Model and Manual for Strategic Panning, Resource Allocafon, and Institutiona Assessment with Certification

Transcription

1 Model and Manual for Strategic Panning, Resource Allocafon, and Institutiona Assessment with Certification

2 Spanish acronyms used in "Manual of Institutional Effectiveness" : CIP Institutional Budget Committee DAA Dean of Academic Affairs DE Dean of Students DEGI Department of Graduate Studies and Research DSMR Security and Risk Management Division DTAA Academic and Administrative Technology Division OCIU Office of Conservation and University Facilities OMDC Office of Marketing} Development} and Communications OPEP Office of Strategic and Budgetary Planning OPDF Office of Physical Planning and. Development

3 University of Puerto Rico Río Piedras Campus Office of Strategic and Budgetary Planning Manual for Strategic Planning, Allocation of Resources, and Assessment of Institutional Effectiveness 1

4 2 Table of Contents INTRODUCTION... 4 A. Purpose of the Manual... 5 B. Model for Strategic Planning and Institutional Effectiveness... 5 C. Legal Basis... 6 D. Definition of Terms... 8 E. Institutional Effectiveness and Accreditations PROCESS OF PLANNING, ALLOCATION OF RESOURCES, AND ASSESSMENT AT THE CAMPUS F. Formulation, Documentation, and Implementation of Plans G. Strategic Indicators and Annual Report of the Campus's Achievements H. Process of Allocation of Fiscal Resources I. Calendar J. Follow-up to the Assessment of Institutional Effectiveness K. Dissemination of the Assessment Report on Institutional Effectiveness L. Support for the Processes of Planning and Assessment REFERENCES ADDITIONAL REFERENCES APPENDIX 1: Essential Concepts of Institutional Effectiveness A. Institutional Effectiveness Cycle B. Strategic Planning C. Operational Planning D. Strategic Planning Models E. Allocation of Resources F. Assessment of Institutional Effectiveness G. Integration of Planning and Assessment H. Implementation of the Planning and Assessment Process APPENDIX 2: Historical Background of Institutional Effectiveness at the Campus A. Strategic Plan B. Operational Plan C. Assessment Plan for Institutional Effectiveness... 49

5 D. Performance Management and Measuring Strategic Indicators E. Management of the Planning and Assessment of Institutional Effectiveness

6 INTRODUCTION The Río Piedras Campus of the University of Puerto Rico (UPR-RP), founded in 1903, is the oldest and largest campus among the eleven units that constitute the public system of the University of Puerto Rico. Academic offerings are wide and varied, consisting of 70 undergraduate academic programs and 19 postgraduate degrees with 71 specializations in the basic disciplines and professional fields. The Río Piedras Campus of the University of Puerto Rico is the only institution of higher learning in Puerto Rico classified by the Carnegie Foundation for the Advancement of Teaching as a comprehensive university with high research activity. The Campus is accredited by the Middle States Commission on Higher Education (MSCHE) and licensed by the Puerto Rico Council on Education (formerly known as the Puerto Rico Council on Higher Education), and also holds 54 professional accreditations. The academic development of the Campus rests on assertive strategic planning focused on positioning the Campus for advancing its mission and vision. Goals and objectives for development are laid out in its Strategic Plan, which translates into establishing priorities and implementing strategic actions (initiatives and projects). In this way, all academic and administrative units contribute to achieving the mission and vision, and to attaining the desired level of institutional effectiveness. Institutional effectiveness seeks to measure the degree to which the Campus makes efficacious and efficient use of its human, physical, and fiscal resources, among others, in support of the mission and vision of development. It is essential that the Campus institute an integrated system of planning, allocating resources, management, execution, and outcomes assessment, in order to obtain a better understanding of the effectiveness, efficiency, and relevance of its academic programs, support services, administrative structures, etc., and of how these contribute to its continuous growth and development. Such a system helps to inform the decisions of upper management regarding prioritized strategic actions and institutional priorities. In addition, this system serves as a guide to help management allocate resources in the annual and multiannual planning cycle of each of its academic and administrative units, in order to guarantee its continuous improvement and renewal. The Model for Strategic Planning, Allocation of Resources, and Institutional Effectiveness described in this Manual (Figure 1) was developed by the Ad-Hoc Work Group on Strategic and Financial Planning designated by the chancellor, Dr. Ana R. Guadalupe. This work group was composed of the following persons: Dr. Ana R. Guadalupe, Chancellor Dr. Haydeé Seijo, Dean of Graduate Studies and Research Dr. Mayra Chárriez, Dean of Student Affairs Dr. Beatriz Rivera, Interim Dean of Academic Affairs Alberto Feliciano, Dean of Administration Carmen Bachier, Auxiliary Dean of External Funding Dr. Suzanne Engman, Special Aide, Writing of Institutional Proposals Prof. Elaine Alfonso-Cabiya, Director of Strategic and Budgetary Planning Zulyn Rodríguez, Assistant Director of Institutional Research José Jiménez, Assistant Director of the Office of the Budget Basilio Rivera, Director of the Office of Finances 4

7 Aida L. Rosario, Director of the Office of Human Resources Melba Martínez, Director of the Division of Continuing Education and Professional Studies Dr. Yolanda Cordero, Professor from the Graduate School of Public Administration Dr. Edwin Maldonado, Professor from the Accounting Department of the College of Business Administration Dr. Javier Baella, Professor from the Department of Finance of the College of Business Administration The model was developed with great care and consideration of our needs, contexts, and aspirations. Practices already established during the period of and several models adopted by other institutions of higher learning were examined for the purpose of identifying additional practices that could add value to the Campus's planning endeavors. This Manual represents the institutionalization of the Campus's process of strategic planning, including its correlation with the annual budget projection and the accountability inherent in the assessment of institutional effectiveness. The Office of Strategic and Budgetary Planning (OPEP - Spanish acronym) is the unit responsible for implementing this Model and coordinating the previously mentioned processes: strategic planning, annual budget projection, and assessment of institutional effectiveness. It is also responsible for institutional investigation and the development of the execution indicators that bear witness to the institutional growth and effectiveness achieved in comparison with that which was desired. Results of the continuous evaluation of institutional effectiveness, with formative and summary approaches, will enable the Campus to understand how to advance toward achieving its goals and objectives, and how to make decisions on possible courses of action. This Office is assigned to the Chancellor's Office. A. Purpose of the Manual The purpose of this Manual is to provide information and guidelines for the development and implementation of an integrated system of planning, allocation of necessary resources, management/execution, and assessment of the institutional effectiveness of the Río Piedras Campus. 5 B. Model for Strategic Planning and Institutional Effectiveness Figure 1 shows all the elements constituting the Model for Strategic Planning, Allocation of Resources, and Institutional Effectiveness that are utilized at the Río Piedras Campus. Institutional effectiveness at the Río Piedras Campus is obtained through two areas: academic and administrative. In the academic area, institutional effectiveness is achieved through offerings of academic programs, general education, intellectual activity and production, and student experience and learning; in the administrative area, it is attained through administrative operations, services and resources, and the infrastructure supporting academic efforts and student learning. The Offices of the Deans of Students, Academic Affairs, and Graduate Studies and Research are the units responsible for the implementation and coordination of the academic component of strategic planning and its effectiveness; the Office of the Dean of Administration, the Chancellor's Office, and the Offices assigned to the Chancellor's Office are responsible for the same in relation to the administrative area.

8 OPEP is the unit responsible for gathering, evaluating, and conserving information on strategic planning and the assessment of institutional effectiveness, and coordinating the efforts of both components at the Campus level, in order to fully comply with the adopted Model. In addition, OPEP works together with the Office of Marketing, Development, and Communications (OMDC) to inform the community and other constituents (vide intra) of the outcomes and achieved progress. C. Legal Basis Strategic planning at the Río Piedras Campus is based on a context of law and regulations set forth in a variety of documents: Mission of the Río Piedras Campus of the University of Puerto Rico (Certification No. 67, , Academic Senate, UPR-RP) Policy of the University of Puerto Rico on the Evaluation of Institutional Effectiveness (Certification No. 136, , Board of Trustees, UPR) Institutional Policy on Accreditation of Academic Programs and Services Rendered by the University of Puerto Rico (Certification No. 138, , Board of Trustees, UPR) Ten for the Decade: Planning Agenda of the University of Puerto Rico (Certification No. 123, , Board of Trustees, UPR) Regulation for the Creation of Academic Programs of the University of Puerto Rico (Certification No. 80, , Board of Trustees, UPR) Budget Regulation of the University of Puerto Rico (Certification No. 100, , Board of Trustees, UPR) Strategic Plan University Vision 2016 (Certification 26, , Academic Senate, UPR-RP; Certification No. 41, , Administrative Board, UPR-RP) Regulation for the Periodic Evaluation of Academic Programs at the University of Puerto Rico (Certification No. 43, , Board of Trustees, UPR) Indicators for Assessment of the Operationalization of the Integral Development Plan of the UPR Ten for the Decade (Certification No. 3, , Board of Trustees, UPR) Manual for Strategic Planning, Allocation of Resources, and Assessment of Institutional Effectiveness: Administrative Component (Certification No. 038, , Administrative Board, UPR-RP) 6

9 Figure 1. Model for Strategic Planning, Allocation of Resources, and Institutional Effectiveness Mission, Vision, Goals, and Objectives STRATEGIC PLANNING Office of Strategic and Budgetary Planning Academic Administrative Office of the Dean of Academic Affairs Office of the Dean of Administration Office of the Dean of Grad. Studies and Research Office of the Dean of Students Offices Attached to the Chancellor's Office A S S E S S M E N T External Agents: o Middle States Commission on Higher Education o Council on Higher Education o Professional Accreditations o Central Administration UPR o Board of Trustees o External Evaluators of Graduate Programs o Advisory Boards o Patrons Internal Agents: o Deans of the Colleges and Schools o Directors of Academic Departments o Directors of Research Centers o Assessment Coordinators o Academic Senate Plans o General Education Assessment Plan o Student Learning Assessment Plan (Undergraduate Level) o Student Learning Assessment Plan (Graduate Level) o Undergraduate Programs Evaluation Plan o Graduate Programs Evaluation Plan o Research Center Evaluation Program o Institutional Plan for Academic Development o Institutional Plan for the Development of Intellectual Activity and Production External Agents: o Middle States Commission on Higher Education o Council on Higher Education o Central Administration UPR o Board of Trustees Internal Agents: o Deans of the Colleges and Schools o Directors of the Attached Offices o Institutional Budget Committee o Institutional Effectiveness Committee of the Academic Senate o Administrative Board Plans and Processes o Strategic Plan o Institutional Operational Plan o Action Plans for the Initiatives and Projects in the Operational Plan o Development Plans of the Academic Units o Annual Work Plans of the Academic Units o Institutional Development Plans of the Administrative Units o Annual Work Plans of the Administrative Units o Budget Process and Allocation of Resources o Financial and Sustainability Plan A S S E S S M E N T ASSESSMENT Annual Report Campus Achievements ASSESSMENT Assessment Report on Institutional Plan for Academic Development Assessment Report on Institutional Plan for the Development of Intellectual Activity and Production Assessment Report on General Education Assessment Report on Student Learning (Undergraduate Level) Assessment Report on Student Learning (Graduate Level) Report on Evaluation of Research Centers Assessment Report on Strategic Indicators Assessment Report on the Operational Plan Assessment Report on Administrative Effectiveness (Institutional Development Plans and Annual Work Plans of the Administrative Units) Assessment Report on Development Plans and Work Plans of the Academic Units Annual Achievement Report of the Academic and Administrative Units 7

10 8 D. Definition of Terms In the preparation of this Manual the best practices and essential concepts of institutional effectiveness were studied. Essential concepts of institutional effectiveness are discussed in Appendix 1. The following is a list, in alphabetical order, of terms used throughout this Manual and in the templates or forms utilized by the units to formulate and document the different types of plans (vide intra). Achievement/Execution. The results that an individual or institution obtains in the progress toward the pursuit and attainment of measurable objectives (desired/required outcomes). Annual work plan. A document setting forth the actions (strategies, activities, projects) to be carried out during an academic year in order to achieve the goals and objectives proposed in a unit's development plan. (See Table 3.) Assessment. The systematic process of gathering and interpreting information from quantitative and qualitative data to learn and document how well an institution or unit is performing, and using that information to modify its operations so that its execution/performance improves. Assessment plan. A document setting forth the way in which accomplishments/outcomes of the implementation of initiatives, projects, strategies, or activities proposed in the work plan or development plan will be evaluated; the person responsible for the assessment; and the method to be used in evaluating obtained accomplishments or outcomes. The assessment plan also includes a report on the actions/decisions of the academic or administrative upper management based on analysis of obtained outcomes to aid in the new planning cycle. (See Tables 1, 2, and 3.) Development plan. A document setting forth realistic and measurable goals and objectives for achieving the mission of each academic unit (colleges and schools). (See Table 2.) Goal. The desired final result that solves, settles, or reconciles an identified gap (between what is and what should be). Indicators of success/performance. All the characteristics, dimensions, or quantifiable elements (on a ratio or an interval scale) that act as a guideline to determine how well an organization is performing, as a whole or in some aspects of its activities, and what are its strengths and challenges. Institutional development plan. A document setting forth realistic and measurable goals and objectives for achieving the mission of the administrative units and units of support for student learning (i.e. Technology Plan, Plan for Development and Maintenance of the Physical Infrastructure, Academic Development Plan, Plan for Development of Intellectual Activity and Production, Financial and Sustainability Plan, etc.). Institutional effectiveness. The degree to which an institution (or unit within the institution) fulfills its mission and its goals (or succeeds in producing the proposed effect or impact).

11 Institutional mission. A statement that supports an institution's raison d'être; the institutional end that has permanent validity over the course of many years and that requires updating in time. The core content of the Institutional Mission does not change over time, unless the educational institution has changed its institutional philosophy, its educational offerings, or its target group of persons to be educated. Institutional vision. The identification and precise expression of where the educational institution wants to go. It is a foundational statement of the direction of institutional development, and should retain its validity for many years, but which, in time, needs updates providing enrichment, precision, or explanation. Learning objective (academic). An objective focused on student learning (knowledge, skills, abilities, values, etc.). Method of assessment/evaluation. The mode or tool that a unit utilizes to evaluate the achievement of an objective (surveys, focus groups, etc.) Objective. A statement of an expected partial outcome in pursuit of a goal, expressing a quantifiable outcome (in numeric terms), a projected date (time period), and data regarding a previous outcome (base) against which to measure or compare the expected outcome. Operationalization. The execution of a plan with a view to achieving its objectives by means of projects, activities, or initiatives that are specific and measurable. Operational plan. A document setting forth the actions (strategies, projects, activities) to be carried out in achieving the goals and objectives of the strategic plan. Performance metric. The measurement or proportion of performance in a success indicator. For example, if one indicator is student satisfaction with the program offerings, then the metric must say what percentage of satisfaction we want to reach, and in how much time. Plan of action for a prioritized initiative/project. A document setting forth the actions (strategies, activities, projects) to be carried out to achieve the goals and objectives of the Operational Plan of the Río Piedras Campus. (See Table 1.) Planning objective (non-academic). An objective that focuses on the outcome obtained within the unit of everything that is done in support of the institutional endeavor. This type of objective describes the expected or intended quality relative to punctuality, response time, exactitude, etc. In general, it describes how well a unit should function or how much it needs to improve the way it functions or the services it offers. Projects, activities, or initiatives. Events and procedures that contribute to achieving the goals and objectives outlined in the planning documents. 9

12 Strategic plan. A document setting forth realistic and measurable goals and objectives for achieving the mission of the Río Piedras Campus. Strategies. All the activities, projects, initiatives, and actions that we carry out or utilize to obtain the desired outcome. E. Institutional Effectiveness and Accreditations MSCHE Accreditation The Campus's proposals of strategic and operational planning are designed not only to verify institutional advancement with respect to the broad goals and objectives outlined in the Strategic and Operational Plans of the Campus, but also to be consistent with the standards used by the institutional accrediting agency Middle States Commission on Higher Education (MSCHE). Planning should incorporate as a criterion of quality the fulfillment of the highest standards of higher education, as defined by MSCHE. This aids in avoiding the duplication of efforts. MSCHE's standards for accreditation (2006) related to institutional effectiveness are as follows: Standard 1 (Mission and Goals). The institution s mission clearly defines its purpose within the context of higher education and indicates whom the institution serves and what it intends to accomplish. The institution s stated goals, consistent with the aspirations and expectations of higher education, clearly specify how the institution will fulfill its mission. The mission and goals are developed and recognized by the institution with the participation of its members and its governing body and are utilized to develop and shape its programs and practices and to evaluate its effectiveness. Some of the fundamental elements of this standard are: o o o Well documented, organized, and sustained processes for evaluating the full range of programs and services, pursuit of the mission, and compliance with MSCHE's accreditation standards. Evidence that assessment results are shared and utilized in institutional planning, allocation of resources, and institutional renewal. Institutional and unit strategic plans that reflect that assessment results are taken into account. 10

13 Standard 2 (Planning, Resource Allocation, and Institutional Renewal). An institution conducts ongoing planning and resource allocation based on its mission and goals, develops objectives to achieve them, and utilizes the results of its assessment activities for institutional renewal. Implementation and subsequent evaluation of the success of the strategic plan and resource allocation support the development and change necessary to improve and to maintain institutional quality. Some of the fundamental elements of this standard are: o o o Goals and objectives that are clearly stated and reflect conclusions drawn from assessment results, are linked to mission and goal achievement, and are used for planning and resource allocation at the institutional and unit level. Planning and improvement processes that are clearly communicated, provide for constituent participation, and incorporate the use of assessment results (close of cycle). Assignment of responsibility for improvements and assurance of accountability. Standard 7 (Institutional Evaluation). The institution has developed and implemented an assessment process that evaluates its overall effectiveness in achieving its mission and goals and its compliance with accreditation standards. Standard 14 (Assessment of Student Learning). Assessment of student learning demonstrates that, at graduation, or other appropriate points, the institution s students have knowledge, skills, and competencies consistent with institutional and appropriate higher education goals. Other Accreditations The proposals for strategic and operational planning used by the academic units at the Campus are also consistent with the standards of quality established by the professional accrediting agencies for the academic programs, research centers, and other academic units of the Campus. To date, the Campus has fifty-four professional accreditations of its academic programs, in addition to the professional accreditation of the department of Student Guidance and Development, attached to the Office of the Dean of Student Affairs. 11

14 PROCESS OF PLANNING, ALLOCATION OF RESOURCES, AND ASSESSMENT AT THE CAMPUS The process of planning, allocation of resources, and assessment that is being followed at the Campus permeates all academic and administrative units and units of support for academic endeavors and student learning. Planning in all those units is coordinated with the Campus Strategic and Operational Plans, and contributes to the advancement of its Mission and Vision for development. Figure 2 is a representation of the coordination that exists between planning at the institutional level and planning at the level of the academic and administrative units, to the end of reaching the goals and objectives proposed in the current Strategic Plan, and bearing witness to the desired institutional effectiveness. Figure 2. Current Relationship between Planning Levels at the Campus INSTITUTIONAL LEVEL Goals and Objectives Campus Mission Strategic Plan University Vision 2016 INSTITUTIONAL LEVEL Prioritized Projects and Initiatives Integrated Assessment Plan Operational Plan : Trazos Plan of Action for the Prioritized Initiatives and Projects of the Operational Plan UNIT LEVEL Goals and Objectives Projects and Initiatives Integrated Assessment Plan Devlopment Plan Annual Work Plan 12

15 In order to achieve institutional effectiveness, it is necessary that both the Campus and the academic and administrative units implement effective processes of strategic planning and assessment of the attained achievements/outcomes. The most important components of this process are as follows: Formulation of goals and objectives Identification and implementation of strategies, projects, activities, and initiatives that operationalize (give life to) the goals and objectives Allocation of institutional and supplementary resources (e.g. external funding) Assessment and use of the results for making informed decisions and for continued improvement in the following planning cycle (Figure 3) Figure 3. Key Components of Strategic Planning and the Assessment of Effectiveness Formulation of goals and objectives Allocation of institutional resources Assessment of attained achievements/results and use of data by academic and administrative management for informed decision making in the following cycle of planning for continued improvement Implementation of activities, projects, and initiatives 13

16 F. Formulation, Documentation, and Implementation of Plans There are two levels to the formulation, documentation, and implementation of the process of strategic planning, allocation of resources, and assessment of institutional effectiveness at the Campus: institutional and unit. Institutional Level At the level of institutional planning, the Campus has a Strategic Plan and an Operational Plan. Strategic Plan (Macro Level). The Strategic Plan is the document that sets forth realistic and measurable goals for achieving the mission of the Río Piedras Campus. The current Strategic Plan is University Vision Operational Plan (Macro Level). This is a document that sets forth the prioritized actions (strategies, projects, initiatives, activities) that will be conducted toward reaching the goals and objectives of the Strategic Plan. The pursuit of the goals and objectives at the institutional level of the Campus Strategic Plan is accomplished through the implementation of the strategically prioritized projects/initiatives outlined in the Operational Plan and in the Development Plans of the academic and administrative units. The development of the Campus Operational Plan is a collaborative process whose initiative is the responsibility of the Chancellor, who in turn receives support from OPEP, the Finance Office and the Executive Deans. The Operational Plan springs from multiple dynamics of interaction among different authorities (Deans and Directors of Colleges and Schools, Directors of the Attached Offices, and other units and work teams) at the Campus to discover (at the Macro level) the needs of the institution and priorities for development. The current Operational Plan is known as Operational Plan : Trazos. This Plan consists of a number of projects, initiatives, and actions of institutional impact, all coordinated with the Institutional Strategic Plan (University Vision 2016). It is hoped that they be executed in the period from 2011 through The execution of the projects, initiatives, and actions formulated in the Operational Plan will be the primary responsibility of the executive deans and the attached offices. Some projects or initiatives will be conducted from the colleges and schools, or by setting up work groups. Plan of Action for an Initiative/Project of the Operational Plan (Table 1). For each of the projects and initiatives of the Institutional Operational Plan, the Chancellor will designate a unit, person, or work group responsible for formulating, documenting, and implementing a Plan of Action. The Plan of Action for the Institutional Initiative/Project is submitted to OPEP, the unit that will see that it is carried out. 14

17 Assessment Plan for an Initiative/Project of the Institutional Operational Plan. The person responsible for the implementation of an initiative or project of the Operational Plan is also responsible for formulating, documenting, and implementing an Assessment Plan integrated with the Plan of Action of the Initiative/Project of the Operational Plan. Financial and Sustainability Plan of the Campus. The Chancellor's Office is responsible for the formulation, development, and implementation of a Financial and Sustainability Plan for the Campus. In creating this Plan, the Chancellor's Office has the Support of the Finance Office and the Office of Strategic and Budgetary Planning, and may set up a work group of internal and external resources with expertise in financial and sustainability planning. Also assisting would be the OMDC, the Office for Negotiating External Funding and Business Initiatives, and the Division of Continuing Education and Professional Services. Unit Level All units--academic (colleges and schools), administrative, and support (executive deans' offices and attached offices)--formulate, document, and implement the following types of plans: Development Plan (Table 2): In the Development Plan the units establish goals and objectives for three or five years. These goals must be coordinated with the: o o o Campus Mission Mission and Vision of the unit itself Strategic Plan Annual Work Plan (Table 3). To ensure the attainment of the goals and objectives proposed in the Development Plan, each unit formulates, documents, and implements an Annual Work Plan. Figure 4. Elements of the Annual Work Plan Iniciativa Work Plan o Proyecto Objective Indicator of Success and Metric Calendar Person(s) Responsible Resources Assessment Plan Assessment Plan (Tables 1, 2, and 3). To evaluate the achievement of goals and objectives outlined in each of the plans, an integrated Assessment Plan is created within each plan. Assessment is a key process of institutional effectiveness and of continuous improvement, in addition to being a tool for institutional renewal. In the assessment process an evaluation and analysis is made of the outcomes/achievements obtained by implementing concrete initiatives and projects from those formulated during the planning stage as means of reaching the proposed objectives. 15

18 This analysis provides the Campus's academic and administrative upper management with data they need to make informed decisions regarding which actions need to be implemented in the following cycle of planning and allocation of resources, in order to attain the goals and objectives proposed in the Strategic Plan of the Campus. Colleges and Schools Each one of the colleges and schools contributes to the operationalization of the Strategic Plan through executing the projects, activities, and initiatives proposed in their respective Development Plans. The Development Plans usually cover periods of three to five years. In the Annual Work Plan, the dean of the college or the director of the school identifies which projects, activities, and initiatives of the unit's Development Plan are to be prioritized in each cycle of planning and annual budget request. Those that are included in the Annual Work Plan will be understood to be the priorities of that unit for that specific year. In addition, each Development Plan and Annual Work Plan has an integrated Assessment Plan to evaluate and analyze the outcomes/achievements obtained from the projects and initiatives implemented in pursuit of the proposed goals and objectives. This analysis provides the academic management of the colleges and schools with data they need to make informed decisions regarding which actions need to be implemented in each cycle of planning and allocation of resources, in order to reach the goals and objectives proposed in the unit's Development Plan. Executive Deans' Offices and Attached Offices Each dean's office and attached office formulates, documents, and implements an Institutional Development Plan for three or five years, an Annual Work Plan, and an integrated Assessment Plan, following the same dynamic as the colleges and schools, as explained in the previous section. The Development Plan and the Annual Work Plan may include additional projects and initiatives that are not part of the Operational Plan, as long as the projects and initiatives of the Operational Plan are given priority, should any of these apply to these units. 16

19 To summarize, the offices of the executive deans and the attached offices formulate, document, and implement the following Institutional Development Plans: ATTACHED OFFICES Institutional Plan Development and Rehabilitation of Physical Spaces Modernization and Preventive Maintenance of Physical Structures Modernization and Strengthening of Technological Infrastructure Marketing, Development, and Communications Security and Risk Management Office OPDF OCIU DTAA OMDC DSMR OFFICES OF EXECUTIVE DEANS Institutional Plan Academic Development Development of Intellectual Activity and Production Student Recruitment, Success, and Development Internationalization Reorganization, Streamlining, and Effectiveness of Administrative Procedures Business and Finance Dean's Office DAA & DEGI DEGI & DAA DE DE D Adm. Chancellor, Budget & Finance 17

20 Table 1. Template for the Plan of Action of an Initiative/Project of the Institutional Operational Plan PLAN OF ACTION FOR PRIORITIZED PROJECT/INITIATIVE OPERATIONAL PLAN : Trazos Academic Year NAME OF PROJECT/INITIATIVE COORDINATION WITH STRATEGIC PLAN UNIVERSITY VISION 2016 AND OPERATIONAL PLAN : TRAZOS UV 2016 Indicate corresponding Indicate corresponding UV 2016 STRATEGIC OBJECTIVE/INDICATOR UV 2016 OBJECTIVE GOAL goal number objective number at TRAZOS STRATEGIC ROUTE OR INSTITUTIONAL PRIORITY Stages/Steps Success Indicator and Metric for the Stage/Step A success indicator is a quantifiable (on a ratio or an interval scale) characteristic, dimension, or element to be measured for the purpose of monitoring changes during the pursuit of an expected achievement or outcome. Metric: Measurement or proportion of performance in a success indicator. Calendar Start and end dates for executing the proposed stages in order to reach the objective. Start date for implementation and expected date for completing achievement of the objective. ACADEMIC YEAR Budget Person(s) Responsible Person responsible for execution of necessary actions in order to reach the proposed objective. What are his/her roles and responsibilities? General Fund External Funds Other Fiscal resources in addition to the operational budget (from the prioritized list of the Campus Budget) or other resources (physical space, technological equipment, etc.). Evidence Document showing evidence of progress in the attained achievement/ outcome Examples: surveys, questionnaires, focus groups, work agendas, etc. Indicate corresponding objective/indicator number Assessment Plan Status % Outcomes Achieved Obtained outcomes. How well is the work plan being executed? Percent of achievement reached at the moment of submitting assessment report (progress or annual) Actions Use of assessment results What decisions were made or actions taken for improvement based on analysis of the results? 18

21 ACADEMIC YEAR Stages/Steps Success Indicator and Metric for the Stage/Step Calendar Person(s) Responsible General Fund Budget External Funds Other Evidence Assessment Plan Status % Outcomes Achieved Actions ACADEMIC YEAR Stages/Steps Success Indicator and Metric for the Stage/Step Calendar Person(s) Responsible General Fund Budget Budget External Funds Other Evidence Assessment Plan Status % Outcomes Achieved Actions 19

22 Table 2. Template for the Development Plan of the Academic and Administrative Units DEVELOPMENT PLAN Academic Year Name of Academic or Administrative Unit GOAL COORDINATION WITH STRATEGIC PLAN UNIVERSITY VISION 2016 (UV 2016) AND OPERATIONAL PLAN : TRAZOS UV 2016 GOAL Indicate corresponding goal number UV 2016 OBJECTIVE Indicate corresponding objective number TRAZOS STRATEGIC ROUTE OR INSTITUTIONAL PRIORITY (If applicable) Strategy, Project, or Initiative Objective Measurable Objective Success Indicator and Metric Contribution to Attaining UV 2016 Strategic Objective/Indicator Person(s) Responsible Assessment Plan Methods Outcomes Status % Achieved Actions What activity, project, or initiative will be conducted in order to reach the objective? The objectives of the plan provide empirical evidence to show to what degree the proposed achievements, outcomes, or ends have been attained. Objectives must be measurable. An objective is a statement of an outcome toward which an action is aimed. It is the expected partial outcome in the pursuit of a goal, and expresses 1) a quantifiable outcome (in numerical terms), 2) a projected date (time period), and 3) data regarding a previous outcome (base) against which to measure or compare the expected outcome. Each objective states only ONE (1) outcome, end, achievement, behavior, or execution that it is hoped will be reached. An action verb is utilized to denote a change in condition, instead of mentioning the strategies (steps) to be followed. The statement of an objective should include: A success indicator is a quantifiable (on a ratio or an interval scale) characteristic, dimension, or element to be measured for the purpose of monitoring changes during the pursuit of an expected achievement or outcome. A metric is a measurement or proportion of performance in a success indicator. For example, if one indicator is student satisfaction with the program offerings, then the metric must say what percentage of satisfaction we want to reach, and in how much time. To which UV 2016 strategic indicator does this objective contribute? For UV 2016 strategic indicators, follow this link: HUPRRP Person(s) responsible for implementing Assessment Plan. Method to be used to evaluate results (qualitative, quantitative, or mixed). Evaluation instrument to be used to gather necessary data for measuring results (survey, questionnaire, interview, focus group, etc.). Evidence obtained Percent of achievement reached at the moment of submitting assessment report (quarterly or yearly) Use of assessment results What decisions were made or actions taken for improvement based on analysis of the results? 20

23 The projected outcome, end, achievement, behavior, or execution expressed in measurable/quantifiable terms What or who (audience) will show the outcome, end, achievement, behavior, or execution The conditions under which the outcome, end, achievement, behavior, or execution will be observed and measured The previous outcome against which the outcome, end, achievement, behavior, or execution will be measured or compared EXAMPLES: Accreditation of the Program Professional certification of guidance counselors Extending service hours of the Guidance Counseling Program EXAMPLES: Objective: The Program will be accredited by the agency by December Objective: One hundred percent of guidance counselors will be professionally certified by the end of 20. Objective: Student satisfaction with the guidance counseling program will increase from 75% to 90% by the end of 20. EXAMPLES: Indicator: accreditation standards Metric: 100 percent completed Indicator: professional accreditation Metric: 100 percent of guidance counselors certified Indicator: student satisfaction Metric: percent of satisfaction to be reached in one year 21

24 Table 3. Template for the Annual Work Plan of the Academic and Administrative Units ANNUAL WORK PLAN Academic Year Name of Academic or Administrative Unit STRATEGY/PROJECT/INITIATIVE COORDINATION WITH THE DEVELOPMENT PLAN DEVELOPMENT PLAN GOAL Indicate corresponding goal number DEVELOPMENT PLAN OBJECTIVE Indicate corresponding objective number Stages/Steps Indicate the stages/steps to take to reach the proposed objective. Success Indicator and Metric for the Stages/Steps (when applicable) A success indicator is a quantifiable (on a ratio or an interval scale) characteristic, dimension, or element to be measured for the purpose of monitoring changes during the pursuit of an expected achievement or outcome. A metric is a measurement or proportion of performance in a success indicator. For example, if one indicator is student satisfaction with the program offerings, then the metric must say what percentage of satisfaction we want to reach, and in how much time. Calendar Start and end dates for executing the proposed strategies in order to reach the objective. Person(s) Responsible Person responsible for execution of necessary actions in order to reach the proposed objective. What are his/her roles and responsibilities? General Fund Budget External Funds Other Fiscal resources in addition to the operational budget (from the prioritized list of the Campus Budget) or other resources (physical space, technological equipment, etc.). Person(s) Responsible Person(s) responsible for implementing the Assessment Plan Assessment Plan (Incremental) Methods Method to be used to evaluate results (qualitative, quantitative, or mixed). Evaluation instrument to be used to gather necessary data for measuring results (survey, questionnaire, interview, focus group, etc.). Status % Outcomes Achieved Evidence obtained How well is the work plan being executed? Percent of achievement reached at the moment of submitting assessment report (quarterly or yearly) Actions Use of assessment results What decisions were made or actions taken for improvement based on analysis of the results? 22

25 G. Strategic Indicators and Annual Report of the Campus's Achievements The Campus evaluates its institutional performance using a dashboard of strategic indicators associated with the objectives outlined for each of the goals of the current Strategic Plan. This dashboard presents a summary of the achievements/outcomes from the implementation of the Operational Plan, the Development Plans, and the Work Plans of the academic and administrative units of the Campus, thus giving evidence of the institution's progress toward fulfilling its strategic and operational goals and objectives. The strategic indicators receive input from institutional data and, in addition, from the assessment of the Plans of Action of the Prioritized Projects/Initiatives of the Operational Plan and of the Development Plans and the Annual Work Plans of the academic and administrative units. These plans include goals and objectives coordinated with those of the Campus Strategic Plan and with the strategic indicators already established for measuring institutional effectiveness under that Plan. Upper management utilizes the updated data from the strategic indicators to make informed decisions in the cyclical process of strategic planning, allocation of resources, assessment of institutional effectiveness, and continuous improvement. The Annual Report on Campus Achievements is informed by the following reports: Assessment of the Institutional Plan for Academic Development Assessment of the Institutional Plan for Development of Intellectual Activity and Production Assessment of General Education Assessment of Student Learning (Undergraduate Level) Assessment of Student Learning (Graduate Level) Evaluation of the Research Centers Assessment of the Strategic Indicators Assessment of the Operational Plan Assessment of Administrative Effectiveness (Institutional Development Plans and Annual Work Plans of the Administrative Units) Assessment of the Development Plans and Work Plans of the Academic Units Annual Achievement Report of the Academic and Administrative Units The academic and administrative units will submit to OPEP an Annual Achievement Report, according to the established calendar. For this purpose they will use a template prepared by OPEP to ensure the coordination of the report on achievements/outcomes with the goals and objectives of the current Strategic Plan. Once the Campus Achievements Report has been approved by the Administrative Board of the Campus, it will be broadly disseminated among members of the university community for their information and for discussion and input. This document contains information from the analysis of the data and outcomes from the assessment of the Annual Work Plans and the Development Plans of the academic 23

26 and administrative units and of the Operational Plan of the Campus. Upper management of the Campus (meaning: Executive Deans, Deans of Colleges, and Directors of Schools and of Attached Offices) will discuss this Report with their constituents, as indicated on the established calendar, in order to receive their suggestions, particularly those suggestions aimed at modifying policies, procedures, and ways of doing things, so that the changes to be introduced will lead to the continuous improvement and transformation of the Campus in every aspect. Utilizing the outcomes in this way guarantees the continued progress of the Campus at the close of the planning cycle. H. Process of Allocation of Fiscal Resources The process followed at the Campus for formulating the budget and allocating it to the academic and administrative units is outlined in the Budget Manual. Every year the executive deans, deans of colleges, directors of schools, and directors of the attached offices present their requests to the institutional budget and identify sources of supplementary funds for implementing their Annual Work Plans. The request is made to the Institutional Budget Committee, by way of the Office of Strategic and Budgetary Planning, according to the calendar established in Section D of this Manual. Each unit prepares its budget request for the execution of its Development Plan and Annual Work Plan in coordination with the Strategic Plan and/or the Operational Plan of the Campus (if applicable). For those strategies, projects, and initiatives that are not coordinated with the Strategic Plan and/or the Operational Plan, the units supply the additional resources they need by negotiating or applying for external funding and by raising funds by means of proposals or other strategies. Fiscal resources granted from institutional funds for implementing the respective Work Plans come from the item of the Annual Budget allocated for implementing the current Strategic Plan. Criteria for the Evaluation of Annual Work Plans Those strategies, projects, or initiatives of an Annual Work Plan (coordinated with the Strategic Plan and/or the Institutional Operational Plan) that require additional resources for their implementation, beyond the operational budget, are evaluated using previously established criteria. Following a careful analysis and evaluation, the necessary resources are allocated to the units for implementing their work plans. The budget allocation will be conditioned upon the receipt of all required documents. Steps in the Process of Allocation of Resources The process of request, evaluation, and approval of the budget requests is cyclical in nature (Figure 5). The steps are as follows: 24 Step 1. The executive deans, deans of colleges, directors of schools, and directors of attached offices submit their Annual Work Plans to the Office of Strategic and Budgetary Planning (OPEP). Step 2. OPEP evaluates the Annual Work Plan and offers input to help, if necessary, with compliance with the established criteria for formulation and documentation of the plan.

27 Step 3. The executive deans, deans of colleges, directors of schools, and directors of attached offices present their units' Work Plans before the Institutional Budget Committee (CIP). Step 4. CIP makes the final evaluation of the Work Plans and recommends to the Assistant Budget Director and the Chancellor's Office the allocation of fiscal resources to the units, including resources for daily operations, for additional teaching and non-teaching staff, for technological resources, and for the projects and initiatives of the respective Work Plans. Step 5. The executive deans, deans of colleges, directors of schools, and directors of attached offices submit to OPEP, on the date indicated on the calendar, the Progress Report on the Assessment of the Annual Work Plan. Step 6. The executive deans, deans of colleges, directors of schools, and directors of attached offices submit to OPEP, on the date indicated on the calendar, the Annual Report on the Assessment of the Development Plan and the Annual Work Plan. Step 7. The executive deans, deans of colleges, directors of schools, and directors of attached offices submit to OPEP, on the date indicated on the calendar, the Annual Achievement Reports of their units. 25

28 Figure 5. Procedure for allocation of resources and assessment of institutional effectiveness at the academic and administrative unit level Step 1. Annual Work Plan submitted to OPEP Step 7. Annual Achievement Report of the unit submitted to OPEP Step 2. OPEP evaluates Annual Work Plan and advises units on compliance with established criteria Step 6. Annual Report on Assessment of Development Plan and Annual Work Plan of the unit submitted to OPEP Step 3. PowerPoint presentation of Annual Work Plan before the Chancellor and the Institutional Budget Committee Step 5. Progress Report on Assessment of Annual Work Plan submitted to OPEP Step 4. Analysis and allocation of the operational budget and of other necessary resources to implement the Annual Work Plan 26

29 I. Calendar The following is the generic calendar for the cycle of planning, allocation of resources, and assessment of institutional effectiveness. Date Responsible Planning and Assessment Process Send to OPEP and the Chancellor's Office recommendations about the past planning and budget process, to be considered in the new planning cycle Budget Process January Administrative Board Institutional Effectiveness Committee of the Academic Senate Send recommendations on modifications or new policies and procedures to improve institutional effectiveness based on the assessment outcomes Present Campus Achievements Report and the previous year's Report on Assessment of the Development Plan and Work Plan in faculty meeting at the college or school, for discussion and recommendations Present budget request for next fiscal year in faculty meeting at the college or school, for discussion and recommendations January and February Deans of Colleges and Directors of Schools March Executive Deans, Deans of Colleges, Directors of Schools, Directors of Attached Offices Submit to OPEP Development Plan (Applies only to units that do not yet have a Development Plan or need to modify the one they have) Prepare and send forms on need for additional teaching staff by service contract or additional compensation to the Office of the Dean of 27

30 Date Responsible Coordinators of the Projects/Initiatives of Operational Plan : Trazos Executive Deans, Deans of Colleges, Directors of Schools, Directors of Attached Offices Executive Deans, Deans of Colleges, Directors of Schools, Directors of Attached Offices Planning and Assessment Process Submit to OPEP the Progress Report on Assessment of the Annual Work Plan of the year in progress Submit to OPEP the budget request for the following academic year for operational expenses and for the Annual Work Plan Budget Process Academic Affairs, with copy to the Assistant Budget Director (Delivery and forms to use are described in the Budget Manual.) Prepare and send forms on need for nonteaching staff to the Office of Human Resources (Delivery and forms to use are described in the Budget Manual.) Requests for projects related to technological development and physical infrastructure Executive Deans, Deans of Colleges, Directors of Schools, Directors of Attached Offices March and April Director, Office of Strategic and Budgetary Planning Analysis of the Annual Work Plans Send input to the units (if needed) to achieve compliance with the established criteria for the formulation and documentation of the Annual Work Plan PowerPoint presentation before the Institutional Budget Committee of the budget request for operational expenses and for the Annual Work Plan 28

31 Date April and May Responsible Institutional Budget Committee Planning and Assessment Process Budget Process Analysis and recommendation for the allocation of the budget to the academic and administrative units Executive Deans, Deans of Colleges, Directors of Schools, Directors of Attached Offices Submit to OPEP the Annual Assessment Report on the Development Plan and Annual Work Plan June Coordinators of the Projects/Initiatives of the Institutional Operational Plan Submit to OPEP the Annual Assessment Report on the Projects/Initiatives of the Operational Plan Chancellor and Associate Budget Director Presentation of the budget to the Administrative Board July Associate Budget Director Post budget to the units' accounts July through June Executive Deans, Deans of Colleges, Directors of Schools, Directors of Attached Offices Implementation of Annual Work Plans Submit to the Chancellor these Annual Assessment Reports: August Director of the Office of Strategic and Budgetary Planning Strategic Indicators Operational Plan Institutional Development Plans and Work Plans of the Executive Deans and Attached Offices Development Plans and Annual Work Plans of the 29

32 Date Responsible Planning and Assessment Process Academic Units (Colleges and Schools) Budget Process September Chancellor OMDC Submit to the Chancellor the Annual Campus Achievements Report and a PowerPoint presentation for analysis and discussion with the Administrative Board and the Institutional Effectiveness Committee of the Academic Senate Deliver and present the Annual Campus Achievements Report before the Administrative Board and the Institutional Effectiveness Committee of the Academic Senate Dissemination of the Annual Campus Report with broad diffusion of the achievements among members of the university community 30

33 J. Follow-Up to the Assessment of Institutional Effectiveness Effective follow-up to planning and to the assessment of institutional effectiveness is dependent upon the request for and receipt of correct information. This includes data and narrative to confirm the achievements, in accordance with the plans, in greater or lesser degree, and relative to the goals and objectives that were outlined in the plans. Follow-up is the responsibility of OPEP. OPEP will submit to the Chancellor the following annual reports: Assessment Report on the Strategic Indicators Assessment Report on the Operational Plan Assessment Report on the Institutional Development Plans and the Annual Work Plans of the Administrative and Support Units Assessment Report on the Development Plans and Annual Work Plans of the Academic Units Annual Campus Achievements Report K. Dissemination of the Assessment Report on Institutional Effectiveness OPEP delivers to the Chancellor's Office the Annual Campus Achievements Report and a PowerPoint presentation for analysis and discussion with the Administrative Board and the Institutional Effectiveness Committee of the Academic Senate. In addition, copies of the report are sent to the Office of the President, the Vice Presidency for Academic Affairs, the Vice Presidency of Research and Technology, and the Board of Trustees of the University of Puerto Rico. OMDC is responsible for giving broad diffusion to the projects and initiatives of the Campus and to its achievements. This office will gather the necessary information for preparing and publishing promotional materials and other media, including those of mass communication. OMDC will prepare annually a brochure highlighting achievements, as well as the projects and initiatives that are in progress or development. L. Support for the Processes of Planning and Assessment The process of planning and assessment of the institutional effectiveness, at both the Campus level and that of the units, receives support from the following units or bodies: Office of Strategic and Budgetary Planning (OPEP) OPEP's goal is to create and maintain a culture that is rich in evidence of institutional effectiveness. OPEP's functions are related to three main areas: a) strategic planning and the assessment of institutional effectiveness, b) budget projection, and c) institutional research. 31

34 OPEP is responsible for: Strategic planning and assessment of institutional effectiveness Initiate, develop, lead, and coordinate strategic planning, the assessment and institutional research to support the mission, and strategic plans and development plans for the Campus Design and maintain internal processes for the cyclical follow-up and implementation of the projects and initiatives of the Strategic Plan and Operational Plan of the Campus. Integrate assessment of institutional effectiveness into strategic planning at all levels; advise and recommend how to use the assessment outcomes for institutional improvement. Integrate findings of the assessment of institutional effectiveness at the institutional and unit levels to prepare the Annual Assessment Report on Institutional Effectiveness Prepare the Campus Annual Achievements Report, integrating findings of the assessment of institutional effectiveness Translate data into information that upper management can use in decision making, planning, allocation of resources, and other processes requiring strategic analysis. Plan and coordinate training activities on the process of planning, budget request, and effectiveness assessment for the academic and administrative units Guide and support the units in the development of planning, budget request, and effectiveness assessment Budget planning OPEP has the responsibility of advising the Chancellor and other university officials on the formulation, execution, and control of the operational budget allocated to the Río Piedras Campus. In addition, OPEP recommends changes and strategies to initiate regarding budgetary and fiscal policies of the Campus. Its primary functions are: Direct the process of preparing the annual budget projection of the Campus, into which must be integrated achievements, work plans of the academic and administrative units, and the request for resources needed for the academic and administrative operations of the Campus Formulate the budget for the Campus Operational Plan and its projects and initiatives. In addition, formulate the budget for executing the Institutional Development Plans, to wit: Academic, Intellectual Activity and Production, Technology, Development and Rehabilitation of the Physical Infrastructure, Conservation and Maintenance of the Physical Facilities, Security, and Marketing, Development, and Communications Guide and support the academic and administrative units in the preparation of their annual budget requests Prepare the distribution of the original budget that the Chancellor submits for approval to the Administrative Board Work together with the academic and administrative units in the execution, control, and use of allocated resources through verification of the availability of funds for actions 32

35 regarding requested staff, acquisition of equipment and materials, and other expenses such as travel Actively participate in the liquidation of the budget at the close of each fiscal year, in coordination with the Finance Office Work together with the colleges and schools in preparing budgets for new programs and curriculum revisions to be presented for approval to the deliberative bodies Recommend to management courses of action in the projection, execution, and liquidation of the budget Institutional research Provide support systems for strategic planning and assessment of institutional effectiveness for decision making through: o Maintaining institutional databases o Devising, maintaining, and updating indicators and metrics for the Strategic Plan and Operational Plan o Creating and maintaining Web applications (e.g. OPEP's web page, the dashboard of success indicators for the Strategic Plan and Operational Plan, Fact Book, SAGA, Factum, etc.) o Preparing annual assessment reports on institutional effectiveness o Planning and executing institutional research studies o Analyzing data and preparing reports on the institutional studies Serve as a hub for collecting and disseminating institutional information Provide advice and technical support (in accordance with available resources) to institutional research projects of the academic and administrative units Produce, and periodically disseminate widely, official Campus statistics on: applications, admissions, registration, academic offerings, human resources, academic performance, financial assistance, degrees conferred, retention and graduation rates (statistics reported to the U.S. Department of Education via the Integrated Post-Secondary Education Data System), etc. Produce data and statistical analyses that testify to effectiveness, efficiency, and relevance in the allocation and utilization of the Campus's fiscal resources, and inform the decision making inherent to these processes. Produce seasonal reports to the Chancellor's Office and other academic and administrative units for decision making and information on the status of the Campus on core matters such as registration, graduation, desertions, etc. 33

36 Institutional Budget Committee (CIP) The Institutional Budget Committee is a permanent committee whose members are appointed by the Chancellor. This Committee has the following responsibilities: Prepare, review, and recommend for approval the Budget Model and Manual Evaluate and recommend allocation of the operational budget and that of the Work Plans of the academic and administrative units, in light of requests received and established criteria Review and recommend changes to allocations during the budget approval process Recommend submission of the budget project to the Administrative Board for final approval Aid in preparing the presentation of the budget project to the Administrative Board Evaluate and recommend adjustments to the budget projection while it is in force, if needed Evaluate and recommend specific actions aimed at the continuous improvement of the processes of budget projection, execution, and liquidation The Institutional Budget Committee is composed of the following members: Chancellor Dean of Administration Dean of Academic Affairs Dean of Graduate Studies and Research Dean of Students Director of the Finance Office Director of the Office of Human Resources Director of the Office of Strategic and Budgetary Planning Assistant Budget Director Special Assistant to the Chancellor in Administrative Affairs Executive Assistant to the Chancellor Other officials as needed Ad Hoc Work Group on Strategic and Financial Planning The Ad Hoc Work Group on Strategic and Financial Planning is appointed, and activated as needed, by the Chancellor for the purpose of advising on matters related to the processes of strategic planning and assessment of institutional effectiveness, and on the financial sustainability of the Campus. Participants in this group include professors with expertise in areas of public administration, planning, accounting, finance, and others as required. 34

37 Special Committee on Institutional Effectiveness of the Academic Senate Purpose. The Special Committee on Institutional Effectiveness of the Academic Senate was created by Certifications Nos. 44 ( ) and 12 ( ), for the purpose of: 1) promoting dialogue on core affairs of the institution; 2) generating, by means of that dialogue, a critical mass to nurture the decision-making process at the University of Puerto Rico; and 3) raising consciousness about our fundamental strengths and weaknesses, with a will to empower the former and shore up the latter. This Committee's duties were broadened by Certification No. 12 ( ) to add the following assignments: 1) analyzing reports related to the assessment of institutional effectiveness presented before the University Board, b) interpreting the findings discussed in these reports, and c) evaluating the indicators used to calibrate outcomes of the work of the Río Piedras Campus. Membership. The Committee's composition was amended to include an additional faculty representative by Certification No. 20 ( ). The members are as follows: Dean of Academic Affairs Chair of the Academic Affairs Committee of the Academic Senate Chair of the Student Affairs Committee of the Academic Senate One professor (faculty senator) One student representative from the Academic Affairs Committee Administrative Board The Administrative Board, at the request of the Chancellor of the Campus, will advise the Chancellor on budget matters and approve the budget projection, as well as the strategic/operational and development plans, and the Annual Campus Achievements Report. Academy for the Development of Academic Administration The purpose of this initiative is to identify and empower the leadership and knowledge of the personnel who administer the University. Its curriculum will guarantee the specialized formation necessary to the administration of an institution of higher education. OPEP will be responsible for coordinating this Academy in cooperation with the Center for Academic Excellence. 35

38 REFERENCES A guide for strategic planning. (2008). The Ohio State University. Retrieved from Assessment handbook. (2010). Queensborough Community College, New York. Retrieved from FC1D00/filename/AssessmentHandbook-WebVersion.pdf Evans, M. Workshop on the strategic planning model. (2011). Retrieved from Free Management Library. Gantz, E. (2001). Strategic planning: A ten-step guide. Lerner, A. (1999). A strategic planning primer for higher education. California State University. MCSHE (2006). Characteristics of excellence in higher education: Eligibility requirements and standards for accreditation. Middaugh, M. & Starke, S. (April 2011). Integrating planning and assessment in higher education. University of Delaware. Nichols, K. (2001). Strategic planning in higher education: A guide for heads of institutions, senior managers and members of governing bodies. Higher Education Funding Council for England (HEFCE). Retrieved from Paris, K. (2003). Strategic planning in the university. University of Wisconsin-Madison. Retrieved from University.pdf Plan de Avalúo de Efectividad Institucional. (2004). Committee for Development of the Assessment Plan on Institutional Effectiveness, Río Piedras Campus, University of Puerto Rico. Retrieved from ucional.pdf Planning objectives: Writing objectives, selecting measures, and analyzing results. (n. d.). Eastern Kentucky University. Retrieved from 36

39 Visión Universidad 2016 (University Vision 2016). (2006). Retrieved from Strategic planning in higher education: A guide for leaders. (n.d.). Center for Organizational Development and Leadership, Rutgers University, New Jersey. Retrieved from ADDITIONAL REFERENCES Table 4 includes hyperlinks to assessment manuals utilized by universities in the U.S. and other resources that may serve as references in formulating the various elements of planning and assessment. Table 4. Manuals for Assessment of Institutional Effectiveness Institution or Agency Document Hyperlink UNESCO Department of Education Instituto Para el Estudios [sic] Politicas Fiscales Santa Fe, Nuevo Mexico University of Central Florida Southwestern University Swarthmore College Assessment 101 Winona State University Western Carolina University Texas Christian University Constructing an indicator system or scorecard for higher education: A practical guide Forum Guide to Education Indicators Tomando Decisiones y Haciendo Presupuestos Basados en Resultados y Rendimientos: Materiales de Trabajo The Administrative Unit Assessment Handbook Administrative Assessment Handbook Assessing your Program-Level Assessment Plan Handbook for Program Assessment in Administrative/Educational Support Units Assessment and Quality Enhancement for Institutional Effectiveness at TCU Source: Resources for Higher Education and Assessment, University of North Carolina, C_2_9&gp=1&lin=1&ll=1 sp?pubid= %20files/Materiales%20deTrabajo.pdf ndbook.pdf 57-assessment-handbook-aes administration/ir/assessment101.pdf lt/files/idea_paper_45.pdf essmenthandbook_aes.pdf nts/assessmentmanual-tcu.pdf 37

40 APPENDIX 1: Essential Concepts of Institutional Effectiveness 38

41 APPENDIX 1: Essential Concepts of Institutional Effectiveness A. Institutional Effectiveness Cycle Institutional effectiveness is a cyclical process consisting of seven steps, as shown in Figure 1. Steps 6 and 7 in themselves follow a cyclical process for continuous improvement until the vision and objectives of the corresponding period have been met. Figure 1. Cyclical process of institutional effectiveness 7. Institutional renewal Continuous improvement 1. Evaluation and analysis of internal and external environment Mission/Vision FODA, gap analyses 2. Formulation of prioritized strategic goals and objectives 6. Informed decision making in planning and resource allocation for next cycle Institutional Effectiveness 3. Allocation and integration of the budget 5. Assessment of outcomes or achievements 4. Institution's daily operations Execution of prioritized strategic actions Within the institutional effectiveness cycle, the coordinated integration of planning, resource allocation and assessment plays a role of utmost importance. (Figure 2). 39

42 Figure 2. Coordinated integration of planning, resource allocation, and assessment in the institutional effectiveness process RESOURCE ALLOCATION PLANNING ASSESSMENT Institutional Effectiveness Institutional Improvement and Advancement B. Strategic Planning Strategic planning is a process by which the leaders of an institution develop a vision for the future and formulate prioritized strategic goals and objectives, and develop the strategies, actions, and resources they need to achieve that vision (adapted from Gantz, 2001). Strategic planning includes creating measurable goals and objectives that are realistic and within reach. It is a continuous, flexible, and collaborative process that makes adjustments in response to the analysis of assessment outcomes. In general, strategic plans are made for a period of around five years. To document the strategic planning, a written Strategic Plan is created. Middaugh and Starke (2011) presented a paper emphasizing how important it is for educational leaders to understand clearly the nature of academic strategic planning. They point out that: Academic strategic decision-making means that a college or university and its leaders are active rather than passive about their position in history. Strategic planning looks outward and is focused on keeping the institution in step with the changing environment. Academic strategy making is competitive, recognizing that higher education is subject to economic market conditions and to incredibly strong competition. Strategic planning concentrates on decisions, not on documented plans, analyses, forecasts, and goals. 40

43 Strategy making is participatory and highly tolerant of controversy. Strategic planning concentrates on the fate of the institution above everything else. Academic and administrative units of an institution should create a Development Plan including goals and objectives that contribute in a coordinated manner to achieving the institutional mission and vision. One of the objectives of generating a Development Plan is to foster an integrated and practical approach to planning and assessment as fundamentals for informed decision making at all levels. C. Operational Planning Institutional Level. Institutional strategic planning has an operational component (operational plan) that enables the execution (implementation) of the prioritized strategic actions necessary for reaching the goals and objectives proposed in the institutional strategic plan. It is on these prioritized strategic actions that the institution and its units will focus all their efforts while the operational plan is in force. In the operational plan, for each prioritized strategic action, project, or initiative there must be a statement of: a) an objective, b) the resources (fiscal, human, technological, and physical) needed, c) the person(s) responsible for carrying out the action, d) the desired achievement or outcome and the criterion, measurement, or indicator to determine success, e) a calendar, and f) an Assessment Plan. Unit Level. The operational component of a development plan is called a plan of action or a work plan. A work plan specifies the steps to follow in implementing the strategic actions (e.g. initiatives, projects) necessary for reaching the prioritized strategic objectives that have been proposed. Each initiative or project has a plan of action to follow. The Work Plan aims to formulate the operations, procedures, and processes to be performed in each initiative or project of the Development Plan. When devising a Work Plan, it is necessary to plan for assessment and regular follow-up on progress. D. Strategic Planning Models According to Lerner (1999), "although every strategic planning process is uniquely designed to fit the specific needs of a particular university, every successful 'model'" of strategic planning includes most of the following elements: VISION AND MISSION: Identification of the organization's vision and mission is the first step of any strategic planning process. The university's vision sets out the reasons for [its] existence and the "ideal" state that the organization aims to achieve; the mission identifies major goals and performance objectives. ENVIRONMENTAL SCAN:...[T]he university must analyze its external and internal environment. The environmental scan analyzes information about [the university's] external environment (economic, social, demographic, political, legal, technological, and international factors), the industry, and internal organizational factors. 41

44 GAP ANALYSIS: Organizations evaluate the difference between their current position and desired future through gap analysis. As a result, a university can develop specific strategies and allocate resources to close the gap and achieve its desired state. BENCHMARKING: Measuring and comparing the university's operations, practices, and performance against others is useful for identifying "best" practices. Through an ongoing systematic benchmarking process campuses find a reference point for setting their own goals and targets. STRATEGIC ISSUES. University determines its strategic issues based on (and consistent with) its vision and mission, within the framework of environmental and other analyses. Strategic issues are the fundamental issues the organization has to address to achieve its mission and move towards its desired future. STRATEGIC PROGRAMMING: To address strategic issues and develop deliberate strategies for achieving their mission, universities set strategic goals, action plans, and tactics during the strategic programming stage. Strategic goals are the milestones the campus aims to achieve that evolve from the strategic issues. SMART goals are specific, measureable, agreed upon, realistic, and time/cost bound. Action plans define how we get to where we want to go, the steps required to reach our strategic goals. Tactics are specific actions used to achieve the strategic goals and implement the strategic plans. EMERGENT STRATEGIES: Unpredicted and unintended events frequently occur that differ from the university's intended strategies, and the university must respond. Emergent strategy is "a pattern, a consistency of behavior over time," "a realized pattern [that] was not expressly intended" in the original planning of strategy (Mintzberg, 1994, p ). EVALUATION OF STRATEGY: Periodic evaluations of strategies, tactics, and action programs are essential to assessing success of the strategic planning process.the organization should measure current performance against previously set expectations, and consider any changes or events that may have impacted the desired course of actions. 42

45 Table 5 provides hyperlinks to several models of strategic planning utilized by U.S. universities. Table 5. Strategic planning models University College of Agriculture and Natural Resources University of California Ohio State University Queensborough Community College Rutgers University University of Wisconsin-Madison Hyperlink BB19776EFC1D00/filename/AssessmentHandbook-WebVersion.pdf the%20university.pdf E. Allocation of Resources In order to conduct the strategic actions proposed in the planning, it is necessary to allocate the fiscal, human, physical, and technological resources necessary for their implementation (execution, performance). Institutions have models and defined processes to aid in the allocation of those resources. F. Assessment of Institutional Effectiveness As is explained in the Assessment Handbook (2010), good assessment is "useful and meaningful" and is "integral to institutional change and renewal." The Handbook (p. 5) continues: Assessment means Establishing clearly articulated goals and measurable expected outcomes Systematically gathering, analyzing, and interpreting evidence from the outcomes to determine how well those outcomes have been achieved Using the resulting information from evidence and discussion to affirm institutional effectiveness or to promote continuous improvement 43

46 In addition, the publication mentioned above emphasizes that "to ensure that an institution's assessment is valid and meaningful, assessment must be a process that is comprehensive, integrated, and sustained. First, assessment is comprehensive when it takes into account all levels and all branches of the institution." In a university, three types of assessment are observed: Academic: assessment of student learning, academic instruction, and research Administrative: assessment of all services, programs, and operations that support student learning and research Institutional: assessment of institutional effectiveness "Second, assessment is integrated when there is a clear, conceptual alignment among objectives at different but related levels of the institution." For example, the "administrative goals in any [unit] should be consonant with the corresponding strategic planning goals" for that unit. Meanwhile, on the academic side, "the objectives of courses supporting a curriculum should be consonant with the objectives of that curriculum, which in turn should be consonant with the general education objectives that all graduating students are supposed to attain." Finally, assessment is sustained when the institution makes it a cyclical process and establishes a fixed calendar. Other important elements of assessment are explained in the Assessment Handbook (2010, p. 6): Assessment is achieved most efficiently when it is a collaborative effort on the broadest possible scale. When it works at that level of collaboration, assessment can be the engine for innovation and improvement of the institution. At the same time, assessment is not only about continuous improvement; it is also the means by which an institution can affirm that both institutional and student learning outcomes are meeting defined or projected expectations. Beyond the context of the institution itself, colleges belong to regional accrediting bodies that are intended to ensure that, through peer review, institutions meet general standards of educational excellence. In summary, assessment of the outcomes and achievements of the prioritized strategic actions is an element that must not be omitted from an institution's strategic planning. The assessment process consists of measurement, critical analysis, and evaluation of the achievements or outcomes produced by the execution/implementation of the prioritized strategic actions aimed at attaining the desired prioritized goals and objectives. 44

47 G. Integration of Planning and Assessment In recent years, the importance of integrating planning and assessment has become more and more evident. Criteria used by regional and professional accrediting agencies are placing a growing emphasis on an integrated approach to planning and assessment. Planning and assessment go hand in hand, because in order to learn whether the goals and objectives that were set during planning have been reached, it is necessary to measure, evaluate, and analyze the outcomes. The cycle of institutional planning and assessment has four phases: 1. Developing clearly articulated written statements of key institutional and unit-level goals. 2. Designing intentional objectives or strategies to achieve those goals. 3. Assessing achievement of those key goals; and 4. Using the results of those assessments to improve programs and services (MSCHE, 2006). H. Implementation of the Planning and Assessment Process Implementation of planning and assessment is an integrated process achieved through planning and executing the proposed prioritized strategic actions, evaluating the results or achievements of those actions, and acting upon the analysis of those results. (Figure 3) Figure 3. Graphic representation of the integration of institutional planning and assessment Define the Goals and Objectives Implement the Strategies Evaluate the Results Use the Results 45