5. Identification of
the strategic issues. 6. Formulation and implementation of strategic planning. 7.
Monitoring and evaluation. In this work, we have focused on the identification of
operational objectives and a method of monitoring their achievement. The
quantitative analysis implemented using SPSS v.20 while the qualitative analysis
(context analysis) performed using the Nvivo v.10 software.

3. Strategic Plan Development

Step1: Developing an Initial Agreement: It is essential that there is a consensus
among the Ombudsman leadership towards a formulation of a strategic plan.
Step 2: Recognition and Clarification of Orders from “Above”: The basis of the
strategic planning application regarding the Ombudsman is the recent law
4369/2016 which together with Law no. 3230/2004 constitutes the institutional
framework of the Hellenic government regarding the administration and
performance management system strategy.
Step 3: Development and Clarification of Mission and Values: This step includes
Stakeholders Analysis, Mission, Vision, and Values declaration. Key to the
development of the mission of the organization is the analysis of interactions i.e. all
stakeholders that interact to form a network policy (Sabatier P.A., 1987).
Step 4: Analysis of the environment: Environmental analysis is a key component
of the success of the process of developing a strategic plan, as it identifies external
and internal events and factors which affect, either positively or negatively the
organization. The external environment of the Ombudsman is analyzed using the
PESTEL Analysis tool. Using PESTEL Analysis, the general environment is analyzed
based on five factors. SWOT ANALYSIS: data resulting from the analysis of the
external and internal environment using the SWOT environment analysis tool are
classified into four major categories, as showing in Appendix C: Interior environment
(Strengths, Weaknesses), External environment (Opportunities, Threats).
Step 5: Identification of Strategic Issues: The results of the above analyzes are
then used to determine the organization's strategic issues. For their emergence the
"Direct approach" (Bryson, 2004) method was applied. According to this method, the
strategic issues arise from the analysis of the mission (Step 2), the commands from
 3

above (Step 3), and the PESTEL and SWOT analyzes (mainly from the Weaknesses
and Threats of SWOT, and the negative PESTEL points) (Step 4). The "culture" of an
organization (organizational culture) also strongly influences what strategic issues
will be placed in the agenda and which will not.
Step 6: Strategy Formulation and Development Using Balanced Scorecard: At
this stage, the organization's strategy is emerged. From the treatment of strategic
issues the strategic objectives are identified and ultimately operational objectives are
emerged, which are further broken down to functional and personal goals. For this
purposes, Bryson’s "5-step process" model was used (Bryson, 2004, 2010).
According to this model, the following questions are addressed:
What alternative paths can address the strategic issue? Here we compare the do-
nothing scenario with alternative scenarios/options which address each strategic
issue. For example, the do-nothing with regards to measuring citizen satisfaction
may lead to decreasing use of the Ombudsman's services and ultimately to the
obsolescence of the institution.
What barriers exist as to the realization of such strategic options? For example
efforts to improve processes and procedures in the internal operation of the
Ombudsman (operations management) are likely to have reactions from the staff.
What recommendations can be made for dealing with those obstacles? For the
above example, the Ombudsman can effectively communicate staff regarding the
positive dimensions of changes.
What actions can be realized with the resources available to the organization,
within the next two years, in order to implement the operational plans? In this step
the strategic objectives are transformed to operational objectives, taking into
account available resources. A critical parameter in this step is the “ownership” of
the strategic planning among all staff. This is largely achieved through the use of the
methodology of the Scorecard Balanced.
What specific actions should be undertaken in the next six months and who is
responsible for them? In the last step the operational objectives are transformed into
objectives of administrative units and individual goals within a six month timeframe.
In this study however, the process of analyzing the organization's strategy stops at
the level of operational objectives.
Therefore, the four dimensions which were chosen are: 1. Value added services
(Output): This includes all procedures / actions aimed at the satisfaction of citizens
through the provision of ombudsman services. 2. Internal processes: This includes
all functions with regards to the operations management inside the Ombudsman. 3.
Human resources: this dimension includes measures for the optimal utilization of
the Ombudsman human resources in order to carry out its functions. 4. External
Actions and Partnerships (External Processes): This dimension relates to the
Ombudsman interfering with the external environment by extending its powers and
enhancing its visibility. It includes actions with a strong communicative character
(such as lobbying), informational activities aimed at vulnerable groups as well as
actions to expand its powers.
Step 7: Reviewing and Adopting the Strategy: In formulating the Ombudsman's
strategy, support from the political leadership is of the outmost importance.
Step 8: Description of the Future Image of the Organization: The vision for the
success of the organization is diffused inside the Ombudsman, namely its staff. The
staff is informed of its role in the strategic plan, as well as what will be asked in the
future (e.g. through the development of its Code of Conduct).
Step 9: Development of Effective Application processes: For the effective
implementation of the strategic plan the organization will create a workgroup (task
force) seconded to the project "Implementation of strategic planning." The group will
4

contain the Chief Ombudsman, the Deputy Ombudsmen, people from the scientific
and administrative staff of the Authority. For the implementation of the strategic
and operational plan the organization will develop a detailed annual work program
for each of the three years for 2018-2020.
Step 10: Strategy and Strategic Planning Procedures Reevaluation: The stage of
the evaluation is a very critical process in strategic planning. At this stage the
individual, administrative, operational and strategic goals achievement is evaluated
by the task force and proposed corrective measures are proposed if necessary.

Table 1a: Balanced Scorecards for Dimension 1 (output): Provided Value added services

s Operational current implementation

Indicator target price Implementer
/ objective price actions
Cooperation
with the
Creating a
Ministry of
"one stop-
Interior
shop"
(responsible for
Ombudsman
% Partner Services the ADS) for
services in
CSC (which Ombudsman the Head/Quality
selected ADS
would provide function in determination Manager/
1 throughout -
Ombudsman 35% of CSC of levels of Operations
the country for
services) Regions responsibility Manager
preventive
Regions 2020 and to change
information
the
,and citizens'
institutional
complaints
framework
collection
Reorganization
body
Locating
Citizens synergies and
satisfaction grouping of
Quality
degree (by Rating> 80% reports
Manager
Improving completing Actions
/Operations
2 level civil the relevant motivational
Manager /
service form/ personnel (e.g.
Personnel
questionnaire) <2% by introducing
Officer
% Complaints model "
on all reports Employee of
the Month ")
Development of
interactive
% of
online services
reasonable
(chat, skype)
complaints Quality
Improving for the effective
with Manager
cooperation and efficient
3 successful 83% 90% /Operations
Ombudsman& collaboration
resolution Manager
Administration Ombudsman
with actions Manager ICT
and
of the
Administration
Ombudsman
and dealing
"organizational
 5

failures"
Improving
coordination
with
Administration
incorporating
new ICTs and
platforms As
SYZEFXIS II
Front-line
update (CRC &
Ombudsman)
Interactive Quality
% Reporting
Improving form reports Manager
except
4 front-line 48% 25% with immediate /Operations
competence
services notification in Manager /
Ombudsman
case of lack of Head of ICT
jurisdiction
Management
reports

Table 1b: Balanced Scorecards for Dimension 2: Internal Processes (Internal Operations)

s Operational target implementation

Indicator current price Implementer
/ objective price actions
Number of
business
3
cycles 6 cycles reorganization2
cycles Chief
optimization 8
1 Ombudsman/Operatio
Ombudsman Number of recording
50 / ns Manager
documented - procedures
year
procedures /
year
Redistribution
Redistributio administrative
n - reducing and scientific
280.00 Chief
operating rent for staff in ADS
2 388,000 EUR 0 EUR Ombudsman/Finance
costs buildings Reducing
2020 D/Director
Ombudsman operating costs
29 due to space-
saving
% Fulfilled 95%
cases / total Motivational
89%
cases actions
competence 90 Development
Improving Quality Manager /
Ombudsman reports management
scientific 45 Supervisors Activity
4 /year / system matters
staff references/Ye Cycles Ombudsman /
Number official using ICT
efficiency ar g/officer ICT Officer
Fulfilled until Defining
reports/ year 2020 appropriate
-
Median x 90 indicators
time q days
6

handling
cases

Table 1c: Balanced Scorecards for Dimension 3: Human Resources

s Operational current target implementation

Indicator Implementer
/ objective price price actions
Training for
Specialized
staff front-
Number of 50 training
line staff
1 certified - employees programs in HR Manager
(ADS &
employees / year Civil Service
Ombudsman
issues
staff)
Number of
Increase staff proposals
participation adopted and One
Introduction HR Manager
in the implemented proposal
2 - process "half / Quality
organization's / set of /
Motion" Manager
change proposals at semester
process the 6-month
basis
Table 1d: Balanced Scorecards for Dimension 4: External Actions and Partnerships (External Processes)

s Operational current target implementation

Indicator Implementer
/ objective price price actions
Cooperation with
the Ministry of
Interior
Use existing Chief
Increasing structures (CSS) Ombudsman,
%
Ombudsman’s > for creating one Head of External
1 Awareness -
visibility 80% stop shop Actions,
(horizontally) Ombudsman30 Operations
Market research, Manager
questionnaires,
advertising on
public transport
Number of
actions
Communicational
renovation
20 / and
Increasing vulnerable
year informational
Ombudsman’s groups Communications
2 - actions to
visibility % Manager
> vulnerable
(vertically) Awareness
50% groups
of
Surveys
vulnerable
groups
 7

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4. Appendix A: PESTEL Analysis

POLITICAL: Political background / Political climate favorable to independent
authorities, Strong political will and institutional armoring of Ombudsman’s
functions, Embedded Democratically values of citizens, Strong institutional prestige,
High rate of maladministration cases and strong corruption index of country.
ECONOMICAL: Independent Authorities dependence on state budget, Increased
emphasis on tax revenues leads to citizens’ over taxation and consequently negative
“tax consciousness” among citizens. Strong fiscal austerity causes market
“asphyxiation” and degradation of citizens’ living standards. SOCIAL: High rate of
unemployment, Low visibility of similar institutions/organizations, High social
protection needs due to increased immigration inflows, austerity measures and
economic crisis. Population aging stresses the social insurance mechanisms, High
illiteracy levels among vulnerable groups. TECHNOLOGICAL: Digital illiteracy, Low
penetration of broadband connections, increased e-government procedures and
digital access to administrative documents. ENVIRONMENTAL: Sustainable
Development policies, vague distinction between environments property rights leads
to administrative ineffectiveness a dispute management mechanisms. LEGAL: Large
and unmodified legislations lead to overlapping and conflicting administrative
responsibilities. Increased delays in judicial procedures, Low frequency of auditing
procedures and disciplinary penalties for maladministration and improper
performance of duties of civil servants.

5. Appendix B: SWOT Analysis

STRENGTHS: institutional strengthening, institutional “prestige”, personal and
functional independence of members, 20 years or experience - specializing in issues
IGC, Satisfactory rate of processed cases. WEAKNESSES: Absence of strategic plan,
Lack of measurement indicator system 12 Low visibility of institution among
vulnerable social groups. Non flexible organizational structure with overlapping
responsibilities, Insufficient Reporting system of Case Management, Relatively low
inefficiency. Lack of Integrated Quality Management System, Limitations in
meditational procedures. OPPORTUNITIES: Increased visibility opportunities
(visibility) through communication actions and interventions, using existing
structures (CSS) for territorial expansion of Ombudsman’s services, Deepening
cooperation with relevant institutions abroad for best practices exchange. THREATS:
Inability to impose sanctions in Public Administration, Lack of resources / exclusive
financing from state budget, which leads to governmental dependence, multiple
 9

intervention cycles, with a risk to develop long term maladministration phenomena

inside Ombudsman itself.

6. Appendix C: Qualitative and Quantitative analysis

We used the QSR’s International Nvivo software to perform discourse analysis on the
Ombudsman reports. The Nvivo is qualitative analysis software (text, video, audio,
websites, social networks, etc.) which among other uses certain heuristic statistical
algorithms in the texts, whom we implemented the Ombudsman's report. The
central issues that the Ombudsman is employed the terms' ministry, case work.
"This is in agreement with the finding that the workplace is a signifier problem,
while the ministry as a central structure is a pole that becomes a core of the
problem. Images: Questions about the use of the words "Need" and "must." In tree
graphics software delivers all the cases the author (Ombudsman) finds some needs
and some have.

From the annual report data of 2016, with textured or more complex data
processing, exported the next table, with the corresponding resulting as mentioned
in the paper above.

Table 2: The annual report data of 2016

Percentage Percentage of Percentage of

resolution
Year Petitions received substantiated unfounded research
rate
reports stopped
reports
2014 16339.00 56,00 44,00 80,00 7,70
2015 11502.00 54,00 46,00 85,00 7,28
20160 11915.00 56,00 44,00 83,00 8,37