Introduction to Strategic Planning and Institutional Research in Higher Education

Chris Cobb

Pro Vice-Chancellor University of London

May16th 2017

University StrategyWhy?

strategy

ˈstratɪdʒi/

noun

a plan of action designed to achieve a long-term or overall aim.

Output or Process?

Every University is Unique…

Or is it? …

The American University of Armenia aims to have an impact on students and the community as a center of academic excellence, innovation, inquiry, and diversity that contributes to the further development and advancement of Armenia, the region and the world through teaching and scholarship, fostering creativity, integrity and community service.

Mission

Vision

Through its world-class academic programs, research centers, student services, and community outreach, the American University of Armenia will have a transformative impact on people’s social, economic, political and intellectual capacities to meet the challenges of a globalized world. Our faculty and staff will inspire students to advance knowledge and become responsible citizens and leaders in innovation and entrepreneurship.

LSE was founded in 1895 to create and share knowledge addressing major social challenges and to shape a better world. The School works through research, education, creative intellectual debate and public engagement. Our mission is to advance knowledge in social science and a range of related fields so as to inform public policy, economic decision-making, and social welfare both nationally and globally. This means nurturing creative thought and intellectual exploration and educating students from all backgrounds and around the world to be critical thinkers and skilled professionals who work for the betterment of society.

Mission

What does success look like? It looks like the LSE – but with ever more dynamic educational programmes, an improved campus, and the funding to support pathbreaking research. Our base will still be in the centre of London, one of the world’s most global and exciting cities, but we will offer more and better student housing; we will undertake more international collaboration, and we will have an even larger impact. LSE is ambitious, but not just for rankings. We are ambitious to advance social science and with our students and alumni to make this knowledge effective in the world.

Our strategic priorities are to:

1. We will lead in the provision of excellent disciplinary and

interdisciplinary education. See our Education Strategy for

details.

2. Strengthening and supporting faculty and staff

3. Equity, diversity and inclusion

4. Leading globally in social science

We will lead – and continue to be recognised as leaders –

in innovative, international, interdisciplinary and issue-

oriented social science.

5. Diversifying our revenue streams

We will enhance and diversify our revenue streams.

6. Developing our campus

Our strategic priorities are to:

1. We will enhance and diversify our programmes

2. Grow and Cultivate our Community of Scholars

3. Expand, Diversify our Student Body and Ensure Students’

Academic Success

4. Broaden and Balance our Financial Base

Measuring SuccessInternalExternal

"If you can't measure it, you can't improve it."

Peter Drucker

Internal Metrics• Mission – students & research

• Organisation Performance

• Balanced Score Cards

• Quarterly/Annual Reporting

Sub-Strategies e.g.• Recruitment

• Research

• Learning & Teaching

• Internationalisation

• Estates

• Human Resources

• Finance

Example: Learning & Teaching StrategyEmployability-focused curriculum

We will offer a distinctive, challenging and inspiring curriculum designed to develop the capabilities our graduates need to be highly employable, effective practitioners with a global perspective in a constantly evolving professional world.

Learning communities

We will foster learning communities in which students, staff and other stakeholders work collaboratively as partners in the construction of knowledge and understanding and in the development of the curriculum.

Research, inquiry and practice

We will maintain learning, teaching and assessment practices that enable students to experience learning through research and inquiry, and through engagement with disciplinary and professional practices.

Inclusivity and flexibility

We will promote an inclusive curriculum that caters for the requirements and expectations of our diverse learning communities.

Teaching and supporting learning

We will ensure that those involved in teaching and supporting learning are appropriately qualified, supported and rewarded and that our learning and teaching practices are informed by scholarship and reflection.

Technology and infrastructure

We will integrate technologies into our learning environment to enhance learning and teaching, and we will develop an infrastructure that supports active participation in learning opportunities.

Source: University of Westminster

Learning & Teaching: Example Metrics

• Marking and Feedback Turnaround

• On-line engagement• Virtual Learning Environment

• Library Use

• Social Media

• Class Attendance

• Learning Gain

• Student Satisfaction – in year

• Student Retention v Drop-Out

• Work Experience

Gartner https://adfs.london.ac.uk/adfs/ls/idpinitiatedsignon.aspx?logintorp=http%3A%2F%2Fwww.gartner.com

Jischttps://www.jisc.ac.uk/reports/learning-analytics-in-higher-education

Open Universityhttp://www.open.ac.uk/iet/main/research-innovation/learning-analytics

Solar Researchhttps://solaresearch.org/about/

External Metrics

• Regulatory reporting

• Surveys

• Quality Inspection

• League Tables

The teaching on my course

1. Staff are good at explaining things.

2. Staff have made the subject interesting.

3. The course is intellectually stimulating.

4. My course has challenged me to achieve my best work.

Learning opportunities

5. My course has provided me with opportunities to explore ideas or concepts in depth.

6. My course has provided me with opportunities to bring information and ideas together from different topics.

7. My course has provided me with opportunities to apply what I have learnt. Assessment and feedback

8. The criteria used in marking have been clear in advance.

9. Marking and assessment has been fair.

10. Feedback on my work has been timely.

11. I have received helpful comments on my work.

Academic support

12. I have been able to contact staff when I needed to.

13. I have received sufficient advice and guidance in relation to my course.

14. Good advice was available when I needed to make study choices on my course. Organisation and management

15. The course is well organised and running smoothly.

16. The timetable works efficiently for me.

17. Any changes in the course or teaching have been communicated effectively. Learning resources

REF TEF

ICR N/AImperial 37th

LSE 81st

Oxford 28th

Cambridge 12th

Cardiff 27th

Kings 83rd

UCL 65th

Warwick 52nd

LSHTM N/A

LEAG

UE T

ABLES

•International Rankings

• Academic Ranking of World Universities (ShanghaiRanking Consultancy)

• THE World University Rankings (Times Higher Education)

• QS World University Rankings (Quacquarelli Symonds)

• Performance Ranking of Scientific Papers for World Universities (Higher Education Evaluation and Accreditation Council of Taiwan)

• Ranking Web of World Universities (Cybermetrics Lab (CCHS), a unit of the Spanish National Research Council (CSIC))

• CHE-Excellence Ranking (Center for Higher Education)

• UTD Top 100 Business School Research Rankings (The UT Dallas' School of Management)

•National Rankings

•Argentina

• Consejo Nacional de Evaluation y Acreditation de las Universidades (Consejo Nacional de Evaluation y Acreditation de las Universidades)

•Australia

• Good Universities Guides (Hobsons Australia)

•Brazil

• Provao, annual standardized examination ranking university programmens on a five-grade scale from A to E (National Institute for Educational Studies and

Research)

•Canada

• Maclean's university ranking (Maclean's)

•Chile

• Consjo Nacional de Acreditation (National Accreditation Agency, grants accreditation for different lengths of time from three to seven years)

• Ranking de las mejores universidades del país/Ranking universidades El Mercurio (EI Mercurio)

• Ranking de universidades Qué Pasa (Que Pasa)

•China

• Academic Ranking of World Universities (ShanghaiRanking Consultancy)

• Academic Reputation Ranking in Taiwan (Education Evaluation Section, Center for Learning and Teaching, Tamkang University)

• China Academic Degrees and Graduate Education Development Center

• Performance Ranking of Scientific Papers for World Universities (Higher Education Evaluation and Accreditation Council of Taiwan)

• Rankings by the Research Centre for China Science Evaluation, Wuhan University

• Ranking of Universities in Hong Kong (Education 18.com)

• The Chinese Universities Alumni Association Ranking

• The Guangdong Institute of Management Science Ranking (Guangdong Institute of Management Science)

• The NETBIG Ranking (Netbig)

•Germany

• CHE University Ranking (Center for Higher Education Development, in partnership with Die Zeit)

• Ranking of Germany's National Innovative Capacity－The Innovative Indicator for Germany (German Institute for Economic Research, DIW Berlin)

• The best universities in Germany (Karriere)

•India

• India Today Ranking (India Today)

• JAM College Rankings

• National Assessment and Accreditation Council

•Kazakhstan

• Ranking of Higher Education Institutions in Kazakhstan

•Malaysia

• The Rating of Higher Education Institutions

•Netherlands

• The Leiden Ranking (Leiden University)

•New Zealand

• PBRF Rankings of New Zealand Tertiary Education Institutions (Tertiary Education Commission)

•Nigeria

• Ranking of Nigerian Universities

Criteria Indicator Code Weight

Quality of Education

Alumni of an institution winning Nobel Prizes and Fields Medals

Alumni 10%

Quality of Faculty

Staff of an institution winning Nobel Prizes and Fields Medals

Award 20%

Highly cited researchers in 21 broad subject categories

HiCi 20%

Research Output

Papers published in Nature and Science*

N&S 20%

Papers indexed in Science Citation Index-expanded and Social Science Citation Index

PUB 20%

Per Capita Performance

Per capita academic performance of an institution

PCP 10%

Total 100%

Alumni The total number of the alumni of an institution winning Nobel Prizes and Fields Medals. Alumni are defined as those who obtain bachelor, Master's or doctoral degrees from the institution. Different weights are set according to the periods of obtaining degrees. The weight is 100% for alumni obtaining degrees in 2001-2010, 90% for alumni obtaining degrees in 1991-2000, 80% for alumni obtaining degrees in 1981-1990, and so on, and finally 10% for alumni obtaining degrees in 1911-1920. If a person obtains more than one degrees from an institution, the institution is considered once only.Award The total number of the staff of an institution winning Nobel Prizes in Physics, Chemistry, Medicine and Economics and Fields Medal in Mathematics. Staff is defined as those who work at an institution at the time of winning the prize. Different weights are set according to the periods of winning the prizes. The weight is 100% for winners after 2011, 90% for winners in 2001-2010, 80% for winners in 1991-2000, 70% for winners in 1981-1990, and so on, and finally 10% for winners in 1921-1930. If a winner is affiliated with more than one institution, each institution is assigned the reciprocal of the number of institutions. For Nobel prizes, if a prize is shared by more than one person, weights are set for winners according to their proportion of the prize.HiCi The number of Highly Cited Researchers selected by Thomson Reuters. The Highly Cited Researchers list issued in December 2015 (2015 HCR List as of December 1 2015) was used for the calculation of HiCi indicator in ARWU 2016. Only the primary affiliations of Highly Cited Researchers are considered.N&S The number of papers published in Nature and Science between 2011 and 2015. To distinguish the order of author affiliation, a weight of 100% is assigned for corresponding author affiliation, 50% for first author affiliation (second author affiliation if the first author affiliation is the same as corresponding author affiliation), 25% for the next author affiliation, and 10% for other author affiliations. Only publications of 'Article' type is considered.PUB Total number of papers indexed in Science Citation Index-Expanded and Social Science Citation Index in 2015. Only publications of 'Article' type is considered. When calculating the total number of papers of an institution, a special weight of two was introduced for papers indexed in Social Science Citation Index.PCP The weighted scores of the above five indicators divided by the number of full-time equivalent academic staff. If the number of academic staff for institutions of a country cannot be obtained, the weighted scores of the above five indicators is used. For ARWU 2016, the numbers of full-time equivalent academic staff are obtained for institutions in USA, UK, France, Canada, Japan, Italy, China, Australia, Netherlands, Sweden, Switzerland, Belgium, South Korea, Czech, Slovenia, New Zealand etc.

Academic reputation (40%) measured using a global survey to 74,651 academics. Employer reputation (10%) responses from 37,781 graduate employers.Student-to-faculty ratio (20%)Citations per faculty (20%) based on Scopus database of 10.3 million research papers and 66.3 million citationsInternational faculty ratio (5%) & international student ratio (5%)

1) Quality of Education, measured by the number of a

university's alumni who have won major international awards,

prizes, and medals relative to the university's size [25%]

2) Alumni Employment, measured by the number of a

university's alumni who have held CEO positions at the

world's top companies relative to the university's size [25%]

3) Quality of Faculty, measured by the number of academics

who have won major international awards, prizes, and medals

[25%]

4) Publications, measured by the number of research papers

appearing in reputable journals [5%]

5) Influence, measured by the number of research papers

appearing in highly-influential journals [5%]

6) Citations, measured by the number of highly-cited

research papers [5%]

7) Broad Impact, measured by the university's h-index [5%]

8) Patents, measured by the number of international patent

filings [5%]

the number of alumni holding a post of chief executive officer or equivalent in one of the 500 leading international companies, at a particular time and with the data, (companies and company leaders) of the Fortune Global 500 classification established by Fortune magazine in 2008 on the basis of turnover published by international companies.

Perception v Reality

Part 2:

operational plans, business cases and institutional data > Use of Operational Plans, Business Cases and institutional data for

> support of University management and decision-making (international

> expert) This presentation will focus on operationalising strategic plans. Determining key performance indicators as well as collecting, understanding and analyzing institutional data for managerial purposes.

>

> This will be followed by group work to discuss key performance indicators at delegates’ own institutions. “What Does Success Look Like”

> Add Date using Insert | Header & Footer

Operating Plan2016-17

Balanced Score Card

Source: http://www.balancedscorecard.org/BSC-Basics/About-the-Balanced-Scorecard

The University Strategy

Our strategic vision for 2014–19:

To make a unique contribution to learning and research-led

Our Aims Supporting Strategies and Plans

• International Programmes Strategic Plan 2014-19

scholarship through our unrivalled network of member institutions, our global reach and reputation, and the breadth of our high-quality innovative academic services and infrastructure.

This vision for the central University will be

delivered through our inter-related

academic, services and property roles. Our

roles are underpinned by a sustainable high-

performing financial and organisational

base. The strategy is therefore captured in

four aims. These aims are underpinned by

seven supporting strategies – see the table

opposite.

This is a Strategy for growth capable of

fulfilling our future plans and ambitions, and

also evolutionary in that it builds upon our

heritage, public benefit mission and existing

strengths. These strengths are founded

on the distinctive and inter-related mix of

academic, service and property activities.

Aim 1: Deliver academic excellence

Invest in our academic excellence to widen student access through

flexible learning and fulfil an ambitious programme of research

promotion and facilitation in the humanities

Aim 2: Provide innovative high-quality academic support and

professional services

Develop, augment and commercialise our portfolio of services for the

University’s members and the education sector, with the aim to be the

“go to” provider of student and academic support services

Aim 3: Property that is valued and relevant

Create a vibrant academic hub, through a property portfolio which

balances the needs of the University’s members with maximising

income opportunities

Aim 4: Manage a high-performing organisation

Increase our investment in staff development, encourage a common

purpose across our diverse activities and enhance our capacity where

gaps exist, in order to deliver our plans

and Annual Operating Plan 2016

• School of Advanced Study Strategic Framework 2015-19, Institutes

Annual Operating Plans and Central Plan

• Senate House Library Plan 2016-17

• ULIP Business Plan 2016-21 and Operating Plan 2016-17

• CoSector Business Plan 2016-20 and Service Plans

• Careers Group Plan (in development)

• University of London Estate Strategy 2015-20

• University Capital Plan (in development)

• University Sustainability Report 2015

• People Strategy 2015-19 and annual HR Plan

• Financial Strategy (part of University Strategy)

• ICT Strategy 2016-19

• University Annual Financial Statements

• Communications Departmental Plan 2016-17

• Digital Strategy (under development)

Objective from

University Strategy Priority activities and projects for 2016-17

Lead owner(s) Main references

Objective 1 To be the world’s leading

provider of flexible modes of

education in collaboration

with our members

1.1 Progress the MSc in Professional Accountancy (MPAcc) in partnership with UCL and ACCA – target 2,200 registered students

by July 2017

1.2 Launch the new Global MBA , working with QMUL as the lead partner, ready to launch early in 2017 - target 300 students by

July 2017

1.3 Continue discussions with member institutions on other new course opportunities, further collaboration with SAS on flexible

learning courses including a new MA course focusing on Human Rights and expand the MOOCs programme

1.4 Tackle the slow decline (-4% pa) in student numbers through seeking new markets, improving student retention and

refreshing selected existing programmes (for example, the Laws and EMFSS Programmes) with an enhanced student offer

Pro-Vice Chancellor

(International)

International Programmes

- Operating Plan 2016

Objective 2 To provide world-class

support to individuals,

networks and organisations

conducting humanities

research, nationally and

internationally

2.1 Deliver the SAS national research promotion and facilitation mission, funded by HEFCE, through an increase in the quality,

range and impact of activities including networks, events, publications, fellowships, collaborations and new initiatives

2.2 Further develop the strategy on Digital Humanities and pursue initiatives through SAS and SHL. SAS will develop a digital

research programme, establish a practice and ideas exchange forum, provide an open access books platform and engage a cohort

of doctoral students. In addition, SHL will review the feasibility of a potential shared services centre on digital conservation.

2.3 Maintain the academic and operational sustainability of SHL, 4 SAS Libraries and 3 collections, whilst implementing measures

to enhance user satisfaction thereby increasing the number and range of researchers using the libraries, as a core part of the

University’s strategic academic mission (see 18.1 re SHL Finances)

2.4 Conclude the libraries e-resources review group and implement a way forward

Pro-Vice Chancellor

(Research)

Senate House Librarian

-2.3 and 2.4

SHL Operational Plan

SAS Plans - Central and 9

Institutes

SAS SAG

Objective 3 To produce and provide

exemplary internationally-

recognised research,

research training and taught

programmes within the

humanities, broadly defined

3.1 All SAS Institutes have ongoing and planned research grant projects with an emphasis on interdisciplinary, and strategically

important and vulnerable subjects. The value of these research projects is targeted at over £3m for 2016-17.

3.2 SAS will implement further plans for research training, including an increased focus on public engagement training and the

use of new digital tools and methods.

3.3 Deliver the ULIP Business Plan, in partnership with QMUL, with a specific focus for 2016-17 on developing new academic

programmes in International Relations and Business Analytics, and increasing their research capacity

Pro-Vice Chancellor

(Research) - 3.1 and 3.2

SAS Plans - Central and 9

Institutes SAS SAG

ULIP Chief Executive - 3.3

ULIP Business Plan 2016-21

Business Case for InvestmentQuestions to answer….

case study:

Investment Business CaseERP System

“The overall benefits anticipated from the programme directly support four of the six supporting strategies and plans of Aim 4 (Manage a high-performing organisation), within the overall University Strategy as outlined below:

People Strategy 2015-19 and annual HR planFinancial Strategy ICT Strategy 2016-19Digital Strategy

The programme also supports Aim 1 (Deliver academic excellence), specifically the School of Advanced Study Strategic Plan 2014-19, by further supporting and enhancing the capabilities of the Research Office. Business cases for the purchase, implementation and development of modules to meet requirements in the above areas are set out in this document. “

Business RationaleThe present core HR System from Northgate (NgA Resource link) has been in use by the University for circa 12 years. The system has some known limitations and is now considered to be in need of replacement based on a review carried out against new solutions used elsewhere in the wider Higher Education (HE) sector and beyond. Following an interim license renewal in 2015, a comprehensive review was undertaken to evaluate the Northgate solution against other solutions based on the current and future needs of the HR department and wider staff user base. This review concluded that Northgate was no longer fit for purpose as it currently exists and would require significant bespoke development and cost to address mid to longer term core requirements. Discussions had with NgA post the review further suggest their product would be unable to address longer term or more complex requirements. Areas of limitation include: Payroll The current ResourceLink payroll solution has known issues and limitations in a number of areas, resulting in the need for manual intervention in the monthly and year payroll cycles. These manual adjustments are considered onerous in terms of manual effort and add risk of human error into this critical function. A lack of systems integration between the payroll solution and finance and payments systems adds significant further manual processing effort and unnecessary risk, impacting on workloads across both areas. HR Case Management Employee case management is predominantly a series of paper / email processes at present, with only minimal aspects managed within ResourceLink. The existing system could be developed to provide greater support for these processes, however, following review this would still be limited versus functionality found in the Unit4 solution.Performance Review (Appraisal)Appraisals are presently managed in the University’s standalone appraisal solution. This solution is considered no longer fit for purpose, offering very limited functionality and no integration with employee records held with Resource Link or elsewhere. This lack of integration limits reporting capabilities and isolates the appraisal process from other HR management processes. The end user experience offered by the current system is also considered to be less than ideal and frustrating for appraisers and appraisees alike. Talent Management and Organisational Development Talent Management and Organisational Development is a key area of interest and a core initiative within the HR departmental People Strategy. However, presently a large number of processes in this area are either paper or spreadsheet based, with little reference made to employee records held within ResourceLink. A review of Northgate functionality in this area highlighted significant limitations when compared to alternative solutions. WorkflowWorkflow capability in ResourceLink is limited and primarily focused on task assignment for HR staff workload management. The system would be unable to support full employee lifecycle management with multiple approval workflows. End user self serviceThe user interface to ResourceLink is very outdated and considered unfriendly compared with alternative solutions, currently only providing users with access to payroll and absence functionality. Alternative solutions offering greater functionality and support for mobile applications would better meet the needs of the University Activity Based Working (ABW) strategy supporting staff working more remotely via the web. Reporting The lack of support for end-to-end process management and supporting data within the system, in parallel to limited support or interfaces with other subsidiary systems, seriously impacts the overall reporting capability to be derived from the solution. Whilst so many processes continue to be performed independently of the core solution, this constraint on reporting capability will remain. Audit Data and workflow auditing is directly affected by limitations elsewhere in the system as described above. The inability to effectively audit data has reciprocally negative effects on the quality of data used for reporting purposes. Organisational Change Analysis work carried out to support and prepare for organisational change initiatives is presently very manually intensive and draws on resource from across both HR and Finance departments. Recent organisation changes have revealed this as an area where efficiencies could be gained through suitable supporting systems to provide greateranalysis and modelling capability. Academic Contractors NGRL does not meet the current and future needs of the International Academy (UoLIA) and academic contractors in its current state.

case study:

Investment Business CaseProgramme Beveridge

Develop the lower ground floor of Senate House into a new activity-based working

environment for professional services teams. New purpose-built space will include team

villages, breakout spaces, and social space. The resulting facilities will be modern, while

respecting the heritage of the building and the University, and will be built not just for now, but

with the flexibility required for future growth and change across the organisation.

Develop new storage solutions within the estate to free-up space currently in the lower

ground floor of Senate House. This includes the storage of books which are currently located

in the lower ground floor. Where appropriate, current University archive material will be

digitised to reduce the physical footprint required.

Release space within Senate House to provide more space for academic and

commercial activity. Better utilisation of space in both Senate House and Stewart House will

release prime space in Senate House which can be used for academic events of national and

international importance, and developing Senate House into an academic hub. Furthermore,

additional space can be released for commercial activities including the creation of enhanced

teaching and learning space that can be used by colleges and other organisations, further

contributing to Senate House as an academic hub.

Monitoring Risk• Strategic Risks• Department Risks• Project Risks

Changing Perceptions:

What Does Success Look Like In Your University?

Describe 4 top priority objectives for your organisation and define corresponding key performance indicators to measure success.

Email to chris.cobb@london.ac.uk and I will respond with the University of London Operating Plan for 2016/17