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					COMPACT PLANNING AT THE UNIVERSITY OF MINNESOTA 2005-06 Compact Instructions November 2004

Contents Page Overview of Compact Planning Introduction The Compact Plan 2005-06 Compact Process and Timeline Units Submitting Compacts Compact Instructions Introduction Elements of the Compact A. B. C. D. E. F. G. H. I. J. Unit Mission Performance Scorecard Update – Strategic Goals from 2004-05 Compact New Strategic Goals Diversity Assessment and Planning Outreach and Public Engagement Space and Facilities Issues Significant Financial Issues Faculty and Staff Consultation Report Summary and Allocation Summary 4 4 4 5 6 6 6 7 7 7 8 3 2 2 2 3

Addendum: Examples of Goal and Initiative Statements

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Overview of Compact Planning Introduction The University of Minnesota initiated compact planning in 1997 to help align broad University goals with the directions, investments, and actions of campuses, colleges, and academic and service units. The compact process promotes shared understanding coupled with decentralized authority, responsibility, and accountability. Compacts help the University:     Identify new strategies and partnerships to achieve University-wide goals and priorities within available resource limits. Identify promising new areas for investment and/or reallocation. Update long-range capital and space plans and priorities. Provide a basis for accountability in evaluating unit and administrator performance.

A decision has not been made at this time whether the final compacts will be placed on the Web. The Compact Plan A compact plan presents, as succinctly as possible, a unit’s highest priority goals, the initiatives necessary to achieve them, and the measures used to assess progress. The compact is not a strategic plan, but it does assume units have established strategic goals. The final compact is a bilateral, written, public agreement negotiated by an academic or service unit and the administrator to whom it reports. FY 2005-06 Compact Process and Timeline Date November 2004 December 2004 January – February 2005 Action Compact instructions distributed to units. Compact orientation session for units (mandatory). Unit meets with senior vice president. Agendas are jointly developed in advance to ensure review of the unit’s key issues and to inform subsequent work on compacts. After these meetings, the unit should have a clear idea of which goals will be included in the compact and how progress will be measured. Similarly, the senior vice president will understand the unit’s issues and possible actions to pursue on its behalf. Units submit draft compact documents. Resolution of goals, requests, and issues. Finalization of outstanding financial issues in coordination with approval of University’s annual budget. Completion of compacts. Final compacts posted to the Office of Planning and Academic Affairs website. (TENTATIVE)

3 weeks after meeting March – June 2005 Late June 2005 July 2005 August 2005

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Units Submitting Compacts The following units are required to submit a 2005-06 compact: Units submitting compacts to Senior Vice President and Provost Tom Sullivan with administrative lead by Alfred D. Sullivan, Executive Associate Vice President:
Carlson School of Management College of Agricultural, Food and Environmental Sciences College of Architecture and Landscape Architecture College of Biological Sciences College of Continuing Education College of Education and Human Development College of Human Ecology College of Liberal Arts College of Natural Resources General College Graduate School Humphrey Institute of Public Affairs Institute of Technology Law School Office for Student Affairs Office of the Vice President for Research University Libraries Weisman Art Museum

Units submitting compacts to Senior Vice President for System Administration Robert J. Jones with administrative lead by Alfred D. Sullivan, Executive Associate Vice President:
Crookston Campus Duluth Campus Morris Campus Rochester Center Minnesota Extension Service

Units submitting compacts to Senior Vice President for System Administration Robert J. Jones with administrative assistance by Geoff Maruyama, Assistant Vice President:
Auxiliary Services Capital Planning/Project Management Facilities Management Human Resources Intercollegiate Athletics Office for Multicultural and Academic Affairs Office of Information Technology Office of International Programs Public Safety University Health and Safety University Relations

Units submitting compacts to Frank Cerra, Senior Vice President for Health Sciences:
College of Pharmacy College of Veterinary Medicine Duluth School of Medicine Medical School School of Dentistry School of Nursing School of Public Health

Compact Instructions
Introduction The 2005-06 compact development process builds on the approved 2004-05 compact but includes several important changes. In particular, the compacts should be consistent with the documents requested by Provost Tom Sullivan in August 2004 regarding unit goals, mission, and vision; what is core to that mission; and what is essential support for that core. The compact instructions provide a standard outline that is different from previous years. It is essential to follow this outline so readers can easily find common issues and information in similar places. Senior

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administrators and others refer to the compacts periodically to help develop state budget requests, answer programmatic and accountability questions, and gain information specific to a unit. Elements of the Compact Please follow the instructions below for Sections A through I in drafting the unit’s compact. The entire compact document should not exceed seven standard pages. Questions or concerns about the instructions should be directed to Alfred Sullivan or Julie Tonneson. A. Unit Mission – State the unit’s mission. List links to websites with more information, including the unit’s strategic plan, programming, and structure. Suggested length: One succinct paragraph. B. Performance Scorecard – This section lists the primary measures used by the unit to monitor and manage its performance over a period of time. Units with enrolled students should complete Parts 1 and 2; all other units should complete Part 2 only. 1. Enrollment Management Measures – For units with enrolled students, list: a. current and projected enrollment targets and results, b. retention and graduation rate goals and results (or certification exam rates or similar measures), c. student quality and diversity measures, d. enrollment results for any new academic program (degrees, majors, minors, certificates), initiated within the past three years, e. names of academic programs (degrees, majors, minors, certificates) projected to be added or discontinued during the year, f. proposed changes in enrollment policy or plans, including potential impact on tuition policy. Include financial modeling (up to five years) of budgetary rewards against expected all-funds costs to ensure that the full economic impact has been considered. Note: Any planned changes in enrollment levels need to be approved by Senior Vice Presidents Tom Sullivan or Frank Cerra, as appropriate. 2. Other Performance Measures – All units should list the primary measures used to monitor performance. Examples could include:         reputation rankings of faculty or program quality, assessment of student learning, satisfaction measures placement of graduates, sponsored research expenditures, financial measures, human resource measures other core process indicators for teaching (e.g., time to graduation), research (e.g., grants per tenured faculty, total dollar amount of grants), outreach (e.g., patents), and/or service support (e.g., facilities management, purchasing, asset management).

For other possible measures, please refer to the University Plan, Performance, and Accountability Report (www.evpp.umn.edu/uplan/) Suggested length: One sentence per measure. Attach trend data, if available.

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C. Update – Strategic Goals from 2004-05 – Identify the top three strategic goals carried forward from the 2004-05 compact that are most critical for the unit’s achieving its performance goals listed in Section B. See page 8 for examples. Please number these goals in sequential order and format this section so that for each of the three 2004-05 compact goals there is a brief description of: 1. The strategic goal: What was to be accomplished? How was the goal to be measured? By what date is the goal to be accomplished? 2. Impact of the goal: Include a summary statement describing planned-for or realized impacts of the goal on academic quality, revenues, expenditures, productivity, and/or service levels. For financial impacts, list past allocations and proposed resource plans, even if the goal has been and will be funded completely with internal unit funds, in which case a narrative description of the financing plan will suffice. 3. Significant initiatives to achieve the goal: Goals are often accomplished through a series of initiatives. In this section, list the top 3-5 initiatives that: a) have been completed, b) are in progress, and/or c) have yet to be carried out. For each initiative, state what has been, is being, or will be accomplished; how the initiative was, is being, or will be measured; and the date by which the initiative was or will be completed. Identify a contact person for each initiative. Suggested length: Generally, a strategic goal and significant initiatives should be stated in one sentence, followed by a brief description of no more than a few paragraphs. 4. Financial information: The desired format for displaying financial information in cases where joint funding from different units is involved is as follows:
Item Total from Previous Years
Recurring Cost Non-Recurring Cost

Proposed for FY 2005-06
Recurring Cost Non-Recurring Cost

________________________ ________________________ ________________________
Total cost: Other contribution Unit contribution Central contribution Total contribution:

_________ _________ _________

_________ _________ _________

_________ _________ _________

_________ _________ _________

_________ _________ _________

_________ _________ _________

_________ _________ _________

_________ _________ _________

If a financing plan contains proposed central allocations, and the final allocation decisions do not include funding of that particular item, the unit will be asked to rewrite the goal statements and amend the financing plan to reflect the final approved actions. Requests for central funding will not be approved for goals that are submitted without a complete financing plan. D. New Strategic Goals – Describe new strategic goals (no more than 3-5) that the unit will be pursuing to achieve its performance goals. Each goal should have been discussed at the compact planning meeting so that there is general agreement on moving forward. Please number these goals in sequential order and format this section so that for each 2004-05 compact goal there is a brief description of:

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1. The strategic goal: What is to be accomplished? How will the goal be measured? By what date will the goal be accomplished? 2. Impact of the goal: Include a summary statement describing planned-for impacts of the goal on revenues, expenditures, productivity, and/or service levels. For financial impacts, list proposed resource plans, even if the goal will be funded completely with internal unit funds, in which case a narrative description of the financing plan will suffice. 3. Significant initiatives to achieve the goal: List the top 3-5 initiatives that will be undertaken to achieve the goal. For each initiative, state what is to be accomplished, how the initiative will be measured, and the date by which the initiative will be completed. Identify a contact person for each initiative. 4. Financial information: Same as Section C. Suggested length: Same as Section C. See addendum for examples. E. Diversity Assessment and Planning – All policy decisions, particularly decisions involving allocation of resources (financial, personnel, or physical), have a potential impact on equity for and among the University’s multicultural communities. Please use this section to address these questions: 1. What plans do you have to increase the presence of underrepresented groups among your faculty, staff and students (or just staff for support units)? 2. What actions will you take to assess and improve the climate for diversity in your unit? Suggested length: No more than one brief paragraph per question. F. Outreach and Public Engagement – This section highlights the primary outreach and public engagement activities of the unit, using this CIC/NASULGC definition approved by the University in 2004: ―Engagement is the partnership of university knowledge and resources with those of the public and private sectors to: 1) enrich scholarship, research, and creative activity; 2) enhance curriculum, teaching and learning; 3) prepare educated, engaged citizens; 4) strengthen democratic values and civic responsibility; 5) address critical societal issues; and 6) contribute to the public good.” In this section, briefly describe your unit’s primary outreach and public engagement activities (including global and economic development activities, if appropriate), identifying what audiences were reached and for what purpose, and indicating how the outreach/public engagement was evaluated. Suggested length: No more than 1-3 paragraphs. G. Space and Facilities Issues – This section is divided into two parts: 1. Compact Initiative Impacts and Space Management List the facility impacts of any programmatic initiatives described in Sections C and D. Also list other pressing space management issues (including classroom availability). Suggested length: One sentence per item.

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2. Major Capital Investment Priorities This section identifies and reconfirms the unit’s highest priority facility needs for consideration in the six-year capital plan. A project will not be considered for inclusion in the six-year capital plan unless it is part of the unit’s final compact. Planning and/or fundraising may not commence until the project is included in the six-year capital plan. In this section, list in priority order the major capital needs that might reasonably be addressed in the next six years. Such a list should rarely include more than two or three projects. Do not include HEAPR (Higher Education Asset Preservation and Renewal) requests. For each item, include a one-sentence description of the project or programmatic need, proposed funding source, and an order of magnitude cost projection (if available). In preparing this list, review the most recent six-year capital plan approved by the Board of Regents (www.budget.umn.edu). Major capital projects are defined as meeting one or more of the following criteria:      Projects costing more than $1 million Projects seeking state appropriations Projects requiring University-issued debt Projects seeking permission to fundraise from philanthropic organizations or individuals Projects with exterior visual or physical campus impact

Only items approved for inclusion in the six-year capital plan will remain in the final version of the compact. Suggested length: One sentence for each project. H. Significant Financial Issues – List the major financial trends, drivers, challenges, and/or opportunities that are likely to affect the unit’s performance in the next five years. Do not list items related to the financing plans in Sections C and D above. Suggested length: No more than two sentences per item listed. I. Faculty and Staff Consultation – Describe the process used in the unit and its sub-units to discuss and develop the compact with faculty and staff. Suggested length: No more than one paragraph. J. Report Summary and Allocation Summary – (Completed by central administration)

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ADDENDUM Examples of Goal and Initiative Statements

Old Format Goal: Maintain and build excellence of College X’s top-ranked departments

New Format Goal: Maintain and build excellence of College X’s top-ranked departments, as measured by initiative metrics, by the year 20__. Faculty retention initiative: Increase faculty retention from __% to __% by the year 2007.

Faculty Retention. Over the past five years, the college has engaged in 27 retention efforts to prevent excellent faculty from leaving Minnesota. Nearly one-third (8) of these retentions have occurred in the three top-ranked departments. The college will continue to respond aggressively to offers from peer institutions and to be proactive with preventive retention strategies. Endowed chairs and professorships—a powerful tool to attract and retain excellent faculty—will remain a top collegiate priority for private fundraising. Strategic Opportunities. The investments that central administration, the college, and donors have made over the past six years have raised the national standing of two programs: Program A and Program B. We anticipate these programs will move up significantly in the next NRC evaluations, and will most likely rank among the top 20 programs nationally. The college will work with these programs to ensure that the current faculty strength is maintained; that faculty scholarship, graduate recruitment, training, and placement is supported; and that faculty scholarship is widely disseminated. We are also poised to raise the NRC rankings of Program C and Program D to the top 20 programs nationally. International Collaboration: Ongoing faculty and student exchanges in Europe and Asia, joint international student projects, and recent faculty initiatives have led the college to be uniquely positioned to develop a long-term cooperative international agreement with Partner X. This partnership, utilizing the strengths of faculty to organize intensive teaching, research, and outreach activities, would require funding to create several related initiatives: • Graduate degrees: master’s degrees in Fields A and B; possible Ph.D. in Field B. • Visiting fellowships to provide technical support for teaching and research. • Cross-disciplinary participation between Field A, Field B, Field C, and Field D.

NRC ranking initiative: Achieve top 20 ranking for four programs in 2006 NRC rankings: Program A, Program B, Program C, and Program D.

International collaboration initiative: By 2006, develop a signed long-term cooperative agreement with Partner X. This agreement will result in the following achievements by the stated dates below: • Graduate degrees: M.S. in Field A by 2006 with 10 students by the year 2007; M.S. in Field B with 12 students by the year 2008, and Ph.D. in Field B with six students by 2010. • Three visiting fellowships by the year 2008. • Increase faculty participation in crossdisciplinary teaching by __% in Fields A-D by the year 2009.

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