2004-2007 AFA Strategic Plan Report

Prepared by Catherine R. Robbins, RG-NGA
AFA Strategic Planning Co-Faclitator
May 10, 2003

2004 AFA Mission Statement: The Mission of the AFA is to provide education and advocacy to its members to enhance and promote the fiduciary profession.

2004 AFA Vision Statement: The AFA will be a nationally recognized leader for developing the best standards of practice for professional fiduciaries.

"Good Plans shape good decisions. That is why good planning helps to make elusive dreams come true." Lester R. Bittel, The Nine Master Keys of Management

Fiduciary Planning Services, Inc. (FPS, Inc.)
A Fiduciary Planning and Auditing Services Corporation
FPS, Inc. is a provider of audit, performance management and planning services to fiduciaries and public guardian agencies aid in the delivery of quality guardianship services for the clients, the courts and community they serve.

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This report is provided to the AFA membership to introduce the 2004 - 2007 AFA Strategic Plan.

President's Strategic Plan Introduction: Peter Frenette, AFA President, extends a warm welcome to the conference attendees and participants and thanks all the strategic planning participants for their contribution to the AFA's future success. The participants names are listed at the end of this report. Peter further encourages the members to envision a better future for our membership while we are in the process of reinventing ourselves for a better tomorrow. Peter and the AFA Board unanimously adopted the 2004 - 2007 AFA Strategic Plan on May 10, 2004. Peter invites the AFA members to actively participate in the Strategic Plan by considering serving as a team member on one of the five Activities within the Plan Programs.

This report introduces the AFA Strategic Operational Plan, the strategic planning process and the deliverables that the AFA members may receive as a direct result of the plan being actively implemented and administered.

Objective(s): The primary objective for this strategic plan was to implement a one to three year strategic plan that, if actively administered, will contribute to the Arizona Fiduciaries Association's (AFA) overall success through the alignment of services, activities, programs and goals, while providing a mechanism to measure the results of our success.

The success of the process of strategic planning is dependent not just on the facilitators, but also on the AFA member's skills, effort and willingness to work as a team. Strategic planning provides the tools to measure outcomes and efficiencies to better evaluate the use of resources and increases accountability for overall performance. The AFA Board and President recognize the demands that strategic planning presents and have made the commitment to implement strategic planning to guide our future direction and decision making.

Strategic Elements Development: The pertinent question is not how to do things right but to find the right things to do, and to concentrate resources and efforts on them.

1. The present business must be made efficient;
2. Its potential must be identified and realized;
3. It must be made into a different business for an evolving future.

Strategic Plan: A strategic plan sets forth the purpose, strategic goals, operations and performance expectations for an association or agency. The strategic plan provides information to the Association Board and the Membership on how the association is organized to deliver results and what results the association is accountable for acheving. The strategic plan when developed down to the performance accountability level provides the opportunity for all participants to see how they contribute at all levels in the organization.

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AFA Strategic Operational Plan

May 10, 2004

The operational plan is composed of the Mission and Vision Statements, the Goals, the Program(s) and the Activities that establish the services or products that will be delivered to the AFA membership during the 2004 - 2007.

AFA Mission and Vision Statement
The AFA Mission and Vision Statement are the first components of the operational plan.

2004 AFA Mission Statement: The Mission of the AFA is to provide education and advocacy to its members to enhance and promote the fiduciary profession.

2004 AFA Vision Statement: The AFA will be a nationally recognized leader for developing the best standards of practice for professional fiduciaries.

Goal # 1 (Public Relations Goal)
The AFA will develop a Public Relations Plan by September 30,2004 that increases membership and improves the image of the professional fiduciaries as measured by an annual satisfaction survey.

Goal # 2 (Education Goal)
The AFA will coordinate the development of an educational program to provide opportunities to improve the ability to meet Arizona Fiduciary Standards of Practice, as demonstrated by a membership survey with 80% satisfaction results.

Goal # 3 (Resource and Information Goal)
The AFA will facilitate the development of data collection and comprehensive tools to encourage uniform practices to strengthen our profession and service delivery by November 30, 2006.

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Introducing the 2004 - 2007 Strategic Plan Program and Activity Leaders

Public Relations and Education Program -Jim Clark, Program Leader

Program Purpose Statement: The purpose of the Public Relations and Education Program is to provide training, practical tools and increased awareness of the fiduciary profession for AFA members so they can perform in a more efficient manner.

Public Relations Activity - Mary Espinoza, Team Leader Activity Purpose Statement: The purpose of the Public Relations Activity is to provide an AFA Public Relations Plan to enhance community understanding of our profession so our members benefit from their support and cooperation.

Training Activity - Mary Espinoza, Team Leader Activity Purpose Statement: The purpose of the Training Activity is to provide initial and ongoing training services to AFA members so they can comply with mandates and standards of our practice.

Advocacy and Resource Program - Roger Coventry, Program Leader

Program Purpose Statement: The purpose of the Advocacy and Resource Program is to provide Industry representation, tools and information for AFA members so they have a proactive spokesperson(s) and the preservation of our profession.

Professional Advocacy Activity - Peter Frenette, Activity Leader Activity Purpose Statement: The purpose of the Professional Advocacy Activity is to provide fiduciary representation for AFA members so they can focus on the demands of their profession.

Resources Development Activity - Roger Coventry, Activity Leader Activity Purpose Statement: The purpose of the Resources Development Activity is to provide access to professional tools to AFA members so they can improve the delivery of fiduciary services.

Data Collection Activity - Rashiel Salem, Activity Leader Activity Purpose Statement: The purpose of the Data Collection Activity is to provide fact based information to our members and advocates so we can measure our performance, demands and future issues and trends so individual members may establish professional goals.

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AFA Strategic Planning Process

"If anything is certain, it is that change is certain. The world we are planning for today will not exist in this form tomorrow." Philip Crosby, Reflections on Quality

The AFA Board Members received a "Participants Resource Guide" to provide the initial introduction to the strategic planning process for the model being used and a strategic planning assignment was distributed prior to the initial Phase I Strategic Planning kickoff on January 28, 2004.

Environmental Assessment (Scan): The Environmental Scan was conducted and was an analysis of the internal and external trends and issues that will have a major impact on the association and its members (membership) over the next one to three years. The Environmental Scan was based on common sense, data and information that describes changes anticipated both from inside and outside the association.

Customer(s) Listing: Strategc planning participants identified the following customers during the Environmental of the AFA Strategic Planning Retreat according to thls definition, Customer Definition: Anyone whose best interests are served by the professional association. Customer Listing:

Internal Customers AFA Membership Private Fiduciaries Public Fiduciaries Allied Professionals with Active Membership AFA Board Members

External Customers Judges/Courts Attorneys Clients/Families of Clients Referral Sources General Public Persons Seeking to Become Certified Fiduciaries in the Future Allied non-AFA Member Professionals Independent Providers of Contract Services Heir Search Professionals/Private Investigators Certified Geriatric Case Managers Accountants Banking Professionals Trust Companies/Trustees Financial Planners/Investment Brokers Legislators/Elected Officials

 

 

 

 

 

 

 

 

 

 

 

 

Issue Statements: Issue Statements were developed that summarized the issues and trends that will have a major impact on the association and its members over the next one to three years. Issue statements are not statements of need nor do they describe actions to be taken. Issue Statements included what that impact will be if the trend or issue is not proactively considered in the future operations. Issue Statements are the products of the Environmental Assessment.

Issue Statement Template: "This factor in our environment will have the following effect on AFA in the next one - three years."

Fiduciary Industry Issues and Trends Listing:

1. Regulation Issue Statement: The increased scrutiny and lack of understanding of the professional fiduciary by the regulatory agencies, legislators, courts and public will result in increased mandated oversight, and negative perceptions of the fiduciary profession.
   
2. Resources Issue Statement: The lack of AFA resources (money, people and tools) to adequately address the increased demand of the membership will impact our ability to meet the needs of our members.
   
3. Training and Education Issue Statement: Our future as fiduciary professionals, here in Arizona, could be adversely affected by the lack of training opportunities critical to maintain our profession licensure status.
   
4. Training and Education Issue Statement: The ongoing need for education and training in our industry is impairing our ability to be consistent in our practice(s) creating a gap between standards of performance in our profession.
   
5. Technologies Issue Statement: The increased need for credible data and information along with technological tools (comprehensive plans/forms) is impairing our ability to be consistent statewide to advance our profession and be efficient in the delivery of uniform client services.

Strategic Goals Development: Strategic goals state significant results to be achieved over the next one - three years. They express, in terms of results, what the agency must do to proactively respond to the major issues facing the agency as expressed in the issue statements.

Mission Statement Development: The agency's Mission is a clear, concise statement of purpose for the entire agency. The mission statement focuses on the broad, yet distinct, results the agency will achieve for its members.

Methodology: Mission Statements tend to be fairly enduring and stable. The following template ensures that the mission Statement will conform to these principles: '

"The Mission of is to provide___________ (Summay of services) to/for (specific customer or customer group)_________ so that they can____________ (results/benefits experienced by the customer(s)."

The following Mission Statement was created based on multiple drafts, review of other professional association's mission statements and careful consideration by the strategic planning participants.

2004 AFA Mission Statement: The Mission of the AFA is to provide education and advocacy to its members to enhance and promote the fiduciary profession.

Services Inventory and Descriptions: Services Inventory Definition: Services are the deliverables or products that the customer (AFA membership) receives. Services are described as nouns, not verbs, defining the services in terms of what the customer (AFA membership) gets rather than what the association does.

Services Inventory:

• Publications and Marketing Information Services: Professional directory, newsletter, brochures
• Public Speakers and Spokesperson(s) Services: Speakers Bureau, NGA conference sponsorship and education facilitators services
• Access to Information Services: List Serve, website and links to related sites
  
• Training Products: Training videos, distance learning, NGA affiliation training information
• Training Conference Services: Initial training sponsored classes and continuing education classes
• Mentoring Program Services: mentoring program and facilitation of networking opportunities
• Advocacy Services: Lobbing representation, AOC liaison and judicial coordinator services
• Community Awareness Services: Press releases and industry awareness services
• Professional Tools Development Services: Forms, software, publications, models for business plans, policies and procedures and guidelines, newsletter tips of the trade column
• Data Collection Services: Website information and List serve services
• Report Generation Services: Survey reports, statistical data reports, baseline and benchmarking information services

Program/Activity Development: Based on the Services Inventory Listing, the participants were able to group the services listed by common purpose and develop Programs and Activities that would facilitate delivery of services to our membership and increase our success in meeting the AFA 2004-2007 Strategic Planning Goals. Two programs and five contributing activities were developed.

Vision Statement: Describes what the future would look like if the agency achieved its Strategic Goals and fulfilled its Mission. The Vision Statement should inspire action and be connected to the Operational Plan.

Vision Statement Exercise: The participants broke into two groups of 11 and created news articles that they would want to read about the AFA in 10 years from now. Articles were shared and participants selected headlines for these visionary articles. From those visionary headlines the following vision statement was created:

2004 AFA Vision Statement: The AFA will be a nationally recognized leader for developing the best standards of practice for professional fiduciaries.

Conclusion: The AFA Board, the Strategic Plan Leaders and the Teams Members aspire to provide the outputs and deliverables identified in the Activity Worksheets and Comprehensive Plan documents attached. The AFA members are our customers and as Peter said in the President's Introduction, 'We envision a better future for our membership while we are in the process of reinventing ourselves for a better tomorrow."

Acknowledgements and Gratitude: Thanks to the Phase I and Phase II retreat participants for their commitment to the 2004 AFA Strategic Plan Development. Special thanks to Donna Rosenlof of the Maricopa County Public Fiduciary's Office and the staff of the Mohave County Public Fiduciary Office for their assistance and support. Thank you to the participants who poured forth their energy and patience during to ensure the development of a proactive one - three year plan with accountability to our members. Roger and I enjoyed the opportunity to serve the AFA in planning for a successful future.

Catherine Robbins, Co-Facilitator
Roger Coventry, Co-Facilitator

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Phase I & II Retreat Participants

The following 24 participants contributed to the AFA Strategic Planning Retreats for Plan development that were held on Wednesday, January 28, 2004 and Thursday, March 18, 2004.

Peter Frenette AFA President Sun Valley Group, Inc. 1423 S. Wey Rd. Mesa, AZ 85206 peter@sunvalleygroup.com (480)-726-9581	Catherine Robbins AFA Board Member (Facilitator) Mohave County Public Fiduciary P. 0. Box 7000 Kingman, AZ 86402-7000 catherine.robbins@co. mohave.az.us (928) 718-5510
Greg Dovico AFA Vice President Southwest Fiduuary, Inc. 13211 N. 103rd Ave. Sun City, AZ 85351 gdovico@southwestfid.com (623) 875-9973	Roger Coventry AFA Board Member (Facilitator) Estate Administration Manager Maricopa Public Fid. 111 West Monroe St., Ste. 500 Phoenix, AZ 85003 rcovent@mail.maricopa.gov (602) 506-5801
Pam Johnston AFA Secretary Certified Fiduciary Services, Inc. P. 0 . Box 1892 Sun City, AZ 85372 (623) 977-6310	Donna Rosenlof (Facilitator Support) Legal Secretary Maricopa County Public Fiduciary 111 West Monroe St, Ste. 500 Phoenix, AZ 85003 (602) 506-5801
Karrie Stephens AFA Board Member Arizona Department of Veterans Services 3839 N. 3rd St., Ste 100 Phoenix, AZ 85012 kstephens@azvets.com (602) 248-1554	Mary B. Espinoza AFA Public Fiduciary Rep. Pinal County Public Fiduciary P. 0. Box 808 Florence, AZ 85232 mary.espinoza@co. pinal.az.us (520) 866-7258
Allan Rouse Probate Research P. 0 . Box 1502 Sun City, AZ 85372 allanrouse@earthlink.net 623) 434-0330	Patricia Ian AFA Ex-Officio Yavapai County Public Fiduciary 500 S. Marina St. Prescott, AZ 86303 patricia.ian@co. yavapai.az.us (928) 771-3153
Kitty Boots Fiduciary Review Administrative Office of the Courts 1501 West Washington, Ste. 100 Phoenix, AZ 85007 kboots@supreme. sp.state.az.us (602) 364-0415	Francine T. Saccio NGA President Life Transitions Guardianship Consulting Services 1525 W. Calle Del Media Tucson, AZ 85704 frannate45@cs.com (520) 229-9724
Deborah White Valley Care Consultants 9163 W. Union Hills Dr. Ste. 105-41 Peoria, AZ 85382 deborah@valleycare consultants.com (623) 523-0126	Richard T. Vanderheiden Maricopa County Public Fiduciary 111 West Monroe St., Ste. 500 Phoenix, AZ 85003 rvanderh@mail. maricopa.gov (602) 506-5801
Della Louise Bonner 5814 W. Highland Ave.  Phoenix, AZ 85031 caregive@extreme zone.com (623) 846-2462	Charles Tornlimson Navajo County Public Fiduciary Box 668 NC9 Holbrook, AZ 86035 (928) 524-4353
C.D. "Si" Sierit 5814 W. Highland Ave. Phoenix, AZ 85031 (623) 846-2462	Judy Craighead Navajo County Deputy Public Fiduciary P. 0. Box 688 NC9 Holbrook, AZ 86025 (928) 524-4353
Ann Briggs P. 0. Box 1708 Sedona, AZ 86339 ceedeeranon@msn.com (928) 524-4353	Kirnberlie Putz GSC ARC of Arizona 5610 S. Central Ave. Phoenix, AZ 85040 gscarcofaz@aol.com (602) 243-1787
Candace Bow 16206 Sacerk Circle Fountain Hills, AZ 85268 (480) 836-1221	Dick Tribble Merrill Lynch Advisor 2555 E. Camelback Rd. #900 Phoenix, AZ 85016 richard-tribble@ml.com (800) 568-5205
James C. "Jim" Clark AFA Board Member Education Chairman P. 0. Box 2606 Mesa, AZ 85214 codyjc@hotmail.com	Tommy Lane 10209 W. Kingswood Circle Sun City, AZ 85016 (623) 977-6474