NATIONAL UNIVERSITIES COMMISSION
MANUAL ON STRATEGIC PLANNING FOR NIGERIAN UNIVERSITIES AND INTER – UNIVERSITY CENTRES
2005
MANUAL ON STRATEGIC PLANNING FOR NIGERIAN UNIVERSITIES AND INTER – UNIVERSITY CENTRES
NATIONAL UNVERSITIES COMMISSION PLOT 430 AGUIYI IRONSI STREET MAITAMA DISTRICT P. M. B. 237, GARKI G. P. O.; ABUJA - NIGERIA
2005
TABLE OF CONTENTS 1.0 1.1 1.2
1.3 1.4 1.5 2.0 2.1
2.2 2.3 2.4 2.5 2.6
2.7 2.8 2.9 2.10 2.11 2.12 2.13 3.0 3.1 3.2 3.3 3.4 3.5 3.6
OVERVIEW OF STRATEGIC PLANNING Need to Plan Types of Plan • Annual plans • Operational plans • Tactical plans • Rolling plans Definition of Strategic Planning Objectives of Strategic Planning Phases of Strategic Planning Process
1 1 1 1 1 1 1 2 2 2
FORMULATION OF A STRATEGIC PLAN The Preliminary Preparation Stage i) Exhibition of commitment by top management ii) Setting up of the relevant Strategic Planning Committees iii) Employment of the Services of a Consultant iv) Establishment of an effective Management Information System (MIS) Design of the Planning Process Definition or Review of Vision and Mission of the Institution Establishment of long and short term objectives for achieving the Mission Preparation of Guidelines and Formulation of Plans at Various Levels Environmental Scanning (i) Identify Strengths (ii) Identify Weaknesses (iii) Identify Opportunities (iv.) Identify Threats Gap Analysis Development of Strategic Alternatives and Choice of Strategy for Achieving the Objectives Production of Draft Plan Consultation Approval/Adoption of Plan Revision and Final Production Popularization
3 3 3 3 3 4 4 5 5 5 6 6 7 7 7 7 7 7 8 8 8 8
IMPLEMENTATION PHASE Elements of Implementation Phase Developing Operational (Action) Plans Budgeting Activity Planning Monitoring and Evaluation
8 8 9 9 9 10
Review of Strategic Plan
10 i
4.0 MANAGEMENT OF THE PROCESS 5.0 STRUCTURE OF A TYPICAL STRATEGIC PLAN APPENDIX 1: A TYPICAL PLANNING PROCESS APPENDIX II: ANOTHER EXAMPLE OF THE PLANNING PROCESS APPENDIX III: EXAMPLE OF OBJECTIVES AND ACTION PLANS APPENDIX IV: TABULAR PRESENTATION OF RESULTS FROM “SWOT” ANALYSIS
10 11 12 13 14 15
APPENDIX IV (a): LIST AND ANALYSIS OF STRENGTHS OF THE INSTITUTION 15 APPENDIX IV (b): LIST & ANALYSIS OF WEAKNESSES OF THE INSTITUTION 15 APPENDIX IV (c): LIST AND ANALYSIS OF OPPORTUNITIES FOR THE INSTITUTION 16 APPENDIX IV (d): LIST & ANALYSIS OF THREATS TO THE INSTITUTION16 APPENDIX V: THE PLANNING FRAMEWORK 17 APPENDIX VI: TYPICAL OPERATIONAL STRUCTURES FOR STRATEGIC PLANNINGIN A UNIVERSITY 18 FURTHER EXAMPLES OF PLAN OF ACTION 21 APPENDIX VII:
ii
FOREWORD The Nigerian University System has witnessed phenomenal expansion resulting in tremendous growth both in the number of universities and student population within the last four decades. Due to the long drawn economic downturn in the country, however, funding did not keep pace with this expansion. This had, until very recently, manifested in deteriorating teaching and learning facilities, brain drain and general institutional instability, which together threatened maintenance of quality at the institutions and sometimes their survival.
The need to prudently manage the scarce resources available to the university system is therefore obvious, pressing and urgent. It is in a bid to make the most of the situation that the world-wide trend towards adoption of strategic planning by tertiary educational institutions as a means of optimizing the use of scarce resources whilst deciding the course to chart from the available choices in order to survive the continuing economic turbulence commends itself to Nigerian universities. Government through the National Universities Commission, has thus been encouraging the Nigerian Universities and InterUniversity Centers to embark on strategic planning so as to survive adverse circumstances through strategic reviews of their corporate choices as has been achieved by many institutions in Europe, America and some countries in Africa.
This Manual on Strategic Planning has therefore been put together as a guide to institutions wishing to embark on strategic planning so that they may reap the most reward from the exercise.
The universities and inter-university centers are hereby
encouraged to embark on strategic planning, guided in their effort by the content of this manual.
Signed Prof. Peter Okebukola Executive Secretary iii
PREFACE The tremendous increase in the number of universities and in student enrolment from the 1970s to the 1980s in the face of declining economic fortunes of the country occasioned by a global recession made it increasingly difficult for Government to fully meet with the enormous resource requirements of the university system. Consequently, the universities were no longer able to attract and retain staff, acquire and maintain facilities and equipment as well as maintain stability in their academic calendars.
The very high standards with which the Nigerian university system was associated have therefore been seriously threatened to the extent that questions regarding the credibility of our graduates and the relevance of Nigerian university education to national need began to be raised.
It was against this parlous
background that it became imperative to take urgent steps towards reversing the declining fortunes of the system. One of the measures identified in this regard by Government since 1994 is Strategic Planning as a means for improving management of
the human and material resources available to Nigerian
universities for maximum attainment of their institutional goals.
In the light of this realization, the National Universities Commission, over the past decade has encouraged the universities to embrace strategic planning as a tool for management reform. The role of the Commission as a coordinating and regulatory agency in the Nigerian University System places on it the responsibility of ensuring prudent, efficient and effective management of the universities, especially for those under its funding purview.
Thus, the
Commission planned, and has been carrying out, a series of activities aimed at entrenching a culture of strategic planning in the Nigerian university system. Cognizant of the need to lead by example and be able to guide the universities from the vantage point of expertise borne out of its own experience at strategic iv
planning, the NUC is already engaged in drawing up and implementing its own strategic plan.
The following purpose of strategic planning commends it to the Nigerian University System: -
Providing an avenue for the institution to position itself for relevance to its environment and to the national need;
-
Ensuring that universities reshape their institutional cultures, diversify their funding base (towards achieving greater control over their finances) and ultimately become more efficient, more effective, more goal driven, more enterprising, more cost-effective and more autonomous from the proprietor; and
-
Allowing the universities to respond quickly and appropriately to environmental changes thereby providing a conducive atmosphere for greater institutional stability.
In furtherance of the need for Nigerian universities to reap the above benefits, the Commission mandated the then Department of Academic Planning (now Department of Academic Planning and Research) to prepare requisite guidelines for use by the universities in formulation of their individual strategic plans. This Manual on Strategic Planning for Nigerian Universities and Inter-University Centres is a product of that effort.
The Manual contains detailed information on how to create an enabling environment for success in strategic planning, the preparatory activities, plan formulation, plan implementation as well as monitoring and evaluation. A typical structure or layout for a strategic plan is also provided.
v
It is our hope that this Manual on Strategic Planning will be a useful guide to the universities in their effort to embark on strategic planning as a veritable tool for sustainable management reform in the university system.
Signed Prof. Ignatius I. Uvah Director, Academic Planning and Research
vi
1.0
OVERVIEW OF STRATEGIC PLANNING
1.1
Need to Plan The economic downturn of Nigeria, initially manifested by the severe financial crisis of the early 80s that preceded the Structural Adjustment Programme and continued through the 90s, has for two decades contributed largely to the diminishing national resources available to the universities for their primary functions of teaching, research and community service. The increase in the number of the institutions followed by unprecedented increase in student enrolment exacerbated the situation. In the face of all these problems and the resultant crises in the universities, the need for strategies towards proper deployment and management of the scarce resources available to the university system has become imperative. It is considered that restructuring for better internal management and focused long term plans are inevitable reforms that each university should embrace to be able to emerge from this experience, a stronger, fitter and more competitive organisation in the 21st century.
1.2
Types of Plan Institutions have embarked on different types of plans for ages. Such plans include annual plans, operational plans, tactical plans to mention but a few. Some of these plans are either short-term or long-term plans. Annual plans are the detailed targets of yearly activities mapped out to be carried out for the achievement of the institution's objectives Operational plans give quantifiable and measurable objectives assigned to individual planning units. This normally has a horizon of one to three years and may be reviewed or rolled forward each year. Tactical plans are short-term decisions that spell out the human, material, and financial resources that are required to achieve the institution's mission. This does not normally exceed one year or may not even be up to a year. Rolling plans are long-term plans with a horizon of three to five years, and are rolled over a term of 3 - 5 years.
Currently, there is a shift from these traditional modes of planning and a movement towards strategic planning, which is more future-oriented and places emphasis in continual prioritization of the institution's activities for optimum performance and relevance.
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1.3
Definition of Strategic Planning Strategic Planning is a process of setting measurable medium - to - long term goals for an organization, and designing strategies based on its internal strengths and weaknesses, and the opportunities and threats in its environment to achieve the goals. It is a coordinated and systematic process aimed at providing an overall course and direction for an organization for the purpose of optimizing its potentials. Strategic Planning has been described as an exercise of foresight that takes informed decisions about the future against the backdrop of a changing environment. It is an effort to take fundamental decisions which will lead to actions that will shape and guide what an institution is, what it wants to be, and how it can get to becoming and remaining what it wants to be. Strategic Planning is different from traditional development planning which has been an exercise in drawing up shopping lists of programmes and projects. It is a continuous, rolling process of both planning and implementation of plans. It involves reviewing the institution’s mission and setting quantified targets or objectives in the context of the internal and external environment of the institution. It is a collective exercise as all stakeholders should be involved in the process for it to succeed. Strategic Planning is as valuable in times of financial cuts as in times of expansion. As a medium - to - long term form of planning, it generally spans a period of three to five years.
1.4
Objectives of Strategic Planning The objectives of strategic planning are as follows:
1.5
i)
to build a sustainable long-term future within a continuously changing environment;
ii)
to achieve a balance between the institution and its turbulent environment and ensure campus peace and harmony;
iii)
to help the institution to absorb pressures, attract funds from allied sources, demonstrate competence, reduce unpredictability and remain in business, even in the face of uncertainties;
iv)
to identify priorities, set out objectives at various levels and ensure best and prudent management of limited resources;
v)
to make innovations and achieve organisational change through awareness and opportunity for participation.
Phases of Strategic Planning Process There are three major phases of strategic planning. These are the formulation, implementation and monitoring and evaluation phases. Each of these phases involves a number of activities.
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2.0
FORMULATION OF A STRATEGIC PLAN
2.1
The Preliminary Preparation Stage At the pre-preparation stage of the strategic plan, the institution should undertake the following: i)
Exhibition of commitment by top management The Vice-Chancellor, as the Chief Executive of the institution has to be himself or herself convinced of the need for strategic planning and be committed to the successful implementation of the plan. He should assess whether the University is ready to embark on strategic planning and carry along his team of managers accordingly. To achieve this, the management of the institution should review and revise management practices to pave the way for new plans, objectives and the means of meeting them. It is important at this stage for the Vice-Chancellor to be able to sell his ideas and for such ideas to be well understood and received by his managers.
ii)
Setting up of the relevant Strategic Planning Committees Having established the necessary commitment to the plan, and having fully sensitized the community and stakeholders, the next stage is to set up committees and work groups. These committees and work groups should involve all levels of the Institution. The Committees and work groups are to do the following:
a) b) c)
iii)
Work out schedule of meetings; Organise seminars and workshops during which they will sensitise the institution's community on the usefulness of a strategic plan. During the meetings, the committees and work groups should map out policy issues that would be developed into guidelines for the departments and units as they participate in drafting their plans. Employment of the Services of a Consultant The Chief Executive may need some technical support from outside the university to help in the plan process. He would require the services of a professional consultant or he may instead choose to utilize appropriate expertise amongst his staff (where this approach is considered to be more effective) who would assist the institution in both the preliminary sensitization, designing and drafting of the plan. The consultant should be involved in the plan process from the beginning up to the evaluation, review and revision of the plan and should assist with some technical support. For the consultant to be able to do this successfully, he should have a good knowledge of the institution, its history, development, etc. He should
3
be provided the requisite information in this regard. The consultant could assist in the training of some officers of the institution on new planning techniques. iv)
Establishment of an effective Management Information System (MIS) Accurate information is very crucial for planning. For strategic planning to succeed, the institution should establish an effective management information system, particularly the financial system to allow analysis of the full cost of the process. The institution should be well equipped with up-to-date computers with all the accessories and well trained people to operate them. The needed information on students, staff, programmes, administration, funding, research, etc should be constantly updated and stored for use at every stage of the planning process.
2.2
Design of the Planning Process The formulation of a Strategic Plan starts with the design of the plan process. In designing the strategic plan for the institution, the following specific issues should be addressed; Who will draft the plan? What length of time should the plan take? What are the resources required? How should the government be involved? Who should approve the plan? What happens after the adoption of the plan? The management team of the institution should be involved in the design. Other management levels such as the Committee of Deans and Heads of Departments should also be consulted, and involved in the design process. The design stage should highlight the following: Roles: specify who does what; Publicity: To allay fears and anxieties about secrecy or haste in the process, the management should publish the names of persons who will draft the strategic plan: a group is preferred to an individual to engender confidence and a feeling of wide ownership. The framework: This should be well laid out by developing an institutional profile to clarify roles of the Departments and Units in the plan process. At the design stage, information on students, staff, programmes, funding, Library, research, administration, etc. that are crucial to planning have to be identified, collated, processed, stored and subjected to constant updating to help make accurate and realistic decisions. Achievable targets have to be set at the design stage and should relate to the mission of the institution. Wide publicity should be given to the plan design to avoid anxiety and conflict.
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2.3
Definition or Review of Vision and Mission of the Institution An institution must have some stated vision and mission right from inception. Due to the dynamic nature of the society and the environment, however, the vision and mission do not have to be permanent. The vision and the mission of the institution should therefore be regularly reviewed in response to changes in the environment for continued relevance to society. In defining or redefining the mission of the institution, the planning committee should state why the institution exists, its goals and objectives in line with the National Policy on Education, what the institution wants to achieve, and how it hopes to do it. In all, the mission statement should give clear raison d'etre for the Institution. In the vision statement, the committee should identify and state the ideal course the institution would take to produce the required results.
2.4
Establishment of long and Short term objectives for achieving the Mission Having defined or reviewed the vision and mission of the institution, the next step is to identify some long- and short-term objectives that will lead to achievement of the mission. Such stated long- and short-term objectives should be followed by mapped-out action plans to be effected within some given time frame. In so doing, it should also be clearly stated who takes what action. The long and short term objectives should be identified with cognisance of the mission of the institution. For instance, if one of an institution's objectives is to attain 60% student enrolment into the science disciplines, it should be clearly stated what actions the institution will take to achieve this and within what period of time.
2.5
Preparation of Guidelines and Formulation of Plans at Various Levels The strategic planning committee should produce guidelines which provide the general framework within which the Faculties, Departments and other units will prepare their plans towards the achievement of the institution's objectives. Such guidelines should be informed by Government policies as well as the priorities indicated by the mission statement and its subsidiary objectives. The planning Committee should determine how planning should be carried out for activities which fall outside the existing units (e. g. the introduction of a new faculty/school, reorganisation of the academic calendar, changes in managerial practices, etc). See Appendix VI for a typical operational structure for strategic planning in a university. At this stage, the university management should try to establish a consensus on good practices for the future on such matters as growth, subject balance, teaching methods and research priorities, and should make realistic, overall financial projections of income from all sources. It is expected that the guidelines will cover such areas as academic, physical and financial planning which will all feature in the plans at the various levels. It is important at this stage that departments and faculties identify how they wish to fulfill the university's mission and objectives. They should be required to scan the environment and
5
conduct self analysis while Heads of Departments and Deans should ensure the commitment of and backing of members of the Department/Faculty to the ensuing plan. The entire university community should be involved in the process. 2.6
Environmental Scanning In formulating a strategic plan, the Institution is expected to carry out Environmental scanning. This requires scrutinizing the external context in which the University operates to identify and understand what opportunities and threats exist to which it should respond, as well as internal self analysis to determine the institution's strengths and weaknesses. This stage is thus aimed at identifying the strengths, weaknesses, opportunities and threats (SWOT) relating to the subject institution. The SWOT analysis enables the institution to: a)
Highlight its areas of strength and weakness in terms of academic programmes, physical facilities, library space and holdings, Teacher/Student Ratio for each programme and the quality (i. e. qualification, experience and competence) of academic and technical staff.
b)
Indicate the prevailing opportunities and threats (constraints) such as alternative sources of revenue, linkages and collaborative research, operational constraints, etc.
c)
Identify the amendments to its vision and mission statement in the light of the outcome of the SWOT analysis
In the course of the SWOT analysis, planners should document details on how the institution hopes to enhance its areas of strength and remove the weaknesses, how to explore the opportunities and minimise or avoid the threats (Appendix 4 a, b, c, & d) as follows: (i)
Identify Strengths a) b)
(ii)
Indicate the particular strength Identify: - how to enhance it - how to protect it - how to use it advantageously
Identify Weaknesses a) b)
Indicate the particular weakness Identify: - how to eliminate it - how to disguise it - what it keeps the Institution from Achieving.
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(iii)
Identify Opportunities a) b) c) d)
(iv.)
Identify Threats a) b) c) d)
2.7
Indicate the particular opportunity State problems associated with each identified opportunity identify strategies required, and indicate probable duration of the chosen strategy
Indicate the particular threat State the problems associated with the threat identify strategies for eliminating or minimizing the threats indicate probable duration of the chosen strategy.
Gap Analysis The Institution is expected to outline the difference between its current position and where it wants to be in the future. That will bring to the fore what it must do to get to the desired future state.
2.8
Development of Strategic Alternatives and Choice of Strategy for Achieving the Objectives It is necessary to identify major strategic planning issues and consider wish lists from the units in relation to the SWOT analysis, following which various strategic options may then be generated for the realization of the university's mission. Strategies should be drawn up based on existing conditions in the external and internal environment of the institution. In so doing, the work group should put the strengths and opportunities on one side and the weaknesses and threats on the other. In developing strategies, the work group has to consider a number of options such as increase in intake of science students, diversification of student, population, restructuring of faculties and departments as well as programmes. For this to be successfully accomplished, the objectives should be specific, clear, and understood by all the planning units. The academic, administrative and other internal constituencies and possibly some external constituencies should be consulted on the options for the mission and the chosen theme for each objective should be agreed and duly adopted.
2.9
Production of Draft Plan Once the mission statement has been articulated, the critical issues identified and the goals and strategies agreed upon, a draft planning document should be drawn up. Individual faculty plans may overlap or contradict each other and will have to be harmonised by the Central Strategic Planning Committee. This is a crucial stage at which all academic, financial, physical and human resource plans must be integrated, besides having to assess the resource requirements for the proposed levels of activity and to identify the income stream which will fund these activities.
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2.10
Consultation It is essential at this point to consult with the staff and other stakeholders to determine whether the plan is realisable for accomplishing the goals of the institution. It is also important to give opportunity to the Faculties to make comments and input into the operational plans before approval by top management or council. Copies of the plan proposal (or draft strategic plan) should be widely communicated to all concerned at this stage.
2.11
Approval/Adoption of Plan It is essential to consult with the major stakeholders to determine whether the plan can be translated into operating plans (i. e. the subsequent detailed action plan for accomplishing the goals proposed by the strategic plan) and to ensure that the plan answers the key questions about priorities and direction in sufficient detail to serve as a guide. There is every need to achieve consultation and agreement after some negotiation, publicity and revision thereby eliminating any area of conflict. The strategic planning committee and other key stakeholders need to participate in the review process within an appropriate time frame and the feedback once received should be collated and incorporated before seeking and obtaining final approval and adoption of the plan.
2.12
Revision and Final Production Different opinions and decisions may arise from the consultations earlier made on the plans. The strategic planning committee should collate such opinions and use them to revise the plan and ensure that useful comments are incorporated into the plan before its final production. The Departments and other Units should be adequately consulted before the revision and final production which will thereafter, be negotiated with the stakeholders and donors.
2.13
Popularization This stage is very crucial for successful plan implementation. The plan has to be publicised to a wide variety of groups such as the funding agencies, local stakeholders, donors, etc. The Vice-Chancellor has to be able to sell his institution's plans and make it popular, accepted by all concerned and embraced so as to make way for easy implementation. He should hold a number of meetings with all concerned and educate them on the plans. In such meetings, he should carry along the members of the planning committee to assist him in putting the plans through to the necessary group, agencies etc.
3.0
IMPLEMENTATION PHASE
3.1
Elements of Implementation Phase This phase is concerned with:
8
-
alligning the institutional structure, system and process with the chosen strategy. providing leadership relevant to the strategy. developing budgets, functional strategies and a motivational system for successful achievement of institutional objectives, and monitoring the effectiveness of the strategy in achieving the organisation's objectives. The choice of a corporate strategy marks the beginning of the implementation of any strategic plan as the organisation would then decide whether to expand, contract or even maintain its existing structure. 3.2
Developing Operational (Action) Plans The implementation process should commence with the production or development of operational plans which should specify objectives, responsibilities and time frame for completion. It should be rolled forward each year with a horizon of not more than three years and it should be tabulated as indicated in the attached Appendix II. It is important to define monitoring and evaluation procedures by which success will be measured as well as to link the operational plan with the annual budget process at this stage.
3.3
Budgeting Budgeting essentially expresses tactical intentions in financial and quantifiable terms and it is a means by which the University should identify priorities and allocate its resources with a reasonable degree of fairness. The University should determine and indicate: -
3.4
the amount of resources available the quantity, quality and mix of manpower, and the source and quantity of additional resources (if any) that would be required.
Activity Planning This is an important stage which affords management the opportunity to have a clear idea of the resource implication of the new strategies to be implemented. It assists management to determine priorities and identify key tasks to be undertaken for successful implementation of the new strategies. Activity planning enables the University to: -
critically review its SWOT analysis and strategies select long- term objectives to be implemented during the plan period develop short-term objectives identify activities which are essential to achieving the long and short-term objectives identify the task required to complete each activity identify the resources required to carry out the identified tasks, and prioritize activities according to their importance Assign responsibility for accomplishing the task Develop strategy for measuring success.
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It is pertinent to stress that plan implementation should be carried out with due consideration of shifting conditions while doggedly maintaining a central strategy. 3.5
Monitoring and Evaluation The processes of monitoring, feedback and plan evaluation link all phases in plan implementation. It involves establishing specific performance indicators which must be quantifiable and measurable to be useful as evaluation criteria. The University is expected to provide for mid-term feedback evaluation to assess the extent to which it has successfully met the set goals and objectives in a cost-effective manner against the backdrop of changing environmental conditions, determine the need to review the existing strategy, and the development of appropriate measures for improving the strategies.
3.6
Review of Strategic Plan The results from monitoring the implementation of the plan may inform review of the strategic plan through performing corrective measures especially when plan implementation is found to be ineffective or defective, or if environmental changes necessitate more far-reaching strategic changes. The Institution may wish to ponder on such questions as: -
How relevant to prevailing circumstances is the Institution's focus? How have external factors and demands impacted on the institution's objectives and programmes? and What should the Institution's programmes and objectives be in the next 3-5 years so that it may more effectively continue to achieve its mission?
It needs to be pointed out that monitoring is an essential activity, not only for the purposes of control but also to inform the self-analysis process at the start of the next planning cycle. 4.0
MANAGEMENT OF THE PROCESS Given the possibility that the chosen strategy might not always lead to the achievement of the University's objectives as envisaged, there is a dire need for an effective system of continual monitoring and adjustment of plans to enable the institution to reach its strategic goals and objectives. This would ensure that actions taken lead to the desired results by alerting management on a problem or potential problem before it becomes critical. Strategic control is achievable by evaluation (i. e, comparing actual performance to the set objectives) and feedback or corrective action (i.e taking actions to correct any deviations from the objectives).
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5.0
STRUCTURE OF A TYPICAL STRATEGIC PLAN The structure of strategic plans varies considerably depending on the rigour of the process leading to the plan, the inclusiveness of the plan and stylistic preferences. There is therefore no one right structure of a strategic plan. However, a classical strategic planning process would lead to a strategic plan and typically would have the following outline: Chapter One: Introduction Chapter Two: Mission/Vision Statement Chapter Three: Guiding Principles and Planning Assumptions Chapter Four: Situation Analysis (SWOT) Chapter Five: Gap Analysis Chapter Six: Strategic Goals, Objectives and Activities Chapter Seven: Implementation Strategy Chapter Eight: Strategy for Feedback Monitoring and Evaluation of Plans. Chapter Nine: Strategy for Review of Plans and for Sustainability. Institutions may be guided by this outline, or variations thereof, in determining the structure of their strategic plans
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APPENDIX 1:
A TYPICAL PLANNING PROCESS
CENTRE
FACULTIES
1. DESIGN PROCESS
2. SCAN THE ENVIRONMENT
-SWOT-
3. CONDUCT SELF ANALYSIS
4. IDENTIFY ISSUES & GENERAL OPTIONS 5. CONSULT 6. ENDORSE MISSION STATEMENT
7. PREPARE PLANNING GUIDELINES 8. FORMULATE PLANS 9. INTEGRATE ACADEMIC, FINANCIAL, PHYSICAL ETC. PLANNING
10. APPROVE STRATEGIC PLAN
11. NEGOTIATE WITH STAKEHOLDERS; PUBLICISE PLAN
12. DRAFT OPERATIONAL PLAN
13. CONSULT 14. APPROVE OPERATIONAL PLAN
15. APPROVE AND OPERATE ANNUAL PLAN FOR YEAR 1
16. MONITOR AND EVALUATE IMPLEMENTATION
Adapted from: Strategic Planning in African Universities: Good Practice Guidelines for Vice-Chancellors UNESCO/AAU Project (1995).
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APPENDIX II: ANOTHER EXAMPLE OF THE PLANNING PROCESS DESIGN PROCESS
DEVELOP MISSION STATEMENT AND OBJECTIVES . ENVIRONMENTAL SCANNING . STAKEHOLDERS ANALYSIS . SELF ANALYSIS (SWOT) CONSULT OVER OPTIONS
IDENTIFY OPTIONS
ENDORSE FINAL MISSION STATEMENT AND OBJECTIVES
PREPARE PLANNING GUIDELINES FOR PLANNING CENTRES PLANNING CENTRES COMPLETE THEIR PLANS
PLANS
INTEGRATE INTO OVERALL STRATEGIC PLAN
APPROVE/ADOPT PLAN
PUBLICISE AND DISCUSS WITH STAKEHOLDERS WORK
DRAFT OPERATIONAL PLANS
JOINT WORK
CONSULT WITH FACULTIES AND PLANNING CENTRES APPROVE OPERATIONAL PLANS
BUDGET COMMITTEE INTEGRATES YEAR ONE OPERATIONAL PLAN INTO THE ANNUAL BUDGET PROCESS
MONITORING AND EVALUATION
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APPENDIX III: EXAMPLE OF OBJECTIVES AND ACTION PLANS S/N 1.
OBJECTIVES ACTION PLANS TIME FRAME To attain 60% i) Pre-Degree Science 2001 - 2005 Student enrolment in Science disciplines ii) Organise school lectures and workshops for students and science teachers 2001 - 2005
RESPONSIBILITY University Faculties of Science, Technology, Medicine.
Secondary School
iii) Promote teaching of Science subjects at the secondary schools. 2.
3.
Improving funding of Organise investment the Institution ventures, improve 2001 - 2005 consultancies and attract donors Render improved Expand library, acquire Library Services more current books, 2001 - 2005 computers, CD-Rom, Email, Internet facilities
Sourced from University of Ghana Strategic Plan. Vol. 1, January, 1994
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Institution (Bursar, Registrar, ViceChancellor) Institution (Librarian Registrar, Vice-Chancellor)
APPENDIX IV: TABULAR PRESENTATION OF RESULTS FROM “SWOT” ANALYSIS APPENDIX IV (a): LIST AND ANALYSIS OF STRENGTHS OF THE INSTITUTION S/N
1
STRENGTH Example: Unique academic programmes with excellence
HOW TO ENHANCE IT -
HOW TO PROTECT IT
Adequately equipping Introducing new programmes geared at harnessing the abundant natural resources for the benefit of the community etc
Setting academic excellence in chosen programmes to make their being run by other institutions unprofitable Invention & innovation will be protected by patenting
HOW TO USE IT ADVANTAGEOUSLY -
-
Focus on programmes and research that will be beneficial to the University and its neighbouring communities Promote unique programmes to levels of excellence Encourage the patenting and mass production of research results.
APPENDIX IV (b): LIST & ANALYSIS OF WEAKNESSES OF THE INSTITUTION WEAKNESS Example: Depending on statutory allocation from the Government
WHAT DOES IT STOP US FROM DOING
HOW TO ELIMINATE IT AND AVOID IT
HOW TO DISGUISE IT
-
-
- Prioritize all activities for implementations.
-
Inhibits academic and physical development Inhibits effective planning and development, etc.
-
With autonomy, university can charge economic fees on services to supplement Government subvention Establish small-scale businesses, etc
-
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APPENDIX IV (c):
S/N
1.
OPPORTUNITY
Example: Potentially rich environment for technological development
LIST AND ANALYSIS OF OPPORTUNITIES FOR THE INSTITUTION PROBLEMS OR HURDLES TO EXPLOITING IT -
STRATEGIES FOR EXPLOITING IT
inadequate funding non-cooperation by neighboring communities -
PROBABLE DURATION
Private sector involvement Articulating action plan for exploitation Establishing positive university- community relations
5 years
APPENDIX IV (d): LIST & ANALYSIS OF THREATS TO THE INSTITUTION THREAT
Example: Apathy towards science courses
HOW DO THEY AFFECT THE INSITITUTION -
-
STRATEGY FOR ELIMINATING OR MINIMISING IT
Inadequate number of - Strengthen the programme for qualified candidates training & retraining of Secondary for admission. school teachers. Low quality of students
-
production of effective ready aids for use in Secondary schools.
-
Introduction of applied degree options; e.g. industrial chemistry, applied mathematics, etc.
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PROBABLE DURATION
5 Years
THE PLANNING FRAMEWORK
APPENDIX V:
M O N I T O R P E R F O R M A N C E
S C A N
MISSION STATEMENT Every 5 to 10 years
STRATEGIC PLAN Every 3 to 5 years
3 OPERATIONAL PLANS
Y
2
1
ANNUAL OPERATING PLAN AND BUDGET IMPLEMENTATION
RESULTS
Sourced from Strategic Planning in African Universities: Good Practice Guidelines for Vice-Chancellors UNESCO/AAU Project (1995).
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E N V I R O N M E N T
APPENDIX VI:
TYPICAL OPERATIONAL STRUCTURES FOR STRATEGIC PLANNING IN A UNIVERSITY
Typically, the strategy for developing a university strategic plan entails the setting up of a central or institution-wide strategic planning committee (CSPC), Faculty Strategic Planning Committees (FSPCs) and Departmental Strategic Planning Committees (DSPCs) as well as use of suitable consultants for the process.
A.
The Central Strategic Planning Committee (CSPC) • Proposed Membership of the CSPC The Central Strategic Planning Committee (CSPC) could have the following membership: i)
Vice-Chancellor as Chairman ii)
Representatives of all faculties and non-academic departments in the university
iii)
A representative of the university's alumni association
iv)
A representative of the host community in which the university is located
v)
A representative of industry or the business community
vi)
A representative of the students body
vii)
The university's Director of Academic Planning as Secretary
The membership should cut across the essential segments of the university. • Terms of Reference of the CSPC The terms of reference for the CSPC typically should be as follows:
a)
To prepare and provide guidelines to the Faculties and Departments for drawing up strategic plans for the plan period based on national (university statutes or laws) and institutional objectives.
a)
To explain to the Faculties what strategic planning is, the need for it, and how to go about formulating a strategic plan through Faculty meetings and seminars.
b)
To work out strategies for achieving the objectives including meeting schedules: possibly quarterly meetings for the CSPC and monthly meetings for the Standing Sub-committee.
c)
To prepare a budget for the entire exercise for the consideration of the Vice-Chancellor of the University.
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d)
To appraise the strengths and weaknesses of the University as presently constituted regarding its structure and function.
e)
To appraise the environment in which the university operates (or expects to operate) over the plan period listing the discernible opportunities and constraints.
f)
To prepare general guidelines or objectives that provide a framework within which the Faculties would formulate their individual strategic plans.
g)
To collect and collate the Faculty and Departmental Strategic plans along with the university level plans to form a draft composite plan for the university for the plan period (3-5 years).
h)
To provide recurrent and capital cost estimates for implementation of the plan.
i)
To prioritise the different proposals in the draft plan (based on national objectives, cost estimates, situation analysis and environmental scan) for inclusion in the final university strategic plan.
j)
To submit a strategic plan for the university to the Vice-Chancellor within a reasonable time, say about twelve months.
k)
To produce a printed and bound summary of the plan.
l)
To popularise, publicise and launch the plan at a grand commissioning event.
m)
To address any other matter germane to drawing up a strategic plan for the university.
• Standing Sub-committee of the CSPC A standing sub-committee of the CSPC may be set up to produce working papers for the CSPC. Its membership would be drawn from members of the CSPC.
B.
Faculty Strategic Planning Committee (FSPC) • Membership Each Faculty SPC should have membership as follows: i)
The Dean as Chairman
ii) All heads of departments or their representatives iii) iv)
A representative of each Department A Secretary nominated by the Dean from amongst the teaching staff.
• Terms of Reference Each Faculty SPC should be responsible for:
a.
Doing an appraisal of activities of the Faculty b.
Drawing up a strategic plan for the Faculty within the framework of guidelines provided by the Central SPC and its perceived role at the university.
c.
Doing cost estimates of planned activities.
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d.
Reporting to the CSPC and the Vice-Chancellor. e.
Carrying out any other chores relating to strategic planning that may be required of it by the CSPC or the Vice-Chancellor.
C.
Departmental Strategic Planning Committee (DSPC) • Membership Each Departmental SPC should be composed of the following members:
i)
Head of Department as Chairman.
ii) Selected members of the academic staff. iii)
Selected members of the junior and senior non-academic staff.
iv)
A representative of students.
v)
A Secretary to be appointed by the HOD.
• Terms of Reference The Departmental SPC should each be responsible for: i)
Doing an appraisal of the activities of the Department ii)
Drawing up a strategic plan for the department within the framework of the guidelines provided by the Central SPC (CSPC).
D.
iii)
Doing cost estimates of the planned activities
iv)
Reporting to the Faculty SPC, the CSPC and the Vice-Chancellor.
v)
Carrying out any other chores relating to strategic planning as may be required by the FSPC.
The Plan Process The plan process is expected to generally follow that outlined earlier in this document. It is worthy of note, however, that the plan process is expected to vary from one institution to the other as a consequence of the peculiarities of its environment and considering that there is no one right strategy or one best process for building strategies.
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APPENDIX VII: FURTHER EXAMPLES OF PLAN OF ACTION Goal Attainment of stable and crisis free University System
To achieve appropriate capacity for the University System and NUC
Objectives
Strategy/ Methodology
1) To provide the enabling environment to ensure that our Universities are stable and free from crisis
1) By 2003, FME/ Government to ensure that all Agreements entered with University Unions are honoured
2) To ensure the maintenance of stable academic calendar
2) FME/Government to ensure release of funds promptly
3) To provide measure to check the menace of cultism, exam malpractices and other social vices in the Universities 1) To ensure adequate capacity building for the Universities and NUC 2) To equip managers of the system and NUC with managerial skills through a well coordinated programme of staff development 3) To equip the managers as well as other staff of the system with the capacities that will enable them respond to the challenges of globalization.
Cost
Implementer FME FME/Government Vice Chancellors
3) By 2003, all universities should draw a code of conduct for staff and students which should be incorporated into Students Handbook and Staff conditions of services. 1) By year 2003, all Vice Chancellors, Registrars, Director, Bursars and their deputies must be provided with compulsory continuing management education 2) By 2004, all Heads of Departments PAR, Chief Accountants and their equivalents in Administrative Units must have been provided with managerial training 3) By 2005, All Senior Lecturers and Lecturers I must have been provided with IT based refresher courses while all middle level nonacademic managers must have been provided with managerial and professional training 21
1) DFA 2) DSPS 3) DAPR
Time Line
4) By 2006, at least 50% of all Junior Academics must have been provided with pedagogical and managerial training.
To Initiate and promote the use of ICT for service delivery within the University System and NUC
Full rollout of The quadrangle IT projects; 1.NUNET: providing a WAN consisting for all universities with capability for data, voice and video transfer 2.VLIB: availability of vast arrays of learning and research materials and resources in electronic format 3. NUMIS: a central repository of all university data. 4. NUSIP: Promoting elearning as an education delivery method
To work with the University System for achieving full accreditation status for at least 80% of academic programmes To mobilize external Aid for the University System
To enhance Academic quality rankings of all institutions
1) To mobilize US $500 million aids for the Universities
5) By 2007, the balance of 50% of Junior Academics must have been provided with pedagogical and managerial training. The continued funding and attainment of the objectives of the ICT quadrangle projects. The initiation, promotion and formulation of an e-learning for Nigerian Universities. 2002: Commissioning of the Virtual Library Project and implementation in 11 pilot sites; upgrading of NUMIS and implementation of new database technologies 2003: Capacity building for all stakeholders of the VLIP; build-up of NUMIS database and training for users; enhancement of NUNET efficiency and reach to universities 2004-2005: Implementation of 2nd phase of VLIP; 2006: Completion of the VLIP; full utilization of NUNET and NUMIS objectives By carrying out comprehensive auditing of all factors inhibiting full accreditation status in all the Universities and costing financial requirements to actualize full accreditation 1) By the end of 2003, at least 100 million U.S Dollars in aids to the Universities must have been 22
ES DICT;
ES DAPR DPPD DFA 1) ES 2) DAPR
mobilized. 2) To identify sources of external aids to Universities
2) By 2004, 200 million U.S Dollar must have been raised
3) Develop a coordinated approach to mobilizing aids from such sources.
3) By 2005, 300 million U.S Dollars must have been mobilized in aid for the Universities
3) DSPS
4) By 2006, 400 Million U.S Dollars must have been mobilized for the Universities
To match university graduate output with National Manpower needs
To match graduate output with national manpower needs To provide Government with relevant data on national manpower needs
To achieve a compact, efficient, mobile and IT driven workforce for Nigerian University System & NUC
IT proficiency for all staff; availability of adequate ICT facilities; increasing efficiency of office processes through software;
To foster partnership between the Nigerian University System and the private Sector
1) To explore opportunities that are available in engaging and fostering partnership with the private sector
5) By 2007, 500 Million U.S Dollars must have been mobilized for the Universities. 1) August 2002 – colloquium 2) January - April 2003 – drafting of proposal for national study of manpower needs 3) Preparation of proposal to government and relevant agencies for inclusion in year 2004 budget 4) January – December 2004, National study on manpower needs IT training to fill skills gap; procurement of computer hardware and software for all users; engagement of IT consultants to implement IT solutions to streamline processes; commitment by the NUC to computerize processes 1) By August 2003, NUC should reach out to the private sector operators to seek positive engagement and encourage them to endow chairs, adopt Departments to provide them with 23
NUC National Manpower Board Universities
DICT; ES
NUC
2) To attract additional aids, endowments and other funding support to the Universities
Strive towards full office automation
Upgrading and Maintenance of physical facilities to enhance University education.
1) To ensure that all processes in NUC are IT driven
1) Ensure that all Universities have functional Master Plan upon which all physical development will be based;
2) Encourage Nigerian Universities to establish an effective Maintenance culture for the regular Maintenance of physical structures;
3) Encourage project prioritization and cost effective approach to project management in Nigerian Universities;
4) Strive to improve private sector participation in the provision of physical facilities in Nigerian Universities; Encourage efficiency in
facilities, scholarship for students etc. 2) By April 2003, a sensitisation workshop be organised for dialogue and exploration purposes involving Universities and the private sector, to showcase opportunities and areas that both sectors could collaborate and support each other. 1) Year 2003 – Resuscitation of NUC LAN and provision of hardware equipment to all Units 2) 2004 – Training of staff in office automation process 1) All Universities will be advised to operate with physical Maser Plan by 2003. Universities would be encouraged to establish well-staffed Physical Planning Units to monitor the implementation of their Master Plans by 2003.
2) Establishment Maintenance Manual for use by Nigerian Universities by 2004.
3) Encourage Universities to emphasize preventive maintenance and enlighten the University community on the right attitude to the use and maintenance of physical facilities through organization of seminars and workshops on Maintenance by 2003.
4) Set up guidelines for private sector participation in the provision of physical facilities in Nigerian Universities. i.e. 24
DICT VLP DPP
NUC Vice Chancellors
space utilization and improvement in quality and supply of spaces.
Strive towards full monetisation of benefits
To empower staff and reduce commitment providing benefits in kind
Hostels, Staff Housing, Academic buildings, Laboratory equipment, Vehicles, etc by 2204. Co-ordination and analysis of Space utilization and Records as well as carryout periodic Building condition Survey in Nigerian Universities by 2003. By staggering the implementation stages as follows: Furniture 2002-2003 Housing 2003 – 2004 Security 2005 – 2007
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ES DFA
