Institutional Development Plan (IDP) at Federal Universities: an analysis across regions

Abstract

The article identified, from a descriptive research, of qualitative and quantitative nature, which are the forms of collective participation, administrative tools and issues prioritized and expressly revealed by federal universities in the Northeast and Southeast regions of Brazil in their institutional statements. Thirty-seven Institutional Development Plans (IDP) were analyzed from a checklist in order to identify pre-established criteria. The regional analysis indicated a relative similarity in the methodology of plan construction, specially regarding the participatory model and the monitoring mechanisms. Tools like strategic planning, Balanced ScoreCard, ForPDI, 5W2H and Project Management System were found. Regarding the forms of collective participation, among the most frequent are: public consultation and the institution of thematic commissions. Moreover, there is a need to observe and ensure the presence of other theoretical elements that contribute to the mobilization and execution of these strategic plans in future revisions of their institutional statements.

Keywords:
institutional development plans (IDP); strategic planning; institutional statements

Resumo

O artigo identificou, a partir de uma investigação descritiva, de natureza qualitativa e quantitativa, quais as formas de participação coletiva, ferramentas administrativas e questões priorizadas e reveladas expressamente pelas universidades federais das regiões Nordeste e Sudeste do Brasil nas suas declarações institucionais. Foram analisados 37 Planos de Desenvolvimento Institucional (PDI), a partir de lista de conferência a fim de identificar critérios pré-estabelecidos. A análise regional indicou relativa similaridade na metodologia de construção dos planos, sobremaneira quanto ao modelo participativo e aos mecanismos de monitoramento. Ferramentas como planejamento estratégico, Balanced ScoreCard, ForPDI, 5W2H e Sistema de Gestão de Projeto foram encontradas. Já em relação às formas de participação coletiva, dentre as mais frequentes estão: a consulta pública e instituição de comissões temáticas. Além disso, há necessidade de se observar e garantir a presença de outros elementos teóricos que contribuem para mobilização e execução desses planos estratégicos em futuras revisões das suas declarações institucionais.

Palavras-chave:
plano de desenvolvimento institucional (PDI); planejamento estratégico; declarações institucionais

Resumen

El artículo identificó, a partir de una investigación descriptiva, de naturaleza cualitativa y cuantitativa, qué formas de participación colectiva, herramientas administrativas y cuestiones fueron priorizadas y expresamente reveladas por las universidades federales de las regiones Nordeste y Sudeste de Brasil en sus declaraciones institucionales. Se analizaron 37 Planes de Desarrollo Institucional (PDI) a partir de una lista de cotejo para identificar criterios preestablecidos. El análisis regional indicó una relativa similitud en la metodología de construcción de los planes, particularmente en cuanto al modelo participativo y los mecanismos de seguimiento. Se encontraron herramientas como planificación estratégica, Balanced ScoreCard, ForPDI, 5W2H y Project Management System. En cuanto a las formas de participación colectiva, entre las más frecuentes se encuentran: la consulta pública y la creación de comisiones temáticas. Además, existe la necesidad de observar y asegurar la presencia de otros elementos teóricos que contribuyan a la movilización y ejecución de estos planes estratégicos en futuras revisiones de sus declaraciones institucionales.

Palavras clave:
plan de desarrollo institucional (PDI); planificación estratégica; declaraciones institucionales

1 Introduction

Social demands and control have increased the discussions about the need for strategic plans aimed at a public administration committed to the interests of the population (ULTRAMARI; REZENDE, 2008). Moreover, budget cuts have been directly affecting the production of knowledge, the training of professionals and researchers, as well as the necessary infrastructure for conducting research and the survival of research institutions (SERAFIM; DIAS; ETULAIN, 2021).

Some authors criticize strategic planning models and indicate that such tools cannot be treated as simple analysis of predetermined variables and need to adapt to new demands. For example, Souza (2011) questions whether the level of formalization of strategic planning practice in organizations cannot be defined by the structuring of the practice in its social dynamics.

For other researchers, organizations concentrate a lot of effort in the elaboration of the plan and end up failing in its implementation. The reasons that lead to these failures are: "lack of discipline, low motivation to perform the activities, the difficulties in bringing people together, holding meetings, and fulfilling the milestones, and mainly, the need to deliver results in the complex routine" (NEVES; GRAY, 2020). However, these remarks do not diminish the need for public organizations to anticipate scenarios and establish long term goals in a collective manner, ensuring the participation of the community. This applies to Public Universities - given the complexities that permeate these organizations (OLIVEIRA; PINTO; MENDONÇA, 2020).

Welsha et al. (2006 apud BARBOSA; LÖBLER, 2020), when contextualizing the university environment, reinforce the difficulty in ensuring the involvement of the academic community in the decision making processes. The authors indicate that the involvement at a reasonable level is one of the aspects that can influence the organizational support to the planning process. Meyer (2007) also points out the difficulty in finding consensus in universities. Staci et al. (2021) researched the link between strategies and budgetary issues in public universities.

Christopher, Morphew and Stensaker (2018), on the other hand, linked university performance and the strategic objectives of some North American and Northern European institutions. Furthermore, Clark (2004) argues that universities that pursue more market-oriented paths and entrepreneurial trajectories tend to distance themselves from the missions linked to their public functions.

The above arguments reinforce the idea that universities' strategic plans express how university leaders, students, academics, and administrative staff should aim for and fulfill their social roles – including considering the statement of their values and pedagogical means (MOLLY; TONE; CIARAN, 2019).

Considering the importance of the theme, some works have sought to understand how these institutions have formulated their institutional statements. For example, Reyder (2011) conducted an analysis on universities based only in the State of Santa Catarina, as well as Mizael et al., (2012) who studied the Institutional Development Plans (PDI) of four Federal Universities of Minas Gerais, and Silva et al., (2013a) who extended the analysis to eight universities. Freitas et al. (2019) used the elements proposed by Pearce and David (1987) and expanded the database, but omitted to discuss institutional visions and values. Griboski, Peixoto and Hora (2018) studied the importance of the IDP and the relationship with external evaluation and self-assessment.

Moreover, as Barbosa and Löbler (2020), address the participation and involvement of the academic community, one realizes the need to verify the methodologies and administrative tools used in the construction of IDPs. Thus, this article aims to identify, from the IDPs, what are the forms of collective participation, administrative tools and issues prioritized and expressly revealed by federal universities in the Northeast and Southeast regions of Brazil in their institutional statements.

2 Theoretical Framework

2.1 Strategic planning and institutional statements: mission, vision and values

Planning has become an essential tool to provide managers with a comprehensive vision, contributing to the achievement of organizational objectives. For Mintzberg (2004), Planning is a formal procedure to produce articulated results, in the form of an integrated system of decisions.

About strategic planning, a classic view on the subject that has great prominence is presented by Drucker (1998 apud SILVA et al. 2013b), who defines strategic planning as a continuous process of making current decisions involving risks, systematically organizing the activities necessary to execute these decisions, and measuring the results of these decisions with the desired expectations. In this sense, it would be a great challenge for the public administration to meet these steps in order to be able to use the appropriate performance indicators for its reality.

Facing a dynamic scenario, strategic planning becomes indispensable to the organization, including public universities, as it enables its self-knowledge, observes changes in its internal and external environment, and defines the direction to follow to achieve its goals (PINTO: NOGUEIRA; SILVA, 2019). From the authors' point of view, to implement strategic planning it is necessary to align the managers' actions, defining the objectives and goals, and providing the involvement of the entire academic community with the purpose of collaborating with decision making.

For Pascuci et al. (2016), the adoption of strategic planning in public management exalts an even greater complexity than in the private sector. The authors highlighted important limitations for the implementation of strategic planning in public universities, such as the absence of a culture of planning and evaluation, strong political bias, diversity of interests, lack of integration between administrative areas and academic units, professional autonomy, shared power, and resistance to change. On the other hand, it was also found that, in the managers' view, the academic contribution in relation to strategic planning encourages persistence in its adoption.

With a line of research aimed at education, Dias, P., Souza and Dias, J. (2018) indicate that the efficient implementation of strategic planning, in educational institutions, contributes to management effectiveness and, consequently, provides quality educational services, which the Brazilian educational system so desperately needs. Furthermore, the authors found that the IDP is the guiding instrument for strategic planning, and therefore needs to be better understood by the managers and employees who execute the organization's strategy in order to respond to the dynamics and institutional reality.

As for the statements, Freitas et al. (2019), when addressing the effectiveness of institutional mission statements of Federal Institutions of Higher Education (FIHE), shed light on the fact that mission statements evidence a set of objectives, interests, and culture of the organization, so that the strategic management of the organization may be guided to conduct actions and meet goals previously defined in the strategic planning. For the authors, the mission must have a realistic statement, in order to allow the definition of strategies and policies so that the organizational activities can be properly conducted. Also according to Freitas et al. (2019), the institutional mission of the organization reflects the organization's culture, expressing the values, beliefs, and goals that guide its way of positioning itself before society and other stakeholders.

In the same regard, the Escola Nacional de Administração Pública (ENAP, 2019) highlights the importance of the mission as a fundamental step within Strategic Planning, since it represents the foundation for the strategic construction of the future, present in the vision, as well as in the strategy composed of objectives, goals, indicators, and initiatives.

In summary, for ENAP (2019), the main components for structuring the organization's mission are: a) skills; b) values; c) stakeholders (or steering group) and; d) impact, which translates as the essential pillar and the starting point for all Strategic Planning. Also for ENAP (2019), the Vision aims to express the way the organization wants to be recognized, i.e., it presents the statement of future revealed by the organization in a time frame. ENAP (2019) also indicates the variables for the vision: a) ambitious goal, b) niche definition and the c) time frame.

In line with the first two institutional statements, according to Vergara (2004), Values are a set of feelings that structure, or intend to structure, the culture and practice of the organization. The values appear aggregated to the mission, as a simple relationship or in a more elaborate form, as beliefs or organizational policies. For the author, values represent a set of core beliefs or moral principles that inform people how they should govern their behaviors in the organization.

ENAP (2014) points out that values seek to convey shared meaning to all members in organizations, being fundamental to inspire the behavior of the people who work in it.

2.2 IDP and strategic planning in Brazilian Federal Universities

Conceived to be the strategic planning model for federal public universities, the IDP has its origin linked to the very Law of Directives and Bases of Education - LDB (1996). However, it was only with the approval of the Federal Law 10.861/2004 (BRASIL, 2004) that higher education evaluation was regulated with the implementation of the National System for Higher Education Evaluation (NSHES). Among other points, the NSHES mandates the elaboration of the IDP as a strategic tool that allows for the evaluation of the management of federal universities (SILVA et al., 2013a).

The IDP became a structuring factor of strategic management, with the provision of explicit indicators for monitoring and the basis of a systematic institutional evaluation process (MONTICELLI et al., 2021). Foreseen to be a medium and long term planning, the IDP is legally defined as a document that identifies the university and presents to the internal and external community its choices and thoughts regarding the way of working, the mission it proposes, the pedagogical guidelines that direct its actions, its organizational structure and the academic activities it develops or intends to develop within the scope of teaching, research, extension and innovation (BRASIL, 2004).

Being part of the federal public administration, universities must also be governed by the legal principles of public administration, such as: legality, impersonality, morality, efficiency and publicity. In addition, they are also affected by the current public administration model. In Brazil's case, in the 1990s, federal universities were delegated the role of non-exclusive public service, competing with private organizations (MIZAEL et al., 2013).

In an analysis of the legal norms, together with the managerial prerogative of public administration, it can be inferred that the strategic planning process materialized in the form of the IDP in federal universities assumes a fundamental role in the management of a public organization. The IDP is a key tool for participatory management and it enables the evaluation of the results achieved from the planned objectives, in addition to contributing to the identification of strengths and challenges in the internal and external organizational environment and the ways to overcome them or take advantage of them to meet the increasing demands of citizens and various social actors that are among the stakeholders (MIZAEL et al., 2013; SILVA, 2013).

The IDP still presents itself as a mechanism that allows an increase in the participation of the external public in the institutional objectives, if its methodology provides this strategy. This is a criticism of Balbachevsky, Sampaio and Andrade (2019) when they state that public universities have a governance model designed to prioritize the demands and visions held by the internal public, who are responsible for electing the deans and members of their boards.

3 Methodology

This research is defined as quali-quantitative, descriptive in nature, through documentary research. The population of this study comprises the Federal Universities (FU) based in the Northeast and Southeast regions of Brazil.

The data collection procedures were carried out by searching the website of the Associação Nacional dos Dirigentes das Instituições Federais de Ensino Superior (Andifes), in order to identify the Federal Universities (FU) based in the states of the Northeast and Southeast regions of Brazil. Once the population to be studied was identified, we sought to locate the IDPs of these institutions on their websites.

After collecting the IDPs, a checklist was applied to identify the forms of collective participation, administrative tools, and issues prioritized and explicitly revealed in the institutional statements of the federal universities in the Northeast and Southeast regions of Brazil.

The data were tabulated and treated in Excel spreadsheet, following the previously established analysis criteria, according to Figure 1. It is noteworthy that the criteria used in the analysis of institutional missions are part of the theoretical model of the Escola Nacional de Administração Pública (2019): skills, values, stakeholders (or steering group), and impact. ENAP (2019) also indicates the variables for the vision: a) ambitious goal, b) niche definition, and the c) time frame. The Strategic Themes were analyzed in the research on the structure of the plans.

Figure 1
Analysis Criteria

As for the analysis of participation, the research went beyond the quantitative identification and sought to analyze the forms of internal mobilization. As for the tabulation of control mechanisms, it was limited to verifying the existence of tools. Regarding the tools that help the planning process, the data bring quantitative results and a description of the tools used. The data were also treated seeking to identify the structure of the target plans, observing their time frame.

When a situation was verified in which the IDP was not in effect, data were collected from the previous IDP. Furthermore, the Wordart was used to build the word clouds based on the institutional statements of the universities.

4 Discussion and Results

Eighteen federal universities based in the Northeast region were studied, 4 in the State of Bahia, 3 in Ceará, 2 in Pernambuco, 2 in Paraíba, 2 in Rio Grande do Norte, 1 in Piauí, 1 in Alagoas, 1 in Sergipe, 1 in Maranhão and 1 based in Pernambuco, but with campuses in Bahia and Piauí. In the Southeast region of Brazil, 19 Federal Universities were studied, 3 in the State of São Paulo, 1 in Espírito Santo, 4 in Rio de Janeiro and 11 in the State of Minas Gerais (Chart 1).

Chart 1
Federal Universities based in the Northeast and Southeast regions of Brazil, year 2021

Federal University – Southeast Region	Federal University – Northeast Region
Universidade Federal de São Paulo - UNIFESP	Universidade Federal do Vale do São Francisco – UNIVASF
Universidade Federal do ABC - UFABC	Universidade Federal do Ceará – UFC
Universidade Federal de São Carlos - UFSCAR	Universidade Federal do Cariri – UFCA
Universidade Federal do Espírito Santo - UFES	Universidade da Integração Internacional da Lusofonia Afro-Brasileira – UNILAB
Universidade Federal do Rio de Janeiro – UFRJ	Universidade Federal do Piauí – UFPI
Universidade Federal Fluminense – UFF	Universidade Federal de Pernambuco – UFPE
Universidade Federal Rural do Rio de Janeiro - UFRRJ	Universidade Federal Rural de Pernambuco – UFRPE
Universidade Federal do Estado do Rio de Janeiro - UNIRIO	Universidade Federal da Paraíba – UFPB
Universidade Federal de Minas Gerais - UFMG	Universidade Federal de Campina Grande – UFCG
Universidade Federal de Juiz de Fora - UFJF	Universidade Federal do Maranhão – UFMA
Universidade Federal de Lavras - UFLA	Universidade Federal do Rio Grande do Norte – UFRN
Universidade Federal de Viçosa - UFV	Universidade Federal Rural do Semiárido - UFERSA
Universidade Federal de São João Del-Rei - UFSJ	Universidade Federal de Alagoas – UFAL
Universidade Federal de Ouro Preto - UFOP	Universidade Federal de Sergipe – UFS
Universidade Federal de Uberlândia - UFU	Universidade Federal da Bahia – UFBA
Universidade Federal de Itajubá - UNIFEI	Universidade Federal do Oeste da Bahia – UFOB
Universidade Federal de Alfenas - UNIFAL	Universidade Federal do Recôncavo da Bahia – UFRB
Universidade Federal dos Vales do Jequitinhonha e Mucuri - UFVJM	Universidade Federal do Sul da Bahia – UFSB
Universidade Federal do Triângulo Mineiro - UFTM

• Source: Elaborated by the authors.

As for the mechanisms and possibilities of community participation in the construction of IDPs, it appears that of the eighteen federal universities in the Northeast, seventeen of them used collaborative mechanisms, as shown in Figure 2. The participatory model reached all universities in the Southeast, meeting what establishes the theoretical discussion: the long-term objectives should be developed in a collective way, ensuring community participation - which includes public universities, given the complexities that permeate these organizations (OLIVEIRA; PINTO; MENDONÇA, 2020).

Figure 2
Participation Mechanisms × Monitoring Prediction × Assistance Tools

The data indicate that the mechanisms used to enable the collective construction of the IDP are diverse. Most universities use more than one means to encourage collaboration. Among the most frequent means are: public consultation and the institution of thematic commissions. In the Southeast region, 10 universities used public consultation, while in the Northeast there were 7. As for the commissions, 8 and 7 were the universities that chose the mechanism in the Southeast and Northeast, respectively. Other ways of mobilizing the communities were: events for sharing experiences; work groups; mails and electronic sites; and appreciation and deliberation with the Higher Councils.

On the other hand, there is no record in the documents analyzed of deliberate efforts made in order to balance the participation of internal and external stakeholders in the universities studied, as suggested by Balbachevsky, Sampaio and Andrade (2019).

In the analysis on the mechanisms for monitoring the IDP, the data indicate that only two universities per region did not declare the formats or mechanisms for monitoring their plans (Figure 2). The results are consistent with the literature, since the construction of strategic objectives needs clearly specific goals, determining specific deadlines for each of them, while establishing those responsible for monitoring, in order to simplify and streamline the strategic monitoring (MACHADO; KALNIN; MORAES, 2020).

Figure 1 also summarizes the frequency of use of strategic planning tools in the analyzed IDPs. In this aspect, only half of the northeastern universities expressly declared in their IDPs that they use tools to assist Planning. Although still far from an expected result, around 70% of the federal universities in the Southeast region indicated the use of some tool, such as: Balanced ScoreCard, ForPDI, 5W2H, Project Management System, PMBOK.

Another analysis of this study concerns the time frame of the IDPs (Figure 3). The universities in these regions presented close averages, in years: 5.42 and 6.22 for the Southeastern and Northeastern FU, in that order. These are high averages, which may hinder flexibility and adjustments to constantly changing scenarios. McGrath (2013), for example, questions the timeframe for achieving sustainable competitive advantages. According to the author, organizations need a new roadmap, in which opportunities are taken advantage of quickly, exploiting them decisively and moving forward before they are exhausted. Thus, planning with long time frames may present itself as an obstacle to the use of transitory advantages, especially in such unstable environments.

Figure 3
IDP Time Frame

As for the organization of the target plans, one notices great similarity in the choices made by the analyzed universities, according to Figure 4. The manner of structuring the plans in the IDPs based on "thematic axes" was chosen by 12 of the 37 universities, 6 of which in the Southeast and 6 in the Northeast. The choice for the method of thematic axes by the universities studied is due to the fact that the normative instructions of the Ministério da Educação require universities to include the thematic axes in the assessment process (MIZAEL, 2013).

Figure 4
Structure (Organization) of the Target Plan

Other forms of structures found were strategic maps, strategic challenges, macro objectives, management plans, among others. However, data analysis did not allow the identification of how 6 universities organized their targe plans in their respective IDPs, as was the case of UFAL and UNILAB in the Northeast and UFMG, UFSJ and UFRRJ, in the Southeast.

Regarding the criteria used in the construction of the institutional mission of federal universities, as guided by ENAP (2019): a) skills; b) values; c) stakeholders (steering group) and; d) impact, about 70% of the universities in the Northeast reached the totality of the required aspects, except UFOB, UFCA, UFRN, UFPB, UFS and UFCG -which did not contemplate the steering group. UFS made no mention of the impact and UFCG disregarded its values, according to Chart 2.

Chart 2
Criteria in the construction of the Mission and Vision of Universities: Northeast vs. Southeast

Mission					Vision
Northeast	Skill	Values	Impact	Steering Group	Ambitious Goal	Niche Definition	Time Frame
UNIVASF	X	X	X	X	X	X	-
UFBA	X	X	X	X	X	X	X
UFOB	X	X	X	-	-	X	-
UFRB	X	X	X	X	X	X	-
UFSB	X	X	X	X	-	X	-
UFPE	X	X	X	X	X	X	-
UFRPE	X	X	X	X	X	X	-
UFC	X	X	X	X	X	X	-
UFCA	X	X	X	-	X	X	-
UNILAB	X	X	X	X	-	-	-
UFERSA	X	X	X	X	-	-	-
UFRN	X	X	X	-	X	X	-
UFAL	X	X	X	X	X	X	-
UFS	X	X	-	-	X	-	-
UFPB	X	X	X	-	X	X	-
UFPI	X	X	X	X	X	X	-
UFMA	X	X	X	X	-	-	-
UFCG	X	-	X	-	X	X	-
Southeast	Skill	Values	Impacto	Steering Group	Ambitious Goal	Niche Definition	Time Frame
UFSCAR	X	X	X	X	X	X	-
UNIFESP	X	X	X	X	X	X	-
UFABC	X	X	-	-	-	-	-
UFJF	X	X	X	X	-	-	-
UFLA	X	X	X	X	X	X	-
UFVJM	X	X	X	X	X	X	-
UFMG	X	X	X	-	-	-	-
UFOP	X	X	X	X	X	X	-
UFSJ	X	X	X	X	-	-	-
UFU	X	X	X	-	X	X	-
UFV	X	X	X	X	X	X	-
UFTM	X	X	X	X	X	X	-
UNIFAL	X	X	X	X	X	X	-
UNIFEI	X	X	X	X	X	X	-
UNIRIO	X	X	X	-	X	X	-
UFF	X	X	X	-	X	X	-
UFRRJ	X	X	X	-	X	X	-
UFRJ	X	X	X	-	X	X	-
UFES	X	X	X	-	X	X	-

• Source: Elaborated by the authors.

As for the Universities of the Southeast, approximately 56% of them reached the totality of the variables suggested by ENAP and only UFABC did not declare, in its mission, "the purpose of the organization's action" (ENAP, 2019, p. 14). The data highlights the need, in case of revision of these statements, to seek to define all "those who affect, are affected by, or may be affected by the organization" (ENAP, 2019, p. 10). This includes external and internal stakeholders.

Cristopher et al., (2018), in their study of how Northern European and North American universities' strategic plans balance competitive identities, record that critics of governance reforms are not optimistic about the nature of public universities' ambitions. They argue that universities that are more market oriented and entrepreneurial are more likely to deviate from missions connected to their public functions. However, when analyzing the tabulated data regarding the missions of institutions in Northeastern and Southeastern Brazil, at least in this regard, it is possible to observe that all of them are more aligned with their essential functions.

Chart 02 also brings information about the Vision of the Federal Universities. Among the 18 federal universities in the Northeast, only UFBA applied the three criteria studied: a) ambitious goal; b) niche definition and; c) time frame - UNILAB, UFERSA and UFMA did not declare their vision in the IDP. No other university, besides UFBA, has established a time frame for its main long-term goal. 72% of them presented some definition of niche and its ambitious goal, with UFOB and UFSB not delimiting this goal and UFS and UFPB not explicitly defining their niche.

In the Southeast region, none of the universities made explicit their time frame for achieving what their vision establishes. UFABC, UFJF, UFMG and UFSI (25% of the universities) have not explicitly established the institutional vision statement in the IDP, as seen in Chart 2. It is recalled that the vision "illustrates what an organization wishes to be recognized for, or the transformation it intends to produce over a given period of time" (ENAP, 2019, p. 12). Thus, in future revisions of this statement, these UFs should observe the other criteria.

In a broad analysis regarding the mission, it is observed that the universities in the Northeast and Southeast of Brazil compose this statement with the presence of good elements, in opposition to the arguments raised by scholars of governance reforms. As for the vision, one perceives the same course as was pointed out with respect to Northern European universities, as mentioned by Christopher, Morphew and Stensaker (2018), when they showed that in contrast to Northern Universities in the

United States, many Northern European universities include generic institutional mission statements, accompanied by more abstract narratives elaborated with key ideas and visions that lack easily measurable outputs.

In order to complement the analysis, considering the dispositions, we sought to count the frequency of use of the concepts in the construction of the missions, visions, and values. The following data will be presented in the form of word clouds for better graphic visualization. In addition, the first 10 (ten) concepts used are listed. The following criteria were used to create the word clouds: words with the highest frequency and with a weight greater than 5 (five).

The survey data indicate that the three concepts most used by the researched HEIs to state their institutional mission are the concepts of Development (weight 15), Training (weight 15) and Knowledge (weight 14). The weight of the Development concept in the Northeastern region influenced the weight of the concept in the general analysis of the main concepts, as shown above.

When analyzed by region, the three main concepts that carry most weight in the institutional statements of the Northeastern HEIs were: Development (weight 12), Knowledge (weight 11), and Disseminate (weight 6). One notices that, due to regional insertion, the reason for being of the FU must be influenced by the search to help build and disseminate knowledge, giving strong importance to regional development.

On the other hand, in the Southeast, the main concepts were: Society (weight 11), Teaching (weight 8), Extension (weight 8), and Research (weight 8). It can be observed that the region's FUs give greater weight to the recognition and involvement of society in their raison d'être statements, in addition to reinforcing the academic tripod with equivalent weights: Teaching, Research and Extension.

Figure 5
Word cloud of the FU's Institutional Mission

Analyzing the institutional visions, it is noteworthy that the main concept used, both overall and by region, was the concept of Excellence (weight 17). This can be interpreted as the main ambitious goal defined by the studied universities.

The second most used concept was University (weight 12) and the next, Development (weight 10). Once again there is a concept focused on the future and the impact desired by the FU for the medium and long term. Regarding the regional analysis, no major differences were identified between the two regions analyzed. Excellence was the main objective to be reached by these universities, as shown in Figure 6.

Figure 6
Word Cloud of the FU's Institutional Vision

In the item Values, the institutional statements of the analyzed FUs present a diversity of concepts used to demonstrate the motivations and ways of managing the organizations. The concept of Social Responsibility (weight 21) stands out as one of the main values mentioned.

Figure 7
Word Cloud of the FU's Values

Other concepts that can be highlighted are Diversity, Sustainability, Accountability, Transparency, Innovation, and Democracy. These terms seem to be concepts dear to the FUs. As a result of the diversity of actors that make up the academic community, the highlighted values can and should be included to give more weight to them and to declare to society how the administrations are committed to the new social demands and to insert new themes in the public debate.

5 Closing Remarks

The article identified, based on the IDPs, what forms of collective participation, administrative tools and issues are prioritized and expressly revealed by the federal universities in the Northeast and Southeast regions of Brazil in their institutional statements.

By means of a descriptive investigation, of both qualitative and quantitative nature, and using documental research, the study covered the 37 FUs based in the Northeast and Southeast regions of Brazil, being 18 and 19 in the regional distribution, respectively. Prior to the comparison of the data present in the IDPs of these universities, it was necessary to search the electronic sites of the aforementioned document, as well as to draw up a checklist to identify the pre-established criteria.

The data point to the following results: a) the participatory model for building the IDP, using different means, reached almost all the universities - although there is no effort to balance the participation of internal and external actors; b) only two universities per region did not declare the formats or mechanisms for monitoring their plans; c) universities in the Southeast region, compared to those in the Northeast, more frequently recorded in their IDPs the use of strategic planning tools, such as: Balanced ScoreCard, ForPDI, 5W2H, Project Management System; d) the researched universities presented close averages for the time frame of their respective IDPs, in years: 5.42 and 6.22 for the universities in the Southeast and Northeast, in that order. This range - with high averages - can make it difficult to be flexible and adjust to constant scenario changes; e) a great similarity was identified in the choices made by the FUs as to how to structure the plans in the IDPs. The "thematic axes" were chosen by 32% of the universities, 6 in the Southeast and 6 in the Northeast; f) in future revisions of their institutional statements, the FUs need to observe and guarantee the presence of other elements that contribute to the mobilization and execution of their plans. In this study, only the Universidade Federal da Bahia met the elements studied.

Finally, word clouds were produced to bring out concepts dear to these universities. The results, in general, showed that the missions are focused on regional insertion and development. With a focus on society, the visions elected the concept "Excellence" as an ambitious goal, and the concept of "Social Responsibility" is the most frequent in the organizational values.

As a limitation of the research, it is registered the fact that some universities do not have their IDPs in effect, as well as the size of the population being limited to the Northeast and Southeast regions. This last limitation becomes an opportunity for future research, expanding the investigation and strengthening comparisons with universities in other regions. Moreover, the current survey may allow research to be developed with the aim of analyzing possible correlation between the process of building the IDP and its level of execution.

Referências

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Publication Dates

• Publication in this collection
  07 July 2023
• Date of issue
  2023

History

• Received
  22 Feb 2022
• Accepted
  13 June 2023
• Reviewed
  19 June 2023