planning institute step ii focused knowledge for integrated planning processes day 1 1 scccd-fresno

PLANNING INSTITUTE STEP II Focused Knowledge for Integrated Planning Processes

DAY 1 1

SCCCD-Fresno

Nick Eversole has returned!

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Susan Aloi is a tenured Associate Professor and the Director of the School of Business & MBA Program at West Virginia Wesleyan College. Dr. Aloi holds a doctorate in Higher Education Administration, an MBA, and a BS in Management and Economics. Her research interests include strategic planning, assessment, and the scholarship of teaching and learning. Dr. Aloi is a Teagle Assessment Scholar with the Center of Inquiry in the Liberal Arts. 3

Debra Smith is a Architect at ANOVA Nexus Architects focusing on Higher Education. She has over twenty-five years of experience including developing facilities Master Plans for several community colleges, institutions and corporations. Higher education has been her focus for the past fifteen years with her work through-out California.

Architect – ANOVA Nexus Architects 916.443.5911 (main office line) [email protected]

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Review: The Six Core Competencies for Integrated Planning

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Outcomes & Objectives

• Work in functional and cross-functional teams to identify significant planning priorities for LCC

• Collaborate on the strategies LCC should pursue

• Write a plan for LCC• Determine actions to incorporate

integrated planning practices on the LCC campus 6

Workshop Outline

• Day 1• Part 1: Completing the Strategic Planning

Processes for LCC• Day 2

• Part 2: Three Characteristics of Successful Planning: Integrated, Strategic and Aligned

• Part 3: Academics, Finances and Facilities: Integrated, Strategic and Aligned

• Part 4: Execution of the Strategy7

• Identify the PEOPLE who need to be in the room and work with them effectively

• Create and use a common planning LANGUAGE• Facilitate an integrated planning PROCESS and

manage change• Produce an integrated PLAN that can be

implemented and evaluated• Collect and filter relevant CONTEXTUAL

information• Identify alterative and realistic RESOURCE

strategies8

Continued – The Six Core Competencies for Integrated Planning

Agree on Terminology

• One person’s goal is another person’s objective

• Establish a planning glossary• Remind people about terms you use

& what they mean each time you begin a new planning cycle

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SCUP Berlitz

• Core beliefs• A desired future state • A working document (not an

action)• A signature purpose or raison d‘etre

• have no money• have a windfall• get a new leader• identify a threat or an opportunity• competition appears• get some bad news

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When Do Institutions Consider Strategic Planning?

When Do We Need to Plan Strategically? All The Time!

Successful Planning Is:

o Clearly Assigned – Who Does What? o Information Based o Scheduled o Well-learned and Well-taughto Supported by the Chief Executive Officer o Continuous/Persistent o Integrated/Strategic/Alignedo Focused o Adapted to its Context

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Day 1 of Step II

COMPLETING THE STRATEGICPLANNING PROCESSES FOR LOCAL COMMUNITY COLLEGE

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Strategic Planning Processes

1. Mission, Vision and Values2. Environmental Assessment3. Gap Analysis 4. Strategic Issues5. Reflection & Planning6. Strategic Decisions & Strategies7. Action, Measurement, Evaluation &

Refinement

Norris & Poulton 2008

MISSION VISION VALUES

• Mission: What’s your purpose?• Vision: What your organization will

become?• Values: What is the desired states of

affairs?• Core• Aspirational

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• Mission• Describes the purpose of

the institution• Mission should be one

that would remain constant for a long time

• Describes succinctly what the institution wants to accomplish and why, not how

• Should focus on specific desired outcomes

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“The most fundamental way in which leaders create commitment to a purpose is by defining what that purpose is.” (Lynch, 1993)

“Since nonprofits exist solely to fulfill a mission, and since success can be measured only by the extent to which they do so, a clear, functional mission statement is critical to success and to the demonstration of success.” (Powell, 1995)

Strategic Planning: The Mission

Local Community College’s Mission

“to help individuals achieve their dreams by providing quality learning experiences that prepare citizens to live and work in a democratic society and a global community.”

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Goal

• A desired result• A purpose or aim

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Local Community College’s Goals to Achieve its Mission:

1. Provide workforce training

2. Deliver diverse educational initiatives

3. Assist in regional transition to a more knowledge-based workforce

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VISION

desired future state; a collective view that lets go of preconceived notions about the organization and allows for creative and strategic thinking about what the future could be like for your institution; describes the successful accomplishment of the mission in a transcendent way that captures the imagination and inspires the commitment of all.

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Development of Vision

“…Stewardship of place, a distinguished faculty and staff, a commitment to academic quality, partnerships with our region, and a carefully planned approach to our physical campus—these are the historical trademark attributes that have brought us into the present...”“…What then of our future? What is the vision for California State University, Northridge? The vision, simply stated, is that California State University, Northridge, remain regionally focused but become nationally recognized as among the very best regional universities in the country…”

President’s Eighth Annual Convocation AddressJolene Koester, President

California State University, NorthridgeTuesday, August 21, 2007 • Oviatt Library Lawn

"California State University, NorthridgeRegionally Focused, Nationally Recognized"

EXERCISE – PRACTICAL VISION WORKSHOP

Consensus Workshop/Large Group Format

• Context- Set the stage• Brainstorm- Generate ideas• Cluster- Form relationships• Name- Discern consensus• Resolve- Confirm the resolve

ToP* Participatory Strategic PlanningInstitute of Cultural Affairs

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EXERCISE – PRACTICAL VISION WORKSHOP

Focus Question:

What do we want to see in place at LCC in 3 to 5 years because of our actions?

Time: 20 minutes at table10 minutes report out

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Core Values – What Are They?

• A set of beliefs that influence the way people and groups behave

• Deep rooted; the “soul” of the campus• Effective values are deep rooted• Principles that guide behavior through

time

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Why Core Values Are Important

• Influence behavior

• Communicate what the campus really believes

• Core values are sacred, they do not change very often

• Provide continuity through change

• Effective core values are integrated into all levels and functions of the organization

• Help people make tough decisions26

Core Values Example: UW-River Falls

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EXERCISE - VALUES

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1) Take 5 minutes to write down 3 core values demonstrated by LCC from your readings

2) Lightning round – share the most important value of the three

3) Values will be recorded for use later on

TIME: 15 minutes total

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1. Mission, Vision and Values

2. Environmental Assessment3. Gap Analysis 4. Strategic Issues5. Reflection & Planning6. Strategic Decisions & Strategies7. Action, Measurement, Evaluation &

Refinement


Review Step I SWOT notes

Environmental Assessment

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SWOT Interactions

InternalExternal

Strengths Weaknesses

Opportunities

A BThreats

C D31

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EXERCISE -TRENDS

Each table is assigned one of the trends. State how this trend could affect Local

Community College

Time 15 minutes to complete task 10 minutes to report and discuss

Break

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1. Mission, Vision and Values2. Environmental Assessment

3. Gap Analysis 4. Strategic Issues5. Reflection & Planning6. Strategic Decisions & Strategies7. Action, Measurement, Evaluation &

Refinement


GAP ANALYSIS

Technique for determining the steps to be taken in moving from a current state to a desired future-state.

36BusinessDirectory.com

GAP ANALYSIS

Defining needs of the institution:• Evident gaps between current state to

proposed vision• Analysis of what is needed when• Information analysis from environmental

scanning

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EXERCISE – GAP ANALYSIS

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List the gaps that exist among LCC’smission, values, and the environmental

assessments (SWOT).

Time

• 10 minutes to complete tasks

• 10 minutes to report and discuss

QUESTIONS?

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1. Mission, Vision, and Values2. Environmental Assessment3. Gap Analysis

4. Strategic Issues5. Reflection & Planning6. Strategic Decisions & Strategies7. Action, Measurement, Evaluation &

Refinement


What are Critical Strategic Issues?

• Issues that are critical to resolve if the vision of the organization is to be achieved

• The most critical choices that must be made if the institution is to survive and flourish

• The strategic goals must resolve those critical issues in order for the institution to succeed

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Identifying Strategic and Critical Issues

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• The purposes of narrowing …objectives are to create a manageable study focus and to communicate realistic expectations for the outcomes.

• Judgment, intuition, and political savvy are at least as important as facts or analyses un selecting among … alternatives

Policy Analysis: Scouting for the Academic Wagon TrainMarie E. Zeglen

“FUTURING” – THE VISION THING

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Hiemstra, Glen. “Turning the Future Into Revenue”. John Wiley & Sons, 2006. p. 93

Futuring - Backcasting

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Futuring Example

Future Possible Probable

More global X X

Ubiquitous technology X X

Less personal vehicle use X

Fewer, but higher quality programs

X X

Campus will close X

Greater diversity of students X X

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1. Mission and Values2. Environmental Assessment3. Gap Analysis 4. Vision/Strategic Issues

5. Reflection & Planning6. Strategic Decisions & Strategies7. Action, Measurement, Evaluation &

Refinement


Reflection and Planning

The strategic planning team reflects on the institution’s possibilities and postulatesstrategies that will enable their achievement.


“What we desperately need in business is reflection. Not more planning. Not more strategizing. More reflection.”

John Dalla Costa: Meditations of Business 48

What Limits Our Ability to Reflect?

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o Individually?o As a team?o As an

institution?

“We never have enough time. Every organization we visit always talks about time as if it’s the victorious enemy. We keep going and going and going, like the Eveready Energizer Bunny. We need to create the space to learn, examine our own assumptions, and to grow. Reflection does not have to be a huge time commitment, but it can have tremendous payback.”

Belden, Hyatt and Ackley: The Learning Organization

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LUNCH!

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1. Mission and Values2. Environmental Assessment3. Gap Analysis 4. Strategic Issues5. Reflection & Planning

6. Strategic Decisions & Strategies7. Action, Measurement, Evaluation &

Refinement


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Examples of Strategic Directions

1. Academic Excellence2. Student Engagement and Success3. Campus and Community Collaborations4. User-Friendly Business Processes5. Revenue Enhancement

CSU Northridge Planning Priorities 2007-2012

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CSU NORTHRIDGE STRATEGIC PLANNING

Where are we now?• Annual planning process (3 years)—directly linked to strategic

directions• Exceptional analytics and culture of evidence• WASC Reaccreditation—10 years--reaffirmation of successful

planning• Improved retention and graduation rates• Becoming a “destination” campus—one of 50 largest publics in

nation• Facilities—1994 earthquake to 2011 Valley Performing Arts

Center• New President started June 2012• State budget “challenges”

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Strategic Decisions & Strategies

“Strategies convert what you want to do intoaccomplishment. They convert intentions into action and busyness into work. They also tell you what you need to have by way of resources and people to get the results.” Peter Drucker, Management for the Non-Profit Organization, 1990

The TOWS Matrix: A Tool for Situational Analysis

“… matching the environmental threats and opportunities with the company's weaknesses and especially its strengths. …to systematically identify relationships between these factors and base strategies on them.”

Long Range Planning © Heinz Weihrichusf.usfca.edu/fac_staff/weihrichh/docs/tows.pd

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Threats, Opportunities, Weaknesses and Strengths (TOWS)

From SWOT (internal) to TOWS (external) • Enhance strengths• Remove/reduce/circumvent weaknesses• Capitalize on opportunities• Manage/avoid threats

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SWOT Interactions

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TOWS Matrix

http://www.mindtools.com

TOWS Strategic Alternatives Matrix

SO – Use strengths to take advantage of opportunities?

(Maxi-Maxi Strategy)

ST – Use strengths to avoid real and potential threats?

(Maxi-Mini Strategy)60

TOWS Strategic Alternatives Matrix (D

WO – Use opportunities to overcome weaknesses

(Mini-Maxi Strategy)

WT – Minimize weaknesses to avoid threats (defensive)

(Mini-Mini Strategy)61

Exercise: TOWS Worksheet

Find your SWOT worksheet from yesterday (the one you promised not to misplace)

Choose a header and complete the inner boxes of the matrix by determining the SO, ST, WO, and WT.

Time• 20 minutes to complete tasks• 15 minutes to report and discuss

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Tools, page 77

What are Critical Strategic Issues?

• Issues that are critical to resolve if the vision of the organization is to be achieved

• The most critical choices that must be made if the institution is to survive and flourish

• The strategic goals must resolve those critical issues in order for the institution to succeedExamples: • Institution has lost major source of revenue and

must find new resources• Admissions, the institution’s major source of funding,

has been declining for five years• Institution borrowed funds to build a new facility,

and now faces debt service without additional revenues to pay for it

• Institutional facilities no longer serve long term needs of the institution

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Examples of Strategic Directions

• Increase access and opportunity

• Promote and measure high-quality learning programs and services

• Provide programs and services that enhance the economic competitiveness of the state and its regions

• Innovate to meet current and future educational needs

MNSCU Strategic Plan 2008-2012

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Exercise - Strategic Decisions and Strategies

Identify four strategic directions you think Local Community College should pursue.

Timeo 15 minutes to complete taskso 10 minutes to report and discuss

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QUESTIONS?

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1. Mission, Vision and Values2. Environmental Assessment3. Gap Analysis 4. Strategic Issues5. Reflection & Planning6. Strategic Decisions & Strategies

7. Action, Measurement, Evaluation & Refinement

Norris & Poulton. 2008

Once you have completed this part of the strategic planning process, you have enough information to create a strategic planning document or working papers.

Communicate/Celebrate!!

The strategic PLAN for LCC has hit a major milestone!

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COMMUNICATION

oWhat information do you need to communicate?

oTo whom?

oHow? 69

EXERCISE: COMMUNICATIONS—EXTERNAL AND INTERNAL

External

• Who• What order• How much detail• How often• What format(s)

Internal

• Who• What order• How much detail• How often• What format(s)

Time10 minutes to complete tasks and 10 minutes to report and discuss

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Break

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Action, Measurement, Evaluation & RefinementThe strategies are explicitly linked to sets of keyperformance indicators (KPI’s), the measurement of which chronicles progress in achieving a particular strategy (e.g. a KPI to measure the freshman to sophomore retention rate).

Norris & Poulton, 2008

Measurement and Evaluation

Evaluate both process and document.This is both a formative (ongoing) and summative process (end)Measure progress toward KPI, ongoingEvaluate attainment of KPI as each activity concludes.

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Exercise: Measurement & EvaluationDiscuss and Document What measurements must be formally in place for

LCC? How often do the measurements need to be taken? Who will carry out each measurement?

Who is responsible for the task? For obtaining and reporting the information?

Time

15 minutes to complete tasks

10 minutes to report and discuss

Each table post benchmarks 76

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EvidenceBased

DecisionMaking

Assessment Cycle

AfterK.L.Pusecker, 2010

IdentifyWays toMeasure

KPI's

MakeNecessaryChangesBasedUpon

Findings

Identify KeyPerformanceIndicators

(KPI's)

http://www.assessment.udel.edu/reporting/reporting-template.html

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http://www.assessment.udel.edu/reporting/reporting-template.html

QUESTIONS?

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Wrapping Up Day 1

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PLANNING INSTITUTE STEP II Focused Knowledge for Integrated Planning Processes

WELCOME BACK!DAY 2

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• Identified 6 Core Competencies: People, Language, Planning Process, Plan, Context and Resources

• Discussed when institutions should consider using Strategic Planning

• Discussed Strategic Planning and the Strategic Planning Process

• Identified several critical strategic issues• Discussed the use of SWOT and TOWS

Review of Day 1 of Step II

QUESTIONS?

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Part 2Three Characteristics of Successful

Planning:Integrated, Strategic, Aligned

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Source: A Guide to Planning for Change. Norris & Poulton, 2008. Society for College and University Planning

Three Characteristics of Successful Planning:Integrated, Strategic, Aligned

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What is Integrated Planning?

Integrated planning (IP) is the process whereby all planning

and resource allocation activities throughout every level of

the organization are effectively linked and coordinated, and

driven by the institution’s vision, mission, and academic

priorities. 86

SCUP 2007

Strategic Planning

“Academic strategic decision making means that a college, school, or university and its leaders are active rather than passive about their position in history.”

George Keller (1983)Academic Strategy 88

Linking Strategic Planningwith

Organizational Planning

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Characteristics of Strategic Planning

• External focus• What to do• Macro issues• Boundary spanning, enterprise-wide• Continual scanning process to notice

changes occurring irregularly, dictated by environment

Source: D.M. Norris & N.L. Poulton. 2008. A Guide for Planning for Change. Society for College and University Planning.

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Strategic Characteristics Continued

• Deals with resources at strategic level

• Expert participation• Strategies


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Characteristics of Organizational Planning• Internal focus• How to do it• Impact of macro issues on micro issues• Tied to organizational unit• Linked to budget resource allocation

process


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Organizational

• Internal• How to do it• Micro issues• Organizational unit

Strategic vs OrganizationalPlanning Focus

Strategic

• External• What to do• Macro issues• Enterprise

1) A committee charged with determining whether or not to implement PeopleSoft

2) A committee charged with determining if any particular math courses are obligatory

3) A committee charged with deciding between the stadium and the auditorium for needed renovations in 2013

4) A committee charged with determining the criteria for a new alumni recognition award

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Strategic vs OrganizationalPlanning

Aligned Planning

The term “integrated” also implies alignment among planning activities the resulting strategies and decisions, and the resulting actions and outcomes.”

Norris and Poulton (2008)

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Exercise: Alignment

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1)Work in your table groups and choose a strategic direction developed yesterday and write it at the top of the template (See Tools, page?).

2)Provide an example of how your strategic direction informs each level of plan.

Time

15 minutes to complete tasks

Tools, page 68

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See page

QUESTIONS?

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Part 3Academics, Finances, Facilities:

Integrated, Strategic, Aligned

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Academics, Finances, and FacilitiesIntegrated, Strategic, Aligned

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Academic Plan

“The lack of a clear, well defined academic plan, however, inhibits the planning process, much like trying to start a car without an ignition key.”

Source: Doing Academic Planning – Integrating Academic and Facilities Planning. D. Anketell

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Academic Planning

“…needs to focus on two things: one, the need for, and shape of education in the college or university’s service area; and two, the ability of its current resource base to adequately provide for these needs.”

Source: D.J. Rowley & H. Sherman. 2004. Academic Planning: The Heart and Soul of the Academic Strategic Plan. University Press of America, Inc.

Academic Plan

“An institution’s academic plan, an identification of program strengths, areas of expertise, and selected priorities where the institution wants to focus its attention and resources, should serve as the foundation for an integrative planning process.”


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What is an Academic Plan?

Identification of:• Academic program strengths • Areas of expertise• Selected priorities


Academic Planning

Academic planning should answer the questions:• who are our students,• what should we teach, and• how should we teach it?

Source: D.J. Rowley & H. Sherman. 2004. Academic Planning: The Heart and Soul of the Academic Strategic Plan. University Press of America, Inc. 109

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Program Prioritization

• Focus: all programs• Goal: resource allocation

Program Review

• Focus: 1 program• Goal: program improvement

TOOLS FOR ACADEMIC PLANNING

Academic Program Review

“Program review is simply the evaluation of a program’s contributions to students, faculty, the institution, and the larger community.”

“The overarching goal of the review process is to demonstrate how the program fits with the mission and future plans of the institution.”

Source: Doing Academic Planning –Planning an Academic Program Review. G.M. Eaton & H.F. Giles-Gee

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Academic Planning and Program Reviews

Academic Planning

Program Review

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Academic Program Review Characteristics

• A departmental self-study seeks to address its own strengths and weaknesses (often an external peer review).

• Informed by data (e.g. cost/productivity indicators).

• Conducted once every 5 to 7 years.• Programs are not assessed simultaneously.• Used primarily for program improvement –

not usually tied to resource allocation.113

Some of Dickenson’s Postulates on Prioritization

• Most institutions are unrealistically striving to be all things to all people rather than focusing resources on the mission and programs that they can accomplish with distinction.

• Reallocation cannot be appropriately accomplished without rigorous, effective, and academically responsible prioritization. 114

Academic Program PrioritizationCharacteristics

• A program self-study, which is reviewed and ranked.

• Consists of measuring, analyzing, and prioritizing.

• All programs are assessed simultaneously.

• Used primarily for resource allocation to achieve strategic balance. 115

What Constitutes a Program?

“An operational definition of a program is any activity or collection of activities of the institution that consumes resources (dollars, people, space, equipment, time).”

Source: R.C. Dickeson. 1999. Prioritizing Academic Programs and Services. USA Group Foundation, Jossey-Bass, San Francisco, CA.

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Selecting Appropriate Criteria• History, expectations• External demand• Internal demand• Quality of program inputs• Quality of program outcomes• Size, scope, and productivity• Revenue/resources generated• Costs/expenses associated• Impact justification,• Opportunity analysis


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Measuring, Analyzing, Prioritizing

• Data Collection• Rating System• Judgment• Rankings by Categories• Decisions, Recommendations, Actions• Process Issues!!!


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What are the Choices?

• Enhance• Maintain• Maintain with review• Reduce• Suspend or close

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Exercise: Academic Plan

What should LCC teach and why?

Time: 15 min group work 15 min discussion

QUESTIONS?

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Break

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Three Characteristics of Successful Planning:Integrated, Strategic, Aligned

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Facilities Planning: Similar Planning Activities

Institutional Planning

Facilities Planning

Strategic Plan Master Plan

Academic Plan Facility Strategies

Financial Plan Development Plan

Operational Plan Capital Improvement Program

SWOT Analyses Building Condition and Utilization Reports 124

How Academic Plans Inform Facilities Planning

• Instructional Delivery: Number and Type of Classrooms and Laboratories

• Enrollment by Program: Space Demand in All Categories (but particularly in laboratories)

• Students to Faculty/Staff Ratio: Office Space Demand

• Program Array: Collections and Study Space in Libraries

• Program Array: Special Use Space (theaters, auditoriums, shops, etc.)

• Student Culture: Residence Halls, Food Service, and Co-Curricular Programming Space

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How Financial Plans Inform Facilities Planning

• Operating Budget: Maintenance Level of Buildings and Grounds (and how fast deferred maintenance grows)

• Capital Budget and Finance: Building Renovation and Replacement/Expansion Frequency

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How Facilities Plans Inform Academic and Financial Planning

• Building Condition Assessments: Facility Condition Index = Deferred Maintenance/Replacement Cost

• Facility Renewal Costs = Debt

• Buildings “Teach” Programs: Constrain program growth and innovation

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Basic Facilities Planning From Integrated Planning Context:

• Must Have a Strategic Plan• Must Have an Academic Plan• Prepare a Master Plan: Every Ten Years• Know Your Buildings: Monitor Condition and

Utilization• Manage Your Space: Use Policy to Enforce Proper

Use• Maintain Your Buildings: Keep Them Clean• Assess Space Needs: Coinciding With Academic

Plan Updates128

Local Community College

Building Resources, FY 2009

Gross Date of Code and Deferred

Building Sq. Ft. FCI Construction Building Type Maintenance

Lincoln Hall 41,310 30% 1939 Academic $3,108,800

Pierce Hall 110,130 17% 1964 Academic $4,722,000

Hart Hall 132,170 8.5% 1986 Academic $2,795,200 Washington Hall 109,670 16% 1968 Academic $4,480,900

Jefferson Hall 37,890 31% 1931 Administrative $2,978,200

Watson Hall 143,970 5% 1992 Academic $1,878,400

Student Center 109,900 15% 1969 Academic $4,263,500

Lindbergh Hall 138,350 5% 1993 Academic $1,758,000

Humphrey Hall 119,110 14% 1967 Academic $4,213,400

Williams Recreational Facility 156,980 2% 2009 Community/Recreational $856,100

TOTAL 1,099,480 $31,054,500

Total for campus at 14%

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Resource Planning

Define “Resources” Land (facilities) Labor (people)Capital ($$$)

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FINANCIAL PLANNING – DETERMINING NEED (NEW INITIATIVES)

For each proposed new program, develop a multi-year budget including personnel (salaries and benefits), operating costs (office expenses, travel and development), capital costs (furniture, technology, etc.).

For new capital projects, determine a total budget including design, engineering & architecture, construction, equipment & furnishing, funded depreciations and contingency.

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Sources of Funding Net Tuition State Appropriation Endowment Spending Annual Fund New Debt Auxiliaries Outsourcing of Non-Core Functions Grants and Cooperative Programs Fees and Assessments Program Discontinuation Payroll Adjustments/Freezes Sale of Assets Patents and Royalties Diverting Capital Expenditures to

Operations (short-term only)

Prioritization and Funding Allocation

With mission statement and defined goals as your guide, and experts around the table, prioritize new initiatives.

Do this first without regard to cost, then match top priorities to costs.

Interactively consider adapting programs (and costs) to allow funding of more initiatives.

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Prioritization and Funding Allocation

Operational and Structural Changes Affect Financial Planning

• Operational• Efficiency• Productivity

• Structural• Realignment of Priorities• Organizational Structure• Program and Service Types• Instructional and Service Delivery

Methods 139

Operational and Structural Changes Affect Financial Planning

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Tools and Techniques for Annual Financial Planning

“What if?” scenariosPercentage growth/declineProjecting, using sensitivity analysesBenchmarking

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Analyzing and Monitoring Financial Performance

Performance measures—inputs, outputs, outcomes

Not unlike what you have in other areas such as “applicants to admits” or “admits to enrollees”

Viability indicators, in the form of ratios—financial resources/FTE student; expendable financial resources to debt; expendable financial resources to operations

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Budget and Enrollment

• Full-time Equivalent Students (FTES) Target• Incremental

budgeting based on changes in enrollment

• Internal reallocation of resources based on achieved FTES and planned (future) FTES

• Faculty positions needed with growth and attrition

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Budget and Enrollment

• Determination of multi-year enrollment targets and budget• Aligned with values, vision, and

strategic initiatives• Capacity to meet needs of

students a determining factor• Resource implications

145

Budget Plans and Process

The only way to implement decisions, finally, is to allocate funds based on the planning priorities

Budgets should also be shared extensively with staff so that they understand the process and reasoning, and trust the institution

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Exercise: Budget Process

Create a budget process that will enable Local Community College to allocate funds based on the planning priorities.

Time15 minutes to complete tasks10 minutes to report and discuss

QUESTIONS?

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LUNCH!

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The Delaware Study - Uses

• Assess department productivity and costs.

• Compare institutional data to national benchmarks and/or self-selected peer groups.

• Provides current and longitudinal data for departmental planning and resource allocation.

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Using Delaware Study Data at the Institutional Level

• From its inception, the Delaware Study had as its primary function that of being a management tool for provosts, deans, and department chairs to assess the relative position of their academic departments and programs vis-à-vis those at appropriate comparator institutions.

• The Delaware Study is not intended to be used as a tool to reward or penalize programs, but rather to focus on strategies for program improvement.

Community College Benchmarking

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http://www.nccbp.org/

http://www.ccsse.org

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Sample Benchmarking

Category Subcategory 2008-09 2009-10Salaries and Benefits Dept Chairs 577,552$ 593,396$

Faculty 11,133,227$ 9,288,408$ Management and Supervisory 498,110$ 436,819$ Staff 2,929,799$ 2,487,931$ Student Assistants 241,327$ 311,098$ Benefits 5,167,562$ 4,736,172$

Salaries and Benefits Total 20,547,577$ 17,853,824$ Operating Expenses Capital Outlay, Equipment and Furniture 283,337$ 126,479$

Communications 22,562$ 19,910$ Contractual Services 138,796$ 192,561$ Printing 184,022$ 305,548$ Rentals and Leases 14,786$ 35,192$ Repairs and Maintenance 43,557$ 32,334$ Serv Frm Other Funds Agencies 176,569$ 70,855$ Subscriptions 11,492$ 3,748$ Technology 115,673$ 98,657$ Travel and Training 134,207$ 73,218$ Supplies and Services 261,872$ 184,904$ Other Operating Expenses 78,990$ 157,078$ Transfers In/Out -$ -$

Operating Expenses Total 1,465,863$ 1,300,484$

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Sample Benchmarking

Description College A College B College C ECS

2008/09 Total General Fund Expenses1 17,657,480$ 13,267,158$ 13,609,927$ 10,164,450$

2008/09 Actual Annualized FTES 3,831 3,178 2,223 1,379

2008/09 Fall FTEF 174 101 137 79

Cost per FTES 4,609$ 4,175$ 6,121$ 7,370$

Cost per FTEF 101,567$ 131,358$ 99,343$ 128,664$

2009/10 Total General Fund Expenses1,4 14,242,660$ 11,527,815$ 12,187,722$ 8,600,105$

2009/10 Actual Annualized FTES 3,374 2,995 2,193 1,334

2009/10 Fall FTEF 151 90 129 75

Cost per FTES 4,221$ 3,849$ 5,559$ 6,449$

Cost per FTEF 94,322$ 128,087$ 94,478$ 114,668$ 1 Excludes benefits2 General Fund amount excludes reimbursements from Developmental Writing3 FTES and FTEF from developmental courses are excluded4 Decreased salaries expenses due to the State Budget Furlough Program

154

Sample Benchmarking

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Sample Benchmarking

156

Planning and Resource Allocation• Fall

• Develop enrollment targets for following academic year in consultation with deans and enrollment management

• Colleges prepare planning templates for following academic year based on strategic direction and performance metrics

• Winter• Provost’s Council finalizes Academic Affairs planning document• Trustees (CSU system) present following year budget to Governor

• Spring• Budget working sessions with college management teams and larger

divisional audience• Divisional budget finalized

• Summer• State and system budgets approved

QUESTIONS?

157

158

PART 4

EXECUTION OF STRATEGY

159

Execution of Strategy Within the Institutional Context

• “Organizational plans and budgets are the primary mechanism through which strategies are translated into decisions and directions.” Norton & Poulton 2008

• Lead, support, navigate change• Assist stakeholders• Develop organizational capacity so as

to make repairs while drivingNorris and Poulton, 2008

160

Building Organizational CapacityCampus wide effort to build capacity in:

• Leadership• Technology & facility infrastructures• Structure & processes• People (values, skills, competencies)• Programs & offerings• Culture of transparency

161

Examples of Structural Changes

Creation of:• Strategic Planning Committee• Chancellor’s Advisory Council• Office of Budget, Planning & Analysis• Open, participatory budget process• Focus groups

Sorensen, Furst-Bowe, Moen. Quality and performance excellence in higher education, 2005.

Operational Plans

• Based on the Strategic Plan• Developed by each unit and incorporated

in one, unified, institutional operational plan

• Stipulates the plan for the year and answers the questions: What, who, how, when, and how do you

know?162

Execute the Strategy

• Communication of the Strategic Plan• Development of Operational Plans

based on the Strategic Plan• Development of Budgets based on

Operational Plans

163

TACTICAL PLANNING & EXECUTION BREAKING OUT THE COMPONENTS

Strategic Direction 1oGoal 1.1oList of Actions oMeasures (Responsible)

oGoal 1.2oList of Actions oMeasures (Responsible)

164

GOALS SHOULD…

o… support and /or clarify the missiono… be stated in measurable terms so as to ascertain achievement o… be aligned with operational/business planso… deal with pertinent critical issues raised in the planning processo… pave the way for advancement toward the institution’s vision 165

S.M.A.R.T. Goals

S = SpecificM = MeasurableA = AttainableR = RealisticT = Time-bound

166

See page

167

See page

EXERCISE: BREAKING OUT THE COMPONENTS

For one of your strategic directions, develop 2 goals using the S.M.A.R.T Goals format.

Strategic Direction 1Goal 1.1Goal 1.2

168

See page 69

Time: 10 minutes

EXERCISE: BREAKING OUT THE COMPONENTS

For one Goal list 3 Actions and a Measure for each Action. Start with a verb for action statements.

Goal 1.1 Actions

a. Measure:b. Measure:c. Measure:

169Time: 10 minutes for actions and measures;10 minutes report out

Discussion: Execution Quick CheckIdentify the most critical issue in developing an integrated plan and describe it in one sentence.

• Priorities• Timeframe• Responsible Parties• Resource Requirements• Anticipated Results• Evaluation Measure• Other?

Time: 10 minutes170

Break

171

FOCUSED IMPLEMENTATION

Agenda

• Context – Set the stage• First-year accomplishments• First-year timeline and assignments• Priorities – Confirm the resolve

ToP* Participatory Strategic PlanningInstitute of Cultural Affairs, 1991-

2005 172

EXERCISE – FOCUSED IMPLEMENTATION WORKSHOP

Focus Question:

What will be our specific, measurable accomplishments for

the first year?

ToP* Participatory Strategic Planning Institute of Cultural Affairs, 1991-2005 173


KEY ACTIONS:

Tables to identify seven action steps to get from Current Reality to Victory.

Prioritize these steps

174


CALENDAR:

• Identify what needs to happen when to get to VICTORY!

• How do different actions relate to other actions?

175

QUESTIONS?

176

Strategic Planning:The Annual Review Process

Review and Revise the Strategic Plan Annually

Review and Revise Annual Operational Plans

Develop Next Year’s Operational Plans

Develop Next Year’s Operating and Capital Budgets

177

The Ideal in Institutional Strategic Planning

The Institution Conducts Regular Strategic Planning Institutional strategic planning is shared and well

understood by entire communityEach Institutional Unit Conducts Regular Strategic

Planning Units plan within the context of the institutional plan

Groups of Units Conduct Regular Lateral Planning Lateral planning assures that units understand and

prepare for their impact on other units178

CHECKLIST FOR LCC’SINTEGRATED PLANNING EFFORT

Has LCC:

Conducted a strategic planning process?

Developed a mission statement?

Stated its core values?

Reviewed constituents?

179

Yes No Unsure

NEXT STEPS – SCUP PLANNING INSTITUTE

Step III -- Integrated Planning - Working with Relationship Realities

Established strategic directions & strategies?Developed an operational plan?Documented and evaluated the process, the outcomes and the strategic

plan?Continually monitored the implementation of the plan and ongoing

planning?

180

planning institute step ii focused knowledge for integrated planning processes day 1 1 scccd-fresno

Documents

integrated planning

strategic planning processes

planning glossary

reflection planning

integrated planning

planning institute step

new planning cycle

common planning language