administrative units - compact planning details

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Administrative Units -

Compact Planning Details

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Who: All academic departments and administrative units, schools and colleges, and vice presidential divisions

What: Create a series of compacts (memorandums of understanding) between subordinate and supervisory authorities that detail mission, perf ormance objectives, initiatives to be undertaken to realize objectives, perf ormance appraisal metrics, deliverables, and agreements on resource allocations

When: Sept 2005 through May 2006

Why: Establish priorities f or action by academic and administrative units, and other longer-term goals

How: An iterative series of meetings and eventual shared agreement on purpose

General Overview of Compact Planning

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Compact plans also used for:

1. Updating university-wide goals and priorities f rom the bottom-up, and aligning those with the budget process.

2. Updating long-range capital improvements plan and university master plan.

3. Creating comprehensive enrollment and marketing plans.

4. Budgeting f or 2006-07 and for 2007-08.

5. Establishing priorities f or a major capital campaign.

6. Soliciting advice and external validation f rom the university’s Board of Visitors.

7. Performance evaluations of vice presidents, deans, department chairs, and directors.

8. Annual meeting and reviews by the president and provost with the f aculties of each of the colleges.

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Administrative Unit Compacts:

1. Are developed by the department staff under the direction of the director

2. Require extensive staff participation to f ully align university and unit goals

3. Get refi ned through formal interactions (e.g., f ace-to-face meetings, written f eedback) with the vice president, which the staff then consider

4. Benefi t f rom consultation with university governance bodies

5. Unit compacts get bound together within the divisional compact

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Administrative Unit Compacts:

5. Divisional compacts also contain division-wide objectives and initiatives

6. Vice presidents prioritize initiatives

7. Divisional compacts get refi ned through formal interactions (e.g., f ace-to-face meetings, written feedback) with the president

8. Divisional compacts get bound together within the University-wide compact with the president

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UnitCompact

DivisionalCompact

1st Round - unit level

Focus on:

1. unit vision/mission,

2. unit goals, and

3. preliminary list of unit initiatives to achieve objectives

2nd Round – divisional level

Focus on:

1. unit compacts refined with VPs formal input, and

2. divisional-level prioritization

3. initiate governance consultation

3rd Round – university level

Focus on:

1. divisional compacts refined with president’s formal input,

2. VPs finalize divisional priorities

3. president prepares University compact, consults with faculty governance and the selective investment advisory committee

Compact Development and Negotiation Rounds

DivisionalCompact

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UnitCompact

Academic Affairs

CompactDivisionalCompacts

University Compact

DepartmentalCompacts

4th Round – president selects initiatives to fund

President creates a university compact from negotiations with provost and vice presidents -

1. based on discussions with vice presidents, provost, faculty governance, and selective investment advisory committee, president selects initiatives to fund

2. all compacts revised to reflect funding decisions, and

3. all compacts are then signed.

DivisionalCompacts

School/College Compact

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UnitCompact Unit Compact Instructions

See Handbook link at http://www.albany.edu/academic_affairs/cp/

All compacts will contain the following elements:

1. Introduction to the unit - mission, goals, core activities, national rankings or locally derived benchmarks

2. Initiatives clearly described – what they are, how they fit with unit and university goals, summaries of steps to be taken, schedule of activities and progress reports, resource needs, measures of outcomes and results. And specifically:

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UnitCompact

Unit Compact Instructions…continued

Each initiative should contain:

1. a short title,

2. a clear, brief , description and what you want to achieve,

3. strategies and a logistics schedule consistent with the financial reality of :

a. the unit’s existing budget,

b. f unds provided by a supervisory or collaborative authority,

c. non-recurring special initiative funds,

d. new faculty line resources requested f rom the campus fi nancial plan, and

4. how specifi c initiative outcomes will be evaluated and (quantitatively) measured for progress, and a schedule for progress reports.

Each initiative 3 pages or less !!!

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UnitCompact


Points worth emphasizing/re- emphasizing:

1. not all initiatives require f unding,

2. many will require funding f or more than one year, or multiple revenue sources f or f ull implementation, and

3. do consider initiatives that may take 2 or 3 years to implement:

a. identif y them as such,

b. develop a f easible implementation schedule, and

c. develop specifi c measures to gauge their success

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Six categories of initiatives:

I . those supporting university goals,

I I . those arising from unit issues and priorities,

I I I . those related to enrollment management,

IV. those arising from a review of past performance or related to performance aspirations,

V. those supporting interdisciplinary programs and activities, and

VI . those designed to enhance revenue.

While initiatives need not be developed for each category, some categories carry stipulations beyond specifying initiatives that need to be addressed (e.g., enrollment planning in #3, assessment plans in # 4, unit fiscal context in # 6).

UnitCompact


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I. Initiatives Supporting University Goals/Priorities

Nine DRAFT goals/priorities for enhancing the university on the whole through the compact planning process have been identified as:

UnitCompact


1. Transform the student educational experience by expanding the size of the tenure line f aculty by 100…

2. Strengthen the recruitment, retention, graduation, and placement of a diverse and appropriately prepared student population …

3. Enhance graduate programmatic excellence in disciplines which are already at the top tier, and further develop programs with the potential to join that tier...

4. I nternationalize the University by …

5. Develop successful athletic, recreational, alumni, and public relations programs to help build University identity and spirit.

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I. Initiatives Supporting University Goals/Priorites …continued

UnitCompact


6. Foster new partnerships that permit the University to be engaged with the City of Albany, with K-12 public education, with other institutions of higher education in the region, and with supporting f oundations.

7. Target private philanthropy, and a stronger fl ow of dollars f rom the f ederal government and f or-profi t corporations, as means to expand and diversif y revenues...

8. Launch and complete a comprehensive capital …

9. … each and every academic and administrative unit is responsible and accountable f or re-examining the centrality of its f unction and the quality of its deliverables.

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UnitCompact


I I . I nitiatives Arising from Unit I ssues and Priorities

Develop initiatives based on your review of :

a. your unit's aspirations and recent progress toward its goals,

b. results of recent evaluations such as accreditation reviews, assessments, survey results, or

c. national or internally derived performance benchmarks

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UnitCompact


I I . I nitiatives Arising from Unit I ssues and Priorities - Unit I ssues and Priorities to Consider

a. improving the quality, eff ectiveness, and effi ciency of programs, and services,

b. f aculty and staff development activities to improve productivity or eff ectiveness,

c. advancing technology to extend the reach of your programs and services,

d. the diversity of f aculty, students, or staff ,

e. eff orts to promote external partnerships,

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UnitCompact


I I I . I nitiatives Related to Enrollment Management and the Detailing of Enrollment Plans

“Enrollment management” includes

1. recruitment eff orts, and

2. retention eff orts

designed to achieve planned enrollment levels.

Each unit should:

1. describe the impact on your unit of the planned undergraduate and graduate enrollments

2. describe the impact on your unit of planned growth of f aculty

3. develop compact initiatives needed to support these projected student and f aculty levels, and

4. other related impacts, as appropriate

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III. Initiatives Related to Enrollment Management and the Detailing of Enrollment Plans…continued – Screen shot of Enrollment Plan page available from http://www.albany.edu/academic_affairs/cp/

UnitCompact Unit Compact Instructions…continued

http://www.albany.edu/academic_affairs/cp/

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UnitCompact


IV. I nitiatives Addressing Performance Review and Aspirations

1. Each unit is asked to address its eff ectiveness.

2. Each unit required to monitor its eff ectiveness and effi ciency and implement strategies f or improving perf ormance.

3. Specifically, each unit required to develop an assessment plan (and implementation schedule) .

4. End goal is to:

a. I mprove.

b. Demonstrate UAlbany as a responsible steward of the public investment made by the citizens of New York State.

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UnitCompact


I V. I nitiatives Addressing Performance Review and Aspirations …continued

Addressing performance, effi ciency, and eff ectiveness

1. Develop at least three (3) measures of performance

2. Where possible, compare your unit's performance to peers' performance on the same measures, or establish internal benchmarks.

3. Develop compact initiatives that will lead to improved performance.

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IV. Initiatives Addressing Performance Review and Aspirations …continued

Assessment resources available at http://www.albany.edu/assessment/

UnitCompact


http://www.albany.edu/assessment/

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UnitCompact


V. I nitiatives Supporting I nterdisciplinary Programs and Activities

1. Strongly encourage initiatives that support interdisciplinary programs and interdepartmental collaborations (across the University mission)

2. I nitiatives with an interdisciplinary focus will receive high priority consideration in each round of negotiations.

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UnitCompact


VI . I nitiatives Designed to Enhance Revenue

1. Lacking a responsibility-centered or incentive-based budgeting model, use initiatives (business models), to develop revenue enhancing activities such as:

a. distance learning,

b. continuing education,

c. corporate partnerships,

d. public-public partnerships, and

e. other external funding opportunities

2. These initiatives describe incentives and rewards for entrepreneurial activities that generate new revenue, and which:

a. are consistent with university goals and priorities,

b. do no harm to other units, and

c. are permitted within the scope of SUNY and Middle States’ regulatory oversight.

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UnitCompact


VI. Initiatives Designed to Enhance Revenue…continuedRequired Component for all Units: All-Funds Budget

TemplateSee the Forms link at http://www.albany.edu/academic_affairs/cp/

Other revenue/expenditure categories solicited are: DIFR, UAS, UAF, and Restricted Current Fund

Data available from:1. departmental records, 2. school/college budget officer, 3. All-Funds reporting system, and4. other University offices

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UnitCompact


Completing the First Round

First round of compact development completed through:

1. Departmental staff meetings,

2. Meetings between the director and the vice president

3. Formal written f eedback f rom vice presidents

4. Additional unit or offi ce dialogue

Provides a f orum for unit heads and vice presidents to identif y important issues f acing the institution and propose action steps

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Subsequent Rounds - Compact Instructions

Second and Subsequent Round Negotiations

1. Similar to fi rst round, but greater attention to identif ying discrete, alternative initiatives that will move each unit and the university as a whole toward their goals.

2. Vice presidents required to initiate f ormal f aculty governance consultation with University governance bodies f or (unfunded as well as f unded) initiatives.

3. Emerging divisional compact draf ts will also have three parts:

Part One - I ntroduction

Part Two - I nitiatives

Part Three –

4. Vice presidents prioritize unit and divisional initiatives

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General Procedures Governing Subsequent Rounds

1. Following each compact meeting: the supervisory authority (vice presidents to directors; president to vice presidents) will provide a written response to draf t proposals and oral arguments as guidance on refining and improving the draf t compact.

a. Responses may cover issues not directly related to any particular initiative but that bear instead on the general operation of the unit.

b. I n most cases, these supplemental reports and communications will answer questions raised in an earlier response letter.

2. Most important, the process of written communication means that the bases upon which the parties are negotiating about initiatives and resources are clearly stated.

3. These written communications provide information and context supporting compact discussions, but do not belong in the final compact.

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Points worth emphasizing/re- emphasizing

1. Directors and vice presidents are expected to consult with their staff in the development of their overall unit and divisional compact.

2. Vice presidents are expected to negotiate unit compacts with their directors.

3. Unit compacts will continue to be negotiated with the vice president as the divisional compact is being developed.

4. Unit compacts should be near final as the divisional compact nears its final stages.

5. A complete set of unit compacts signed by both unit head and vice president must accompany the final compact to be co-signed in the spring by the vice president and the president.

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Divisional Initiative Resource Summary

See the Forms link at http://www.albany.edu/academic_affairs/cp/

This form should be included with all school/college and divisional compacts.

At their discretion, deans and vice presidents may require their units to use this form in creating unit compacts.

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Compact Planning Timeline

Sept 8

Nov 4

Unit draft compacts due to vice president

Oct Nov 23

Divisional draft compacts due to president, UPC

Directors and staff develop unit compacts

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Proposed initiatives to Selective Investment Committee

Provost’s recs to president

President provides written feedback to vice presidents

Compact Planning Timeline…continued

Jan 23 Mar 31Feb 28 Apr 28 May 5

Vice presidents finalize their priorities

President selects initiatives to fund

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Resources to Help

1. Compact Planning Handbook

2. Website: http://www.albany.edu/academic_affairs/cp

3. Provost’s Office: All senior staff

4. Director of Assessment

5. Institutional Research

6. Other University offices, as needed

http://www.albany.edu/academic_affairs/cp

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End

administrative units - compact planning details

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