Provost

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Provosts Professional Development Series

• California State University
• Northridge

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Moving Forward with Intention IPlanning and the
Uses of Evidence

• Brian Nedwek, Ph.D.
• bnedwek_at_maryville.edu
• March 8, 2006
• CSU Northridge

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Goals for the Day

• Develop understanding of good practices in
  planning
• Understand the social and political context of
  planning
• Learn techniques of evidence-based planning

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What is planning about?

• Fundamental choices
• Integrated choices

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Focus of strategic planning

• . . . A disciplined effort to produce
  fundamental decisions and actions that shape and
  guide what an organization is, what it does, and
  why it does it.
• (Bryson, 1995, p. 5)

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• . . . A formalized procedure to produce an
  articulated result, in the form of an integrated
  system of decisions.
• (Mintzberg, 1994, p. 12)

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Planning should foster a . . .

• Focus on fundamental and integrated choices
• Commitment to allocate resources for chosen
  priorities
• Nimbleness in responding to unanticipated
  opportunities or threats

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However .

• Most institutions are unrealistically striving
  to be all things to all people rather than
  focusing resources on the mission and programs
  that they can accomplish with distinction.
• (Dickeson, 1999)

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Results

• Program bloat
• Incremental or decremental resource allocation
• Institutional drift
• Loss of stakeholder support

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Planning is intended to promote

• A sustainable competitive advantage
• Information-guided decisions about fundamental
  choices

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Making fundamental choices about . . .

• Whom do we wish to serve?
• How do we want to be perceived?
• What programs and services will reinforce this
  distinctive image?
• How will we know we are succeeding?

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Question 1 Whom to Serve

• Student Quality Characteristics
• Demographics
• Market Segments
• Primary Market
• Secondary Market

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Question 2 Programs and Services Needed

• Program review and prioritization creating
  candidates
• Enhancement
• Maintenance
• Closure
• Opportunities for Investment
• Institutional Development
• Opportunities for Reallocation

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Question 3 Image

• Brand Image
• Symbols and Artifacts
• Positioning Statement
• Third Party Endorsements
• Rankings
• Accreditation

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Question 4 Knowing that we are succeeding

• Enterprise-wide Indicators
• Unit Success Measures

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Good planning produces an integrated set of
decisions about

• Academic Programs and Services
• Campus and Facilities
• Financial and Development Resources
• Human Resources
• Information Technology

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Linking plan with campus and facilities choices

• Priorities and space implications for
• Classrooms, labs, offices
• Residential living
• Library/media facilities
• Sports/recreational facilities
• Parking
• Research

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Linking plan with library/media facility choices

• Vault or vibrant interactive space
• Locating information technology
• Collaborative learning spaces for faculty and
  students

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Linking plan with classrooms, labs and office
choices about

• Preferred pedagogy and androgogy
• Faculty roles and responsibilities
• Student demographic characteristics

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Good planning . . .

• Is a priority-driven decision tool.
• Focuses on fundamental choices and a commitment
  of resources for chosen priorities.
• Informs human resource, space and technology
  alternatives.
• Fuels the academic case statement.

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Effective planning requires . . .

• Goals/objectives/strategies/outcomes that are
  clear and linked to mission, vision and values
• Objectives and strategies are financially and
  politically feasible
• Information-based choices
• Clear timelines and task specification
• Accountability and measurable results
• Linkage to resource allocation choices

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Effective planning requires a capacity to
actually plan

• Leadership commitment
• Plan to Plan
• Planning team
• Adequate resources
• Adequate data bases

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Effective planning needs a plan to plan for
choices about

• Structure
• Who participates?
• Who leads?
• Who manages and evaluates?
• Scope of authority
• Timeframes and Decision Cycles
• Communication
• Information Warehouse

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The Planning Team

• Appointed by CEO to review and approve processes,
  participants and schedule
• Reviews and recommends plan elements to CEO
  and/or senior management
• Staff to senior management on plan approval and
  modifications
• Keeps institutional stakeholders informed

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Plan Elements

• Mission, vision and values
• Environmental conditions
• Critical issues
• Goals/objectives/strategies
• Implementation and assessments

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Mission Vision Values

• Mission Whats your purpose.
• Vision What your organization will
  become.
• Values Desired states of affairs
• Core
• Aspirational
• Pay-to-play
• Accidental (Lencioni, 2004)

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Goal 1
Goal 2
Goal 3
Goal 4
Objectives Strategies 1 2 3
Objectives Strategies 1 2 3
Objectives Strategies 1 2 3
Objectives Strategies 1 2 3
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Strategic Goal

• Broad statement of what the institution hopes
  to do
• To be recognized as the leader among
  universities in the California State System in
  teaching and learning activities, applied
  research and technology applications, and
  collaborative alliances and partnerships.

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Another example . . .

• Our university will effectively and
  responsibly acquire, strategically manage and
  deploy the financial, facility and equipment
  resources necessary to sustain its mission.
• Develop our academic and institutional culture
  to be student-centered and committed to lifelong
  learning.

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Another example . . .

• We will develop a learner-centered environment
  that promotes the improvement of learning and
  personal development of students.
• We will continuously improve the quality of
  teaching and learning in its academic programs.

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Strategic Objective

• More specific statement of how a goal will be
  accomplished
• To hire and retain diverse and highly qualified
  professional educators who are committed to
  meeting the educational needs of an increasingly
  diverse and changing society . . .

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Another example . . .

• Assess learning outcomes continuously and use
  assessment results to improve the learning
  process and experience of students.
• Integrate appropriate technology into the
  curriculum to improve student learning.
• (Adapted from the University of Missouri)

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Whats a strategy?

• Answers the question of how a core objective will
  be realized.
• Creates the essential link to unit actions.
• Provides the basis for articulating the
  performance indicators

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What makes a strategy statement work?

• Stating who is going to do what
• Precision in what actions will be taken
• Articulation of outcomes and benchmarks
• Articulation of timeframes and priorities

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The what is the outcome

• The observable results of specific actions taken
  to implement a strategy.

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The what is the outcome

• Faculty Review and Development Plan
• Multi-media studio and training facility
• Implemented new Core Curriculum
• Increased student satisfaction retention from
  80 to 84
• Increased alumni support to 25

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Some outcomes must be expressed as benchmarks

• Marks progress toward achieving the objectives
• Can be expressed as critical success factors
• Reflects realistic assessment of what institution
  might accomplish

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Whats a benchmark?

• A statement of how attainment of the strategy
  will be measured it specifies the criterion for
  success

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Benchmark

• By 2007, 55 of the courses will have an
  electronic syllabus available to students.
• By 2010, 60 of the credits taken by freshmen
  will be delivered by full-time faculty.

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Illustrative administrative benchmark

• By 2006-2007, one-third of all classrooms
  will be updated to support instructional
  technologies.

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Lets recall the four key questions

• Whom do we wish to serve?
• How do we want to be perceived?
• What programs and services will reinforce this
  distinctive image?
• How will we know we are succeeding?

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Capacity to deliver effective programs and
services to achieve institutional vision requires

• Environmental Analysis
• Internal Strengths and Weaknesses
• External Opportunities and Threats
• Program Review and Prioritization
• Faculty Resource Prioritization
• Disciplined Program Proposal Process

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SWOT Analyses

• Internal Strengths Weaknesses
• Program quality
• Resources
• Students
• Faculty
• Facilities
• Finances

• External Opportunities Threats
• Competition
• Politics
• Technology
• Economy
• Demographics
• Cultural forces

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SWOT Interactions
Internal External Strengths Weaknesses
Opportunities A B
Threats C D
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Specialized SWOT Program quality assessment
using Review and Prioritization

• Dimensions
• Criteria
• Standards
• Information Management Requirements
• Translating Recommendations into Action

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Some of Dickesons Postulates on Prioritization

• Traditional approaches, like across-the-board
  cuts, tend to mediocrity for all programs.

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Some of Dickesons Postulates on Prioritization

• Reallocation cannot be appropriately accomplished
  without rigorous, effective, and academically
  responsible prioritization.

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Whats a program?

• Any activity or collection of activities of the
  institution that consumes resources (dollars,
  people, space, equipment, time).
• Dickeson (1999, p. 44)

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Typical Prioritization Dimensions

• History, Development, and Expectations of the
  Program
• External Demand
• Internal Demand
• Quality of Inputs and Processes
• Quality of Outcomes

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Typical Prioritization Dimensions

• Size, Scope, and Productivity
• Revenue and Other Resources Generated
• Costs and Other Expenses
• Impact, Justification, and Essentiality
• Opportunities

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Excellence compared to what?

• Benchmarking performance against
• Competitors
• National or regional norms
• Other institutions in system
• Institutional wanna bes
• Other programs within among institution

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Synchronization

• Were budget development procedures complementary
  to plan priorities?
• To what extent do unit plans reflect budget
  priorities, e.g., faculty positions?
• Were special funding mechanisms established to
  support creativity and innovation in strategy
  setting?
• Does the strategic plan coincide with timing of
  major capital or comprehensive campaigns?

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Ratings and Program Recommendations

• Programs could be candidates for
• Enhancement
• Maintenance
• Maintenance but monitored
• Reduction in resources
• Suspension or Closure

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Links Recommendations to Resource Allocation

• Strategic initiative set-asides
• Annual or biennial budget commitment
• Timing faculty slot authorization
• Reallocation of resources
• Incorporating sunset provisions

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With evidence-based planning, the question is
How do we know we are succeeding?

• Traditional approaches
• Innovative approaches

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Innovative approaches include

• Balanced Scorecard
• Dashboard Indicators
• Key Performance Indicators
• Critical Success Factors

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Balanced Scorecard

• Management tool to gauge organizational
  effectiveness in terms of
• Quality of academic programs
• Student-Centeredness
• Quality of faculty
• Value for money
• Alumni satisfaction
• Employer satisfaction

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Key Performance Indicators

• Monitor conditions or resource usage
• Measure performance against stated policy or
  program goals
• Forecast problems
• Build policy agenda
• Support resource allocation
• Create bases for comparisons Nedwek (1996)

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What are Critical Success Factors?

• Characteristics of an institution that when
  realized represent its ideal state at a point in
  time.

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Three levels of CSFs

• Systems of institutions
• Institutional or Enterprise-wide
• Unit-specific

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Enterprise-wide Factors

• Driven by institutional goals, mission values
• Multiple measures narrowed to critical factors
• Benchmark standards
• Established realistic timelines
• Senior management accountability Board oversight

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Unit-specific measures

• Sensitive to distinctive mission of academic
  unit, e.g., College or support service
• Consistent with institutional mission, goals and
  institutional CSFs
• Timelines consistent with unit plan
• Unit level accountability

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Model-building Choices Institutional Level

• What dimensions make sense?
• What measures in each dimension make sense?
• What is the best baseline?
• What is an appropriate comparative standard?
• What level of success can be achieved and by when?

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Critical Success Factors Enterprise-wide Level

• Retention rate increases to XX by year X
• XX of faculty position offers to first-choice
  candidates are accepted
• XX of students reporting satisfactory engagement
• Bond rating increases to XX level by year X
• Enhanced academic quality in three dimensions
• Nedwek (2004)

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Critical Success FactorsUnit Level

• Licensure exam passage rates
• Market share increases by XX
• External recognition of faculty performance,
  e.g., funded research, leadership in
  organizations
• XX of programs meeting accreditation
• XX of course syllabi meeting principles of good
  practice
• Enhanced academic quality in three dimensions

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The Special Case of Academic Quality
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Academic Quality Dimensions

• Conditions for learning
• Activities that facilitate learning
• Results achieved from processes

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Unpacking types into dimensions

• Inputs Conditions for Learning
• Student Academic Readiness
• Faculty Academic Readiness
• Supportive Physical Environment
• Supportive Technological Environment

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Unpacking types into dimensions

• Processes Activities that facilitate
  learning
• Curricular integrity and coherence
• Teaching excellence and vibrancy
• Developmental advising
• Co-curricular activities
• Timely progress through curriculum
• Effective assessment practices
• Active learning environments

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Unpacking types into dimensions

• Outcomes Results achieved from processes
• Graduation rates
• Demonstrations of knowledge and skills
• Achievement of personal and professional goals
• Success in contributing to community

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Measuring Academic Quality

• Lets take a look at the handout.

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Putting It All Together

• Academic planning is a priority-driven decision
  tool.
• Good planning is guided by responses to four key
  questions.
• Good planning focuses on integrated choices and a
  commitment of resources for chosen priorities.

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• The end product of strategic planning is not so
  much to write a plan as it is to change
  thinking and introduce a model in which ongoing
  decisions are made strategically.
• Rawley, Lujan, and Dolence ( 1997)

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Resources

• D.J.Rowley, H.D. Lujan, M.G. Dolence. (1997).
  Strategic Change in Colleges and Universities
  Planning to Survive and Prosper. San Francisco
  Jossey-Bass Publishers.
• J. Bryson. (1995). Strategic Planning for
  Public and Nonprofit Organizations. San
  Francisco Jossey-Bass.

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Resources

• R. C. Dickeson. (1999). Prioritizing Academic
  Programs and Services. San Francisco Jossey
  Bass Publishers.
• B. Bourne, L. Gates, and J. Cofer. (2000).
  Setting strategic directions using critical
  success factors. Planning for Higher Education,
  28 (4) 10-18.

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Resources

• B. Nedwek (1996). Linking Quality Assurance and
  Accountability Using Process and Performance
  Indicators. In Nedwek, B. (ed.). Doing Academic
  Planning. Ann Arbor Society for College and
  University Planning. 137-144.
• B. Nedwek. (2004). Benchmarking Success
  Academic and Facilities Factors. SCUP-39.
  Workshop K. Toronto.

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Resources

• P. Lencioni. (2002). Make your values mean
  something. Harvard Business Review, (80) 7
  113-117.
• H. Mintzberg. (1994). The Rise and Fall of
  Strategic Planning. New York Free Press.
• B. Nedwek. (2005). Measuring Strategic Plans
  and Planning. Becoming a Learning Focused
  Organization. A Collection of Papers on
  Self-Study and Institutional Improvements.
  Chicago Higher Learning Commission. Pp. 35-37.