Business Intelligence & Institutional Research at Unisa: What it can do for youPresented to Unisa Capacity Development Programme

24 November 2009

Current Budg etPrev. Budget

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Professor George SubotzkySuzette van ZylDepartment of Information and Strategic Analysis

Overview of presentation

• Background & Context• Integrated Strategic Planning Framework

– DISA role and mandate within this• What is BI? Key concepts:

– IM MI & BI– OPM– Outputs, outcomes and performance measures/indicators– The Information Hierarchy: The BI Pyramid– Analytic Maturity Curve– Technological Maturity Curve

• Elements of the BI Framework• Special focus on External environmental scanning/ scenario building

• What is IR?

Acknowledgements

• Suzette van Zyl– Conceptual Genesis of BI Unisa– Research/PhD– Project leader

• George Subotzky– Eager novice, quick learner

• Prof Baijnath: Convinced supportive champion• Gartner: mixed value report• Business Intelligence 2008 Conference

• 2004 Merger• Organisational Hybridity & Complexity• Policy & Regulatory Environment• International Trend towards Managed HEIs• Market Environment

• National and International Competition• Increased Demand & Pressure

• Academic & Operational Challenges

The Planning Imperative at Unisa

The Planning Process Thus Far• 2005: 2015 Strategic Plan

– Vision, Mission, Social Mandate, SWOT Analysis, 10 Objectives, Strategies and Targets

• 2006: IOP– Vertical Integration with 2015 SP– Actions, Performance Measures, Targets (rough)

• 2007-9: 3-year Rolling IOP – Strategic/Operational Priorities– Increased Sophistication in PMs and Targets– Attempt to Identify Cross-functional Dependencies –

Horizontal Integration• Integrated Planning Framework• BI/IR Framework– Monitoring & Evaluation

Reflective Instruments

• COL Trial Quality Audit• HEQC Quality Audit• Ongoing Quality Assurance• Accenture Business Architecture Initiative• Review of 2015 SP and IOPs• Planning Makgotla• Monitoring and Evaluation• Risk Management• Service Charter

OPERATIONS• Functional/Operational

UnitsInputs, Processes, Outputs, Outcomes & Performance Measures

INSTITUTIONAL PERFORMANCE &

STRATEGIC MANAGEMENT

• Monitoring and Evaluation

(BI/Institutional Research)• Quality

Assurance/Service• IPMS• Risk ManagementOngoing:• Strategic

Reflection/Review• Environmental Scanning

CHANGE MANAGEMENT• Strategic Change Initiatives

• Continuous Improvement Initiatives

These are identified through ongoing review process, and then find expression, as the case may be, in:

• New or revised Strategy or Strategic Projects

• Objectives and Actions in the IOP

• Changes to Operations, the Business and Enterprise Architectures and Enabling Conditions

FUNCTIONAL PLANS (PROJECT-BASED)

eg Academic, Research, HR, Estates, ICT

Functional Outcomes, Objectives, Outputs & Performance Measures, Integrated Scheduling

plan

STRATEGY FORMULATION• Mission, Vision, Business Model

(ODL)• Strategic PlanStrategic Outcomes, Objectives & Performance Measures (all shaped by Social Mandate)

review

change

RESOURCE ALLOCATION (SRAM)• Budget• ACHRAM & PADRAM

Enabling Conditions(in addition to appropriate

Business & Enterprise Architectures)

• Effective Leadership & Management

• Conducive Climate & Culture

Business & Enterprise Architectures

Shaped by strategy - the optimal configurations of:

• People/capacity• Processes/Systems•

Resources/Infrastructure

• Technology

Strategic

Projectsact

IOP & STRATEGIC PROJECTSStrategically-aligned Outcomes, Objectives, Outputs & Performance Measures

IntegratedStrategic

Management Framework

33

DISA

UNISA

Business Units/

Business Units

Business Units

Business Units

Business Units

Business Units

Pol. Ec.

HE Policy

ODL

HE Dev.

DISA Mandate

Vision, Mission & Strategic Goals

Integrated Strategic Management Framework

Business Intelligence:Automated, web-based, enterprise-wide intelligence

architecture

Institutional Research:Systematic gathering, analysis, interpretation

& dissemination of relevant intelligence

Decision-making,

Planning & Management

Integrated Strategic Management Framework

DATA TO INFORMATION + ANALYSIS = STRATEGIC INTELLIGENCE

DATA

Vision, Mission, SP & Business Model (ODL)

INFORMATION & ANALYSIS/IR

OUTPUTS

• Calendarised• Periodic • Ad hoc Requests

• Strategic Discussion Forum

STATUTORY REPORTING

• HEMIS• Other External Stakeholder Requirements

ICT + IR ExternalDISA

4 types of Outputs/Services

STRATEGIC MANAGEMENT

AND ANALYTICAL

SUPPORT SERVICES

• Formal & informal

• BI support

BI/IR ENTERPRISE

ARCHITECTURE

plan

review

change

act

IntegratedStrategic

Management Framework

INSTITUTIONAL INFORMATION & ANALYSIS

PORTAL• Institution-wide Web-based BI Analytic Tool

• Downloadable I & A outputs

Portfolio Structure

DISA Organogram

ICT Enterprise Architecture

OpsDomain

1

OpsDomain

2

OpsDomain

3

OpsDomain

4

OpsDomain

5

OpsDomain

6

Portal: Institution-wide Dissemination of

Information & Analysis (BI & IR)

BI ‘Enterprise’ Architecture

Business Architecture (Process Maps)

DISA 3-fold Initiative1. Institutional information and analysis

portal– Automated, web-based, easily accessible

single, authoritative information source– Vast enhancements on HEDA– Now includes pilot Student Tracking

System– First step towards BI framework– Software clunky– Remains management information

DISA 3-fold Initiative2. BI framework

– Cutting edge, long-term solution to supporting organisational performance management, integrated planning & decision-making

– By providing tools, method & support for the optimal utilisation of BI for this purpose

DISA 3-fold Initiative3. Institutional Research

Capability– Calendarised Outputs– Ad hoc Projects– Environmental Scanning– Monitoring & Evaluation– Forecasting & Prediction– Strategic Discussion

Forum

The BI Process Thus Far

• Genesis of concept• Presentation to Mancom: August 2006• Enriching our conceptual understanding of BI• Framework & Strategy document: Engagement with

consultant: Gartner• BI 2008 conference: confirmed this direction and

approach• Workshopping & finalisation of document: Working

Group & SPCC• Mancom approval: 10 March 2009• Approach from HR, CAES ED, Budget• Microsoft Performance Point proof of concept

What is BI?

BI is actionable information which has been structured analytically and contextually in order to measure and manage organisational performance against strategic and operational targets and thereby to effective support management, decision-making and planning and, in particular, the attainment of organisational goals and effectiveness

What is a BI framework?

• A BI framework comprises a number of elements (see below) to govern the entire process of automatically collecting, integrating, analysing, presenting and utilising up-to-date, reliable, relevant institution-wide information from multiple sources to support OPM.

 • The BI framework utilises sophisticated web-based portal

technology to disseminate customised information to each manager in the form of highly visible aggregated dashboards and scorecards, with the ability to drill down into detail. It systematically provides relevant information across the entire enterprise, covering and integrating all processes. It represents the single, authoritative source for institutional information.

MI vs BIMI provides summarised operational information, usually only in one functional business area such as students, HR, research etc. It is designed to deal with simple data configurations. It thus lacks integration across functional areas.

 To take a simple example:

• Management information merely provides an HR profile.

• Business intelligence is structured to analyse and explain the changing gap between the current and historical HR profile and targets with a view to reaching the targets.

IM vs MI• Information management refers to the process of

organising, preserving, ensuring integrity and disseminating information

• It involves defining and applying meta-data elements, in particular business rules which are consistent with operational processes (e.g. personnel categories, definition of part-time contracts), and ensuring that systems are structured accordingly and aligned to business needs

• Responsibility for this lies with the owner – functional areas

Key Features of BI• Uses sophisticated web-based IT to

automatically collect, integrate, analyse and present up to date, reliable, relevant institution-wide information from multiple sources

• Action oriented• Cross functional, integrated strategic

perspective• Analytically and contextually structured

(according to the information hierarchy)

Oganisational Performance

Management (OPM)• Aims the narrowing gap between strategy

and execution• An integrated, evidence-based

management practice• Involves planning, forecasting, scenario-

building and budgeting• Utilises BI systematically to monitor,

analyse and measure strategic and operational activities against targets in performance indicators

OPM

• OPM ensures that operational objectives are systematically integrated across functional areas and aligned to organisational strategic objectives. To achieve this, performance indicators and exception thresholds or triggers are derived from detailed process maps within and across organisational units which form part of the business architecture.

Performance Indicators

Performance indicators are customised in relation to the processes, objectives and targets across organisational units. They are presented on dashboards and performance scorecards for organisational units and for the organisation as a whole.

Dashboards & Scorecards

A dashboard is a single-screen, summarised and highly graphical display that enables managers and knowledge-workers to monitor and analyse an organization’s activities and processes. It presents up-to-date actionable BI at a glance on the status of key operational activities, processes and forecasts. This is sometimes referred to as Business Activity Monitoring (BAM).

 

Dashboards & Scorecards

A scorecard is a performance-oriented type of dashboard. It presents up-to-date actionable BI at a glance on the status of organisational performance against strategic and operational objectives and targets, by means of relevant performance indicators. This is referred to as Organisational Performance Management (OPM).

OPM Dashboard

The aim of the OPM dashboard is to empower managers to make evidence-based decisions by presenting summarised overviews of performance metrics.

Sophisticated software applications allow managers to drill down into detailed operational information where required.

What does BI look like?

Current Institutional Performance against 2015 Strategic Plan: Scorecard of 17 PIs Performance

Trend Performance

Indicator Target Target Date

Current Performance

Current Performance Against Target

Prognosis of Meeting Target

PI 15: Personnel expenditure as a proportion of total expenditure, 2004-8 59% 2008 59,1 0,1 Above Target Reached

PI 2: Headcount Enrolments, 2006-9 235 000 250 000

2010 2015 261 927 +3 000 Above Target Reached

PI 14: Assets-to-liabilities ratio 2004-8 3,5 2008 3,9 0,4 Above Target Reached PI 16: Nett surplus as a proportion of annual

turnover, 2004-8 5% 2008 6,7% 1,7% Above Target Reached

PI 6: Increase in Accredited Research outputs per year 2006–10 70 2010 -31,9 101,9 Below Target Possible PI 9: Accumulated Total Thuthuka grant holders 2004-9 250 2015 177 73 Below Target Probable PI 13: Proportion (ETD) Expenditure of Payroll per annum 3% of Payroll 2015 1% 2% Below target Possible

PI 4: Unisa’s position among South African universities in terms of research outputs, 2007 5th Position 2015 6th Position 1 Above Target Unlikely PI 5: Unisa NRF Rated Researchers 2004-9 250

10 2015 122 128 Below target 6 Above target Possible

PI 7: Research outputs/academic against 2015 & DoE Targets, 2004-7

1,0 1,15 2015 0,42 0,48 below Target Unlikely

PI 10: Annual dropout Rates 2004-7 3% 2015 11% 14% Above target Unlikely PI 11: Aggregate Course Success Rate against 2010 Ministerial Target, 2004-7 3% 2015 1,1% 2,9% Above Target Possible PI 17: Academic & Academic Professional Staff-to-Admin Staff Ratio 2004-8 45:55 2015 68:32 Ratio too high Unlikely

PI 1: General Unisa Satisfaction Index (GUSI) 100% 2015 63,15% 36,85 below target Improbable PI 3: Academic Staff/Student Ratio, 2004-8 174 2015 140 34 Above Target Improbable PI 8:% Change in PG Headcounts and Graduations

25% 25% 2015 -3%

-30% 28% Below Target 33% Below Target Improbable

PI 12: Annual alumni contributions 2004-8 R3 M Annual R122 654 R2,878,000 below target Improbable

Strategic Objective 6.2 Position Unisa as a leading provider of quality distance education programmes through an academic product range that

expands on its comprehensive character

Target 1: General Unisa Satisfaction Index (GUSI) aspiration of 100% in 2015 with a minimum threshold of 90%

Performance Indicator 1: Unisa Student Satisfaction Indices, 2005-9

2009 Status: 36,85% below target

1. The 2008 USSI score was 63,15 2. This was substantially down from 70,18 in 2007 3. Since 2005, and overall downward trend of -10,09

is evident 4. Focused and sustained effort will be needed to

address the issues underlying the relatively poor USSI score and to reach the target

5. The OU UK is the top-rated HE institution, according to the National Student Survey. This can inspire our aspirations in this regard in the challenging DE context

Action/Responsibility 6. All portfolios involved in the total student

experience. Specific co-ordinated action plans needed.

Performance on 84 Targetsin Unisa 2015 Strategic Plan

Overall Performance Targets on Track - % Complete

HR 2009 Performance Scorecard

Performance Indicator Target Target

DateCurrent Performance

Against TargetPrognosis of

Meeting Target

SA 3.9: Integrate the DCLD into the Academic Portfolio ICLD integrated i.t.o. structure and line functions Feb On Target & Completed

ReachedSA 9.2: Develop and implement appropriate leadership and management education and training programmes

Implement HRD Strategy and Plan MaySA 1.3: Finalise and implement an ODL capacity development and training plan for all staff and an effective ODL Strategy

Satellite teaching Assist the IODL capacity & train plan Nov

%On Target & On TrackPossibleProbable

SA 2.2: Establish a culture and practice of service excellence Depart/Dir service charters developed and implemented Nov

SA 2.3: Advance Employment Equity Recruitment Processes comply EE DecSA 2.4: Empower and advance women within an equitable gender

mainstreaming framework Sexual Harassment Policy Gender mainstreaming Selection CC comply Jul

SA 2.5: Create an org culture and climate conducive to achieving our institutional vision, mission and identity

Develop an HR communication plan Preferred culture articulated by June Jun

SA 4.6: Improve postgraduate support and guidance Centre for Graduate studies workstudy-optimal structure&staffing Jun

SA 4.7: Redevelop the Library as an African research library with concomitant services Institution of Personal Librarian posts. Nov

SA 2.4: Empower and advance women within an equitable gender mainstreaming framework Gender mainstreaming Inst Training Jul

%On Target & Unchanged

Possible

SA 8.7: Establish a Centre for health and wellness Collective and individual labour rel processes 2009

SA 9.5: Establish a culture of performance, accountability and stewardship through the (IPMS) aligned with CPM

Configure the IPMS on ORACLEImplement QA system for qualityEnsure implementation 2009 IPMS cycle

2009

SA 2.5: Create an organisational culture and climate conducive to achieving our institutional vision, mission and identity

Enhance HR Website Org climate & staff satisfaction remedial interventions

Sep

SA 7.6. Improve effectiveness of Unisa Contact Centre (UCC) Appointment of Additional UCC agents JunSA 8.1 Finalise and align institutional BA & ODL business modelUse technology incrementally

Roll out Self Service Module and trainDevelop an HRIS Strategy and Plan Produce MI and support

2009

SA 9.2: Develop and implement appropriate leadership and management education and training programmes

Identify Senior Academics to Mentor YAExecutive Development ProgrammesSenior and Mid ManagementSupervisory Development Programmes

Nov

SA 9.3: Develop and implement training programmes to build staff capacity

Skills and Competency Audit.Comply Skills&Dev Act Workplace Skills & Annual Training Plan

Jun

SA 9.4: Develop and implement succession planning in line with EE policy and targets

Succession planning policy and plan & implement Exec Man Nov

Example HR Performance against IOP June 2009

7

Protection Services Mid-Year Progress Dashboard June 2009

Strategic Project MilestonesProject Mile stone Due Date CommentSP - Access Control PTA In Construction Phase Aug 09 Changed ContractorSP - Access Control Florida

Technical Design Approved Mar 09 Tender Completed

Actual vs Budget 2009

Budget & Strategic Projects Budget 2009 Actual 2009% Budget

Spent

Budget 2009 R 17,189,298

R5884,020 36

SP - Access Control PTAR 12,400,000

R 2,784,127 24

SP - Access Control Florida

R 10,800,000 R 0 0

2005 2006 2007 2008 20090

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Criminal Incidents 2005-9

2008 2009 2009 Target0%

20%

40%

60%

80%

100%

2009 Combined Gender & Race EE Targets per Postgrade

Progress Monitoring vs OPM

It is important to distinguish between: • Progress monitoring (monitoring of progress

in relation to planned actions, activities, outputs and milestones by means of project management software and methods) and

• Organisational/departmental performance management (analysis and explanation of performance and evaluation of impacts in relation to planned targets and outcomes by means of appropriate PIs)

Strategic:VC & Portfolios

Tactical: Department/Directorate

Operational: Division/Project

Volume/detail

Value/Aggregation/Integration

Analytic format

Data

Information

Intelligence Scorecards

Dashboards

Reports

Presentation format

The Information Hierarchy: The BI Pyramid

Historical reporting

Time/technology

Progress monitoring

Analysis/interpretation

Real-time reporting

Evaluation

Explanation

Prediction

Actionable intelligence

BI A

naly

tic M

atur

ityManagement information

What happened? What changed?

What is happening? What is changing?

What does the change signify? What trends are apparent?

Was the goal/target reached? Were any critical levels reached?

Why did it happen/not happen? What factors contribute to outcomes?

What was the impact of an initiative? Was the intended outcome achieved?

What will happen and why? What is the likely outcome and impact?

How can we make things happen/improve?

Business intelligence

The analytic maturity curve

Time/technology

Manual data digging &

dissemination

BI framework

Automated, web based information

portal

BI A

naly

tic M

atur

ity

BMI, Planning Office, DPA, early DISA

Future DISA

The Technology

Maturity Curve

Current DISA (still MI, not BI)

Manual data digging …

BI framework

Automated, web based information

portal

… And dissemination

BI Framewo

rk

BI Strategy• Rationale• Elements &

Definitions• Roadmap

Management• Management &

Operational Structures, including the BICC

• Roles & Responsibilities

Operational Standards

• Quality assurance• Business rules• Metadata• Data models• Data integrity• Security & access

control

Infrastructure• Technology- Data storage, Server &

PC architecture, software• HR resources &

capacity

BI Architecture• Why? • For whom?• What?• When?• Where? • How?• By whom?

Implementation• Advocacy• Change

management strategy

• Workplan

BA/ Process

maps

Different views: Institution, Portfolios/ Colleges/

Business Units

Student Intelligence

Operational Intelligence

Financial Intelligence

External Strategic

Intelligence

HR Intelligence

Programmeand Course Intelligence

Domains of BI at Unisa

Users

PortalExtraction

Data-warehouse

Students

Research

Extraction

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Datamarts

Source databases

Data

Information

Intelligence

HR

FinanceEstate

s

ICT DISA/BICC

Datamarts

• Analyses/ Research Reports/ Briefings

• Statutory Reports• Ad Hoc Queries

Data warehousing Reporting & Analysis

DISA/BICC Outputs

DISA BI Engagement Process

• Engagement with functional areas to determine optimal BI requirements (truth test: why before what)

• Scrutiny of College/departmental strategic & operational plans to determine consistency between objectives, actions, performance measures/indicators and different kind of targets (output, quantitative, outcomes, planned) – strategy map, identifying main contributing actions to desired outcomes

• Determine appropriate/measurable PIs, information sources, formats and custodians

• Arrange gathering, processing, formatting and dissemination of dashboards and scorecards (incremental approach)

• Involve appropriate strategic and operational staff members, including identified ‘Super Users’

The BI Strategy Roadmap

Main phases Action Plan / objective Time FramePHASE 1: FINALISATION OF BI STRATEGY FRAMEWORK

Finalise documentSPCC Working Group feedbackMC approval

March 2009

PHASE 2: DETAILED ROADMAP FINALISED AND IMPLEMENTED

Structures and team operationalised Consultants appointed

April 2009May 2009

Project launchInstitution-wide Advocacy Campaign conducted with feedback

May 2009 - onwards

Develop Project Charter with consultants June 2009BI product procured through tender process June 2009

Initial set of PIs, dashboards and scorecards in place; feedback on usefulness

June 2009 onwards

BI product procured through tender process July 2009

Initial group of users identified and training commenced

October 2009 onwards

PHASE 3: FURTHER ROLLOUT

Revised project deliverables 2010-2011

What is Institutional Research?

Defining IR and its scope

• Numerous useful, if predictable, definitions• Some claim that an overarching grand narrative

definition is not possible (postmodern assumption?)• Key: Defining ‘research’ and ‘institutional’• IR defined in terms of its purpose, scope & activities• Narrow & broad definition and interpretation of IR in

relation to: MI, reporting, BI, planning, management• Key claim: if we accept a broad organisational

purpose for IR and a broad range of activities as constituting IR, then we are committed to a broad and integrated definition related to strategic management

Purpose• To provide intelligence- & evidence-based

support for management, decision making & planning in order to attain organisational strategic and operational goals

• Unisa VP: Strategy, Planning & Partnerships, Professor Narend Baijnath:– Institutional research renders the organisation

strategically intelligible to itself• Dressel

– To identify organisational weaknesses & obstacles to achieving objectives & efficiencies

Some well-known definitions

An attitude of critical appraisal of all aspects of higher education, which has as its primary purpose the assessment and evaluation of the expressed goals of the institution and the means to achieve these goals(Suslow, 1971)

Research conducted within an institution of higher education to provide information which supports institutional planning, policy formation and decision making(Saupe, 1990)

Watkins & MaddisonSelf-study is about collective reflective practice carried out by a university with the intention of understanding better and improving its own progress towards its objectives, enhancing its institutional effectiveness, and both responding to and influencing positively the context in which it is operating

• Intimately linked to strategy, culture & decision-making

• Conceptually distinct from the related field of HE research in that it is undertaken to directly influence action

Range of activities• Sourcing

– Internal – External (Environmental scanning, Comparative benchmarking)– Quantitative & qualitative

• Process– Extraction/gathering of data– Aggregated organisation into quantitative MI (data

warehousing)– Analytic formatting into Business Intelligence

• Analysis & reporting via various outputs to various audiences– Web/Portal– Narrative reports, briefings, presentations– Statutory reporting

Key elements• Understand internal & external context• Appraise current practices• Compare and benchmark against other practices• Draw conclusions and design and implement

initiatives to enhance practices• Constitutes intrinsic component of action

learning/SM cycle:– Learning– Planning– Implemention/action – Review/reflection

Varying location in organisation

• Academic affairs• Principal• IT• Strategy & Planning• Finance• Student affairs• Development

Towards a comprehensive broad

definition of IR• IR comprises:

– a range of activities & outputs– involving the systematic collection, organisation,

analysis & dissemination of – relevant, accurate & timely– internal and external, structured and unstructured

information and organisational/environmental intelligence

– for the purpose of supporting strategic & operational management, planning & decision-making

– in order to optimise performance and execute strategy and thereby attain institutional goals, outcomes & impacts

IR: ‘Vision gathered from the promise of actual

things’All we can do is search the world as we find it, extricate the forces that seem to move it, and surround them with criticism and suggestion. Such a vision will inevitably reveal the bias of its author; that is to say it will be a human hypothesis not an oracular revelation. But if the hypothesis is honest and alive it should cast a little light upon our chaos. It should help us to cease revolving in the mere routine of the present or floating in a private utopia. For the vision of latent hope would be woven of vigorous strands; it would be concentrated on crucial points of contemporary life, made in a living zone where the present is passing into the future. It is the region where thought and action count. Too far ahead there is nothing but your dream; just behind there is nothing but your memory. But in the unfolding present man [sic] can be creative if his vision is gathered from the promise of actual things.

(Lippmann, 1914)