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Institutional Effectiveness

Establish a committee to collect and review cost-savings suggestions and propose policy changes or process improvements and methods to develop effective educational programs for their implementation and dissemination. Promote collaboration on efficiency and resource sharing through an annual summit on cost savings and efficiencies with administrative staff across campus.

Vice President, Institutional Effectiveness

Defer to a later year

199 5.3b

2016-17 Progress Narrative

Recommendations for cost savings/revenue generation have been collected from a variety of sources, including (a) a faculty survey conducted by the Faculty Senate Budget Committee in Fall 2015, (b) the university wide budget forums in Spring 2016, and (c) Faculty Senate Budget Committee meetings in Fall 2016. The presentation given in the Spring 2017 university-wide budget forums identified suggestions that have been implemented or are in progress. The Spring 2017 university wide budget forums also solicited additional ideas for cost savings and revenue generation (via start/stop/continue suggestions), which were collected, summarized, and provided to the Executive Team.

Under Way OngoingCompletedNot Started

Significant reorganizations, recent budget cuts, and the need to dedicate time and resources to other essential projects have made it difficult to establish a committee. However, work has proceeded on implementing process improvements and methods for cost savings. For example, the College of Arts and Sciences has implemented new processes to effectively identify efficient course offerings that has resulted in combined course sections and elimination of small sections. A presentation was made to the Board of Regents on the implementation of this cost savings measure.



199.01 Consult with the Executive Team and university constituency groups in the development of a committee charge, composition, and timeline.

199.02 Serve as convener of the committee beginning in 2015-16.

of 27Friday, March 16, 2018

Implement a university-wide process improvement methodology such as Six Sigma and train all staff and administrators in the methodology. Form a process improvement committee that must approve all major new processes on campus before they are implemented.



201 5.3b


A university-wide all-inclusive process improvement committee has not been established, primarily due to both diminished financial and human resources, although individual departments have such mechanisms in plance. The Office of Information Technology works with the campus community regarding technology-related processes. The IT Advisory Committee (ITAC) has a Process Improvement and Efficiencies subcommittee that meets regularly to identify opportunities for processes that can be improved with technology solutions. During 2016-17, several processes were discussed or implemented such as the electronic signature policy, training and communication suggestions for FLSA changes, and improvements to the computer replacement program. For Business Process improvements, the Business Analyst team works with business offices for improving processes and are constantly working on projects in this area. IT has a process in place for both finding the opportunities and for approval and implementation.


No progress has been made on this objective.



201.01 Conduct research on process improvement methodologies, include Six Sigma, and select one to three approaches for consideration at NKU.

201.02 Train a small number of staff on these methodologies and evaluate effectiveness.

201.03 Phase in across the campus using a “train the trainers” approach.

Support the efforts of the President and Executive Team to successfully execute the Fuel the Flame strategic plan.


Provide planning and assessment support to other divisions and entities. Begin in 2014-15433


The Office of Planning and Performance provided planning and assessment support to other divisions and entities throughout 2016-17. Notices and guidelines were provided to divisions, colleges, and major organizational units for providing progress reports on objectives for each entity. The progress reports for 2015-16 were posted to the secure login website under strategic planning. Notifications were sent toentities with information on timelines for providing assessments for their institutional effectiveness plans, and individualized training and guidance was provided to 52 of the entity leaders around campus. The Office of Planning and Performance also contributed to the development of the NKU Campus Sustainability Plan in the strategic development of objectives, measures, and targets.


The Office of Planning and Performance provided planning and assessment support to other divisions and entities throughout 2015-16. Notices and guidelines were provided to divisions, colleges, and major organizational units for providing progress reports on objectives for each entity. The progress reports for 2014-15 were posted to the secure login website under strategic planning. Notifications were sent to entities with information on timelines for providing assessments for their institutional effectiveness plans, and individualized training and guidance was provided to 32 entity leaders on building assessment plans.

The Office of Planning and Performance provided planning and assessment support to other divisions and entities throughout 2014-15. Guidelines for developing four-year strategic plans were provided to divisions, colleges, and major organizational units, as well as additional guidelines for developing annual reports on the progress made on objectives for each entity. Strategic plans for entities were posted to the secured login website under strategic planning. Newsletters were sent to entities with information on timelines for providing assessments of their institutional effectiveness plans, and individualized training and guidance was provided to 19 entity leaders. Assistance was provided on the development of a strategic plan for the NKU Foundation, and Institutional Effectiveness leaders coordinated the completion of the written NCAA IPP report required for transition to Division I athletics.



433.01 Establish a process for developing four-year strategic plans for the divisions, colleges, and major organizational units.

433.02 Institute an annual reporting process for division/college/major unit strategic plan implementation.

433.03 Enhance education and training for WEAVE plans and annual assessments of administrative effectiveness.


433.04 Provide assistance and support in the development of the University’s Inclusive Excellence plan and integrate into the overall planning activities of the campus.

433.05 Assist the NKU Foundation with strategic planning efforts during 2014-15.

433.06 Provide the leadership and coordination for the NCAA Institutional Performance Program Process during 2014-15 and 2015-16.

Ensure the alignment of institutional resources with the Fuel the Flamestrategic plan, working closely with the President, Provost, and Administration and Finance.

Begin in 2014-15434


The FY18 budget was developed using the new budget model processes including administrative/support unit proposals being presented to the central unit allocations committee and budget executive committee. As part of the new incentive based model, a portion of the central revenues pool (created through a 15% participation rate on the colleges) is set aside for a strategic initiatives fund to be used to invest in strategic priorities. For the FY18 budget, a $1 million strategic initiatives fund was established.


Work continued on the development of the new budget model that incentivizes revenue generation and ensures alignment of institutional resources with the Fuel the Flame strategic plan. A Central Units Allocation Committee was formed, and processes were developed for the presentation of mission, goals, and objectives for each central unit that supports the mission of the University. Due to financial constraints, there was not a University-wide strategic initiatives fund in 2015-16 to support new initiatives. Reallocations and restructuring took place within individual units to align resources with strategic priorities.

Due to financial constraints, there was not a University-wide strategic initiatives fund in 2014-15 to support new initiatives. Reallocations and restructuring took place within individual units to align resources with strategic priorities.

The new budget model development process will support this strategy in the future.



434.01 Provide assistance and leadership in developing a new budget model that incentivizes revenue generation and ensures the alignment of institutional resources with the Fuel the Flame strategic plan.

434.02 Coordinate the university-level process for reviewing non-academic programs, services, and operations for quality, relevance, and sustainability.

434.03 Collaborate with Budget Office to develop a process for awarding strategic initiative funds for initiatives that support Fuel the Flame.


Enhance the effectiveness of the Executive Team and facilitate collaboration among its members on cross-divisional initiatives.

Begin in 2014-15435


The SVP for Admin & Finance meets biweekly with the President, his staff, and the Provost to review upcoming agenda items and suggest topics that are stragetically relevant. The offices of the SVP-A&F and Provost collaboratively developed an additional risk treatment plan this year related to electronic and information technology accessibility processes. SVP-A&F and CFO routinely meet with Faculty Senate Budget Committee to provide updates on budget model implementation, share other budget issues, and listen to faculty budget-related concerns or issues.


SVP meets biweekly with President and his staff to review upcoming agenda items and suggest topics that are strategically relevant. The President's Data Team provides cross-divisional presentations to Executive Team on a regular basis, typically once per quarter. The Office of the SVP coordinated the identification and assessment of 20 enterprise-level risks that the University faces across multiple domains, including faculty-staff retention, student access, and emergency preparedness and is collaborating with executive-level risk owners to develop comprehensive risk treatment and response plans.

Examples of cross-divisional initiatives undertaken this year with the Executive Team include the development of risk management plans for enterprise-level risks and a schedule for reviewing existing University policies. Other cross-divisional agenda topics included a long-term housing strategy, inclusive excellence, Sweet Sixteen tournament (marketing/recruitment opportunities), budget model development, Staff Development Day, and the HIC.



435.01 Oversee and track ongoing strategic initiatives supporting the President’s agenda.

435.02 Ensure that the agendas for the Executive Team, Operating Team, and other leadership meetings and retreats focus on strategic plan execution.

435.03 Convene meetings and facilitate conversations on strategic initiatives that require cross-divisional collaboration.


Facilitate transparent internal and external communications by the President about the University’s strategic direction, investments, accomplishments, and performance.

Begin in 2014-15436


Progress and activities noted in 2015-16 were continued throughout 2016-17. In addition, with the implementation of a new budget model, three budget model governance committees were established and implemented that greatly enhance transparency in the annual budget development process: Budget Executive Committee, Central Units Allocation Committee, and the Space Management and Deferred Maintenance Committee. Each committee met regularly throughout the year. Educational presentations were held in August and September for the joint committees by each division to provide information about the mission, organizational resources, and services provided by various administrative units. These were designed to help prepare the administrative units and the CUAC for the upcoming budget request presentations as outlined in the new budget model processes.


The president made transparent internal and external communications about the University's strategic plans, accomplishments, and performance during 2015-16, including an annual report released in January, updates at convocation, updates at Board of Regents meetings, postings to the strategic planning website, and postings to the President's communication website. The President updated the Board on progress toward the Executive Dashboard metrics at their July retreat, and another updated packet was provided at the January meeting. These efforts are ongoing and will continue through the life of the Fuel the Flame strategic plan.

The President made transparent internal and external communications about the University's strategic plans, accomplishments, and performance during 2014-15, including an annual report released in January, updates at convocation, updates at Board of Regents meetings, postings to the strategic planning website, and postings to the President's campus communications website. These efforts are ongoing and will continue through the life of the Fuel the Flame strategic plan.



436.01 Disseminate information about strategic plan implementation in presentations/comments to the University and the Board and on the strategic planning website.

436.02 Present information to the campus community and stakeholders on the University’s progress toward meeting the targets set on metrics in the Executive Dashboard.

436.03 Collaborate with the University Advancement team to publish an annual report featuring stories and facts that demonstrate the University's progress toward achieving the Fuel the Flame strategic plan.

Develop a robust data analytics and dashboard system and conduct research that provides actionable insight for University decision-makers as they i


Create college and/or unit dashboards to help monitor a variety of operational metrics for internal decision-making.

Vice President, Academic Affairs and Provost, Vice President, Institutional Effectiveness

Begin in 2014-15136 5.4c, 5.6b, 5.6c


The Academic Snapshot was updated and shared with the provost, deans, and campus in September 2016. The Academic Snapshot was loaded to a secure login website on the provost's pages for the entire campus community. While a hard copy was only printed in the Fall, the electronic version of was updated for each term during 2016-2017. Work was completed on the Management Dashboard, and this application was released to campus in fall 2016. Institutional Research held 18 training sessions for the new applications after its release. The Management Dashboard contains graphic representations of university and college statistics across five key data types: enrollments, degrees, student credit hours, faculty, and staff. The Management Dashboard also provides “drop and drag” functionality so departments and colleges can build their own reports from these five data tables. These two analytical tools will continue to be maintained and updated.


The Academic Snapshot was completed and released to the provost, deans, and campus in September 2015. A presentation of the Academic Snapshot was provided to the Board of Regents in the spring, and the Academic Snapshot was loaded to a secure login website on the provost's pages for the entire campus community. Work has continued throughout 2015-16 on the Management Dashboard, with a release targeted for September 2016. In addition to graphic representation of university and college statistics, the Management Dashboard will provide the ability for academic departments and colleges to drill down on a myriad of variables for 12+ years of enrollment data and semester credit hour data, as well as information on faculty/staff and degrees/certificates awarded.

Significant progress was made on the development of a management dashboard and an Academic Snapshot to be utilized by colleges and other organizational units needing information at a more granular level. The team will release the Academic Snapshot in September, along with the first phase of the management dashboard. Data is being re-organized by the current academic structure, such as reporting students by majors and degrees awarded according the the current structure, rather than historical organizational structures. This reorganization of information has required significant efforts in validation processes.



136.01 Establish a team of Institutional Research and Information Technology professionals to collaborate on design and data sources.

136.02 Create timeline for subsections to be prototyped during 2014-15 and selected sections available to the campus by summer 2015.


136.03 Implement processes to extract data for each subsection from the official reporting database, go through rounds of validation, screen format and queries, beta test with power users, and launch to campus users.

Oversee the development of a management dashboard to facilitate data mining by colleges and departments for student demographics, student enrollment trends, semester credit hours, and other key indicators.

Begin in 2014-15437


The development of the Management Dashboard was completed this year, with the release occurring late in the fall semester. The work entailed considerable collaboration between the Institutional Research and Information Technology staff. The Academic Snapshot was released in September 2015, and the IR team ensured that the details in the Management Dashboard aligned with the definitions and output provided in the Academic Snapshot, including the reporting of credit hours by the faculty member teaching the course, as required for the budget model. The Management Dashboard will facilitate data mining for the colleges and departments for student demographics, student enrollments, semester credit hours, and a number of other key indicators. The Management Dashboard will continue to be updated with new data and modified with additonal data elements.


The development of the Management Dashboard is underway, with a release targeted for September 2016. The work has entailed considerable collaboration between Institutional Research and Information Technology staff. The Academic Snapshot was released in September 2015, and the IR team is ensuring that the details in the Management Dashboard align with the definitions and output provided in the Academic Snapshot, including the reporting of credit hours by the faculty member teaching the course, as required for the budget model. The Management Dashboard will facilitate data mining for the colleges and departments for student demographics, student enrollment trends, semester credit hours, and a myriad of other key indicators.

The development of a management dashboard and an Academic Snapshot is underway, with the first phase to be launched in mid-September. Data included in the Academic Snapshot are student headcount by majors, including double majors; degrees and credentials conferred, including double degrees; semester credit hours organized by the department of the faculty member; full-time and part-time faculty headcount and FTE; and departmental resources. Trend graphs are provided for resource and workload measures, as well as trends on outcomes ratios.



437.01 Working collaboratively with Information Technology, develop a management dashboard for access by the campus community.

437.02 Develop an academic snapshot based upon data within the management dashboard to consolidate key indicators by program, by department, and by college, as defined by the Provost.


Develop and implement an annual research agenda focused on student success.

Begin in 2014-15438


The President's Data Team met monthly during 2016-17 to strategize on research questions and develop methods to analyze student success. The Data Team focused on an analysis of Unmet Need and estimated residual balances for Fall 2016. There were also some examinations of first fall GPAs of first time students over the last few fall cohorts. The data team also worked on a college readiness index and examined the impact of utilizing this metric for cut-off scores of incoming students per a request CPE. In addition, work continued on the implementation of the EAB Student Success Collaborative which will provide predictive analytics based on course enrollments and patterns.


The President's Data Team met biweekly during 2015-16 to strategize on research questions and develop methods to analyze student success. The Data Team focused on an analysis of the retention of merit scholarship recipients and on analyzing the effect of unmet financial aid on student retention. Working with the combination of results from several studies, the Team developed a Freshmen Retention Index that illustrates the strong correlation of retention and pre-college characteristics (HS GPA, ACT composite scores, and students' unmet financial needs). In addition, work continued on the implementation of the EAB Student Success Collaborative which will provide predictive analytics based on course enrollments and patterns.

The President's Data Team met bi-weekly during 2014-15 to strategize on research questions and develop methods to analyze student success. Presentations were made to the President's Operations Team on August 8, October 7, December 2, February 17, April 21, and May 5. The IR retention database was enhanced as an interactive website with the ability to select desired student subgroups, which facilitates a focus on student success for all programs, departments, and colleges. In addition, the University partnered with EAB to join the Student Success Collaborative, which will provide new insights with predictive analytics at the course level.



438.01 Facilitate the work of the President’s Data Team, which is tasked with identifying research questions to be investigated each year that supports understanding of leading indicators for student success.

438.02 Engage in predictive analytics modeling, and continue to collect and build on the retention database that will be the foundation for a predictive analytics model.

438.03 Identify and adopt effective research practices at comprehensive universities similar to NKU.


Work collaboratively with Information Technology to ensure that data policies, processes, and analytics tools are in place to guide the institution.

Begin in 2014-15439


Institutional Research and Information Technology worked collaboratively during 2016-17 through the Data Governance Committee and the Business Analytics Committee to ensure that data policies, processes, and analytics tools are effectively deployed and utilized by the University campus. Both committees held bimonthly meetings to ensure that implementation and enhancements were moving forward throughout the year. Several new policies were developed and launched through the Policy website, with the standard notification and review by campus constituents (Information Security Policy, Information Security Incident Response Policy, and Data Governance Policy).


Institutional Research and Information Technology worked collaboratively during 2015-16 through the Data Governance Committee and the Business Analytics Committee to ensure that data policies, processes, and analytics tools are effectively deployed and utilized by the University campus. Both committees held bimonthly meetings to ensure that implementation and enhancements were moving forward throughout the year. The Data Governance committee released its website with information on definitions and policies. The Committee also provided web-based training to the data stewards, which was deemed mandatory. Several new policies were developed and launched through the Policy website, with the standard notification and review by campus constituents (Information Security Policy, Information Security Incident Response Policy, and Data Governance Policy).

Institutional Effectiveness and Information Technology worked collaboratively during 2014-15 through the Data Governance Committee and the Business Analytics Committee to ensure that data policies, processes, and analytics tools are effectively deployed and utilized by the University campus. Both committees held meetings bi-monthly to ensure that implementation and enhancements were moving forward throughout the year.



439.01 Enhance Institutional Research and Information Technology collaborative efforts to improve and maintain data quality, to provide data in real-time, user-friendly formats, and other efforts that support data-driven decision-making.

439.02 Provide leadership and guidance for the Data Governance Committee in the development and implementation of a formal data governance program that functions across the enterprise.

439.03 Work collaboratively with Information Technology through the Business Analytics Committee to oversee the use of analytical application projects that align with and support the university’s strategic goals.


Provide leadership for university-wide organizational development and change initiatives.

Capitalize on the strengths of our faculty and staff by cultivating an environment that values feedback and input and recognizes innovative ideas and practices that align with the goals and objectives in Fuel the Flame


Begin in 2014-15202 5.4d


A variety of events occurred during 2016-17 where faculty, staff, alumni, and students were asked to engage in dialog about the University's ideas and practices that align with the goals and objectives in Fuel the Flame, including the Fall Collaborative leadership meetings, departmental meetings, and open forum presentations about the budget and the generation of cost savings ideas. Other activities continue to focus on the VIA survey of character strengths. There are a series of trainings around character strengths now being offered to individuals and departments across campus. Individuals are now also being certified as facilitators for VIA trainings. This is building a momentum of expertise on the campus for this strengths based approach to work and performance. With the departure of President Mearns in May 2017, the 2018-2023 strategic planning process has been postponed until after the arrival of NKU's new president.


A variety of events occurred during 2015-16 where faculty, staff, alumni, and students were asked to engage in dialog about the University's ideas and practices that align with the goals and objectives in Fuel the Flame, including the Fall Collaborative leadership meetings, the President's summit with deans, departmental meetings, and open forum presentations about the budget and the generation of cost savings ideas. In addition, the University developed a website to celebrate our accomplishments and show appreciation to our colleagues for their contributions to Fuel the Flame goals. Other activities continue to focus on the VIA survey of character strengths.

A variety of events occurred during 2014-15 where faculty, staff, alumni, and Foundation members were asked to engage in dialog about the University's ideas and practices that align with the goals and objectives in Fuel the Flame, including Collaborative Leadership meetings, departmental meetings, NCAA IPP meetings, Foundation meetings, and campus-wide staff development meetings.



202.01 Provide opportunities for faculty and staff to engage in conversations about the University’s core values.

202.02 Encourage the adoption of liberating structures that more fully engage the members of the campus community in generating ideas and solutions that improve organizational effectiveness and advance University goals.

202.03 Partner with the Executive Team and Human Resources to help build a values and strength-based culture.


202.04 Ensure that the 2018-2023 strategic planning process is highly participatory.

Compile and review an inventory of existing standing and ad hoc committees, and make changes that reduce redundancy, ensure cross-divisional collaboration, improve efficiency, and align with Fuel the Flame


Begin in 2014-15203 5.3b, 5.3c, 5.4f


The Office of the Senior Vice President has received committee information forms from all divisions within the university and is currently coordinating identification of opportunities for increased efficiency through cross divisional collaboration. Additionally, a new committee website is being developed for campus-wide use in identifying university committee members.


The Office of the SVP developed a Committee Inventory review template that was piloted with the Divisions of Administration and Finance and Academic Affairs. The template will be rolled out to all Divisions in 2016-17 to develop a comprehensive committee inventory. This inventory tracks committee membership, rules, charges, and appointment processes. The comprehensive inventory will enable the Office of the SVP to begin work on identifying redundant or overlapping efforts across campus so that efficiencies may be created through cross-committee collaboration.

An inventory of existing university committees began in July 2014. A committee inventory spreadsheet was developed along with a template for stakeholders to record important information about each committee. Once most university committees have been identified, additional activities will begin to establish a web portal and process for reviewing the university’s committee structure and practices.



203.01 Coordinate a process and framework for compiling all existing University standing and ad hoc committees.

203.02 Develop and manage a process for reviewing viability of existing committees, recommending changes to committee structures, and determining need for new committees.

203.03 Create and maintain an inventory of University committees via a web portal.

203.04 Clarify and communicate the University’s committee structure to campus constituents.


Improve university policy administration, update and streamline university policies to be in compliance with federal and state regulations and to eliminate redundancies and conflicts. Improve communication of and accessibility to university policies through development of a centralized policy website.

Compliance and Institutional Ethics, Senior Vice President, Administration and Finance, Vice President, Legal Affairs and General Counsel

Begin in 2014-15204 5.4a, 5.4d


The university policy website has been fully implemented and continues to be used by various departments and constituencies across campus as a resource for campus policies. The process of integrating academic policies is ongoing, and a single process map has been developed to guide policy developers through each process (academic, curricular, adminstrative, and hybrid). To strengthen the university's value of shared governance, this process map continues to be refined as additional information regarding campus policy review bodies (such as Staff Congress, Faculty Senate, Academic Affairs Council, etc.) become available. The university has purchased policy management software, which will be implemented in Fall 2017, to assist in the management, storage, and documentation of all policy reviews and changes.


Last year, the Office of the SVP, in collaboration with the Compliance Officer and institutional leaders, developed a university policy website and process designed to enhance shared governance, transparency, and compliance with all laws and regulations. University administrative policies were placed on this website and over time, academic policies will be looped in as well. This year, the Office of the SVP, in collaboration with other campus leaders, will continue to refine the process as academic policy processes are incorporated. Meetings with key academic leaders are scheduled to facilitate the integration of academic policies.

New policy administration practices were established in June 2014. A policy was created to outline the official university policy development processes. A website, policy.nku.edu, was established as the official location for all administrative university policies; the website also provides a toolkit for policy owners. Legal, Compliance, and Institutional Effectiveness collaborated to define a policy review process, which requires all existing (approximately 200) university policies to be thoroughly reviewed and transferred to the new policy template. Policy owners have been identified for all existing university policies. A priority schedule for reviewing policies has also been developed. Please see http://policy.nku.edu/



204.01 Redesign and launch the policy website

204.02 Revise and redesign the policy on policies

204.03 Design policy toolkit to streamline the policy process and ensure consistency

204.04 Develop a new policy workflow to streamline the policy process and encourage collaboration

204.05 Develop and implement university comment period


204.06 Communicate the changes campus wide

204.07 Collect and analyze feedback from university stakeholders regarding all aspects of the policy process

204.08 Provide individualized support on an ongoing and as-needed basis for all aspects of the policy process

204.09 Identify policies which need to be created, revised, or retired

204.10 Ensure all policies are properly formatted, are organized on the policy website and the policy site is the sole source of information

204.11 Guide the creation and revision of identified policies

204.12 Create and monitor policy review schedule

204.13 Oversee the policy development and revision process and ensure that policy administration is a transparent and streamlined practice.

204.14 Clarify and communicate the University policy framework to campus constituents. Integrate academic policies with the University's policy framework and portal.

204.15 Update and maintain the storage of current and archived University policies as well as the policy portal, which is the official location for all University policies.


Sponsor and coordinate the University’s enterprise risk management activities.

Compliance and Institutional Ethics, Senior Vice President, Administration and Finance, Vice President, Legal Affairs and General Counsel

Begin in 2014-15205 5.4b


Due to staff turnover, competing priorities including implementation of the new budget model, and advocacy work for the outcomes-based funding model, the risk response plans for the University have not been updated this year. A brief status update was provided to Executive Team in February 2016. Moving forward into the new year, enterprise risk management will be a priority through completion of the following goals: 1. Completing the risk treatment plans2. Creating a plan for downward communication and integration of the treatment plans into the organization3. Creating an ongoing process for risk review, including identification of risk experts across the university.


Last year, the Office of the SVP coordinated the identification and assessment of 20 enterprise-level risks that the university faces across multiple domains including faculty-staff retention, student access, and emergency preparedness. In the current year, the Office of the SVP has been collaborating with executive level risk owners to develop comprehensive risk treatment and response plans, all of which are nearly complete.

The Senior Vice President has proposed and implemented a number of practices to formally manage enterprise risks. The Senior Vice President collects research on best practices for enterprise risk management and proposes effective practices for NKU. The Office of the Senior Vice President coordinates institutional risk identification and assessment activities and oversees the risk treatment plan development processes. Additionally, the Senior Vice President provides regular formal and informal updates to the Board of Regents, President, and Executive Team.



205.01 In the normal course of business, Legal Affairs, Internal Audit and Compliance and Institutional Ethics identified and analyzed risk

205.02 Communicate the identified risks and assist in managing those risks

205.03 Provide and/or assist in the provision of education and training regarding previously identified risks

205.04 Study emerging best practices in institutional and enterprise-wide risk management efforts in higher education.


205.05 Sponsor institutional level risk management efforts and ensure cross divisional collaboration in identifying, assessing, monitoring, and treating risks.

205.06 Report risk management efforts to campus stakeholders and Board of Regents.


In coordination with the Executive Team and Human Resources, establish staff/administrator professional and leadership development programs that improve organizational effectiveness.

Begin in 2014-15440


The office of the SVP, in collaboration with Human Resources, cultivated ongoing partnership with Mayerson Foundation and Mayerson Academy initiated in 2014 to support the NKU Strong Initiative for developing a strengths-based culture of wellbeing at NKU to help students, staff, and faculty be their best selves and lead engaged and meaningful lives. Built on the three pillars of Character Strength Training, Culture of Wellbeing, and Communication and Relationships, the NKU Strong Committee has drafted the vision and has met regularly to develop and define the process for each of the pillars. In 2016-17, the focus was on technical training and awareness building, this included• Launching Pathways to Engagement Training• Visiting Tecmilenio University in Mexico• Incorporating Strengths in large employee events-A&F Holiday Breakfast, Employee Appreciation Week• Facilitator training for Pathways• Monthly NKU led Pathways Training• Strengths/Snack Cart integration• Strength of the month communicated through Wellness’s Monday Motivator, A&F’s Newsletter, and The Provost’s NewsletterApproximately 170 employees have been trained in Pathways to Engagement, 17 NKU Employees have been trained as facilitators. 20 employees have been trained in Manager as Optimizer and 16 have prepared to be facilitators.Launch 1st of the monthly “booster” workshops to keep trained employees engaged.


The Office of the SVP, in collaboration with Human Resources and the NKU Strong Committee, organized 40 campus leaders to participate in the VIA Strengths Workshop to identify and leverage character strengths in the workplace as first steps to developing a strengths-based culture at NKU. Nearly half of the 40 participants in this year’s workshop became certified VIA Strengths Facilitators, allowing for integration of strengths-based initiatives at all levels of the university. We are developing a partnership with the Mayerson Academy and the Mayerson Foundation as a way to broaden these efforts and will have a faculty member dedicated to this effort on a pilot basis.

One example of professional development offered to staff and administrators was Staff Development Day. This event was coordinated by a planning committee under the leadership of Senior Vice President for Institutional Effectiveness and Senior Director of Human Resources. The event was focused on character strengths. Additional professional development opportunities related to character strengths are under consideration. Other development, such as a university-wide




leadership program, will be considered in the future.

440.01 Institute a staff professional development day.

440.02 Establish a university-wide leadership development program.


Ensure that NKU capitalizes on the best practice research, toolkits, and services provided by the Education Advisory Board.

Begin in 2014-15441


EAB held an onsite workshop on space management issues and trends in the industry for the benefit of the Space Management and Deferred Maintenance (SMDM) Committee (that is part of the governance structure for the new budget model) in July 2017. Additionally, EAB research materials related to 100 strategies for funding deferred maintenance and other research publications related to space issues was made available to senior leadership and the SMDM committee members as a rich resource. The IT team attended multiple forums and webinars produced by EAB focused on best practices for higher education. This included the CIO Forum in Fall 2016 and the IT Forum. We also virtually participated in the Information Security Forum with several other universities to discuss challenges and best practices for information security in higher education. Finally, we had several team members access best practice research electronically for areas such as analytics and reporting, service management, and student retention.In May, 2017, NKU began participating in EAB's new benchmarking resource - the Administrative Cost, Efficiency, and Structure (ACES) benchmarking platform. The data collection process opened in June and closed on August 31, 2017. During this period, we requested data from the functional areas of HR, Finance, Procurement, IT, Facilities, and Research Admin. This will help us measure the time and resources spent on business transactions and compare these metrics with our peers. Reports will be available in late 2017.In 2017, NKU renewed its memberships in the Academic Affairs, Advancement, Business Affairs, and IT Forums under a consolidated Letter of Agreement that provided several cost savings - Year 1 (3/31/17-3/30/18) is provided at no cost; the $6,000 annual administrative fee is waived; and EAB will provide flight accommodations for one NKU employee to attend one national meeting of each of the Memberships during Year 1 of the Membership Term.


NKU is a member of EAB's forums for: Academic Affairs, Business Affairs, Advancement, Student Affairs, Technology, Online Education, Enrollment Management, and Facilities Management. NKU is participating in the EAB Student Success Collaborative, which is an extensive model for analyzing student enrollment behaviors to predict individual student success, as well as providing predictive analytics at the course level. NKU leadership attend webinars sponsored by EAB and monitor the daily newsletters from EAB featuring best practices, toolkits, and other services. The SVP and the Provost collaborate to ensure resources are being used most efficiently and effectively.

NKU now has membership in the following forums: Academic Affairs, Business Affairs, Advancement, Student Affairs, Technology, On-line Education, and Enrollment Management. In addition, NKU participates in the Student Success Collaborative. Consideration was given to becoming a charter




member of an EAB initiative focused on academic productivity, but it was decided that the University should reconsider in a year or so, once this initiative gets up and running.

441.01 Serve as University liaison with the EAB.

441.02 Monitor resources provided by EAB, such as research reports, toolkits, and webinars, and communicate the availability of resources to Executive Team.

441.03 Make use of resources provided by EAB in institutional effectiveness, University planning, institutional research, and organizational development initiatives.

Interface with the Council on Postsecondary Education and the staff on statewide policy initiatives impacting the University.

Help ensure that the CPE’s funding model is outcomes-based and addresses funding disparities among the comprehensive universities.

Begin in 2014-15442


In last year's biennial budget, as a result of NKU's advocacy, the General Assembly directed a working group consisting of all the public university presidents to recommend a new funding model. The working group finalized a report that proposed a new outcomes-based funding model which incentivizes performance in student success, degree hours completed, and institutional operations. The funding model confirms that NKU is substantially underfunded compared to the other public universities in KY. The model was approved by the General Assembly in HB 303 and has 5% of the state appropriations set aside for performance funding for FY18. For FY18, NKU will receive an additional $173,500 in State Appropriations as a result of the model.


NKU President Mearns successfully influenced the KY Governor and legislature to address the fund disparity to NKU, based on the comparative per-student funding data for the comprehensive universities. The NKU Foundation contributed to this success by creating a website with comparative data and encouraging faculty, staff, students, alumni, and other interested community partners to send letters of support to their legislators. The KY Governor acknowledge the funding disparity at his budget address and pledged to provide 50% of NKU's funding disparity during the next biennium and the remaining funding disparity during the following biennium. The Governor has also called for an outcomes-based funding model to be developed by December 2016 and implemented for the following biennium.

Representatives from NKU regularly attended and participated in CPE Steering Committee meetings and Funding Model Workgroup meetings to ensure that the proposed funding model is outcomes-based and helps address funding disparities among the comprehensive universities. Data was shared with CPE that demonstrates the funding disparities, and conversations around the issue continued beyond the formal meetings.



442.01 Maintain strong working relationships with the CPE staff.


442.02 Convene the budget, finance, institutional research, and government relations liaisons to ensure that all parties are working together toward a common goal.

442.03 Provide policy advice to the President.

Improve internal communications among University administrators in order to keep the President apprised of CPE-related activities and initiatives and ensure that deliberations with CPE are well coordinated and reflect NKU’s official position.

Begin in 2014-15443


Periodic meetings were held with NKU leaders who serve on CPE committees and task forces. The President was continually updated about the CPE development of proposed metrics for the statewide Strategic Agenda and the development of new performance funding metrics after Governor and KY legislature approval in 2015-2016. Beginning in February, that process included a great deal of work internally to develop proposed targets for NKU on the necessary metrics. The SVP worked closely with the Provost, President, and these internal committees around finalizing targets for NKU. The SVP also engaged in periodic meetings and conversations with CPE about NKU’s targets and the targets of other public institutions in the state. The SVP worked with the CFO, Institutional Research, and the AVP for Government, Community and Foundation Engagement on the integration of the new outcomes-based funding model, and the implications of this model for NKU. The SVP's guidance and advice on policy issues was instrumental in helping to inform and shape NKU's official position. Other internal coordination, such as maintaining a data base of NKU faculty and staff serving on CPE committees and task forces, remains underway. Momentum on this task was stalled due to stepped up efforts in advocacy and budget pressures.


Periodic meetings were held with NKU leaders serving on CPE committees and task forces. The President was informed about the CPE development of proposed metrics for the statewide Strategic Agenda. That process included a great deal of work internally to develop proposed targets for NKU on each metric; however, the work was aborted in January when new directions on outcomes-based funding was led by the Governor and the KY legislature. Since then, the SVP and CFO have worked closely with the President and Adam Caswell on CPE's Performance Funding Work Group that is developing implementation of the outcomes-based funding model.

Periodic meetings were convened with NKU faculty and staff serving on CPE committees and task forces. See below for more detail.



443.01 Maintain a data base of all NKU faculty and staff serving on CPE committees and task forces.

443.02 Establish an internal communications protocol.

443.03 Keep the President informed of high profile issues.


Represent the University on committees charged with developing the new system-wide strategic agenda and accountability system. (2015)

Begin in 2014-15444


The 2015-16 progress update indicated this item as completed.


The Senior Vice President for Administration and Finance and the AVP for Planning and Institutional Research represented the University on statewide committees charged with developing a new Kentucky strategic agenda and accountability system. An internal ad hoc committee was formed to evaluate the baseline data on newly proposed statewide metrics and to provide viable institutional targets. Although the committee completed its work, the process was aborted when the KY Governor and legislature called for a new process for outcomes-based funding that will be developed by December 2016.

The Senior Vice President for Institutional Effectiveness and the AVP for Planning and Institutional Research represented the University on statewide committees charged with developing a new Kentucky strategic agenda and accountability system.



444.01 Attend state meetings and represent NKU’s perspective.

444.02 Communicate proposals and drafts to the NKU leadership and incorporate input in the recommendations made on behalf of NKU.

444.03 Create baseline data for newly proposed statewide metrics to evaluate the impact of proposals and to provide a basis for viable institutional targets.

Engage in practices that support division effectiveness and staff development.


Provide internal or external professional development and training opportunities for all team members to improve job competencies, leadership skills, work productivity, and overall quality.


445


From July 2016 – June 2017, we offered 10 sessions of Pathways to Engagement training. Of these 10 offerings, 5 were for departments and 5 were offered to the entire campus (public offerings). Through these 10 sessions, 174 people received the training.

The SVP for Admin & Finance annually sponsors scholarships for A&F staff members to attend the 3-year College Business Management Institute (CBMI) program sponsored by the Southern Association of College and Business Officers (SACUBO) at the University of Kentucky. This program offers opportunities to learn about issues and topics in higher ed, develop professional relationships with colleagues at other institutions, gain a broader perspective of higher ed business administration, and prepare for leaderhip roles. In 2017, there were nine recipients nominated by the A&F department heads. In addition, three other staff members participated at their departments' expense.

A&F staff attended various national, regional, and local conferences that were relevant to their respective job responsibilities. These included, but were not limited to: NACUBO Annual Meeting; NCCI Annual Conference; SACS COC Annual Meeting; SHRM; KASA and NACAS meetings and conferences; KAIR and AIR; SAP; Dell Conference; various IT-topical trainings/meeting; various APPA meetings and conferences; Midwest Regional Sustainability conference; School Dude; HazMat Environmental; OSHA-related trainings; trade-specific meetings/trainings related to horticulture, transportation, elevator maintenance, and other. Staff members routinely take advantage of numerous vendor or professional organization-sponsored webinars that are difficult to track or quantify until the University is able to implement a comprehensive LMS. In addition, NKU offers free on-campus training opportunities to all staff through CITE and Ed To Go. Efforts to develop comprehensive staff development plans and cross training have been deferred, pending the availability of funding for a university-wide LMS. Funding will be requested for 2017-18.


Defer to 2016-17.



445.01 Create staff development plans to document and identify areas and opportunities for improving skills.

445.02 Create opportunities to cross train and share expertise within the division or other areas of the university.

445.03 Develop an annual report on professional development and training of the Institutional Effectiveness staff.


Adopt best practices at other universities that have mature institutional effectiveness functions.


446


NKU continues to seek improvements in institutional effectiveness functions. Some recent activities include: the extensive research conducted by the Data Team; the development of data analytics tools, such as the Academic Snapshot, the Executive Dashboard, and the Management Dashboard; the formalization of Data Governance and Business Analytics; the professional development focused on VIA strength characteristics; the improved reporting of Senior Survey and Destination Survey responses to be used for assessment of institutional effectiveness throughout the campus. In addition, the University has recently invested in a graphical software application used by many universities to enhance their campuses' understanding of trends and other data. The functionality of this application has been incorporated some of the assessments done during this reporting cycle.


NKU continues to seek improvements in institutional effectiveness functions. Some recent activities include: the extensive research conducted by the Data Team; the development of data analytics tools, such as the Academic Snapshot, the Executive Dashboard, and the Management Dashboard; the formalization of Data Governance and Business Analytics; the professional development focused on VIA strength characteristics; the improved reporting of Senior Survey and Destination Survey responses to be used for assessment of institutional effectiveness throughout the campus. In addition, based on best practices presented at an annual conference, the University has recently invested in a graphical software used by many universities to enhance their campuses' understanding of trends and other data that can be incorporated into assessment reports.



446.01 Capitalize on existing, and build new, networks and relationships with other institutional effectiveness professionals at other institutions.

446.02 Regularly communicate the University’s institutional effectiveness initiatives to the campus community.


Heighten awareness of the division’s roles and responsibilities, particularly information and services that are available to other campus entities.

Begin in 2014-15447


The division has provided presentations with updates on a variety of topics throughout the year to the Academic Affairs Council, Chairs Council, Staff Congress, and Faculty Senate. Presentations have included: retention of first year students, current enrollment updates; CPE proposed metrics and targets; NSSE results by College; budget model updates; Management Dashboard demonstrations; and more. Regular emails have been sent to notify about enhancements to the IR retention database and reminders concerning assessment of institutional effectiveness efforts. In addition, the Administration and Finance division has continued with the distribution of the divisional newsletter, which is used to inform the campus of the division's roles and responsibilities, as well as recent accomplishments. The Institutional Effectiveness and Administration and Finance websites were merged (due to the merging of the two divisions), transitioned to the new website platform, and updated to reflect the roles and responsibilities of the division.


The division has provided presentations with updates on a variety of topics throughout the year to the Academic Council, Chairs Council, Staff Congress, SGA, and Faculty Senate. Presentations have included: retention of merit scholarships; relationship of retention and unmet financial aid; current enrollment updates; CPE proposed metrics and targets; NSSE results; development of the Academic Snapshot; budget model updates; and more. Regular emails have been sent to notify about enhancements to the IR retention database and reminders concerning assessment of institutional effectiveness efforts. In addition, the Administration and Finance division has recently designed and launched a newsletter to the campus featuring the division's roles and responsibilities, as well as recent accomplishments.

The division has provided presentations with updates on a variety of topics throughout the year to the Academic Council, Chairs Council, Staff Congress, and Faculty Senate. Emails have been distributed regularly about proposed policy changes, and emails have been sent periodically about enhancements to the IR database, updates available on the strategic planning website, and reminders concerning assessment of institutional effectiveness efforts.



447.01 Broaden the planning newsletter to cover institutional research and effectiveness topics.

447.02 Ensure the Institutional Effectiveness website has up-to-date information about the roles and responsibilities of the division and services offered.

447.03 Meet periodically with the Academic Council, Council of Chairs, and Faculty Senate and Staff Congress leadership.


Manage projects and tasks in a manner that promotes efficiency and professionalism.

Begin in 2014-15448


The Executive Dashboard has been operational for three years. Information Technology and Institutional Research have launched the Management Dashboard. In addition, work has been done maintaining the Chairs Dashboard. The Business Analytics Committee continues to oversee the deployment of Business Objects, its operational improvements, and priorization of initiatives.


Direct reports individually meet with the SVP on a regular basis (pre-arranged standings) to discuss and/or update her with the status of or issues with projects and tasks. SVP office staff uses an Excel template to log this information. SVP and her assistant routinely work together to keep the SVP's action item list merged and up-do-date with these items, in addition to new action items originated during the week from meetings attended. We are continuing to research other solutions that may be more efficient and effective.

The division manages its projects in a variety of ways to support efficiency and professionalism. The Senior Vice President chaired two major university wide committees (New University Budget Model and NCAA Institutional Performance Program) that require efficient project management and professionalism in dealing with a wide range of internal and external stakeholders. Consistent communication with those involved, as well as the larger campus community, is a critical component of ensuring professional and transparent management of these and other projects.



448.01 Adopt software or practices that support project and task management appropriate for the project scope.

448.02 Document details of recurring projects to eliminate duplication of efforts and ensure consistent methodology and results.

Academic Innovation

Create dashboard metric reports for colleges and departments


Implement the Business Analytics and Reporting Strategy (ex. Executive Dashboard, prioritization of analytical work, tools) as determined by the Business Analytics Committee. (See Appendix G for Business Analytics Committee charter.)



148 5.4c, 5.6c


The Executive Dashboard has been operational for three years. Information Technology and Institutional Research have launched the Management Dashboard. In addition, work has been done maintaining the Chairs Dashboard. The Business Analytics Committee continues to oversee the deployment of Business Objects, its operational improvements, and priorization of initiatives.


The Executive Dashboard has been operational for two years. Information Technology has continued working on deployment of the Business Objects tool, with the Management Dashboard as the next layer to be launched. In addition, work has been done for a Chairs Dashboard. The Business Analytics Committee continues to oversee the deployment of Business Objects, its operational improvements, and prioritization of initiatives.



148.01 Implement Business Objects

148.02 Review institutional needs and prioritize initiatives


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