Achieving Your Vision Through Integrated Planning

Transforming “Powerful Ideas” into Powerful Results

June 15, 2004

Presented by:

Philip StackDirector, Resource Planning

University of Alberta

Presentation Outline

Overview of Framework

Issues Impacting UofA

Questions

Why Integrated Planning

Reaping the Benefits

What’s NextLessonsLearned

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Planning and Budgeting of Old

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What We Heard

• President’s PanelVisionStrategic planningCreating changeCultureCommunicationsPerformance measurementFocus on studentsPolicy vacummThe ability to convince others

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What We Heard

• Emerging Trends in Institutional Analysis– Importance of institutional measurement– Linking assessment to accountability– Developing measures that reflect your culture– Need both lead and lag indicators– Clearly connected to organizational goals and

strategies

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Why is Integrated Planning Important?Faculty Recruitment

and RetentionReduced Base Operating Funding

Capital Expansion

Enrolment Increases

Research Funding Growth

Resistance to Large Tuition Increases

Changing Expectations of students, government, donors, public and granting agencies

North CampusNorth CampusProjects UnderwayProjects Underway

HRIF WEST

HRIF

HRIF PARKADE

ZEIDLERCENTRE

EAST

Bldg

Newton Research

HRIF WEST HRIF EAST

Health Research Innovation Facility (HRIF) West

Health Research Innovation Facility (HRIF) East and Zeidler Centre

Centennial Centre for Interdisciplinary Science (CCIS)

National Institute for Nanotechnology (NINT)

NINT BLDG

NREF BLDG

ETLC FOOD COURT

Natural Resource Engineering Facility (NREF)

STORAGE

TANKTHERMAL

New Thermal Storage Tank

ABACUS (Heart and Stroke Centre)—Capital Health

EASTCAMPUSVILLAGE

East Campus Village Phase I

Health Sciences Ambulatory Learning Centre (HSALC)

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Planning & Budget ImplicationsPlanning

• Link to Institutional Priorities & Capital Priorities

Budgeting

• Financing

• Cash Flows

• Indirect/Lights on Costs

• Deferred Maintenance

• Government Relations

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Integrated Planning as an Essential Tool

“To successfully manage the transformation of higher education and guide its future, institutions must view comprehensive and integrated planning as an essential tool”

Source: Doing Academic Planning – Effective Tools for Decision Making. D. Anketell & T. Anderes

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Integrated Planning Defined

Integrated planning is the process whereby all PLANNING and BUDGETING activities throughout EVERY level of the organization are effectively linked and coordinated and DRIVEN BY the institution’s VISION, MISSION AND ACADEMIC PRIORITIES.

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Why an Integrated Planning Processat the UofA

1. To build on and improve existing planning activities within a common four-year planning framework

2. To ensure integration of institutional academic priorities and goals with Faculty/Unit academic priorities

3. To become more strategic in decision making and resource allocations

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Why An Integrated Planning Process

4. To respond more rapidly to emerging strategic opportunities and challenges

5. To demonstrate to the University community, government, public and other funding agencies, the University’s commitment to accountability and continuous improvement

6. To assist the University in achieving its vision of being indisputably recognized

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Who Are the Players?

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Where Did We Start?

• May 1, 2000 – Established the Office of Resource Planning

• Restructured Executive Decision Making Committee and Budget Committee

• Timeline of two years to develop, approve and implement integrated planning framework – full implementation April 1, 2002

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University of Alberta’s Integrated Planning Framework

• 4-year plan developed at the institutional level supported by 4-year plans developed at Faculty and unit levels all within an overall integrated planning framework

• Utilizes a top down and bottom up planning process• Incorporates elements of both strategic planning and business

planning• Integrates aspects of a fixed term plan and rolling plan• Includes annual budgets and three-year forecasts• Annual updates and reporting of performance measures

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University of Alberta’sInstitutional Planning Documents

• Vision, Mission

• Opportunities, Challenges, Risks

• Goals, Key Strategic Initiatives, Performance Measures

• Budget Overview2002-2006 Strategic Business Plan: Update 2004

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University of Alberta’sInstitutional Planning Documents

• Major Capital Priorities

• Deferred Maintenance

• Functional Renewal

• Capital Budget

2003-2007 Capital Plan: Update 2004

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University of Alberta’sInstitutional Planning Documents

• Budget Status• Budget Context and Risks• Budget Priorities• Budget Tables

– Consolidated – Operating– Capital– Ancillaries

2004-05 Budget

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Four-Year Strategic Business Plan Template

Five Key Sections

1. Introduction and Assumptions Overview of vision, mission, values and core

activities Key assumptions in developing the plan

2. Forces and Sources of Change Overview of the environmental scan Outline of unit changes – emerging trends, existing

threats, present opportunities

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3. Key Strategic Initiatives, Objectives, Strategies and Performance Measures Strategic initiatives must link to the University’s vision,

mission and institutional strategic initiatives Maximum of two to three strategic initiatives per core mission

activity Detailed objectives and strategies for each strategic initiative One or two performance measures linked to each of the stated

initiatives

Four-YearStrategic Business Plan (con’t)

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Four-YearStrategic Business Plan (con’t)

4. Resource Plan Resources, new (operating, research, special

purpose, capital) or re-allocated required for each stated strategic initiative

5. Annual Budget and Three-Year Forecasts Fully consolidated

Key Strategic Initiatives, Objectives, Strategies, Performance Measures, & Targets

STRATEGIC INITIATIVE 1: insert initiative

  

Objectives

  

Strategies University Initiatives

  

Key Strategic Initiative Performance Measure

  

Target

1. State objective 1

State the strategies linked to each objective

Reference the number each of the University’s initiatives supported by name

State the specific performance measure that you have selected for your stated initiative (Note: this measure(s)refer(s) to the key strategic initiative)

State the specific target that you have set

2. State objective 2 

       

3. State objective 3

       

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Performance Measures

• Developed for each key strategic initiative• Institutional measures required by Alberta Learning:

– Enrolment– Student satisfaction– Student post-graduation employment– Administrative effectiveness

• Faculties required to report on first three measures• Balance of measures to be developed by each Faculty• Focus on Process improvement and accountability

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University Planning Flow ChartYear 3 of 4 Year Plan

Full Integration

Institutional Plan

Fund Development

Faculty

Capital Plan

Long Range Development Academic

Unit

Research

Institutional Budget

Faculty and Administrative Unit Four-Year Strategic Business Plan Approval Process

V P A ca d e m icF o u r-Y ea r P lan

V P E xte rn a lF o u r-Y ea r P lan

V P F & AF o u r-Y ea r P lan

V P R ese a rchF o u r-Y ea r P lan

E a ch o f1 6 F acu lt ies

V P F & OF o u r-Y ea r P lan

A n c illa ry U n itsF o u r-yea r P la ns

F o u r Y e arC a p ita l P lan

E xe cu tive P lan n ing C o m m itteeProvost & 4 Vice-Presidents, Supported by SIG & IPG

Each Portfolio, Faculty and designated Administrative Unit is given 1 hour to present and argue the benefits of their plan. Presentations every two weeks from Sept to Dec

Institutional 4-Year Strategic Business Plan Approval Process

PortfolioFour-Year P lans

FacultyFour-Year P lans

Ancillary UnitFour-Year P lans

Institutional Four-Year S trategic Business P lanInstitutional Budget & 3-Year Forecasts

Four-Year Capita l P lan

Executive P lanning Com m ittee

Academic P lanning Com m ittee

Board Finance and Property Com m ittee

Board of Governors Approval ProcessStep 4 Board

Step 3 BFPC

Step 2 APC

Step 1 EPC

Documents Submitted For Formal Governance Approval

Supporting Documents

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Hall Marks of the University’s Integrated Planning Process

• Open and transparent• Institution-wide• Integrated with fully consolidated budgets• Strategically focused• Strategic resource allocation/reallocation• Accountability through performance measures

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Challenges in Getting There

• Resources required to support the model

• Change management

• Shift in culture

• Would this process make a difference?

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Success Factors

• Senior executive champion• Transparent and effective decision making framework• Effective and continuous communication• Willingness to listen but making final decisions• Money to support new strategic initiatives• Focus on accountability for progress• Internal support to assist in plan development• Partnership with government• Formal University endorsement of planning framework

Has It Made a Difference?

Integrated Plan

Resource Allocations

Defend Strategic Decisions

Government/ Stakeholder Relations

Enhanced Accountability

Board Relations

Strategic Focus

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What We Learned?

• Status quo not an option• Framework needed to make a difference• Framework must reflect needs/culture of University• Planning fatigue• Strategic focus versus resource commitment• The transition takes time• Remain committed

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What’s Next?

• Transition to new President• Development of new academic/research plan• Continuous improvement of template• Enhance budget processes and implement Cognos

Enterprise Planning• Continue to improve analytics and reporting though

data warehousing and Cognos

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Today’s Integrated Planning Process

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Questions

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Contact Information

Philip StackDirector, Resource Planning

University of Alberta1-16 University Hall

Edmonton, Alberta T6G 2J9

(780) 492-4976

Philip.Stack@ualberta.cahttp://www.uofaweb.ualberta.ca/vpfinancerp/

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