COLEGIO DE DAGUPAN

SCHOOL OF PROFESSIONAL STUDIES

DOCTOR OF PHILOSOPHY
Major in Educational Leadership and Management
Discussant: MS. EDITHA I. BALLESTEROS Course Code: DELM 116
Professor: DR. EUGENIA B. RAMOS Course Title: Strategic Planning and Management

D. EDUCATIONAL PLANNING MODELS

Bell’s Strategic Planning Model

There are strategic planning models that apply to education. One of these models is that one developed by the
Northwest Regional Education Laboratory in cooperation with the Oregon Education Coordinating Council. The
purpose of the model is to increase both intra-system and inter-system planning effectiveness. The circular model
(Figure 1) has eight major steps grouped into three phases and steps.

The model separates the three phases of management activity as strategic planning, tactical planning, and control.
The processes under strategic planning are identification of problems, definition of policy objectives, and
assignment of institutional roles and resources.

Tactical planning transforms policy objectives and general allocation of resources into selection of programs,
identification of alternative strategies, and developing specific program designs for action. Action ensures that
performance proceeds according to plans, as well as monitors and evaluates results. In the center of this circular
model is the information system that takes care of all data and information gathered and used as feedback in
decision-making and planning process (Bell et al., 1989)

INFORMATION
SYSTEM

Figure 1. Strategic Planning Model (Bell et al., 1989).

Herman’s Strategic Planning Model

Herman and Herman (1994) developed a model that focuses on a school as the frame of planning reference
(Figure 2). The steps are grouped into two major areas, namely, strategic planning and tactical planning. The
planning areas and steps are:

A. Strategic Planning
1. Vision # 1
2. a. Beliefs and values
b. Environmental scanning; Internal and External
c. Critical success factors
3. Vision # 2
4. Mission statement
5. Strategic goals
6. SWOT analysis

B. Tactical Planning
7. Strategic objectives
8. Decision rules and priority selection
9. Action plans
10. Allocate resources and operate plans
Vision # 1

Beliefs and Values External Scanning External Scanning Critical Success

Factors

M
Vision # 2 S
I Needs Assessment
S
W
S O
O
N
Strategic Goals T

Strategic Objectives
A
Decision Rules
Achievable Priority
Affordable Selection

Develop Action Plans

- Brainstorming
- Force Field Analysis

Allocate Resources

and

Figure 2. Strategic Planning Model (Herman and Herman, 1994)

Under this model, the first step under strategic planning is the creation and consensus of a vision by school
leaders and stakeholders of what should be for the school. The role of the school is considered in the mega, macro
and micro environments. With the information, the planners are able to situate where they are and core values and
beliefs of school leaders and stakeholders are identified for eventual incorporation into the vision. Scanning the
environment, internally and externally, is the next step. Generated data and information would provide the present
state of the school and obtaining conditions, the environment would dictate which are facilitative and
impediments in the attainment of the preferred ideal vision.

The next concern is the identification of critical success factors. These factors are jointly identified by the school
leaders and stakeholders and eventually retain only those that enhance the attainment of the desired future vision,
while those that hinder are eliminated. With so much data and information, vision number two is arrived at and
agreed upon finally by the planners. The final vision is then used as basis in the formulation of the mission
statement and the strategic goal. Formulated mission and goal consider the major role of the school in the mega,
macro, and micro environments.

The final step under this phase is the conduct of the SWOT analysis. Data gathered earlier are laid out in two-by-
two table to analytically determine which of these factors enhance or impede the attainment of the preferred ideal
vision. Strengths and opportunities are further built upon and capitalized on while weaknesses and threats and
remedied and eliminated. Once the strategic plan is completed, this is turned over to the tactical planners who will
devise and design the specific operational plans (Miclat, 2005).

In the tactical planning phase, the first step is the formulation of specific objectives for every goal that has-been
framed. Prioritization of these-objectives is undertaken with the use of a commonly-agreed upon set of decision
rules. Once the objectives are prioritized, the next step is the development of specific action plans. The plans are
then subjected to testing or analysis to determine the best alternative strategies. The testing involves the use of
brainstorming, force field analysis, cost-benefit, and cost-effectiveness analyses. The last step is the allocation of
resources to the best alternative plans and strategies, implementing and monitoring them, and finally evaluating
the results (Ibid).

Kaufman’s Strategic Planning Model

Another strategic planning model applicable to education is the systems framework model (Kaufman et al., 2002).
The model (Figure 5) has undergone extensive improvements during the last two decades. The strategic planning
processes were initially presented in a systems analysis of six steps (Kaufman, 1972); the Organization Elements
Model (OEM) (Kaufman, 1988); a systems framework of four major clusters of 13 steps (Kaufman and Herman,
1991); and finally an improved systems framework model consisting of three major clusters and 12 steps, as
follows:

A. Scoping

1. Ideal vision
2. Identify and select needs
3. Define current mission
4. Derive mission objective
 B. Planning
5. Identify SWOT
6. Derive long and short-term mission
7. Derive strategic plan

C. Implementation and Continuous Improvement

8. Derive tactical and operational plans
9. Make/buy/obtain resources
10. Implement
11. Continuous improvement/formative evaluation
12. Determine effectiveness and efficiency
Revise/improve as required

The model begins with the scoping phase. The first step under this phase is the identification of the preferred ideal
vision in the mega, macro, and micro perspectives. Parallel to this activity is the identification and selection of
needs. This step involves the identification of values and beliefs and data gathering on the internal organization
and external environment. These are inputted in the continuous improvement of formulating the ideal vision.
From the data, critical success factors are also determined to guide educational partners in the planning and
thinking processes of the strategic planning phase. The framed ideal vision dictates the elements of the mission of
the organization which commits to deliver and contribute to that vision. A mission is a broad description of
purpose. Once the mission is framed, the objectives are formulated. Objectives should be based on the mission
and the mission on the vision. The objectives state both where the organization is headed and the precise criteria
for determining accomplishments (Miclat, p. 48).

The conduct of SWOT analysis is the first step under the planning phase. On the bases of the ideal vision,
mission, objectives and needs assessment, the analysis of identified strengths, weaknesses, threats, and
opportunities becomes the organizational barometer indicating the organizational and environmental factors that
enhance or impede the attainment of specific objectives. Based on this information, long- and short-term missions
(targets) are derived and the strategic plan developed through the conduct of function and system analyses. The
results of these analyses are in the form of products designed to attain the objectives. Scoping and planning phases
fall under the domain of strategic planning. Once the strategic plans are completed, these are turned over to the
tactical planners (Ibid.).

The first step under tactical planning is the formulation of tactical and operational plans through the operation of a
method-means analysis. The analysis identifies the possible ways and means for doing and undertaking the
products, tasks or outputs. Once the products and the different means for doing them are completed, funds and
resources are allocated. Tasks and products are then implemented. The ascertainment of successful plan
implementation requires developing of structures within the organization, installing a management information
system (MIS), and a monitoring system. After a short period of time, formative evaluation is undertaken to
determine whether or not outputs approximated the stated objectives and mission. The conduct of summative
evaluation determines the levels of efficiency and effectiveness of the outputs maturing into outcomes. Outputs
and outcomes serve as inputs to revise if not improve the strategic and tactical planning process (Ibid., p.48).

The model as presented in Figure 4 consists of nine major steps:

1. Preparation
a. Organization and staffing
b. Training
 2. Environmental scanning
a. External environment
b. Internal organization
c. SWOT analysis
d. Strategic planning framework
3. Vision, mission, goal, objective and target setting
4. Policy/strategy formulation
5. Program/project identification
6. Investment programming
7. Budgeting MICRO
8. Implementation and monitoring
9. Evaluation and plan update MACRO
Ideal

Vision

Identify and Select Needs Define Current Mission

Derive Mission
Objective

Identify

Derive Long and

Short-Term Missions
SCOPING

Derive Strategic Plans

Derive Tactical and

Operational Plans

Make/But/Obtain Revise/Improve

PLANNINGIMPLEMENTATION As Required
AND CONTINUOUS
Continuous Improvement
IMPROVEMENT Implement
Formative Evaluation

Determine
Effectiveness/
Efficiency

Figure 3. Strategic Planning Model (Kaufman et al., 2002)

 OUTCOME

Effect

Impact
Evaluation
OUTPUT
Plan

Update

Organization
PROCESS
and Implementation

Staffing
Policy Program/
Project
Environment Vision Strategy Investment Budgeting
Identification
Scanning Formulation Programming

Training MISSION INPUT

Project
Preparation
INTERNAL
GOALS

EXTERNAL
OBJECTIVES

S.W.O.T.
TARGETS
Figure 4. Strategic Planning Process Model (Miclat, 2005).
FRAMEWORK
 PERSPECTIVES IN STRATEGIC PLANNING

If planners really aspire to formulate a realistic, achievable, responsive and effective strategic plan and to
implement the plan, they have to possess down-board thinking, paradigm shift, and holistic and global
orientation.

DOWN-BOARD THINKING

Down-board thinking is an important component of effective strategic planning. Like a chess

grandmaster, a planner should think and decide not only on immediate things but he must look “down-
board” and consider the future. Effective strategic planning creates scenarios and considers the
consequences of these scenarios in the light of competition and the response of the environmental factors
(Goodstein et al., 1993). This suits well Peter Drucker’s recommendation that if we cannot predict the
future, we might as well create it.

PARADIGM SHIFT

In order to be able to craft a realistic, responsive, effective and achievable strategic plan, planners need a
shift in paradigm. Paradigm is simply a set of ideas that are usually unwritten and that people have
learned and embraced through education and experiences that defines the conventional methods about the
rules of nature and life (Cali, 1993).

A paradigm acts as a mental filter or screen that delimits the way people think about things by setting up
boundary conditions that are often perceived rather than real. Paradigm shift requires disassemblying our
old and conventional ways of seeing, doing, thinking and assessing a thing because they no longer apply
with reality and the present. The new paradigm calls for a broad, flexible, eclectic, creative and futuristic
mental framework (Miclat, 2005).

We must now change and enlarge our educational paradigm from teaching to learning, from rote mastery
to process learning and dynamic citizenship, from input-oriented to output-oriented curriculum
development. We have to be radical, if needed, and future shock-free to ascertain the success of our
products and graduates both in school and in the real world of life.

PLANNING ORIENTATION

There are three types of orientation in strategic planning, namely: systems, mega-level, and outside-in.

Systems Approach

A system is an organized whole composed of two or more interdependent parts or subsystems and
delineated by identifiable boundaries from its environmental suprasystem (Kast and Rosenzweig, 1990).
The elements of a systems are inputs, conversion process, outputs, and outcomes. Miclat (1998) presents
a system framework and its major elements in the context of a university in Figure 5.

The inputs are demands, mandate, and resources in the form of manpower, funds, materials, equipment,
and facilities. The conversion processes consists of teaching-learning process both formal and informal,
co-curricular activities in and out of the institution, short-term training interventions, and implementation
of research and economic development projects.

The outputs in quantitative terms are number of graduates and trainees, number of researches completed,
number of mature technologies developed, and amount of funds generated and sourced. In qualitative

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terms, the outputs are manifest competence of graduates and trainees, number of researches published,
number of mature technologies commercialized and income generated.

Outcome is divided into effect and impact. Effect is the immediate consequences of program outputs
(Mathur and Inayatullah, 1998), like licensure board examination performance, number of employed
graduates and trainees, international and national research awards garnered, and mature technologies
adopted.

On the other hand, impact is change in the standard of living of the target/partner groups or within the
target area emanating from the program (Ibid.). A period of four years or more is necessary for the effect
to gestate into an impact. The impacts are self-reliance, self-sufficiency, social responsibility, economic
independence and political dynamism, and better quality of life.

The use of systems approach to strategic planning will provide the managers and planners a holistic and
integrated view which can expand into a global perspective should the university attain some degree of
regional and international recognition.
INPUTS CONVERSION PROCESS OUTPUTS OUTCOMES
Effects/Impact

Demands Quantitative
Teaching-learning number of Board exams
Mandate graduates,
Co-curri activities trainees and Employed graduates/
Resources research
Research execution trainees
Manpower Qualitative
Training programs manifest Research awards
Funds competence
researches
Materials published

Internal Organization Feedback

External Environment

Figure 5. A Systems Planning Framework of a University (Miclat, Jr., 1998)

Mega-Level Environment

There are three planning levels: mega-level, macro-level and micro-level. Kaufman, et al (2002) equated
mega-level to the society, macro-level to the educational system, and the micro-level to the individual
learner, teacher or group. They contend that mega-level planning views the society and the clients as the
basis for everything the education system uses, does, and delivers. In the macro-level, planning is
primarily concerned with the organization but without any substantial commitment to both client and
society. In micro-level, planning is concerned only with individual or group jobs and tasks.

Miclat (2005) adopted a different perspective in the use of mega, macro, and micro concepts. His
planning reference is the organization like a university and looks on its role in a different level of
planning environment. The levels of planning environment vary depending on the highest level of
planning environment one adopts. But all three are used in one planning activity. For example, if society
is the highest level of planning environment, then mega is used for society, macro for the region and
micro for the province, city or town. In a higher level of planning environment, say the world, the result
would be: mega-global, macro-Philippine society, and micro-region say the Central Luzon. Lowering
from the level of environment, the pairings will be: mega-region, macro-province, and micro-district or
town.

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If the society as a whole is chosen as the mega level of planning environment, the question is: “What is it
that society needs that the university will produce and deliver that gives the greatest payoffs to society?”
At the macro level, the question shall be: “What is it that the university produces or delivers that the
region needs?” For the micro level, the question is: “What does the university needs to produce or deliver
what the province needs?” In this context, a university is viewed as an organization that has a specific
environment. It has to respond to that environment to maintain a dynamic state. A university is an
instrument of the State and of society human resource development in terms of producing highly educated
professionals and skilled manpower. This manpower becomes a contributing citizen of society especially
in the place where he resides (Ibid.).

Outside-In Planning

If one plans for society as the mega-level of planning environment, then an alternative perspective – an
enlarged perspective – is gained. Kaufman and associates (2002) claim that planning in this way is as if
one were looking into the organization from the outside – from the vantage point of society back into the
organization and its results and efforts.

Outside-in planning is proactive. It is a frame of reference that continuously challenges the status quo
while identifying possible scenarios and new opportunities that bring about positive change and growth to
society.