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Compact Instructions COMPACT PLANNING AT THE

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					                                    COMPACT PLANNING AT THE
                                    UNIVERSITY OF MINNESOTA

                                      2005-06 Compact Instructions

                                             November 2004


                                                Contents
                                                                     Page
Overview of Compact Planning

   Introduction                                                        2

   The Compact Plan                                                    2

   2005-06 Compact Process and Timeline                                2

   Units Submitting Compacts                                           3

Compact Instructions

   Introduction                                                        3

   Elements of the Compact
       A.   Unit Mission                                               4
       B.   Performance Scorecard                                      4
       C.   Update – Strategic Goals from 2004-05 Compact              4
       D.   New Strategic Goals                                        5
       E.   Diversity Assessment and Planning                          6
       F.   Outreach and Public Engagement                             6
       G.   Space and Facilities Issues                                6
       H.   Significant Financial Issues                               7
       I.   Faculty and Staff Consultation                             7
       J.   Report Summary and Allocation Summary                      7

   Addendum: Examples of Goal and Initiative Statements                8




                                                1
                                     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                                                     Action
 November 2004                         Compact instructions distributed to units.
 December 2004                         Compact orientation session for units (mandatory).
 January – February 2005               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.
 3 weeks after meeting                 Units submit draft compact documents.
 March – June 2005                     Resolution of goals, requests, and issues.
 Late June 2005                        Finalization of outstanding financial issues in coordination with approval
                                       of University’s annual budget.
 July 2005                             Completion of compacts.
 August 2005                           Final compacts posted to the Office of Planning and Academic Affairs
                                       website. (TENTATIVE)




                                                      2
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                             General College
    College of Agricultural, Food                            Graduate School
          and Environmental Sciences                         Humphrey Institute of Public Affairs
    College of Architecture and Landscape Architecture       Institute of Technology
    College of Biological Sciences                           Law School
    College of Continuing Education                          Office for Student Affairs
    College of Education and Human Development               Office of the Vice President for Research
    College of Human Ecology                                 University Libraries
    College of Liberal Arts                                  Weisman Art Museum
    College of Natural Resources

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                                         Rochester Center
    Duluth Campus                                            Minnesota Extension Service
    Morris Campus

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

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




                                          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


                                                         3
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.


                                                      4
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         Proposed for FY 2005-06

                                             Recurring       Non-Recurring    Recurring   Non-Recurring
                                               Cost              Cost           Cost          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:


                                                         5
    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.




                                                     6
    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)




                                                      7
                                              ADDENDUM

                           Examples of Goal and Initiative Statements


                        Old Format                                              New Format

Goal: Maintain and build excellence of College X’s              Goal: Maintain and build excellence of
top-ranked departments                                          College X’s top-ranked departments, as
                                                                measured by initiative metrics, by the year
                                                                20__.

Faculty Retention. Over the past five years, the college        Faculty retention initiative: Increase faculty
has engaged in 27 retention efforts to prevent excellent        retention from __% to __% by the year 2007.
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           NRC ranking initiative: Achieve top 20
administration, the college, and donors have made over the      ranking for four programs in 2006 NRC
past six years have raised the national standing of two         rankings: Program A, Program B, Program
programs: Program A and Program B. We anticipate these          C, and Program D.
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        International collaboration initiative: By
exchanges in Europe and Asia, joint international student       2006, develop a signed long-term cooperative
projects, and recent faculty initiatives have led the college   agreement with Partner X. This agreement
to be uniquely positioned to develop a long-term co-            will result in the following achievements by
operative international agreement with Partner X. This          the stated dates below:
partnership, utilizing the strengths of faculty to organize
intensive teaching, research, and outreach activities, would    • Graduate degrees: M.S. in Field A by 2006
require funding to create several related initiatives:          with 10 students by the year 2007; M.S. in
                                                                Field B with 12 students by the year 2008,
• Graduate degrees: master’s degrees in Fields A and B;         and Ph.D. in Field B with six students by
possible Ph.D. in Field B.                                      2010.
• Visiting fellowships to provide technical support for         • Three visiting fellowships by the year 2008.
teaching and research.                                          • Increase faculty participation in cross-
• Cross-disciplinary participation between Field A, Field       disciplinary teaching by __% in Fields A-D
B, Field C, and Field D.                                        by the year 2009.




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Description: Compact Instructions COMPACT PLANNING AT THE