Lec. 6. Strategic Planning for Universities

Lec. 6. Strategic Planning for Universities
HETC Project University Development Grants (UDGs) Training Program for Proposal Writers Lec. 6. Strategic Planning for Universities A. Definitions & Logical Sequence

Purpose of the Lecture Quick review of
Strategic Planning Definitions, Methods and Planning Templates, Techniques and Tools Logical Sequence Planning To provide participants a ‘tool kit’ of planning To demonstrate value of application of planning methods & tools in Preparing the Institutional Development Plans (Corporate Plan), Preparing Plans for specific sectors/sub-sectors (e.g. Postgraduate Research and Training) Preparing Project Proposals for Grants funded by External Agencies (e.g. WB-IRQUE, WB-HETC) Preparing plan for Self-Improvement and Career Advancement Etc.

Strategic Planning Lecture 6A:
Contents are organized into 4 parts delivered in two Lectures Lecture 6A: Part I: Introduction Part II: Definitions Part III: Logical Sequence of Strategic Planning Lecture 6B: Part IV: Methods, Tools & Techniques of Strategic Planning

Strategic Planning Lecture 6A: Part I: Introduction

Henry Mintzberg: ”The Rise and Fall of Strategic Planning”.
 …………is future thinking  ………..is controlling the future  …………is decision making  ………..is integrated decision making  …………is a formalized procedure to produce an articulate result, in the form of an integrated system of decisions Planning is an activity to: Envisage and formulate the desirable future in conjunction with the feasibility, the possibility, and the probability for achieving them. Henry Mintzberg: ”The Rise and Fall of Strategic Planning”.

Strategic Planning Every organization must have target oriented plans for its sustenance and progression Plans serve as guides/road maps of the organization over the next few years (5 to 10 years) on different aspects; examples Overall Institutional Development - Master Plan/Corporate Plan Sub-Sectors -Thematic Development/Sectoral Development Plan The process of developing the guide/road map is called strategic planning

Strategic Planning Strategic planning is a tool for organizing the present on the basis of the projections of the desired future. Basically the process addresses the following questions; Where are we? What do we have to work with? Where do we want to be? How do we get there?

Why planning is important ?
It is also the first and indispensable step in developing Results-based Accountability System (RBA) & Managing Public Sector Institutions for Development Results (MfDR) In spite of Govt. directives, RBA and MfDR are not yet in place in Sri Lankan Universities

Hence, most public sector institutions, particularly Universities are managed adopting “business as usual” approach, a mind set to achieve the target of “less audit quarries, less problems, hence work” and “lets wait and see’’ approach to react only when problems arise, and hence usually adopting “fire fighting” approach to resolve problems. Blame Govt. and UGC for all “ills” and seek more funds for solving problems, implying “lack of funds” as the cause of the inefficiency, low productivity and poor governance 9

However, the complacency of public sector institutions is being challenged and public sector institutions are urged to develop Results-based Accountability System (RBA) to ensure the institutions are Managed for Development Results (MfDR) The key elements of (RBA) /MfDR are Planning Implementation and Rigorous monitoring, Reviewing and Planning again for the future on the basis of the past experience and environmental forces and opportunities that exist, in order to remain competitive and to gain comparative advantage and consolidate, and sustain

Planning is done for many purposes and hence several types of plans University Master Plan University Corporate Plan Development Plans for University Sub-units (e.g. Institute, Faculty, Centers etc; often referred as Corporate Plans) Development Plans for sub-sectors (e.g. HRD Plan, R&D plan, ICT Development Plan etc.) Project Proposals for Externally funded Projects (e.g. WB-IRQUE-QEF, WB-HETC-UDG etc.)

Several Types of University Plans
1. University Master Plan It refers to long-range development and expansion plan of a university in terms of several key aspects of the organization and it primarily concentrates on capital budging. Examples : Projected enrolment and staffing levels over the years, Initial, current and future academic programmes, Current space and future requirements, Types of Training Programmes (eg. professional or liberal arts), Resource base – land, buildings, endowments etc., Health, safety, welfare and accessibility issues, Etc.

1.University Master Plan ….. Contd. Usually done at the beginning by the planners of the university and the government allocates funds annually on the basis of master plan activities e.g. Master Plan for University of Ceylon, prepared by Sir Ivor Jennings in 1942 This differs from Corporate plans as Corporate Plans are considered as revolving plans with 3-5 year cycles 13

2. University Corporate Plan Corporate Planning for Universities is guided by Government Policy and Development Framework, which is conveyed by the M/HE and UGC on regular basis Corporate Plan refers to operational plans with 3-5 year cycles which includes long-range elements (Mater Plan elements) as well as strategic elements which have bearing on key performance indicators (these are referred as Strategic Issues) efficiency and productivity, governance and management, relevance and quality of UG and PG programmes, social and ethnic harmony, sustainability, etc.

2. University Corporate Plan … contd. Corporate planning begins by identifying university vision, mission and goals and moves on to a series of analyses, including analysis of external and internal factors gaps, & bench marks, which provide a context and scope (i.e. project planning matrix ) for developing and identifying organization’s strategic issues .

2. University Corporate Plan … contd. Once the organization defines its planning scope, strategic issues, and planning matrix, it moves on to analyze current status that will reveal gaps, problems and root causes of problems. Finally, based on situation analysis report, 3-5 year operational plan is prepared on the basis of agreed University Development Policy Framework that includes goals, objectives, strategies and activity plans and performance indicators. 16

3. Development Plans for University Sub-units. They are often referred as Corporate Plans of respective units. e.g. Institutes, Faculties Centers, Etc. often referred as Corporate Plans of Units These plans are developed on the basis of University Development Policy Framework and It is done as a part of strategic planning process leading to development of University Corporate Plan

4. Development Plans sub-sectors/specific themes as dictated by the University Corporate Plan. e.g. Human Resources Development Plan, Research and Development Plan, Information Communication Technology Development Plan, Quality Assurance and Accreditation Road Plan, etc. This is done during the process of implantation of the University Corporate Plan 18

5. Project Proposals for Externally funded Projects (e.g. WB-IRQUE-QEF, WB-HETC-UDG, etc.) (usually for project funded activities on specific themes defined by the funding agency) Research and Development Project Plan (eg.SiDA,CIDA,EU…funded projects) Human Resources Development Project Plan (eg. ADB- Manpower Development Project) Quality Improvement Project Plans (eg. WB-IRQUE-QEF/IGB, WB- HETC-UDG/QIG , etc.) Etc. 19

Strategic Planning - Introduction
Questions

Planning for public sector institutions
Strategic Planning Planning for public sector institutions

Planning for Public Sector Institutions
Strategic planning is a cyclic and dynamic process (refers here to Institutional Development Plan - Corporate Plan) Planning – programming, identification and formulation Implementation and progress monitoring on annual basis Reviewing and revising periodically (say every 2-3 years), and Updating – every 4-5 years as necessary, depending on internal and external driving and opposing factors

Planning for Public Sector Institutions
Planning for Public Sector - Guided by several determinants Policy of the Government, conveyed to universities through Sectoral Development Framework prepared by the line ministry (for university sector - Ministry of Higher Education and University Grants Commission) and Institution Mandate and Vision, Mission and Goals

Planning for Universities
Therefore, the first step in developing University Corporate Plan is the development of University Development Policy Framework (UDPF). When preparing/updating the University Development Policy Framework (UDPF), the institution must consider its determinants Policy of the Government Higher Education Development Framework prepared by M/HE and UGC Institution Mandate and specific Vision, Mission and Goals

Planning for university proceeds through 3 successive stages 1. Development of UDPF 2. Development of Units Action Plans - on the basis of UDPF, Central Administration, Campuses, Institutes, Faculties and Centers 3. Formulation of University Corporate Plan – a composite plan incorporating the Action Plans of Central Administration, Campuses, Institutes, Faculties and Centers

Therefore, corporate planning in universities involves iterative," top down” and “bottom up” approach, In summary, Firstly, Vice Chancellor and the Council developing University Development Policy Framework (UDPF) Secondly, the central administration, campuses, faculties, institutes and centers developing theirunit action or development plans on the basis of UDPF Finally, compiling and preparing Composite Corporate Plan of the University.

Model Format of a Corporate Plan Part I: University Development Policy Framework (UDPF) Mandate and Strategic Position Vision and Mission Goals Situation Analysis or Environmental Scanning Report Objectives and Activities Part II: Unit Plans – i.e. Action/Development Plans of Central Administration, Campuses, Faculties, etc. Vision & Mission (unit) Goals (unit goals developed in line with UDPF) Situation Analysis or Environmental Scanning Report (Situation Analysis specific to the unit) Objectives, Strategies and Activities With brief summaries of Activity Plans

Strategic Planning - Introduction
Questions

Strategic Planning Lecture 6A Part II: Definitions

Strategic Planning: Definitions
Strategic Plan/Corporate Plan/Master Plan Plan of action agreed upon by stake-holders of an institution, company or division or unit to perform its mandatory function as sated in its mission and to achieve its vision in conformity with the national policy and programmes and regulations

Vision – It sets out the reason for organization's existence and the ideal state that the organization aims to achieve in conformity with its mandate or core business. Mission – It is broad, comprehensive statement of the purpose or programme of the institution (or mandate of the institution) and major goals and performance objectives

Goal (s) – It is the long range condition of well-being of the institution or the intended future direction of the institution Objective (s) - Description of the aims of activity or activities or project in order to achieve the desired state or future direction. Objectives must be Specific, Measurable, Achievable & Realistic and Time-framed (SMART).

Benchmarking Measuring and comparing the university's operation, practices, and performance against others is useful for identifying “best” practices. Through an on going systematic benchmarking, university could find a reference point for setting their own goals and objectives and targets Benchmarks – target level of performance expressed in measurable terms and specified time-frames.

Strategic Issues – Fundamental issues that an institution identifies (in consistent with it vision and mission and through analysis of internal and external factors) as of critical importance for its existence and sustenance

Strategic Issues …. Contd. Example for a model University Student intake compared demand and Preference Given by higher performers (Access and Demand) Standards of teaching and training programmes (Quality) Compatibility of undergraduate training and intended learning outcomes with market needs (Relevance) Teaching and learning facilities and academic and student support services and social and ethnic harmony (Academic Atmosphere and Social Harmony) Level and quality of graduate and postgraduate output and quantity and quality of research and development output (Efficiency and Productivity) Standard and efficiency of administrative and financial management (Governance and Management) Income and Expenditure and income generation (Sustainability), Etc, 35

Situation Analysis - refers to analysis of current status of the organization and analyzing internal and external environment and factors that influence its existence and performance, progress and sustainability Situation Analysis is also referred as self-evaluation and it forms an indispensable step in planning.

Situation analysis (… contd) Situation analysis encompasses 5 complementary, and mutually exclusive steps and activities. Self-Evaluation - Normative assessment of performance of an institution based on hard data, collected, collated and analyzed using effective tools according to a prescribed format PEST Analysis – Assessment of Political. Social, Economic & Technological Trends that influence the overall vision, mission, goals, objectives & activities of an institution

Situation analysis (… contd) III. SWOT Analysis – Assessment of internal (strengths and weakness) & external factors (opportunities and threats) that influence performance & outputs of an institution IV. GAP Analysis - Assessment of gaps between the present status and future status agreed upon V. Root-cause Analysis –Identification of root causes of problems and views of stakeholders on alternative solutions and feasible and possible activities. 38

Situation analysis (… contd) Situation analysis hence, identifies strategic issues, gaps to be bridged or filled Goals and problems root causes of problems, and to some extent ideas about alternative solutions. Therefore, Situation Analysis forms the Framework for Development Planning (FDP) The Report Coming out of Self-Evaluation is referred to as Self-evaluation Report (SER)

Development Plan Formulation It proceeds from Situation Analysis and refers to formulation of most appropriate and cost effective strategies and accompanying activities that have bearing on Key strategic issues Gaps identified and goals to be achieved Problems identified, in order to perform its mission and realize its vision.

Development Plan Formulation …. Contd. Therefore, it involves 4 steps Identification of gaps to be filled and goals, Root causes of identify identified problems, Factors that have restraining and aggravating influences on goals/problems, and Developing Activity Plans to achieve goals and/or resolve problems 41

Development Plan Formulation ..… contd. There are 3 invaluable tools that could be used at this stage GAP Analysis Root Cause Analysis Force-field Analysis

Development Plan Formulation ….. Contd. Once the activities are selected or chosen,details of each selected activity are developed according to prescribed format that will ensure smooth implementation and progress monitoring. Background & Rationale Objectives Mechanism and Design and details of activities and sub-activities Implementation schedule Resources required Performance indicators Sustainability Person-in-charge

Development Plan Formulation (…contd) At this stage, if one wishes, Log Framework Template to map out the details of the chosen activities could be used Note - It is not covered in this lecture

Activity – Specific tasks to be undertaken in order to obtain results or to achieve the objectives Investment-based activities- e.g. Improve laboratory infrastructure Outcome-based activities – e.g. Improve analytical and practical skills of undergraduates for which improvement of laboratory infra-structure is an essential investment

Activity …. Contd. For most development agencies, the current norm is to promote planning outcome-based activities (e.g. WB-IRQUE and WB-HETC) – that is to provide investment to support activities which are aimed at achieving a desired outcome or output. 46

Investment – Inputs needed to support & help to implement the activities Activity Schedule – a graphic representation similar to a bar chart, listing the activities & sub activities, funds allocated, listing persons responsible for implementation of the activity, setting out the timing, sequence and duration of project activities (e.g. Gantt Chart). Gantt Chart – format that allows to summarize the project framework and activities into a single sheet or screen and also which helps record the progress of the project as it progresses.

Performance monitoring - Refers to evaluation of level of achievement or success of the activity or project carried out against performance indicators or benchmarks agreed upon or defined at the onset or the commencement of activity or programme. Performance indicators – measurable or quantifiable indicator variables – pre-project, mid-term and end-project Benchmarks – target level of performance expressed in measurable terms and specified timed-frames.

Questions

Strategic Planning - Logical Sequence of Planning Process
Lecture 6A: Part III: Logical Sequence of Planning Process

Project Planning Cycle
Programming Identification Evaluation Formulation Implementation Financing

Steps in Planning Stages of Project Cycle I. Programming
Strategic positioning, vision and mission of the Institution Situation Analysis or Environmental Scanning (i.e. assessment of internal & external, sectoral, social, economic & technical factors and trends) II. Identification Problem and goal analysis – PEST, SWOT, and GAP analyses, Identifying alternative solutions to attain goals and/or to resolve problems – Root Cause Analysis to identify roots of the identified problems and Force-field Analysis to identify driving and restraining forces of problems and goal accomplishments Expected Outcomes & Beneficiaries

Steps in Planning Stages of Project Cycle …. Contd. III. Formulation
Preparation of Project Development Framework (PDF) or Project Planning Framework (PPF) and Development of selected solutions into activities, operational project plans & time schedules (Project Work Breakdown Structure – WBS) 53

Steps in Planning Stages of Project Cycle ….. Contd.
IV. Financing and implementation If donor funded, reaching an agreement between donor & recipient, or If funded by consolidated funds, seek Treasury and Cabinet of Ministers’ approval for implementation, and Implementation of Project activities V. Evaluation Mid-term – evaluate against mid-term performance indicators and revise the implementation plan if necessary Terminal – evaluate against terminal performance indicators 54

Henry Mintzberg: ”The Rise and Fall of Strategic Planning”.
 …………is future thinking  ………..is controlling the future  …………is decision making  ………..is integrated decision making  …………is a formalized procedure to produce an articulate result, in the form of an integrated system of decisions Planning is an activity to: Envisage and formulate the desirable future in conjunction with the feasibility, the possibility, and the probability for achieving them. Henry Mintzberg: ”The Rise and Fall of Strategic Planning”.

Planning (I. Programming Phase)
How do I get there? What should be our Future Situation ? What is our Current Situation ? Vision based on Self Evaluation

Strategic Planning SRILANKA Institutional objective: Mission :
A specific description of condition to be achieved through the implementation of activities within the framework of the mission Planning objective: A specific description of what to achieve or problem to solve (with its (measurable) achievement criteria) through implementing activities Mission : Describe the main activities to be undertaken for achieving the Vision In general the mission statement consists of : The very reasons for its existence. (why you are here?) Them main problems to be resolved. (what to do?) The philosophy, norms, values, and the corporate culture underlining the institutional activities. (how to achieve?) Issues that are of critical importance to the existence, condition and performance of an organization Trend Ideology Politics Culture Science Education System Stake-holders Students Academic Staff Users Government Job Market Industry Community Others External Environment (Local, National, Global) Opportunity & Threat Vision : The expected condition of an institution which is collectively shared and defined to be achieved by carrying out its mission Mandate : The authority, obligation and responsibility prescribed for an organization in an agreement with its stakeholders. If not addressed, the organization performance will be deteriorated even jeopardize its existence SRILANKA Objectives Mission Vision Mandate Evaluation Analysis Interpretation Strategic Issues Normative Bodies Resources Human Financial Physical Information Flow of Cooperation Organizational Culture Process & Services Output & Outcome Internal Environment Strength & Weaknesses

Objects of Self Evaluation
Objectives Effectivity Minimum Necessary Requirement Student Input - Resources - Relation with the environment Efficiency Process Utilization of Resource to Achieve Target Productivity Output Result and Impact Staff Library Physical Facilities Laboratories Funding Organization Resources Curriculum Teaching & Learning Academic Atmosphere Graduate Jobs Employments

Where to start? Current Situation External data Data :
Situational (SWOT) Analysis Directives & Assumptions Current Situation Position Conclusions Self-Evaluation External data Graduate Data : Profile & Performance Students Teaching & Learning Academic Atmosphere Process Staff Library Physical Facilities Laboratories Funding Organization Resources Curriculum Internal data

Planning (II. Identification Phase)
Identification of gaps, problems , root causes of problems and possible solutions to fill gaps and resolve problems Future Situation Current Situation Vision based on Self Evaluation

current and desired future
Situational (SWOT) Analysis Directives & Assumptions Current Situation Position Conclusions Self-Evaluation Data : Profile & Performance PEST Analysis Political, economic, social, technological trends SWOT Analysis Strength Weaknesses ………… ………… Opportunities Threats …………. ………… Gaps between current and desired future status GAP Analysis Problems Statement …………………… Root-Cause Analysis

Problem Analysis and Development of Project Breakdown Structure /Project Framework
Usually done at the first brain storming session (eg. WS 1) SWOT Analysis Strength Weaknesses ………… ………… Opportunities Threats …………. ………… Current Situation Position (data section 2-14) Situational Analysis (Section 1-13) Conclusions Self-Evaluation GAP Analysis Gaps between current and desired future status Strategic Planning (broader context) Operational/Tactical Planning (detail) At small group working sessions of PPC Root-Cause Analysis Problems Statement …………………… Force-Field Analysis Restraining forces Driving forces

Planning (III. Formulation Phase)
Formulation of activities and sub-activities to bridge gaps and improve current situation Future Situation Current Situation Vision based on Self Evaluation

Generating alternative solutions
Force Field Analysis Restraining forces Driving forces 1 2 3 4 1’ 2’ 3’ 4’ Solution 1 : Reducing factor - 2 Reducing factor - 4 Improving factor - 2 Solution 3 : …. … Solution 2 : …. … Solution 4 : …. …

Selection of Proposed Activities (1 of 5)
Activity A Solution A1 Problem A Solution A2 Activity B1 Solution B1 Problem B Solution B2 Activity B2 Solution B3 Solution C1 Problem C Solution C2 Activity C Solution C3

DEVELOPMENT OF OUTCOME BASED ACTIVITIES
Others Resources Required UGC WB-HETC ACTIVITIES: Curriculum relevance Improve collaboration Provide IT skills Provide entrepreneurship INVESMENT : Setup IT Lab Train staff Workshops INDICATOR: Base 14 months Mid months Final 8 months IMPROVED GRAD EMPLOYABILITY IMPROVE GRAD COMPETENCE

Operational Planning External Environment (Local, National, Global)
WB-HETC Proposal for UDG University of Sri Lanka Trend Ideology Politics Culture Science Education System Stake-holders Students Academic Staff Users Government Job Market Industry Community Others External Environment (Local, National, Global) Objectives Mission Vision Mandate Resources Human Financial Physical Information Flow of Cooperation Organizational Process & Services Output & Outcome Internal Environment Evaluation Analysis Interpretation Problem’s Identification Root Problem’s Alternative Solution Development Plan

Overall Project Planning Framework
Self-Evaluation Situational (SWOT) Analysis Directives & Assumptions (Ch II Session A) Current Situation Position Conclusions Future Situation Future Position Strategic Issues Objectives Implementation Programs (Activities) Performance Indicators Overall Project Planning Framework WB Project UGC/Govt Fdg Others Resources

Strategic Planning - Logical Sequence of Planning Process
Questions

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Lec. 6. Strategic Planning for Universities

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