Module 2
THE PLANNING PROCESS
PLAN PREPARATION
The formulation of a plan is not an easy task. It requires sterling leadership and
unwavering commitment on the part of the decision-makers and active participation of
middle-level managers and rank and file.
There are three dimensions in strategic planning. First is the conceptual or literal state
which means a knowledge of its meaning. The first step of two sub-steps in the Figure 9
falls under this dimension.
The second pertains to it as a process. Going through the motion of actually preparing a
plan is within this dimension. Steps two to seven of the model fall under this category.
The third and final dimension is the praxis stage. Praxis simply means the combination of
theory and practice. Under this stage, major actors and participants in the development
effort are required to synthesize and internalize conceptual and procedural dimensions of
strategic planning through the implementation of programs and projects as reflected in
the plan and their monitoring and evaluation in accordance with stipulated goals and
objectives. Steps eight and nine reflect this dimension.
There are several key questions posed whenever we are engage in planning. The most
basic ones are (NEDA, 1993):
1.a. What are the new developments in the educational milieu? Shall we come
together and plan these changes to happen?
b. Are we knowledgeable and competent to plan these changes to happen? Do we
possess the proper values and attributes to do planning?
2. Where are we now? What resources are available at our disposal
3. Where do we want to go from here? What do we want to be?
4. How do we get there? What values shall we pursue?
5. What activities do we have to do? Are these feasible and viable?
6. What activities need to be done first that yield the greatest results?
7. How much money or fund is available or allowable for each activity?
8. How do we execute the plan? Who is responsible with which activity?
How do we determine whether or not pans are implemented as planned?
9. How do we determine whether or not objectives and targets are achieved?
Are they measurable and attainable?
Each of these questions corresponds to the series of steps in the strategic planning process
model in Figure 7.
Preparation
Organizing and staffing is the first phase of the planning process. It seeks to answer the
following questions: “What are the new developments in the educational milieu?” “Shall
we just see them pass?” “Shall we organize and plan these changes?”
Organizing is the process by which the structure and allocation of jobs and functions are
determined (Koontz and O’Donnell, 1990). Staffing is the process by which managers
select, train, appoint, promote and retire individuals in the organization. It is worker-
oriented and in most cases, organizations have a department to deal with this work.
In the context of the planning process model, organizing pertains to the creation of
executive positions and the constitution of collegial groups, and eventually selecting and
staffing these positions and groups with individuals who possess the required educational
qualifications, training and experiences.
Training is the second sub-step under preparation is training. It looks for answers to the
queries: “Are we knowledgeable and competent to plan these changes to happen?” “Do
we possess the proper values and attributes to do planning?”
When the organization of planning groups, committees and assembly shall have been in
place particularly the president’s or chief executive officer’s core executive planning
committee, the next thing he does or gives order to his planning executive is the conduct
of a training program on strategic planning.
According to the Civil Service Commission, the major objectives of a training program
are:
1. Increases knowledge, abilities, skills and positive attitudes;
2. Develops and taps people’s potentials to achieve the ends of the organization;
3. Stimulates and nurtures self-actualization;
4. Invigorates the development of total personalities; and
5. Provides a basis for promotion and career development in the organization.
The training program would provide the avenue for the participants to do some exercises
in creating the vision of the organization. If participants are serious enough in the
visioning process activity, chances are high that the organizational vision can be initially
framed. Once this is done, the vision can be rephrased into a brief, concise but
substantially complete statement.
Environmental Scanning
Environmental scanning, the second phase of the planning process, looks for answers to
the basic questions: “Where are we now?” “What resources are available at our
disposal?”
Environmental scanning or situational analysis is the process of closely examining the
environment in terms of demographic, social, economic, political, physical, natural and
technological dimensions; the organization’s programs, services, resources and outputs; a
SWOT analysis of the internal and external factors that may affect the preferred future
vision; and developing a theoretical planning framework and the identification of
corresponding development issues and concerns.
1. The environment
A dynamic organization like a college or university has to respond to its environment to
justify the very purposes of its creation. The environment is so volatile and vacillating
that obtaining conditions dictate its toll on the organization. The conditions being referred
to are demographic, social, cultural, economic, political, natural, physical and
technological factors that generally describe the environment. Various dimensions and
indicators of the different factors that would impact on the preferred ideal vision of the
organization should be gathered, processed and summarized. Once the environment had
been precisely determined, setting of goals and objectives become realistic. Under
economic aspect, indicators like Gross Domestic Product (GDP), tax and revenue, per
capita income, employment and unemployment, poverty threshold, agricultural and
fishery production are needed. Indicators like the extent of people empowerment,
political stability, political will and leadership, peace and order situation, etc. are equally
important. Finally, natural, physical and technology indicators like tourist destinations,
lineal meters of roads and bridges, electronics and communication networks like cable,
mobile and stationary line phones, computers and peripherals, etc. dictate the area’s stage
of development.
The end result of this activity is the socioeconomic profile of the operational area of the
college or university. The ideal profile should include the nation, the region, and the
province where the organization is situated. But said profile of these areas should be short,
brief and focused only on selected applicable indicators.
2. Institutional profile
The profile of the institution requires a discussion of its inception, history, evolution,
programs, services and resources. Essentially, it focuses on academic programs, and
services; manpower, financial, and physical resources; and general administration.
Academic programs that should be looked into are enrolments and graduates, course
offerings and curriculum development, faculty development, program integration and
accreditation, and research and extension services. Support services that should be
examined are student services and income-generating projects. For better benchmarking,
data and statistics on the mentioned areas during the last five years are ideal. These would
adequately provide trends and directions for reliable and realistic projections. The
preparation of the institutional profile becomes doubly challenging and interesting if
previous development plans had earlier been formulated. This would afford the planner to
compare accomplishments with set targets and objectives and evaluate whether or not
stated goals, mission, and vision were attained.
2.1. Academic Programs and Services
2.1.1. Instruction. It is said that students are the university’s “raison d’ etre.” Data on
enrolments and graduates should be analyzed in terms of spurts and slacks as these are
affected by internal and external forces. Forces like popular and bankable programs, lack
of faculty and financial resources, for the former, and strong economy and review
assistance, for the latter, would certainly affect statistical trends. Performance in the
licensure board examinations and rate of employed graduates should also be made
available.
On program and curriculum development, the number of new degree programs proposed,
approved and offered as well as curriculum amended, enriched and sanitized should be
reported. The analysis should zero in on developments particularly advances made in
science and technology.
The data on faculty members by highest educational attainment, academic rank and those
on scholarship should be gathered. Issues on needs and problems in terms of areas of
specialization, educational level, rank, and opportunities for study grants should be
looked into. Short-term training programs, both in- and off-house attended by faculty
should also be collected.
On program integration and accreditation, efforts made on making uniform a course
offered in two or more colleges, syllabi preparation and accreditation of degree programs
should be gathered and analyzed. Program integration is making a course offered in more
than one college uniform in terms of course nomenclature as to number, unit credit, title,
and description. This avoids problem on course accreditation to students who like to
transfer to another college within the university. This applies to institutions with several
campuses and colleges especially those situated in different locations.
To foster quality education, degree programs should be voluntarily submitted for
accreditation by prestigious accrediting agencies. Rating in terms of level per degree
program should be collected. Continuing and ceaseless efforts on the accreditation until
Level III should also be reported.
2.1.2. Research services. Data on research services that should be gathered are on review
and planning and consultation conferences done; number of studies proposed, approved,
completed and on-going; number of mature technologies commercialized; number of in-
and off-house capability training for researchers; and linkages established.
2.1.3. Extension and continuing education. Statistics on extension services that should
be collected are the number of trainees served, classes organized, training modules and
materials developed, capability training for extensionists, linkages galvanized, and
trainees employed. Data analysis on research and extension services may focus on
comparison, contrast, and trend.
2.1.4. Student services. Services to students that complement and enhance formal
instruction are equally important and should be included in the profile. Data on the
following services should be gathered: library, guidance, medical and dental, dormitory
and housing, canteen and cafeteria, scholarship and financial assistance, student council
and interest clubs, student organ and publication, sports, physical fitness and recreation,
cultural and spiritual development, professional organizations, and honor societies.
2.1.5 Income generating projects. On income generating projects, data of interest are
monies raised from various types of projects; number of proposed, approved and funded
project; number of feasibility studies conducted; capital and seed money granted by
project type; and linkages organized with other agencies, public and private. Data should
be analyzed and discussed in terms of return on investment (ROI), profitability, and
income trend.
There are instances that some colleges and universities create subsidiary organizations to
solely pursue economic activities. Data on this should be reported particularly on their
initial capital investments and incomes if these were already operating and generating
some monies.
2.2. Physical Resources/Capital Outlay
The inventory of physical resources aims to examine the potentials of a program or
service which may contribute to the attainment of a target or objective. It also reveals
supportive forces which could be harnessed to ascertain the success of said program or
service. The inventory should include lands and land improvements, buildings and
structures, equipment, fixtures and accessories.
2.2.1. Lands and land improvement. On land sites, data like total land area, hectarage
used as institutional for buildings and playgrounds, and production for research and
income generating projects should be collected. Funds expended for land improvements,
like fence, road pavement and concreting, garden and lawn artworks, and drainage
system should also be included. Analysis should correlate land area used for both as
institutional and playgrounds with total number of students, faculty, and staff. This would
generate a ratio like square meter per person. If agricultural programs are offered, a
minimum standard hectarage for instruction, research and production is required. Is the
minimum standard area adequate, inadequate, or barely enough?
2.2.2. Buildings and structures. Data on buildings and structures that should be gathered
are their number, cost, area, type, and purpose. Type pertains to concrete, semi-concrete
or light, while purpose refers to academic, administrative and others. Classroom, library,
shop room, laboratory room, audio-visual and gymnasium are classified as academic.
Offices, conference and function room, convention center, training room, and canteen
and cafeteria fall under administrative. Building used for research, extension, garage,
greenhouse, warehouse, poultry, piggery, and other buildings of similar use are
categorized under others. Data analysis should correlate the area of academic buildings
with student enrolment to generate areal space per student. In like manner, the area of
administrative buildings correlated with the number of administrator, faculty and staff
yield areal space per person. Both have required mini-mum standard as these are used as
basis in decision-making during budget consultation.
2.2.3. Equipment, fixtures, and accessories. Equipment, fixtures, and accessories refer
to books, manuals, journals, serials, and other references, laboratory apparatuses, shop
tools and machineries, motor vehicles, motorcycles, boats, audio-visual and video
electronics, computer and communications equipment, office and conference chairs and
tables, and other appurtenances that are component parts of offices, function and
conference rooms. Their specific names, titles, specifications and cost should be gathered
and reported.
2.3. Financial Resources
Financial resource is one element of paramount importance in the institution for without
it the institution is rendered inutile. Data that should be gathered are the budgeting
allocations for the last five years and grants and donations both local and foreign. Issues
that are examined are annual allotments by expense class, budgetary object, function,
college, and programs. Expenditures by expense class have two categories, namely,
Current Operating Expenditures (COE) and Capital Outlay (CO). Items under COE are
Personal Services (PS), and Maintenance and Other Operating Expenses (MOOE). Under
CO, the items are Lands and Land Improvement, Buildings and Structures, and
Equipment, Fixtures and Accessories. Functions refer to operations like instruction,
research, and extension; support services like student services and income-generating
projects; and general administration. Allotments by college depend upon the number of
operating academic units, i.e., faculty, division and college. The same is true with
programs which also depend on the number of programs, degree and associate, offered in
college. These data can be summarized in tabular forms. But a graphical or pictorial
presentation of said data is preferred for easier understanding. The analysis becomes
more informative and meaningful if ratios computed annually can be extracted from these
data. The ratios referred to are cost per student, cost per research study, cost per trainee;
allotment by expense class, by budgetary object, by functions, by college, and by
programs. Ratios can be computed by fiscal year, by academic year, or by calendar year
depending on one's needs.
2.4. General Administration
Items under general administration that should be examined and analyzed are governance,
management, policies and program development, and linkages. Efforts made in putting in
place the administrative and operational governance of the college or university should be
looked into. This is exemplified by the existence of a structure or organizational chart as
to whether boxes of positions are in place and their functions, responsibilities and
relationships are categorically spelled out. The analysis should also include the kurtosis
of the organizational chart as this dictates the flow of communication and decision-
making. A flat structure hastens the flow while a steep one makes the flow circuitous.
Management refers to the day-to-day operation of the college or university. Issues that
should be examined are on personnel, finance, logistics and supplies, physical planning,
and general house keeping. Statuses of each as to whether it is functional, anomic or
status quo should be reported. Processes as to whether these are innovative that contribute
to the achievement of the institution's goals and objectives. Lastly, these policies should
be assessed whether these incubate change or hibernate status quo.
Linkage is the coordinative and cooperative effort made in building network of
relationships with other agencies to complement and maximize resources. These should
be looked into whether these are enabling, normative, functional or diffused. Linkages
that are explored, arranged and established as to multilateral, bilateral, and institutional
should also be examined.
3. SWOT Analysis
The strengths, weaknesses, opportunities, and threats (SWOT) analysis is a critical study
and evaluation of the internal and external factors or variables of both the environment
and the institution as they impact upon the institutional vision (Goodstein et al., 1993).
This calls for an analysis of each factor or variable whether it is categorized as a strength-
opportunity, strength-threat, weakness-opportunity or weakness-threat. This is done with
the use of a two-by-two SWOT matrix table. The variable and factors had been
summarized on Table 1.
Variables that are classified under strength-opportunity should be taken advantage of and
an opportunity to further build upon those identified strengths.
Variables that fall under the strength-threat cell are admittedly considered strengths but
nevertheless threaten the attainment of institutional goals and objectives. An example of
an internal environmental variable is the “high population growth rate,” while
ascertaining high student enrolment but exacts its toll on the institution’s resources.
Under the cell weakness-opportunity, the planner should create ways of overcoming the
identified weakness and at the same time turn this into an opportunity. An example of an
internal environmental variable is “declining quality of education.” “Lack of buildings
and instructional materials and equipment” is a good example of an internal institutional
variable. Admittedly, both variables are considered weaknesses but the planner can
capitalize on theses by making them opportunities to ask decision-makers for more
budgetary allocations.
Finally, on the cell which has the combination of weaknesses-threat variables, the planner
should devise strategies to lessen if not totally eliminate the effect of these variables on
the institution’s goals and objectives. An example of the external environmental variable
is the “stringent education policies.” Under the internal institutional variable, a good
example is “low morale of support personnel.”
Table 1
SWOT Matrix
Opportunity Threat
S Dynamic and committed national High population growth rate
T executive leadership Higher government plans and policies
R High enrolment and participation rate Increased enrolment and graduates
E High literacy rate Advances in science and technology
N Satisfactory health status
G Variety of new degree programs
T Competent and strong faculty
H Capable and productive research and
S extension services
Highly conducive learning atmosphere
Dynamic and aggressive university
management
High faculty morale
Innovative and re-engineered
management system and
technology
Strong institutional linkages
W Inadequate capital and savings Modestly low GNP and GDP
E Inadequate transportation and IMF-imposed economic policies
A communication systems High inflation rate
K Elitist congress High poverty incidence
N Prevalence of traditional politics Low functional literacy
E Precarious peace and order situation Prolonged power outages
S Excessive bureaucratic red tape Compartmentalized justice
S Low social values and moral fiber Corrupt police system
E Declining quality of education High crime rate
S Lack of buildings and instructional Systematic graft and corruption
materials and equipment Proclivity to “jueteng”
Inadequate university income Stringent DECS policies
Low support to research
Low morale of support personnel
Killer-quake and volcanic eruption
4. Theoretical planning paradigm, development issues and concerns
Paradigm is a framework that presents in visual and graphical illustration the theoretical
and conceptual systems model of an institution (Cali, 1993). The organizational
theoretical planning framework is presented in Figure 10. The framework depicts the
institution's programs and services in terms of inputs, conversion process, outputs and
outcomes as these are affected by its external environment. The aim is to concretize the
abstract nature of its activities as it attempts to maintain a dynamic state of equilibrium.
Developing a theoretical planning framework places the institution in the center stage of
the development effort. Thus the institution is depicted as a well-oiled machine which
churns in inputs, processes them, and yields the outputs and in the long-run, the outcomes.
Resources in terms of human, financial, equipment and facilities; public demand, and
mandate, are inputted into the institution. These inputs are processed by the system's
"black box" through formal and non-formal teaching-learning activities and other
transformation processes. During such period, the process is affected by the institution's
internal strengths and weaknesses as well as threats and opportunities from the external
environment. Eventually, the institution produces its outputs. These outputs are in the
form of graduates, research results, trained clientele, and generated production incomes.
Qualitative dimension of outputs are in terms of manifest competence of graduates and
trainees, functional research outputs, conducive learning atmosphere, higher income,
better facilities and equipment, and innovative management systems. Outcomes in terms
of effects and impact are also monitored and evaluated. Examples of effects are board
examination performance, employed graduates and trainees, commercialized mature
technologies, etc. Results of impact are self-reliance and self-sufficiency, dynamic
citizenship and better quality of life.
▪ Development of National, Regional and Local Economics
External
▪ Goal of total Human Development and World Competitiveness Environmental ▪ opportunities
▪ Growth Quadrangle Analysis ▪ Threats
▪ Luzon Long-Term Perspective Development Plan OUTCOMES
▪ Medium-Term Philippine Development Plan
Internal
Technical Human
Analysis
Information Resource
OUTPUTS
Development
▪ Strengths
Production Extension Research Instruction ▪ Weaknesses
PROCESSES
Urduja
State INPUTS
University
▪ Demand
▪ Mandate
▪ Resources
- human
- financial
- equipment
- facilities
Figure 10. Development Planning Framework of the People’s State Univerisity
Analyzing the variables and factors derived from the environmental and institutional
profiles using the SWOT analysis two-by-two table prepares the planner to frame the
development planning issues and concerns of the institution with the aid of the planning
framework presented in Figure 10. Said listing of issues and concerns is the verbalized and
synthesized version of the planning framework graphically illustrated in the figure.
The development issues and concerns of the institution is prepared using the variables
categorized in the SWOT matrix. It consists of three columns with table headings, name,
Issues and Concerns, Goals and Objectives, and Policies and Strategies as summarized in
Table 2.
Table 2
Development Issues and Concerns
Issues and Concerns Goals and Objectives Policies and Strategies
High population growth rate 1. Train the manpower require- Human resource development
High enrolment ments in education, agricul-
Trade liberalization and ture, fisheries, engineering
globalization and technology, and arts and
Advances in science and sciences.
technology 2. Develop curricular programs Curriculum development
Competent and strong faculty needed in the economy
Declining quality of education 3. Upgrading the skills and Faculty and staff development
Low support to research and abilities of faculty and staff
development 4. Generate new knowledge Research and development
Low GNP and GDP growth rates through research
High poverty incidence 5. Conduct feasibility studies to Project planning and management
Low functional literacy rate establish project viability
Highly conducive learning 6. Conduct community outreach Extension and continuing
environment of mature technologies education
Lack of buildings and 7. Provide conducive learning Student services
instructional equipment environment to learners
Inadequate university income 8. Operate income-generating Income-generating projects
Strong national political support projects
Strong university leadership and 9. Establish network of linkages Institutional linkages
linkages for resource maximization
Innovative and re-engineered and complementation
management systems and 10. Re-engineer the organization Development management
technologies and adopt state of the art
Province, Region, Luzon and information and
National Long-Term communications technology
Development Plans, 1996-2025 in management.