Samples of Business Goals for Improvement by gaw20335

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									                             Samples, Forms and Formats

                 “Strategic Planning: Off the Shelf and Into Action”
              2:30-4:00 p.m. (EST) Wednesday, November 19, 2003
                   Co-sponsored by ACE, NACUBO, and NCCI




Title                                                                     Page
Categories Baldrige Education Criteria for                                 2
Performance Excellence Framework
UW-Madison Strategic Planning Model                                          3
Involving People in Planning                                                 4
Determining Stakeholder Needs                                                5
Sample Goal and Action Planning Format                                       6
Personal Professional Development Plan                                       7
Don’t Forget the Point Person                                                8
Relating Your Plan to the Campus Plan                                        9
What to Do at a Check Meeting                                               10
Program Plans and Budget Requests                                           11
Department Chair’s Planning and Budget                                      12
Priorities
Strategies for Discussing Budget Priorities and                             13
Reductions
Budget Discussion Matrix                                                    14
RCTC “Map” for Integrating Continuous                                       15
Improvement, Planning and Budgeting
RCTC Integrated Budgeting Process FY 2004                                   16
RCTC Self-Assessment Matrix for College                                     17
Services




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”   1
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                                    Categories
       Baldrige Education Criteria for Performance Excellence Framework:
                             A Systems Perspective

   1. Leadership

   2. Strategic Planning—

   Criteria examine how your institution develops STRATEGIC OBJECTIVES and
   ACTION PLANS. Also examined are HOW your chosen STRATEGIC
   OBJECTIVES and ACTION PLANS are deployed and how progress is
   measured

   A key question relative to strategic objectives is:

   Describe how your organization establishes its strategic objectives, including how
   it addresses learning-centered education to ensure student achievement,
   addresses KEY student and STAKEHOLDER needs, enhances its
   PERFORMANCE relative to competitors and comparable organizations, and
   enhances its overall PERFORMANCE and future success (p. 20)


   3. Students, stakeholder and market focus

   4. Measurement, analysis and knowledge management

   5. Faculty and staff focus

   6. Process management

   7. Organizational performance results



From Education Criteria for Performance Excellence (2003) Washington, D.C.:
Malcolm Baldrige Quality Program, Technology Administration, US Department of
Commerce. http://www.quality.nist.gov/Education_Criteria.htm




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”         2
Webinar co-sponsored by ACE, NACUBO and NCCI, November 19, 2003
            Strategic Planning Model, University of Wisconsin-Madison


                                   Mission
                        Why do we exist?
                        Who is affected by our work?
                        What are their needs?
                        What is the University's plan?
                        What are our primary functions for
                         carrying out our mission?                             Strategic Priorities
                                                                             In what major directions will we focus our
                                                                              efforts to advance toward our vision?
                                                                             Do our strategic priorities support those of our
                        Operating Principles                                  school/college/division and the University?
                                                                             With whom will we link to accomplish these
                                                                              goals?
                              What are our organizational
                               values and principles?                        How will we know we've improved?
 Annually




                                                                             What will we stop doing or do differently?




                                     Vision
                         Where do we want to be in 3-5 years?
                         What will be our stakeholders' needs?


                                                                                 One Year Action
                                                                              Planning , Budgeting,
                                                                                   and Process
                        Situational Analysis                                      Improvement
                                                                                                                            Quarterly
                                                                                                                            Monthly,
                                                                                                                            Weekly,
                    This step can be integrated throughout the process.

                   Where are we now?
                   What are our stakeholders' needs?
                   What do our assessment data tell us?
                   What are we doing well?
                                                                                  Periodic Checks
                   What can we improve?
                   Externalopportunities/threats?
                   What is happening in the external environment?
                    T rends?




                OfficeofQuality Improvement (608)262-6843
            l




                        Note: Also see the planning model used at Penn State “Integrating
                        Planning, Assessment, and Improvement: A Model” at
                        http://www.psu.edu/president/pia/cqi/planning_model1.pdf




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                                                         3
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                                 Involving People in Planning


In strategic planning, the process is as important as the product. A collaborative planning process helps
ensure that people understand the plan and are willing to implement it. One criterion for judging a sound
strategic plan is this question, “Is there evidence that everyone in the organizational unit or department
participated in some meaningful way in strategic and annual planning?”

In the model developed by the office of Quality Improvement, a planning group of 10-20 members
representing the entire organizational unit or department is convened. This planning group develops the
proposed plan in a one- or two-day retreat through a facilitated process.

How can everyone be involved directly or indirectly? The following four approaches are being used
successfully on the UW-Madison campus and elsewhere.

   1. Survey the entire unit prior to the strategic planning event regarding unit strengths and weaknesses;

   2. Hold focus groups to identify internal and external trends affecting the unit;

   3. Present the proposed plan to the entire unit for feedback and revision (This step can also be done via
      mail or E-mail);

   4. Involve a variety of people in work teams to refine and carry out the broad three-year goals identified
      in the strategic planning process. Thus, many people can serve on work teams who were not
      necessarily involved in the planning event.

Equally critical to good planning is the need to involve external stakeholders in the process. The next
“Planning Corner” will focus on practical ways to involve those groups whom our organization exists to
serve.




From: .A Collection of Planning Corner Articles (p .6) by Kathleen A. Paris. 2000, Madison, WI: Office of
Quality Improvement, UW-Madison, UW System Board of Regents.
http://www.wisc.edu/improve/strplan/collection.pdf/




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                                4
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                               Deter mining Stakeholder Needs

This is the second in a series of articles on effective strategic planning. Each article highlights a question
regarding the planning process or the plan itself. The more heartily the questions posed can be answered in
the affirmative, the more effective the planning exercise is likely to be.


Is there evidence that data on the needs of all the stakeholders but especially those from outside the
organization were sought and used in the planning process?

One of the elements of strategic planning that distinguishes it from garden-variety long-range planning is
attention to the larger social, economic and political systems in which the organization operates and
specifically to the needs of stakeholders. In a University, the external stakeholders (those outside of the
immediate unit, department, school, college, division) may be many. In the planning model used by the
Office of Quality Improvement, the first step is defining mission or purpose. The next question becomes,
“For whom do we do these things?” For departments involved in strategic planning, this can include students,
funding agencies, other departments, employers who hire graduates, and a host of others including society at
large. For administrative units, external stakeholders can include faculty, academic staff, classified staff,
students, other agencies or organizations, and the like. Following are some practical ways to involve those
who we exist to serve in the planning process with the goal of determining their needs.

   1. Include several key stakeholders in the strategic planning group. These external representatives will
      bring fresh insights and valuable feedback to the planning process. Most departments, units, and
      colleges on this campus who have invited stakeholders to participate in one or even two-day planning
      retreats have received positive responses to the invitations.

   2. Hold focus groups of key stakeholders prior to the major planning event to determine their needs and
      satisfaction levels. The information generated from the focus groups is valuable for the situational
      analysis, a major step in the planning event. This information also helps determine where gaps exist
      between the current situation and the organization’s vision for itself in the future.

   3. Circulate the proposed strategic plan to external stakeholders for review and comment. Ask them,
      “What do you like about the proposed plan? What causes you concern? Did we miss anything?” The
      proposed plan should be changed as necessary to reflect stakeholder needs.




From: .A Collection of Planning Corner Articles (p .7) by Kathleen A. Paris. 2000, Madison, WI: Office of
Quality Improvement, UW-Madison, UW System Board of Regents.
http://www.wisc.edu/improve/strplan/collection.pdf/




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                                  5
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                           Sample Goal and Action Planning Format
         Goal A: _________________________________________________

         Point Person: _____________________________________________


     #     ACTION STEPS      Lead   Involved   Others         Measure (s)             Done
                                               Involved       Indicators of Success   (X)
                                               (external)

     1



     2




     3




     4




     5




     6




     7




Goals for action planning would be reviewed and revised each year with new goals
replacing those that have been accomplished.

     If it is necessary to assign someone to a task when they he or she is not present,
     indicate who will discuss the needed activities with the individual and by when.

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                          Personal Professional Development Plan
                                      July 1, 2004–June 30, 2005


Professional Development Plan For:______________________________


Skill or             Related            Proposed Activity*                Cost
Knowledge to         Department/Office (What, when, where?)               (Including travel,
Develop              Directions / Goals                                   etc.)




Comments:




Chair/Director Signature:_____________________________Date:_________________




*Proposed activities can be workshops, conferences, coaching, books, videos, on-line learning, opportunities
to shadow, writing and submitting articles for professional journals, etc.




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                                 Don’t Forget the Point Person
                                                Kathleen A. Paris
                                   Office of Quality Improvement, UW-Madison

We encounter so many things that, only a short time ago, did not even exist. Do you remember the first time
you heard the term world wide web? Who knew we would heat our lunches by agitating the molecules in our
food (ala the microwave)? The career I have now as a planning and improvement consultant didn’t even exist
when I was filling out those interest inventories in high school. (I was advised to marry a clergyman.)

Another one of those new arrivals to the work scene is the idea and embodiment of a point person. We should
find a point person wherever there is a goal or some kind of collective action taking place.

A point person is not quite the same thing as the team leader, although one could serve both functions,
depending on the situation. A team leader often has some functional authority over those working on a
particular effort or has authority “bestowed” for the task. But what about efforts that involve players from
multiple units from different parts of the organization, who may ordinarily interact very little, and perhaps
hold varying levels of authority and responsibility? These horizontal efforts can benefit by having a point
person.

The point person is responsible for ensuring that the goal is progressing as planned. Without functional
authority over many or any of the players, the point person’s tools are progress checks and documentation
and dissemination of what has been accomplished. The point person also is the only one with the “view of the
whole” and connection to all the parts and thus plays an essential linking role, connecting people with others
when their efforts are related. This perspective of both the parts and the whole makes the point person
uniquely situated to coordinating reporting of progress and results.

In decentralized organizations such as the university, it is often difficult to know who to go to. The point
person is the individual people can go to with ideas for improving or with concerns or to identify an
opportunity that the group might seize. If a group’s progress is blocked, the point person takes the initiative
to work with the group to resolve the problem and move forward.

A point person is identified for each of the UW-Madison vision priorities. For example,
Virginia Sapiro is Associate Vice Chancellor for “Teaching and Learning.” In her role as point person, she
coordinates, focuses, helps identify gaps and overlap among efforts, collects information on on-going efforts,
and links the efforts of many people and units on campus as they work toward enhancing undergraduate
education.

Without point people, goals in even the best strategic plans can languish. With a point person, someone is
clearly responsible for nurturing the goal along.

                                                       ***
                                                                                         Updated October, 2003




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                                   8
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Reprinted from ExChange, Volume 5, Issue 5 (2001)
Office of Quality Improvement, UW-Madison




    UW-Madison
    Strategic Plan              Relating Your Plan to the Campus Plan
                                UW-Madison has a campus strategic plan developed with the objective:

                                        To sustain and strengthen our position of preeminence
                                                  in research and higher education.
      • web version
                                This objective will only be accomplished through the focused efforts of
      • pdf format
                                schools/colleges, divisions and programs across campus. This
                                document provides a guide for developing a plan for your unit or
                                program that is aligned with and helps advance the overall campus
                                priorities.
   I. Promote Research
                                What can we do to align our plan with the campus plan?
   II. Advance Learning
                                If You Already Have a Plan…
   III. Accelerate
      Internationalization      If You Have Not Yet Developed Your Plan…
   IV. Amplify the              Methods for Determining Priorities and Making Choices for Action
      Wisconsin Idea

   V. Nurture Human             Communicating Your Plan and Reporting Progress
      Resources
                                Aligning Resources With Your Plan

                                Implementing Your Plan
      • 2003-2004 (PDF)
      • 2000-2002 (PDF)         Measuring and Monitoring Progress

                                Resources to Help You With Strategic Planning

                                Campus Priority Point People

                                Planning Corner: Don't Forget the Point Person

This page may be found at: http://www.chancellor.wisc.edu/strategicplan/relating.html


Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                           9
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                                   What To Do At A Check Meeting
                                                   Kathleen A. Paris

Whenever a group sets a goal, right then and there, schedule a date and time to check on progress. Check meetings
have two kinds of aims. The rational aims are to update, coordinate, resolve problems and agree on next steps. The
experiential aims are to inspire and motivate group members so that hopefully they leave the meeting confident of
continuing success. The Institute of Cultural Affairs (2000) suggests these aims and a way to divide a check meeting
into segments.

1. Setting the context involves reviewing the agenda, adding any items people need to discuss and having a brief
   check-in conversation. Check-in or trigger questions that have worked well for me include:

     Describe in one word or phrase how implementation is coming along.
     What if anything has changed since we first set this goal?
     Why did we set this as a goal in the first place?
     What are we hoping to accomplish?

  The purpose is to help people focus on the meeting and task at hand which isn’t necessarily easy when we are
  rushing from one meeting to another.

2. In tracking the action, individuals or subcommittees report on their assignments including:

         actions taken since the last meeting
         what has been accomplished including breakthroughs
         blocks or challenges that need to be addressed
         where more focus/effort/help might be needed

      One-page summaries of these answers can be very helpful.

3. Moving the plan forward, says ICA, is the heart of the meeting where the group decides what to do to move the
  goal or plan ahead. This usually requires going back to challenges identified and deciding the best course of action. If
  there are several “sticking” places, is there a pattern? What might help get things moving again? What is working
  well that we should continue? Work might be done in subcommittees or all together.

  ICA suggests that study or training may be needed and that the check meeting offers an opportunity for learning
  together. (Studying can mean inviting another department or office to discuss how they handle similar situations.)

4. The Final check recaps assignments and next meeting and invites announcements.

5. Reflection is a brief focused conversation on the meeting and the team’s accomplishments and hopes, such as “What
  are some hopes you have about the next phase of implementation?” or “What part of today’s check was most helpful
  to you?”

                                                       Reference
Group Facilitation Methods: Effective Methods for Participation  Institute of Cultural Affairs, 1991, 1994, 1996,
   2000. http://www.ica-usa.org/




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                                        10
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                            PROGRAM PLANS AND BUDGET REQUESTS
 Program (s):
 Department:
 Submitted by:
   1. Major Accomplishments:
       (Anticipated status at the end of the semester. List appropriate data and/or projected
       accomplishments related to last year’s plans.)
   2. Strengths and Opportunities:
       (What are the major strengths of the program? What opportunities exist because of these
       strengths? What external factors contribute to these strengths and opportunities?)
   3. Limitations, Barriers, Weaknesses:
       (What factors limit progress? What barriers limit future development? Identify any weaknesses
       that should be addressed in planning for the future.)
   4. What are your 3-5 year goals for this program?
   5. Objectives:
       List objectives proposed for next year:           What College and/or University Strategic
                                                         Directions are addressed by each
                                                         objective?




   6. What are the curriculum or program changes for the upcoming year?
   7. What are the projected enrollments for the program?
   8. List new staff needed (in priority order):
   9. List new major equipment required (in priority order, $500 and up):
 10. List new/modified facilities needed (for capital exercise):
 11. Identify other major budget changes including activities and expenses from last year
     which have been deleted in this budget?

This budget and planning document may be completed by all the programs or cost-centers within a
department or administrative unit. For more information, see Strategic Planning in the University at
http://www.wisc.edu/improve/strplan/struniv.html




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                        11
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                     DEPARTMENT CHAIR’S PLANNING AND BUDGET PRIORITIES
Department:
Programs/Cost Centers Included:
Chair:
 1. Major Accomplishments: (What has the department achieved in the past year?)
 2. Strengths and Opportunities:
     (What are the major strengths and vitality of this department? What opportunities exist because of these
     strengths? What external factors contribute to these strengths and opportunities?)
 3. Limitations, Barriers, Weaknesses:
     (What factors limit progress? What barriers limit future development? Which of these are under our
     control?) Identify any weaknesses which should be accessed in planning for the future.)
 4. Long-Range Goals and Objectives:
     (Where is this department moving in the next 3-5 years? What are the long-range directions? What
     changes will be needed over the next few years? Will this department grow/decline/remain the same in
     terms of students, staff, and faculty?)
 5. Objectives:
     List objectives proposed for next year:                  What College and/or University Strategic
                                                              Directions are addressed by each objective?




 6. New Personnel Priorities:
     Identify personnel priorities. How do these priorities relate to the goals/objectives of the department?
 7. New Equipment Priorities:
     Identify equipment priorities. How do these priorities relate to the goals/objectives of the department?
 8. Facility Change/Capital Exercise Priorities:
     Identify your facility change/capital exercise priorities. How do these priorities relate to the
     goals/objectives of the department?
 9. What are the implications for other departments or services? (Attach a separate sheet for this. It will
    be distributed to the appropriate departments.)

   This document is completed by the department chair or unit director and represents a composite of
   the “Program Plans and Budget Request” submissions from various programs; cost centers, or
   individual faculty and staff members. For more information, see Strategic Planning in the University
   at http://www.wisc.edu/improve/strplan/struniv.html




   Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                              12
   Webinar co-sponsored by ACE, NACUBO and NCCI, November 19, 2003
STRATEGIES FOR DISCUSSING BUDGET

PRIORITIES AND REDUCTIONS

In light of the current budget situation, we are all exploring creative ways to sustain our excellence through
the expected reductions over the next few years. Following is a list of questions you might use to engage
faculty and staff in discussions to identify cost reduction strategies.

To make this exercise as useful as possible, it should be clear at the start who will make the final decisions.
Clarify for those involved in the discussions whether they are providing input and feedback to the leader or a
governance committee or whether the group is making the decisions.

Every school/college and administrative unit is analyzing its own budget situation and developing its own
strategies and guidelines. Check with your dean’s or director’s office in preparation for having this discussion
with your faculty and staff.

   Questions to Consider for Budget Discussions:

   1. Identify what principles will guide the budget deliberations. (E.g. sustain quality, core to mission and
      strategic plan, etc.)

   2. List what functions, programs, services or units are most essential to protect.
           To what extent is the function, program, service or unit a priority in the campus strategic
             plan? (See http://www.chancellor.wisc.edu/strategicplan/) In our own strategic plan?
           How critical is the function, program, service, or unit to our overall mission or purpose? Why?
           What do we know about the quality of the function, program, service or unit as measured by
             those served?
           To what extent does the function, program, service or unit generate resources, such as
             research funding?
           Other …

   3. Discuss how these essentials could be done more efficiently, or with fewer resources.
          How could streamlining or technology make them more efficient?
          What opportunities are there for partnering or consolidation?

   4. What are ways we might generate additional revenues? Are there ways we might shift funding
      sources?

   5. List functions, programs, services or units that could possibly be reduced or eliminated. Consider
      mergers, collaborations or partnerships.
           How much would the action save this year? Next year? The year after?
           What would be the impact? On whom?

       The Budget Discussion Matrix (next page) may be used to engage faculty and staff in evaluating
       these potential reductions.

                            If you have questions or are interested in additional guides,
                                  please contact the Office of Quality Improvement
                                             at oqi@bascom.wisc.edu

Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                              13
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BUDGET DISCUSSION MATRIX
                          What would the impact be on: 
   If the following         Students      Faculty/     External    Potential to                 Campus        Our       Other      Comments
 functions, programs,                      Staff       groups,     collaborate    Cost/ FTE’s   Strategic   Strategic   Criteria
   services or units                                   offices,     w/ others                     Plan
                                                                                                              Plan
   were reduced or                                   departments
   eliminated… 




From: UW-Madison Budget Decision Resources. See http://www.provost.wisc.edu/docs/strat.pdf




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                                   “Map” of Rochester Community and Technical College Continuous Improvement Plan:
                                                         Integrating Planning and Budgeting

                                                                             Department/Program
                                                                                Cost Centers:



                           College Vision                 College Mission                         College Values                    Design Criteria


                                       Department Mission,                                                        Requirements of
                                                                                 Customers/
                                        Values, or Guiding                                                          Customers/
                                                                                Stakeholders
                                            Principles                                                             Stakeholders


                                            Key Processes                                                  Key Performance Indictators


                                                      To create a learning    Position RCTC as the   Maximize student       Utilize leading-edge
                                   College Goals
                                                          organization          college of choice  success & satisfaction        technologies

                                Department goals &
                                    strategies

                                 Rationale/Trends


                               Current Performance


                               Targeted Performance


                               Resources Requested




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                               Rochester Community & Technical College
                                 Integrated Budgeting Process FY 2004


To:           Faculty, Staff and Administrators

From:         RCTC Leadership Council

Date:         April 1, 2003

Subject:      Integrated Budget Process for FY04

                                What is Budgeting?

Making Decisions               That Distribute Resources           To Enable Action
Rochester Community & Technical College is continuing its continuous improvement
journey with the integrated budgeting process. Specifically, the integrated budgeting
process aligns resources to our strategic priorities. Resources are both human and
financial.


                FY 04 Budget Items
                Requested
       Continuous                 Program or                     Resource
      Improvement                   Service                      Request
          Plan                     Reviews                        Forms


The Continuous Improvement Plan is an annual work plan that requires each
program/department to identify goals and strategies supporting and aligning with college
goals. Each program/department will be required to complete a continuous improvement
plan by using a template providing a common approach to capturing data and information
requested. These templates are available as a Microsoft Word file on the J: drive in the
continuous improvement plans folder. Following are the steps for the integrated
budgeting process (resource alignment) for FY04.

Step 1 – Access the Continuous Improvement Plan templates on the J: Drive in the
Continuous Improvement Plan folder. This folder contains academic and nonacademic
templates and samples of completed plans. Copy the appropriate template to your
workstation.

Step 2 – Complete the section on progress towards last year’s goals.
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Step 3 – Identify your program/department mission statements that align with the
college vision, mission and values.

Step 4 – Identify your key stakeholders (i.e. students, other faculty or staff, Chancellor’s
office, State regulations, business & industry) and their requirements or expectations of
your department/program. Sources for identifying stakeholder requirements include the
student satisfaction and staff satisfaction surveys. The academic template includes the
highest rated items by students. Additional requirement may be added.

Step5 – Identify your key work processes and the key performance indicators that you
plan to use to track assess the performance of these processes. For the academic areas,
key processes identified by the Teaching and Learning Committee are included in the
template. Unique processes to your academic program or department can be added.

Step 6 – Identify goals and strategies for your department/program that you plan to
work towards that support identified college goals. If possible, identify goals and
supporting strategies for each college goal. For each program/department goal state the
rationale and/or trends supporting this effort. As much as possible, each goal should
identify current performance and then state a target for performance for the goal. Data
and information can be drawn form current or recent program and service reviews. Data
and information can also be drawn from college research, accreditation recommendations
and feedback reports, and other sources. Some data may not have been requested before
and there fore the performance may be to identify a base level.

Step 7 – For each goal identify resources needed to achieve the goal. This may include
staffing, technology, finances or other resources. If the goal is to be achieved by
reprioritizing existing staff or funding, or leveraging dollars note this.

Step 8 – Attach summaries from the current or most recent program/service review or
self-assessment that has been conducted. This may be the 2002 program review from last
year or it may be an updated version, you choose.

Step 9 – Complete your resource request by working with your Vice President, Dean or
Director. Use the forms on the J: drive and opening J:/budget/fy04bud/bud-form and
completing the appropriate cost centers as in past years. Specific instructions are found
on the budget forms. Please note: include in your budget request an amount for
telephone charges. Information on prior years budget and spending can be found at
J:/Budget/FY03 Budget Balances. Look for the most recent month for the most up to
date spending. Submit this cost center budget to your manager.

Step 10: Submit all completed documents to the appropriate Dean or supervisor.
Managers save a copy of your completed and approved continuous improvement plan on
the J: drive in the continuous improvement plan folder for your area. Name the file with
your program/department name.




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Integrated Budgeting Process Timelines

      Completed Continuous Improvement Plans should be submitted to your Dean, VP
       or Director by April 25, 2003. Managers should review the plans and post to the J
       Drive by May 9, 2003.
            Continuous Improvement Plans will be reviewed to ensure alignment
              across the college. The appropriate Dean, VP, Director, committees and
              the Leadership Council will review the plans containing requests for new
              monies.
            A time will be set aside on staff development day, May 14th to consult
              with your Dean if necessary.

      Completed cost center budget requests submitted to your Dean, VP or Director by
       April 25, 2003. The Dean, VP or Director will post the approved cost center
       budgets to the J: drive by May 15, 2003.

      Rapid Response Team brainstorming ideas will be reviewed and when deemed
       appropriate incorporated in the integrated budget.


Rochester Community & Technical College Leadership Council
       Don Supalla, President
       Judy Harris, Vice President for Academic Affairs
       Dan Thompson, Vice President for Student Affairs and University Advancement
       Tim Gilsrud, Director Information Technology
       Susanne Sheehan, Director of Human Resources
       Dave Weber, Director of Communications
       Marilyn Hansmann, Director of Finance and Facilities
       Barb Mollberg, Academic Dean
       Jay Lee, Academic Dean
       Nirmala Kotegol, Academic Dean
       Ellen Nelson, Academic Dean




For additional information on the integrated planning and budget process at Rochester
Community and Technical College, please contact Dave Weber dave.weber@roch.edu




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”            18
Webinar co-sponsored by ACE, NACUBO and NCCI, November 19, 2003
                                 Self-Assessment Matrix for College Services

Program/Department:

Design Criteria One:             The Mission and Vision is Modeled in the Delivery and Support of Teaching and Learning

  Performance              Exemplary                           Acceptable                           Improving                       Not Acceptable          Assessment
   Indicators                 (4)                                 (3)                                  (2)                               (1)                  Rating
Responsive to    Your service area routinely          Your service area frequently      Your service area occasionally          Your service area has no
                 responds to customer and             responds to customer and          responds to customer and                or limited processes for
changing         stakeholder needs and anticipates    stakeholder needs.                stakeholder needs.                      responding to customer
requirements     future needs.                            Collects data to identify        Collects data once every 3-5       and stakeholder needs.
                     Annually collects data to            and meet the needs of our         years.
                      identify and meet the needs          diverse community every          Data collection is sporadic, not       No or limited data
                      of our diverse community.            1-3 years.                        consistent or comprehensive.            collection.
                     Data is collected for most of       Data is collected for many       Data is collected for few of the       No or limited intent
                      the established program              of the established                established performance                 of implementing
                      performance indicators.              performance indicators.           indicators.                             changes.
                     Annually monitors, adjusts,      Implements changes every         Changes are implemented every
                      and implements appropriate           1-3 years.                        3-5 years.
                      changes based on data
                      collected.
                     Evaluates input of the
                      changes and how effective
                      they were.
Strengths

Opportunities for Improvement




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                                                                                          19
Webinar co-sponsored by ACE, NACUBO and NCCI, November 19, 2003
  Performance              Exemplary                          Acceptable                              Improving                      Not Acceptable        Assessment
   Indicators                 (4)                                (3)                                     (2)                              (1)                Rating
Supports         On-going measures of awareness,     On-going measures of                On-going measures of awareness,             No or limited
                 engagement, and satisfaction are    awareness, engagement, and          engagement, and satisfaction are             measures of
Teaching and     routinely collected from students   satisfaction are frequently         occasionally collected from students         awareness,
Learning         and stakeholders for your           collected from students and         and stakeholders for your department.        engagement, and
                 department.                         stakeholders for your                                                            satisfaction or
                   Results routinely provided to    department.                             Occasional measures of learning
                                                                                                                                      feedback is
                       staff, student workers and      Frequent feedback is                   and feedback are provided
                                                                                                                                      provided to staff,
                       stakeholders.                        provided to staff, student         staff, student workers and
                                                                                                                                      student workers
                   Feedback routinely drives               workers and                        stakeholders.
                                                                                                                                      and stakeholders
                       improvement planning in              stakeholders.                    for your department.
                                                                                                                                      within your
                       the delivery and support of        Feedback frequently               Feedback drives only
                                                                                                                                      department.
                       teaching and learning.              drives improvement                 occasional, sporadic, not
                                                                                              consistent, improvement in the
                  Many improvements have                  planning in the delivery
                                                           and support of teaching            delivery and support of teaching
                      resulted.
                                                           and learning.                      and learning.
                                                      Many improvements have                Few improvements have
                                                           resulted.                          resulted.
Strengths

Opportunities for Improvement




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                                                                                         20
Webinar co-sponsored by ACE, NACUBO and NCCI, November 19, 2003
   Performance                Exemplary                         Acceptable                            Improving                      Not Acceptable            Assessment
    Indicators                   (4)                               (3)                                   (2)                              (1)                    Rating
Collects and        Information from competitors or     Information from competitors     Information from competitors or          There are plans to collect
                    world class providers has been      or world class providers has     world class providers has been           information from
reviews             collected for most key areas        been collected for many key      collected for a few key areas within     competitors or world
performance         within the service area. This has   areas within the service area.   the service area. This has resulted in   class providers but not
                    resulted in “stretch” goals and     This has resulted in goals       some plans or actual college             much has happened yet.
against leading,    college improvement.                being set high to improve        improvements.                            This information, if
best-in-class,                                          college performance.                                                      collected at all, is not
                                                                                                                                  used to set goals.
organizations,
academic
programs,
service areas or
processes.
Strengths

Opportunities for Improvement

Most = 90%       Many = 75%         Few = 50%           Limited = Less than 50%




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                                                                                             21
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Design Criteria Two:             The College Aligns Resources to Support the Mission and Vision

  Performance               Exemplary                           Acceptable                           Improving                       Not Acceptable           Assessment
   Indicators                  (4)                                 (3)                                  (2)                               (1)                   Rating
                  Processes within your the service    Processes within your service     Processes within the service area are   No processes within the
                  area are mapped.                     area are mapped.                  mapped.                                 service area are mapped.
                      Processes are annually              Processes are reviewed           Processes are reviewed every 3-5
Work Systems           reviewed to determine                every 1-3 years.                  years.                                 No or limited data or
                       strengths and areas for             Feedback drives                  Feedback drives only sporadic,          feedback is collected
                       improvement.                         improvement.                      not consistent, improvement.            or used to drive
                      Feedback drives                     Many improvements                Few Improvements occasionally           change.
                       improvement.                         frequently align with the         align with mission, vision, and
                      Most improvements align              mission, vision, and goals        goals of the college.
                       with the mission, vision, and        of the college.
                       goals of the college.
Strengths

Opportunities for Improvement




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                                                                                            22
Webinar co-sponsored by ACE, NACUBO and NCCI, November 19, 2003
  Performance              Exemplary                         Acceptable                           Improving                        Not Acceptable            Assessment
   Indicators                 (4)                               (3)                                  (2)                                (1)                    Rating
Human                Most staff within your             Many staff within the           Few staff within the service area       No or limited staff
                      service area make sure              service area make sure           make sure effective                      within you’re the
Resources             effective communication,            effective communication,         communication, knowledge, and            service area make
                      knowledge and skill sharing         knowledge and skill              skill sharing occurs across              sure effective
                      occurs across programs and          sharing occurs across            programs and services.                   communication,
                      services.                           programs and services.          Few staff within you’re the              knowledge, and skill
                     Most staff in you’re the           Many staff in you’re the         service area participate on              sharing occurs across
                      service area participate on         service area participate         college teams and improve their          programs and
                      college teams and                   on college teams and             work to align with the mission,          services.
                      continually improve their           continually improve their        vision, and goals of the college.       None or limited staff
                      work to align with the              work to align with the          Professional development plans           participate on college
                      mission, vision, and goals of       mission, vision, and goals       occasionally support college and         teams to improve
                      the college.                        of the college.                  personal goals.                          their work.
                     Professional development           Professional development                                                 None or a limited
                      plans routinely support             frequently supports                                                       number of
                      college and personal goals.         college & personal goals.                                                 professional
                                                                                                                                    development plans
                                                                                                                                    supports college and
                                                                                                                                    personal goals.

Strengths

Opportunities for Improvement




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                                                                                           23
Webinar co-sponsored by ACE, NACUBO and NCCI, November 19, 2003
   Performance                  Exemplary                             Acceptable                            Improving                      Not Acceptable           Assessment
    Indicators                     (4)                                   (3)                                   (2)                              (1)                   Rating
Fiscal and            Your annual department budget          Your annual department             Your annual department budget          Your annual department
                      uses:                                  budget uses:                       uses:                                  budget uses:
Supplemental            Appropriate funding controls           Appropriate funding                 Limited funding controls are          No or limited
Resources                   to meet the mission of the           controls to meet the                 established. Budget may have           funding controls are
                            college.                             mission of the college.              over-rides.                            established. Budget
                        Innovative funding                     Innovative funding                  Innovative funding is                  may have over-rides
                            approaches are routinely             approaches are frequently            occasionally secured to expand        No or limited
                            secured to expand                    secured to expand                    opportunities to meet the              innovative funding.
                            opportunities to meet the            opportunities to meet the            mission of the college.            No or limited leveraging
                            mission of the college.              mission of the college.             Occasionally leverages                   of resources.
                        Routinely leverages                    Frequently leverages                 resources.
                            resources (grants,                   resources.
                            scholarships, partnerships
                            and technology) to reach
                            goals and indicators.
Strengths

Opportunities for Improvement

Most = 90%       Many = 75%           Few = 50%             Limited = Less than 50%


Design Criteria Three:                The Performance of the College Demonstrates Continuous Improvement
   Performance                  Exemplary                             Acceptable                            Improving                      Not Acceptable           Assessment
    Indicators                     (4)                                   (3)                                   (2)                              (1)                   Rating

  Plan and Do         Your department has developed          Your department has                Your department has developed a        Limited or no plan
                      a continuous improvement action        developed a continuous             continuous improvement action plan     developed
                      plan with the following                improvement action plan with       with the following characteristics:
                      characteristics:                       the following characteristics:         Few goals and objectives are          Limited or no goals
                          Most goals and objectives              Many goals and                    clear and measurable.                  or measures.
                           are clear and measurable.               objectives are clear and         Few of faculty and staff align        Limited faculty and
                          Most of the faculty and staff           measurable.                       their professional development         staff align their
                           align their professional               Many of the faculty and           plans with the college mission,        professional
                           development plan with the               staff align their                 vision, goals and performance          development plan
                           college mission, vision, goals          professional development          indicators.                            with the college
                           and performance indicators.             plans with the college           Reviewed every 3-5 years.              mission, vision,
                          Annual review                           mission, vision, goals and                                               goals and
                                                                   performance indicators.                                                  performance
                                                                  Reviewed every 1-3 years.                                                indicators.
Strengths

Opportunities for Improvement


Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                                                                                                  24
Webinar co-sponsored by ACE, NACUBO and NCCI, November 19, 2003
   Performance                  Exemplary                           Acceptable                            Improving                     Not Acceptable            Assessment
    Indicators                     (4)                                 (3)                                   (2)                             (1)                    Rating

Assess and            Current performance of your          Current performance of your        Current performance of your            No results or poor results
                      program or department is             program or department is           program or department is evaluated         in area reported.
Implement             evaluated annually against key       evaluated once every three         once every 3-5 years against key
                      measures, relevant comparisons       years against key measures,        measure, relevant comparisons, and
                      and changing requirements and        relevant comparisons, and          changing requirements, and
                      your department implements           changing requirements, and         implement actions, and make
                      actions and makes improvements       your department implements         improvements as necessary resulting
                      as necessary resulting in            actions and makes                  in sustained levels of performance.
                      improved performance.                improvements as necessary               Occasionally response to make
                          Proactively responds to         resulting in sustained levels of         improvements.
                           make improvements.              performance.                            Few clear goals or
                          Uses comprehensive                   Frequently responds to             comprehensive measures.
                           measures.                             make improvements.                Few priorities are identified.
                          Priorities are identified and        Many clear and                    Partially Deployed
                           necessary improvements are            comprehensive measures.
                           made rapidly.                        Many priorities are
                          Each functional area has an           identified.
                           action plan supporting their         Partially Deployed
                           performance goals.
                          Identifies key indicators and
                           measure to: Identify;
                           Implement: Measure:
                           Improve.
                          Fully Deployed
Strengths

Opportunities for Improvement

Most = 90%       Many = 75%          Few = 50%             Limited = Less than 50%




Samples, Forms and Formats, “Strategic Planning: Off the Shelf and Into Action”                                                                                                25
Webinar co-sponsored by ACE, NACUBO and NCCI, November 19, 2003

								
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