Booklet PSP-4 FINAL

POLYTECHNIC OF NAMIBIA
PSP - 4 (2014-2018)
Strategic Planning
GUIDELINES
fo r De p a r t m e n ts / U n i ts / C e n tr e s / I n s ti tu te s
F O R INT E R N A L U S E ON LY
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1.INTRODUCTION
The Polytechnic’s third Strategic Plan, PSP-3 (2009-2013) will expire in December 2013. During the period
October 2012 - June 2013, the Polytechnic community will develop its fourth Strategic Plan (PSP-4).
The plan will reflect the key issues facing the Polytechnic and proposes strategic actions to advance the
institution’s vision and steer the transformation of the institution into a university of science and technology
during the period 2014-2018.
2.PLANNING APPROACH
For the development of the PSP-3, Council adopted a planning model driven on three levels:
Polytechnic Planning Committee 1 Thematic Cross - Functional Work Groups 2 A B C D E Schools, Departments, Units, Centres 3 A B C D E F G There is general consensus that this model has worked well and was critical in ensuring broad participation,
a shared vision, and wide ownership of the PSP-3. As a result, the majority of the targets set in PSP-3 were
achieved. The same model will be applied for the development of the PSP-4.
At the first tier the Polytechnic Planning Committee (PPC) is responsible for the overall institutional
alignment of strategies and goals.
At the second tier five thematic cross-functional workgroups have been appointed by the Rector to address
the priority areas identified by faculty and staff as critical for the sustainability of the institution during the
next five years. The groups are:
1. Teaching, Learning and Research;
2. Student-centeredness;
3. Institutional Sustainability;
4. Stakeholder Relations and Partnerships;
5. Governance and Management.
At the third tier, Schools, Departments, Centres and Units will analyse their respective environments and
contexts, consider trends in higher education and develop departmental plans and outputs that will address
the themes and ultimately the institutional goals formulated. These will enable the Polytechnic to achieve
its vision.
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The Deans, HODs, Managers and Directors will drive the internal planning processes within their respective
spheres. Each Dean will present his/her respective School’s Plans to the campus community on 10 April
2013, following consultation with the PPC on 02 April 2013. The Departments, Units, Centres and Institutes
will present their final strategic plans to the Extended Management Team on 17 April 2013, following
consultation with the PPC.
In each School, the Dean is responsible for the development, implementation and evaluation of the School
Plan. The plan for the School consists of the plans derived from the departments. The Dean is supported
by the Head of Department, who, in turn, is responsible for the development and implementation of the
Departmental plan.
In the Departments, Centres and Units, the Director, Manager or Head is responsible for planning. In order
to ensure continuous consultation and dialogue each Department/Unit/Centre/Institute could establish its
own Internal Planning Committee (IPC).
The IPC shall:
a.
b.
c.
d.
e.
Consist of all faculty and/or staff in the Department/Centre/Unit;
Select a senior member of staff to chair all meetings and do the PSP-4 presentations on behalf of
the departments as and when required;
Appoint a secretary to keep record of the minutes and file these appropriately;
Meet as follows:
i) Once per week during January, February and March 2013 to complete the Environmental Scan
and Self Study;
ii) Once every two weeks for the unit plans from April onwards;
Keep attendance record (of those present) at the meetings.
NOTE: The Deans or their Deputies must attend the planning meetings in their departments.
3.GUIDING PRINCIPLES FOR DEVELOPING THE PLANS
The review process requires you to take a critical look at the extent to which the vision and mission of the
department has been achieved, to identify and evaluate its current position against the envisaged position
in 2008 and to develop strategies for improving the quality of services and activities to achieve the desired
outcome.
The review is developmental and must therefore be;
1.
reflective/evaluative/critical;
2.
analytical;
3.
factual;
4.
focused on our desire to become a refined university; and
5.
inclusive.
The institution has adopted as rational planning model for the development of the PSP-4. Thus, as a
university of science and technology, the institution will focus on building national scientific, technological
and research capacity and will improve performance and strengthen operational excellence. Expansion
will primarily be in the Science, Technology, Engineering and Mathematics (STEM) areas at under-graduate
and graduate levels and in professional and vocational qualifications. There is recognition of the fact that
academic staffing, research output and student support must be strengthened significantly during planning
period.
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4.STRATEGIC PLANNING PRINCIPLES
The Polytechnic of Namibia’s strategic planning process is guided by the following principles:
• The process will be open – We will freely share information relevant to the process in an environment that is
creative and innovative. Our communication and any disagreement will be directly and respectfully stated. No
one member will censure another for the expression of her / his ideas.
• The process will be transparent – We will follow the strategic planning process as it is described in this and
related documents. Should any changes to the process be required, they will be openly communicated.
• The process will be inclusive – We will invite the whole campus community to participate in the strategic
planning process through membership of the PPC, Steering Committee and Work Groups as well as participation
within the different Departments/Units/Centres/Institutes.
• The process will be institution-centered – We will each place our personal or group interests second to the
best interests of the institution. None of us will attempt to manipulate the process for personal or group gain.
5.FRAMEWORK FOR PLANNING
All planning must be conducted within the strategic framework of the Polytechnic which includes the following strategic
imperatives:
} To be a premier university of science and technology educating leaders for the new economy.
VISION
MISSION
VALUES
(For the period of the PSP-4 “premier” shall mean one of the top five universities of technology
in Africa).
} To promote national competitiveness by providing multiple opportunities for excellent education,
applied research, innovation and service.
The institution embraces the following values:
} Excellence: We strive for the highest quality in all our programmes, services and activities.
} Inventiveness: We recognise innovative and creative thinking, and value the impact of each
member of our community.
} Inclusiveness: We value the contribution of each community member and subscribe to teamwork,
joint responsibility and ownership.
} Transparency: We expect responsibility and accountability from each community member and
value open decision making processes.
} Integrity: We value each member of our community and support honesty, dedication,
professionalism and fair treatment of all.
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6. PLANNING CYCLE
Five Year Cycle
The Polytechnic has adopted a five-year planning cycle consisting of annual cycles. The Department of
Planning and International Relations (PIR) monitors the annual cycles as well as the development of the
mid-term review.
The annual planning cycle will consist of the following five steps:
1) An Annual Evaluation of key goals, strategies and outcomes accomplished during the previous year;
2) Development of an Annual Institutional Action Plan projecting activities for the next year;
3) Preparation of the Annual Institutional Budget;
4) Development of the Annual Report;
5) Preparation of the Mid-term Report.
Annual Evaluation
In July of each year, Schools/Departments/Units/Centres/Institutes are required to complete an Annual
Evaluation allowing constituents to reflect on and review their achievements as they relate to the goals,
strategies and key performance indicators set.
Annual Institutional Action Plan
In August, an Annual Institutional Action Plan is prepared for the following academic year. This Institutional
Plan is based on submissions by Schools/Departments/Units/Centres and Institutes to the Director: Planning
and International Relations (PIR).
In the annual planning process, a constituency assesses its goals and strategies and in view of new
opportunities and challenges, projects its performance with respect to qualifications, staffing, student
enrolment, infrastructure, research and service for the next year. Action Plans must build on the previous
departmental and institutional activities and must be supported by specific, measurable, achievable,
realistic and time-bound activities with cost projections.
The Polytechnic Planning Committee (PPC) will thoroughly review the individual plans for strategic alignment,
quality and relevance, urgency, impact and resources required. Following this process, the plans may be
referred back to the constituents with recommendations for them to be aligned with or integrated into the
Polytechnic Annual Action Plan. The Rector will submit the Annual Action Plans to the Council for noting.
Annual Institutional Budget
In September, the Annual Institutional Budget is prepared by the Office of the Bursar for submission to the
Ministry of Education for consideration. The Annual Institutional Action Plan informs this budget.
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Annual Reports
The Polytechnic annual reports will reflect the achievements of the institution within a given year. These
reports are comprehensive but brief documents which are presented to the Minister and the public as a
statutory requirement and as an indication of accountability and transparency.
Midterm Report
Halfway through the period of the plan the institution provides Council with a comprehensive report on
the performance of the institution. The report entails an extensive self review and evaluates progress with
respect to the vision and mission at institutional, school, departmental and unit levels.
7.RESPONSIBILITY FOR PLAN IMPLEMENTATION AND
REVIEW
The responsibility for implementing the Plan rests with the Rector, who reports to Council. He is assisted by
the Director: Planning and International Relations (PIR), as the principal planner.
The Director: PIR, in turn, works with Senior Management (Vice-Rectors, Registrar, Deans, Directors and
Managers) to ensure that the Schools/Departments/Units/Centres/Institutes comply with the process and
actively drives and monitors the process.
The responsibility for the implementation of plans rests with Schools, departments, units and centres.
i)
Each Dean is responsible for the development, implementation and evaluation of the
School Plan. Similarly, each Director is responsible for his/her Division’s Plan.
ii)
The Head of Department supports the Deans by developing, implementing, monitoring and
evaluating departmental plans and ensuring all staff participate in the process.
iii)
Ideally to ensure continuous consultation and dialogue, each School/department/unit/
centre/Institute shall establish its own Internal Planning Committee (IPC) consisting of
senior faculty and staff.
The institutional planning process is facilitated by a Polytechnic Planning Committee (PPC). The PPC
consists of the Rector, Vice-Rectors, Registrar, Dean of Students, Chief Librarian, Director: PIR, Director:
Communications and Marketing and Director: Facilities.
A Steering Committee, consisting of the Director: PIR and Deans, will support the activities of the
workgroups and departments as necessary. It will also serve as a forum for discussion of the process,
challenges and new ideas.
8.PLANNING PROCESS
To ensure that the process is simplified, guided and focused, a flow chart is included to guide you through
the process.
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PSP-4
PROCESS FLOW CHART
DEVELOPMENT OF A STRATEGIC PLAN
PHASE
A grand purpose / dream
focused on a better future
•
•
•
•
What do you do?
Who will you do it for?
Why? How?
When?
• How do you respond to
stakeholders?
• What do stakeholders say
about your department?
Vision
Review Current
What do you aspire by 2018?
(short statement)
A picture of the future
Mission
Review current
State your purpose; character,
quality, source of competitive
advantage, values and beliefs
Values
Review current
FEB
2013
Ethos/ enduring convictions/
relationships/ behaviour/
decisions not be compromised
or tolerated?
SWOT Analysis
PHASE
2
JAN
2013
Unit Review / Self Study
1
Internal Environment
Strength / Weaknesses
Resources / Faculty
Competencies / Capabilities /
Technology
• Why will students enrol for
qualifications?
Specific
Measurable
Achievable
Realistic
Timebound
External Environment
Opportunities / Threats
Competitive Advantage
Goals
Qualifications / Research /
Service / Staff / Students /
Infrastructure /
Funding Partnerships
• Why do students and
stakeholders choose you?
FEB/
APR
2013
Goals are clear and focussed
to provide direction and
streamline the implementation
of the mission
Annual
Action Plans: August
PHASE
3
Annual Review/ Evaluation
Implementation Plan
6
JUN/
SEP
2013
PSP-4
KEY DATES FOR SCHOOLS, DEPARTMENTS, UNITS, CENTRES & INSTITUTES
2013
DATE
1
18 Jan
Launch of PSP-4 Planning process
2
28 Jan
First meeting to be scheduled with all staff within Departments, Units, Centres and
Institutes.
3.
25 Feb 06 March
HODs to discuss draft plans at Boards of Studies
4.
18 March
Deans to present progress on School Plans to the Steering Committee.
5.
03 April
Deans to present draft School Plans to PPC.
6.
10 April
Deans to present School Plans to the campus community.
7.
17 April
Directors and Managers to present their respective draft strategic plans to the
campus community.
8.
19 April
Strategic plans to be submitted to PPC by Deans, Directors and Managers.
9.
07 June
Draft PSP-4 to be submitted to PPC by Director: PIR
10. 21 June
Director: PIR to present draft PSP-4 to campus community for comments.
11. 12 July
Director: PIR to present final and completed PSP-4 to PPC for approval.
12. 15 July
Development of 2014 Action Plans to commence.
13. 22 July
Presentation of PSP-4 to Council for approval.
* PPC – Polytechnic Planning Committee
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TEMPLATE FOR THE 4TH STRATEGIC PLAN (PSP-4) 2014 - 2018
DEPARTMENTAL PROJECTION
A
1
PROPOSED VISION 2014-2018
(within the framework of PON)
2
MISSION
3
VALUES
4
SWOT
What gives your department an
advantage?
b Weaknesses
INTERNAL
a Strengths
What prevents your department
from doing its best?
c
Opportunities
What external chances can
help the department make
a better impact?
d Threats
What external elements
could prevent the department
from doing what it must?
EXTERNAL
B
SELF STUDY
Achievements during the period
8
5
ALIGNING SWOT
What strengths can your Department
capitalise on? How will you do this?
What weaknesses do you plan to
eliminate during the next five years?
What opportunities will you invest in
during the next five years?
Are there any weaknesses that can be
developed into opportunities?
What threats have you identified that
you should guard against during the
period of the PSP-4?
What will you do to minimise its impact
on the work of your department?
C
6
COMPETITIVE ADVANTAGE
What is your Department best at,
and why?
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PSP-4 GOALS
a
b
c
d
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8
STRATEGIC GOALS, ACTION PLANS & TACTICS
2014 - 2018
a
Strategies
Teaching, Learning and Research
• New qualifications envisaged
(e-programmes)
• Qualifications to be phased out
• Measures to improve quality of curriculum
development, delivery and assessment
• Measures to improve student retention
• Measures to improve overall pass rate
• Measures to decrease dropout rate
• Measures to improve teaching strategies
• Measures to improve graduation rate
• Measures to improve research outputs
b
Governance & Management Culture
• Compliance with Governance framework
(i.e. Institutional Rules, Delegation of Authority,
Policies)
• Mentorship
• Staff development
• Creating a positive work environment
• Activities to enhance Governance
c
Stakeholder Relations and Partnerships
• Community Engagement activities
• International Partnerships
• Local Stakeholder Relations
• Alumni Activities
d
Student-centredness
• Enrolment Projections
• Recruitment Strategies
• Measures to Improve Equity
• Academic Support Services
• Other Services - social, athletic, cultural
e
Institutional Sustainability
• Infrastructure Required
• Technology needs
• Funding & Fundraising
• Cost saving measures (areas to cut)
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Performance
Management
Indicators
Responsible
Person
Time-line
9. DEPARTMENTAL REPORT
8. ACTION FRAMEWORK
Complete the table in detail by identifying all the
relevant and necessary actions that need to take
place to ensure the vision is achieved and the
strategic theme is addressed.
Your final Report must be submitted to the PPC on
19 April 2013. Documents should be 12 pages long,
typed in Arial, 11 point size and double spaced.
1. INTRODUCTION/EXECUTIVE SUMMARY
2. OVERVIEW OF ACHIEVEMENTS AND KEY
CHALLENGES DURING THE PSP-3 PERIOD
3. SWOT ANALYSIS
Conduct a SWOT analysis on your strategic theme
and its application at the Polytechnic of Namibia:
Strategic
Goal
State the strategic goal(s)
Activities
What activities will you
implement to achieve the
goal?
Outcomes
(numbers
or %)
•What are the outcomes
required?
•What will need to be done?
•What will it look like if
successfully implemented?
•What SMART targets are
we setting to achieve the
goal?
Assumptions
•What are the assumptions
that underpin the goal and
its outcomes?
•What are prerequisites to
achieve the vision?
Strengths
Weaknesses
9. BENEFITS
List the key benefits expected, e.g. in terms of
improved student throughput, student support,
better qualifications, enhanced research output,
improved service levels, reduced cost, enhanced
public image, etc. and quantify benefits where
possible.
Opportunities
Threats
4. VISION
10. CRITICAL SUCCESS FACTORS
What are the key factors that your department
would measure to monitor and control whether it is
achieving the vision?
5. MISSION
Critical Success Factor
Performance Measure
6. VALUES
11. RISKS
What are the risks that need to be managed by your
department to ensure successful implementation of
the strategic plan?
7. COMPETITIVE ADVANTAGE
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10. CRITERIA FOR DECISION-MAKING
Given the complexity of the Polytechnic’s decision-making processes, a multi-criteria decision-making
approach is best to determine relative priorities of specific actions in the development of the Plan. Multicriteria approaches are widely documented and various approaches exist. The Polytechnic should consider
the following criteria:
PRIORITISATION MATRIX
Criteria
Strategic
alignment
Impact
Urgency
Financial
Resources
Description
Dimensions
The extent
to which the
proposed action
will be in line with
the approved and
agreed Vision,
PSP and Action
Plans
The action directly contributes to the achievement of the Polytechnic
vision and organisational goals
5
The action has a positive secondary impact on programmes and
actions that are designed to achieve the Polytechnic vision and
organisational goals
3
The action does not directly contribute to the achievement of
the vision and organisational goals, but has outcomes which are
positive to the institution
1
The action does not visibly contribute to the achievement of the
vision and organisational goals and has unclear outcomes
-1
The extent to
which doing OR
NOT will result
in a significant
improvement or
damage globally
the reputation
and core teaching
and learning /
applied research
/ community
engagement
activities as
defined by
its scope and
breadth.
The action will have an extensive and lasting global and Institutionwide impact through business-critical structure, systems or process
changes that affect 80% or more of staff and/or students
5
The action will have significant, Institution wide and global impact
over a short period of time, through business-critical structure,
systems or process changes that affect 60% or more of staff and/
or students
3
The action will have moderate, function-specific impact (e.g.
academic vs support) with structure, systems or process changes
with could have a lasting organisational impact
1
The action will have a minor, localised impact in a specific
organisational cluster or unit, with structure, systems or process
changes that do not impact other parts of the Polytechnic
-1
The time available/
window of
opportunity in
which a specific
action needs
to take place in
order to ensure
maximum impact,
before impact
diminishes
The need for action is critical, therefore an immediate and sustained
effort using any and/or all available resources is required until the
situation is addressed
5
The need for action is high, therefore immediate response is
required at a level which might interrupt other activities, but do not
need to stop them
3
The need for action is medium, with task teams to be defined and
planning to commence on how best to tackle the situation within an
agreed time frame and budget
1
The need for action is low, with resources and effort allocated as
and when they are available
-1
All financial budgeting and allocations are in place to implement the
action without deviation
5
Some supplementary budget / reallocation of resources is required
to implement action
3
No budget allocation has been made and reallocation requires
deviation from spending intentions
1
No budget allocation has been made with no clearly identified
source of funding for the actions
-1
The availability
of the necessary
financial
resources to
implement the
action
Value
12
Expected
Human
Resources
Effort
Risk
The anticipated
time required to
implement the
actions based on
an assessment of
complexity
The extent to
which addressing
the problem
is within the
experience and
competence of the
Polytechnic and
its management
team and also to
what extent not
doing something
can create further
complications.
The anticipated effort is low and can be accommodated with no
significant impact on delivery of other actions
5
The anticipated effort is medium and would need some reallocation
of people and time to finalise, without a major organisational impact
3
The anticipated effort is high, with substantial planning and
reallocation of effort by key individuals and senior managers
1
The anticipated effort is critical, with full-time dedicated, critical
Polytechnic resources to be allocated until completion of the tasks,
to the detriment of other activities
-1
Actions/ inactions have extreme risk: meaning, failure to implement
them successfully could have serious consequences for the
continued sustainability of the Polytechnic
5
Action/ inaction is high risk: meaning, significant organisational
impacts – financial, operational, or reputational – if unsuccessful
3
Action/ inaction is medium risk: meaning, some requirement for
corrective action if implementation is unsuccessful
1
Action/ inaction is low risk: meaning, no significant impact on
Polytechnic operations or viability if unsuccessful
-1
EXAMPLE: APPLICATION OF THE MULTI-CRITERIA APPROACH
Priority is defined as the importance of/and therefore, the sequence in which the Polytechnic should address
projects (capital and recurrent) and actions, in many cases emerging as incidents, management problems, or
requirements for organisational change. Once an action has emerged as a high/er priority action, it requires
the necessary action, escalation and notification to Council to allocate and source resources appropriately.
Three examples are illustrated below.
Strategic
alignment
Impact
Urgency
Financial
Resources
Human Effort
Risk
Priority score
1. The expansion of laboratories for
Engineering
5
3
5
3
-1
5
22
2. The implementation of a revised
programme in Land Management
5
1
5
-1
5
5
21
3. The approval of staff development
scholarships for faculty members
5
-1
-1
1
3
1
8
Decision/ Action
In the example above, the sequence of activities would be implementing in the order [1], [2] and [3]. Thus given
current resources challenges, [3] may not be submitted to Council for approval.
Prioritisation does not indicate “importance” of actions, but provides some guidelines as to what actions can be quickly
and painlessly implemented, alongside more complex, risky decisions that need to be taken.
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