Process for University Strategic Planning Examples
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1 1. Many universities post their strategic plans on the web for public access, but only a few of them disclose the timeline and process of how the strategic plans are developed; the inclusion of institutions in this document is solely based on whether such information is available on the web. 2. Several common elements in the strategic planning process of the following institutions are observed; see summary table below. Details of the strategic planning process, with timelines, of the institutions are provided, in Appendix 1, for reference. Hong Kong USA Canada HKU: The University of Hong Kong UCB: University of California at Berkeley Windsor: University of Windsor CityU: City University of Hong Kong Illinois: University of Illinois UK Penn: University of Pennsylvania Oxford: University of Oxford SUNY: The State University of New York I. Establishing Responsibility (a) Strategic planning steering committee (or equivalent) (b) Strategic planning sub-committees (or equivalent) in designated themes, areas, or issues of concerns
2 II. Consultation and Engagement of Stakeholders (c) Consultation prior to drafting of strategic plan (d) Consultation during drafting of strategic plan (e) Involvement of faculty, staff, students and alumni Likely (via President s Summits) (f) Involvement of employers and other stakeholders Likely (via President s Summits) Likely (via web survey) 2
3 III. Review of Drafts of the Strategic Plan (g) Parties involved in the reviews of the draft versions of the strategic plan 1 st Draft Strategic Planning Faculty Buzz- Group 2 nd Draft Strategic Planning Sub- Groups Revised Draft Strategic Planning Core Group Final Draft Academic Policy Committee, Senate, Management Board, and Council s Strategic Development Committee Draft approved by Council for wide consultation across the University Draft versions posted on the web for review Draft of overall framework reviewed by Board of Trustees and other university stakeholders (e.g. Faculty Senates Committees), as well as at President s Summits Draft published in Almanac for comment Draft versions reviewed via statewide conversations Draft reviewed by Strategic Planning Advisory Group, and distributed to all stakeholders for feedback 3
4 IV. Approval of the Strategic Plan (h) Approval authority of final version of the strategic plan Council Council Council and Congregation Chancellor and Academic Senate Board of Trustees Board of Trustees Board of Trustees Senate and Board of Governors V. Monitoring Mechanism (i) Monitoring of the implementation The University uses a broad range of PIs [profile indicators] for holistic assessment, and to monitor performance and measure outcomes at the institutional level and at individual Faculty and unit levels. The implementation of the plan will be overseen by the Provost in consultation with the Vice- Presidents and Senate [who] will implement periodic assessment of [the plan s] effectiveness and consequences, and the plan will be adjusted It is the responsibility of the four major committees (namely, Educational Policy and Standards; General Purposes; Personnel; Planning and Resources Allocation) of Council to oversee the work associated with each [The Strategic Plan] must be regularly and publicly revisited to ensure its principles remain valid, [by] the following actions: 1. An annual State of the Campus by the Chancellor, i.e. a progress review of the proposals in The University has created annual progress reports to serve as one accountability mechanism. The reports are developed collaboratively and with input from many individuals and groups across the University, and include data and other The Strategic Planning consists of 4 phases, including Phase IV: Implementation and Assessment, from July 2010 to December Details will be posted on the web. The Strategic Plan must lead to an accountability framework that will tell us whether we are indeed creating the kind of University we say we want. Following completion of the Strategic Plan, a reporting framework will 4
5 Faculty PIs are received every year by the Budget and Resources Committee and are studied in conjunction with the Development Plans of the Faculties. accordingly. strategy, and to report regularly to Council and Congregation on progress. the Plan; 2. Reviews by the Executive and Senate leaderships of their respective committee structures, on how they align with the Plan s elements; 3. Strategic oversight by Vice Provost for Academic Planning and Faculties, for monitoring of progress of the Plan and for ensuring its integration with other major strategic programs on campus. information regarding the context and challenges for plan execution and key accomplishments and progress toward the strategies and goals be developed [to enable systematic annual reporting of progress against goals]. 5
6 VI. Interface with Other Planning Processes (j) Interface with other planning processes, e.g. planning at the Faculty-, School- and unit-levels The University s Strategic Document sets out broad principles and institutional priorities that individual Faculties, centres and units, through their annual development plans [which include goals, targets, deliverables and outcomes], seek to implement in line with their specific missions. Colleges, Schools, Departments, Institutes and Centres will [develop] specific details, benchmarks and indicators, action steps, and [propose] timelines at the unit level to achieve the targets and goals of the Strategic Plan. The [Strategic Plan] is informed by the five-year plans of the four academic divisions and by the strategic plans and equivalent documents made available to the steering group by a number of colleges. All the major policies and programmes of work contained within the Plan have been discussed and The designated points of responsibility for the ten Strategic Plan elements (viz. an executive office, collaborating with a Senate committee) are to submit action plans and annual updates to the Vice Provost for Academic Planning and Faculties. The approach to the development of the University s Strategic Plan involves three stages: 1. development of the overall strategic planning framework; 2. development of plans of University campuses and support organizations; 3. development of plans of schools, colleges and administrative units [The Strategic Plan] provides a blueprint for school and source center plans, a basis for estimating and relating projected costs to the university s financial capabilities and constraints, and a roadmap for the university s future fundraising efforts. The Strategic Plan aligns with campus strategic plans. All 64 SUNY campuses had representation on the planning process, via: campus presidents; memberships on the Strategic Planning Steering Committee and the Working Groups; and Group of 200 town hall conversations. The Strategic Plan needs to be one under which academic plans in the Faculties and planning within administrative areas of the University can occur. Planning across campus that supports the Strategic Plan includes: academic plan, research plan, capital plan, and administrative plan. 6
7 endorsed by the four major committees of the Council and/or Council itself. VII. Contents of the Strategic Plan (k) Aim / Purpose [To] further its excellence and reach new heights, the University must re-examine its role from time to time [The Strategic Plan] builds on the firm foundation [of the last strategic plan and] provides an updated strategic framework to [The Strategic Plan] defines a sharper vision of the future for City University, identifying a new mission and mapping out a clear set of goals and action plans [to elevate its research and professional education.] [The Strategic Plan] outlines a framework for the work of the Collegiate University over the next five years, setting out from the premise that the University s work should continue to be guided by the core values and objectives articulated in [the last plan]. The Strategic Academic Plan 2003 describes the critical challenges UC Berkeley faces in the coming years, recommends principles and proposals to address these challenges and outlines a comprehensive strategy for implementation. The document is a framework for strategic planning (not a strategic plan per se). The intent of this document is to describe and clarify the overall planning framework for use by each of the planning units [during the three-stage planning process]. Strategic planning is the organized effort we make to examine our aspirations, articulate our goals, identify our strengths and weaknesses, and set our priorities. [It] offers a periodic opportunity for all of the university s stakeholders to It is essential that SUNY identify and establish system-wide strategic priorities that will advance our mission while stimulating New York s economic recovery and increasing SUNY s capacity to better serve all New Yorkers. The [Strategic Plan] should indicate what our priorities are, and it should lead to actions that move in the directions we say we want to go. It should be a point of reference that we can use to help us make choices. Most importantly, it should lead to a stronger and 7
8 (l) Outcomes / Conclusions guide the University in the next five years of development. Three strategic themes: 1. Enhancing the student learning experience 2. Advancing research and innovation 3. Promoting knowledge exchange and demonstrating leadership in communities Six strategic areas: A. Student learning and career development B. Research and technology transfer C. Faculty and staff recruitment, reward and retention D. Campus All the strategies are designed to meet the [strategic] challenge of sustaining and enhancing [Oxford s] distinctiveness and excellence. Nine core and enabling activities, each with objective and strategies: Core activities: 1. Learning and teaching 2. Research 3. Wider engagement with society Enabling activities: 4. Personnel Ten key aspects of the academic enterprise, each with suggested principles and proposals: 1. Placing a limit on growth 2. Ensuring excellence 3. Pursuing new areas of Defining three planning stages: 1. Overall strategic planning framework 2. University campus and support organization plans 3. School, college and major take stock, to develop a strategy, and ultimately to choose among diverse objectives. Four broadest strategic goals: 1. Maintaining academic excellence 2. Capitalizing on differentiating strengths 3. Defining the future of education 4. Creating the capacity for success Four core missions: 1. Research and innovation 2. Access and completion 3. Innovative teaching and learning 4. Engagement in our communities Eight themes: 1. Ensuring more effective University. Five elements of the Plan: 1. Reason for being 2. What we are creating 3. Principles 4. Strategic priorities 5. Actions under each priority 8
9 across the region Strategic initiatives and operational priorities: Under each of the 3 strategic themes, several strategic initiatives and operational priorities will be implemented via an enabling platform which is to enhance the University s financial, physical, human resource and operational capacities. planning and development E. Globalisation F. Branding, image and culture 5. Admissions and access 6. Academic and student services 7. Space 8. Finance 9. Governance and planning inquiry 4. Enhancing undergraduate education 5. Transforming instruction 6. Supporting graduate education 7. Maintaining research leadership 8. Building the interactive campus 9. Investing in housing 10. Aligning resources and initiatives administrative unit plans Establishing six guiding principles: 1. consistent with Illinois overall goals 2. developed in a participative manner 3. high yet achievable aspirations 4. goal of displacing top competitors 5. plans based on measurable goals 6. components of plan documents revitalization and quality of life for NY State 2. Arts and culture 3. Diversity in the world 4. Education pipeline 5. Energy and sustainability 6. Globalization 7. Health affairs 8. Quality of place Four infrastructural issues: 1. 5-Year budgeting process/ flexibility 2. Brand prestige 3. Information technology 9
10 (m) Implementation timetable Timeframe: ; no implementation timetable Timeframe: ; no implementation timetable Timeframe: ; no implementation timetable Launched in 2003; no implementation timetable Stage 1: Overall Strategic Plan Framework launched in 2005 Stages 2 & 3: campuses and schools plans completed in 2006 Launched in 2003; no implementation timetable, but it remains in place as the current planning document that will guide Penn through the first decade of the 21st century 4. Library access Phase III: Launch of the Strategic Plan (April June 2010) Phase IV: Implementation and assessment (July 2010 December 2020) Launched in 2010, the Strategic Plan will not be launched as a one-year, twoyear, five-year or 10-year plan. Rather, it will be a plan against which we will report annually on the goals we have set. VIII. Approach / Methodology (n) Evidence-based vis-à-vis Data-based Consultations and brainstorming sessions with stakeholders including the Council, Senior Environment scanning: SWOT analysis to assess the impact of external and internal factors Each planning unit should assess its position through objective analysis of data and other A series of discussions with the Council of Deans, the President s Advisory Group, and the SUNY s statewide collaborative planning process includes gathering observations, Consultations about what people believe to be distinctive and strong about the University, and an analysis 10
11 Management Team, Deans, Department Heads, staff, students and alumni. Use of survey data: Online questionnaire to collect feedback from University members. on the operating environment of global higher education, drawing comparisons with leading global institutions (benchmarking U of New South Wales; U of Texas, Austin; U of Warwick; UC San Diego; U of Sheffield; Nanyang Tech U, Singapore) relevant information. Methodologies include: best of class benchmarking; competitive positioning; SWOT analysis. executive vice president s senior management team led to the establishment of 14 committees consisting of different stakeholders who finally developed the major areas of the Plan. suggestions, ideas and comments, and engaging many stakeholders through campus visits, town hall meetings, social media, and other outreach. to determine where the University currently sits in relation to those elements. Use of survey data: Online survey What is our reason for being? to to solicit feedback and ideas on our mission, vision, principles, and overarching strategic goals. 13 August
12 The University of Hong Kong Time taken for developing Strategic Development : 28 months Appendix Fall Commencement of the development of the strategic plan for (Note: detailed timeline and process unknown; information below is extracted from: Consultations and brain-storming sessions with a wide range of University stakeholders including the Council and Senior Management Team, Deans and Department Heads, and staff, students and alumni Members of the University family were also encouraged to provide feedback through an online questionnaire Ideas and comments received from discussions and consultation sessions were used to refine and strengthen the strategic framework for December Launch of Strategic Development to university community including staff, students and alumni, as well as the public City University of Hong Kong Time taken for developing Strategic Plan Excellence in Research and Professional Education : 21 months March Sent invitations to all faculty members to attend Strategic Planning Faculty Buzz-Group meetings to consider the first blueprint of the strategic plan 2008 April Strategic Planning Core Group conducted a 4-month SWOT analysis and benchmarking 2008 September Deans and Heads conducted SWOT analysis 5 Strategic Planning Sub-Groups (Globalisation; Faculty and Staff Recruitment, Reward and Retention; Student Learning 12
13 Appendix 1 and Career Development; Research and Technology Transfer; and Campus Planning and Development) developed Developmental Templates (strategic outcomes areas; performance/gap challenges; strategic performance indicators (SPI); SPI and deadlines; project ownership; project financing coordination, risk management, monitoring and evaluating process) 2009 March Strategic Planning Faculty Buzz-Group consulted about 300 faculty and exchanged views and suggestions 2009 July Second blueprint of the strategic plan was sent to Sub-Group Chairs 2009 August Strategic Planning Consultation Meeting with alumni, employers and Students Union to solicit suggestions and ideas Revised Draft Strategic Plan was released online (internally) with a request that comments be sent to the Sub-Group Chairs for inclusion into the penultimate blueprint of the strategic plan Strategic Planning Core Group discussed Final Draft Strategic Plan 2009 October Academic Policy Committee, Senate, Management Board, and Council s Strategic Development Committee discussed Final Draft Strategic Plan 2009 November Council s Executive Committee discussed Final Draft Strategic Plan Council approved the Strategic Plan University of Oxford Time taken for developing Strategic Plan to : 17 months Trinity Term (April June) Council established a Steering Group, which was chaired by PVC Education and composed of members representing Council, divisions and colleges, and charged with the coordination of the updating of the Corporate Plan to for the period to Steering Group recommended, and Council agreed, to rename the updated Corporate Plan to Strategic Plan, which was 13
14 Appendix 1 to be informed by the 5-year plans and equivalent documents made available to Steering Group by a number of colleges Major policies and programmes of work in the Strategic Plan were discussed and endorsed by one or more of the four major committees of Council or Council itself 2008 January Council approved the draft of the Strategic Plan for wide consultation across the University during Hilary Term 2008 Hilary Term (January March) Steering Group collected, and posted on the Strategic Plan web site where consent was given, submissions on the draft Strategic Plan from all bodies within the Collegiate University as well as individuals 2008 Trinity Term Steering Group reworked the draft Strategic Plan in the light of comments received during the consultation Steering Group presented the revised draft of the Strategic Plan to Council and Congregation for approval 2008 Fall Submitted the Council-approved Strategic Plan to the Higher Education Funding Council for England (HEFCE), on an agreed three-year cycle University of California at Berkeley Time taken for developing Strategic Academic Plan 2003 : 33 months Fall Established a new Strategic Planning Committee composed of representative from the faculty and executive leadership, campus staff, and graduate and undergraduate students, which was charged with preparing a Strategic Academic Plan for UC Berkeley 2000 Fall 2002 Fall Strategic Planning Committee met regularly and posted draft versions of the plan on the web for review 2001 Spring Strategic Planning Committee held 1 st open campus forum to solicit ideas of the larger campus community 2001 Fall Strategic Planning Committee held 2 nd open campus forum 14
15 Appendix Spring Strategic Planning Committee held 3 rd open campus forum 2002 June Strategic Planning Committee submitted final version of the Strategic Academic Plan that describes the critical challenges facing UC Berkeley in the coming years, recommends principles and proposals to address these challenges, and outlines a comprehensive strategy for implementation 2003 May Chancellor released the new Strategic Academic Plan to the campus community, which outlined vision for the campus in the decades ahead University of Illinois Time taken for developing Strategic Plan Framework : 16 months Stage 1 Overall strategic planning framework (Note that the product of Stage 1 of the strategic planning process is a university-wide framework (rather than a strategic plan), which sets out the components that each unit-level strategic plan (Stages 2 and 3) should incorporate) 2005 March President held the 1 st Summit on Strategic Leadership 2005 April Completed initial draft of the overall framework for strategic planning, which was discussed and shared with the Board of Trustees and other university stakeholders such as the Faculty Senates Conference 2005 June President held the 2 nd Summit on Strategic Leadership, for further discussion of the draft framework, with a particular focus on statutory mandates, SWOT, competitive analysis and strategic issues facing the University Board of Trustees provided subsequent additional input 2005 July Board of Trustees reviewed the final draft of the framework 2005 August Board of Trustees confirmed the final version of the framework 15
16 Appendix 1 Stage 2 University campus and support organization plans 2005 October Completed drafts 2006 February Submitted final versions to Board of Trustees Stage 3 School, College, and major administrative unit plans 2006 April Completed drafts 2006 June Submitted final versions to Board of Trustees University of Pennsylvania Time taken for developing Strategic Plan 2003 Building On Excellence: The Leadership Agenda : 35 months November At a retreat University Trustees met to discuss the development of the university s strategic plan Spring Council of Deans, Academic Planning and Budget Committee, President s Advisory Group, and Executive Vice President s senior management team were engaged in a series of discussions to determine the goals and priorities that should be included in the strategic plan These discussions resulted in a tentative outline for the plan that provided the framework for the next step: establishment of 14 committees, consisting of over 200 faculty, staff, and undergraduate and graduate students from across the university 2001 Fall 14 committees developed the major areas of the strategic plan 2002 February An open forum was held to solicit additional suggestions and encourage more input from the university community 16
17 Appendix April Published a draft plan for comment in Almanac and many of the suggestions received were subsequently incorporated in the finalized plan 2003 September Released the Strategic Plan 2003, which provided a blueprint for school and resource center plans, a basis for estimating and relating projected costs to the university s financial capabilities and constraints, and a roadmap for the university s future fundraising efforts The State University of New York Time taken for developing Strategic Plan 2010 : 13 months Phase 1 The Chancellor s 64-Campus Tour (June 1 September 4, 2009) 2009 June Chancellor met with (a) SUNY faculty members, staff, students, alumni groups, affiliate organizations, and community and business leaders, and (b) congressional and legislative representatives, the SUNY Board of Trustees, the SUNY campus presidents and members of the media, to be provided a perspective on the current state of SUNY Information collected from the Tour along with responses submitted to Share Your Ideas was compiled, and formed 16 preliminary themes and several core infrastructure issues as a foundation for Phase 2 development activities Phase 2 Statewide Conversations (September 8, 2009 March 31, 2010) 2009 September Formed a Strategic Planning Steering Committee comprised of campus presidents, staff, students and community members, to (a) vet and prioritize themes and objectives for SUNY s statewide conversations and frames strategic actions necessary to realize the full dimensions of the plan, and (b) regularly provide updates to the Strategic Planning Task Force of the SUNY Board of Trustees 2009 October Conducted eight day-long conversations at regional locations selected to maximize outreach and participation, each of which had a structured dialogue (by guest speaking, Q&A, small-group break-out sessions) organized in a way for 17
18 Appendix 1 participants to consider, evaluate, and prioritize the challenges and opportunities facing SUNY Chancellor continued to meet with SUNY campus presidents, the SUNY Board of Trustees and other key stakeholder groups to seek their collective input and brief them on our progress Distinguished experts from within and outside of SUNY formed 15 Working Groups, each assigned a theme (e.g. Economic Vitality and Quality of Life; Arts and Culture; Globalization), core mission (e.g. Leadership Development; Research and Innovation) or infrastructure issue (e.g. Budgeting Process/Flexibility; Information Technology), to (a) review ideas and suggestions from stateside conversations, feedback from meetings of the Steering Committee and input from SUNY campus presidents 2010 Spring Working Groups completed reports to Strategic Planning Steering Committee, (a) to provide a high-level summary of SUNY s strengths, capabilities and key challenges it faces, and (b) to recommend initiatives by which SUNY can provide transformative solutions to meet these challenges Strategic Planning Steering Committee recommended for Board of Trustees Strategic Planning Task Force approval of final draft of Strategic Plan Board of Trustees Strategic Planning Task Force recommended for Board of Trustees approval of final draft of Strategic Plan Phase 3 Launch the Strategic Plan (April 1 June 30, 2010) 2010 April Chancellor conducted a series of SUNY Strategic Plan launch events at several locations throughout New York State starting in mid-april 2010 University of Windsor Time taken for developing Strategic Plan Thinking Forward Taking Action : >7 months 1 Stakeholder Engagement in Setting Strategic Priorities 18
19 2009 August Appendix 1 Finalization of (a) web survey to solicit feedback and ideas on the University s mission, vision, principles and overarching strategic goals and (b) guide document Conduct of survey review sessions 2009 September Launch of web survey 2009 October Strategic Planning Advisory Group (SPAG) reviewed, analyzed and summarized web inputs Assignment of each strategic objective to an Action Step Planning Group Updating of web site with survey results 2 Strategic Planning Advisory Group s Work 2009 September Finalization of membership 2009 October SPAG reviewed, analyzed and summarized web inputs SPAG identified participants for Action Step Planning Groups 2009 November SPAG reviewed the work and findings of Action Step Planning Groups 3 Action Step Planning Groups Work 2009 October Finalization of membership 2009 October Action Step Planning Groups conducted consultations with focus groups and recorded findings 2009 December Action Step Planning Groups communicated findings and solicited feedback 4 President s Town Hall Meetings 2009 September Arranged for locations, logistics and format of meetings 19
20 Appendix 1 Invited participants to meetings 2009 October Conducted meetings and recorded findings Analyzed results, and shared with Action Step Planning Groups 5 Preparation and Review of New Strategic Plan 2009 December Preparation of Draft Strategic Plan by assembling Action Step Planning Groups work 2010 January SPAG reviewed Draft Strategic Plan Distribution of Draft Strategic Plan to all stakeholders for feedback 2010 February Finalization of Strategic Plan 6 Senate and Board Engagement and Approvals 2009 September 1 st update of progress to Senate and Board of Governors 2009 October 2 nd update of progress to Senate and Board of Governors 2009 November 3 rd update of progress to Senate and Board of Governors 2009 December 4 th update of progress to Senate 2010 January 5 th update of progress to Senate, and 4 th update to Board of Governors 2010 February Submission of Strategic Plan to Senate and Board of Governors for approval 20
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