digital version | 2010 Doing Academic Planning Effective Tools for Decision Making Edited by Martha Beede and Darlene Burnett

INTEGRATED PLANNING FOR HIGHER EDUCATION www.scup.org Doing Academic Planning Effective Tools for Decision Making

edited by Brian E Nedwek

IISociety for College and University Planning

Electronic Reference Citations •

ELECTRONIC REFERENCE CITATIONS Citations to electronic references (at the end ofeach chapter) are primarily to websites, though there are a few references to listservs and gophers. Citation practices for the Web are in flux. Based on user requirements we start all citations with the URL (Univer­ sal Reference Locator). Where websites have titles, the title follows, followed in turn by information on the sponsoring organization and the author. All these URLs will be accessible in a single online location through "SCUP's Planning Pages" at http:// www.scup.org. Because the Web is an actively evolving collection ofdocuments, no assurance can be given that any particular URL will still be active at any time after the citation is printed, although most will remain valid. If that is the case with a Web reference you are try­ ing to locate, please use the other information provided to perform your search with the various online search engines, or consult "SCUP's Planning Pages." You are invited to contribute citations to online works you find of value in your pro­ fessional work. Send URLs to . Thank you.

Preface • iii

Preface

Academic leaders have been caught flat~footedby the convergence oftwo powerful forces. Rapid and pervasive introduction of information technology is one front moving through the landscape of higher education. Emerging storms of discontent from numerous stakeholders over the process and product of higher education form another. Together these environmental factors are transforming the academy. Historically, academic managers were focused on factors of production­ number ofbooks in libraries, proportion offaculty with terminal degrees and the like. They assumed a relatively stable and noncompetitive environment. Organizational structures and role relationships were neatly hierarchical and autonomous. Core func~ tions were executed with an insensitivity, even immunity, to external environmental forces. Stakeholder involvement was limited and passive. Education was a public good and the policy agenda was preoccupied with issues of access. Today, academic leaders are challenged by an expanding universe of informa~ tion technology and its uses, and by a changed focus from a provider~centered cul~ ture to a learner~centered world. The new era is one ofnetworks of learners wherein the student, not the library, is the center of the information universe. Libraries can no longer be viewed as mausoleums with an insatiable need for additional resources; rather they must be seen in competition with a host of organizations to serve as interdependent resources to the learner. The traditional "provider~centered"model argued for highly formalized systems ofdata and information broadcasting to a rela~ tively passive client. Traditional systems promoted place~boundlearning as a preferred technique to promote efficiency in production. The "learner~centered"focus suggests individualizing the pace of learning, (Le., each learner progressing at a rate tailored to individual abilities and balanced against other forces in competition for their time) and thus has powerful implications for space planning and its use. The learner~centeredfocus has implications beyond individualization. Histori~ cally, curriculum planning and assessment systems were designed to fit the production modeL Thus, what courses to offer and when, were to be determined on the basis of iv • Doing Academic Planning

provider wants and expectations rather than learner needs. The emerging individu­ alization suggests a very different approach to curricular and assessment information system design. With a focus on the individual learner, curriculum decisions are more likely to be guided by skills to be demonstrated and content to be mastered within each skill domain. This approach provides individualization of a curriculum, based on the readiness of the learner. Instructional settings are structured along the lines ofindividual needs, thereby minimizing the need for gross homogenization ofa group of learners (Le., the use ofgeneral survey courses in the core curriculum as a way to gain efficiencies in the curriculum). A learner-centered education has powerful implications for traditional planning tools currently available to higher education leaders. For example, to what extent are existing models ofspace utilization appropriate in an environment that seeks to maxi­ mize individualization of learning opportunities? Does assignable square footage per FTE (full-time equivalent) student have as much utility in this new information age compared with its use in a producer-centered milieu? What then replaces classroom utilization planning tools? As implied by Dolence and Norris' Transforming Higher 1 Education , the learner's relationship to the production function changes as well. The principle organizational model becomes focused on the networks between resources, agents, and learners. A network approach introduces design issues here­ tofore unexplored within the planning community. This new metaphor suggests core concepts different from the production-centered educational model ofold. Network access replaces access to the "goods," just as growing resources within a network re­ places passive reception of predetermined goods. Thus, students will seek out and contract with a variety of learning resources to develop skills. Self-paced learning modules, occasional live lectures, simulations, tape-delayed lectures, and the like suggest that planning tools need to focus more on the resources available to a client group during episodes far more frequent than a 16-week semester. Networking also suggests a reconsideration of traditional articulation agreements between educational sectors. The emerging pattern is one ofcollaborative arrangements among sectors of society from private industry and service organizations to integrated educational sectors. A seamless network ofopportunities, service providers, and learners is on the educational horizon. Faculty/student relational changes have altered the role expectations offaculty from dispensers of information to facilitators. Students, in turn, are expected to take responsibility for managing their learning. Faculty roles in this expanding information universe are unfolding. Facilitator, coach, and navigator are role definitions in the new order. Individualization of education is coupled with collaborative learning arrangements. Education in this new environment is seen as a strategic investment; in this setting stakeholders are involved more deeply than ever before. Demonstrated accountability and resource allocation decisions linked to academic plans are transforming how we teach, research, serve, and govern. Simply put, the academy has been asked to improve efficiency, effectiveness, and economy in what

1 Dolence, M. G. and Norris, D. M. 1995. Transforming Higher Education-A Vision for Learning in the 21st Century. Ann Arhor, MI: Society for College and University Planning. Preface • v [

we do; more important, we must change while living in a fish bowl. How will academic leaders as planners respond to these challenges in creative ways without losing sight of the institution's core identity? The various dimensions ofthis sourcebook, (e.g., how to assess information/tech­ nology use capacity), can serve the evolution ofhigher education well. In assembling this reader, the selection of materials was guided by a sensitivity to provide academic planners with tools to perform core functions and activities that facilitate the trans­ formation of higher education institutions from provider-centered cultures and or­ ganizations to leamer-centered franchises. Readings examine partnerships and alliances needed for higher education institutions to survive, if not lead, the transformation of society into the information age. In summary, facing storms of change within and outside the academy, higher education officials have realized that major realignments are underway creating demographic, economic, political, and cultural imperatives. Demographic and eco­ nomic forces have become translated into the political language of"return on invest­ ment" public policy. Quality, accountability, and institutional effectiveness have become part of the culture for stakeholders in higher education. Program directors, department chairpersons, academic deans and their associates, and academic vice presidents-at two and four-year institutions in public and inde­ pendent school sectors-are anticipating continued change and are ready to respond in a timely fashion using new planning approaches and techniques. This introductory book is organized around eight core topical areas: environ­ mental scanning and related policy analysis tools; curriculum planning; enrollment management; human resources planning; planning for information technology; student services; integrating academic with facilities and budget planning; and accountability tools. Marie E. Zeglen, in Chapter 1, provides a systematic look at stakeholder and issue analysis techniques to make plans rational and actionable. In Chapter 2, Thomas V. Mecca describes the concepts and basic approaches of environmental scanning that higher education leaders can use to identify major discontinuities and related changes in their external environments. Gertrude M. Eaton and Helen E Giles-Gee examine classic academic program review in Chapter 3, but from a learner-centered perspective and the new accountability. Chapter 4 introduces academic managers to the planning issues surrounding curriculum planning through alternative delivery strategies and partnerships. Kathleen A. Corak and James L. Croonquist bring a fresh look at the issues of delivering a curriculum in nontraditional ways. Enrollment management is examined in two chapters. In Chapter 5, Michael E Middaugh and Dale W. Trusheim describe recruitment and retention analysis tools that are used at the University ofDelaware, but are easily adaptable to other institutions. They also discuss the relationship between financial aid and enrollment management in Chap­ ter 6, providing a proactive approach to financial aid management and strategic planning. A range ofhuman resources planning issues are examined in Chapter 7 by Carol Everly Floyd; faculty recruitment and retention, their roles and responsibilities, and [vi • Doing Academic Planning

a series of recommendations are discussed in actionable form. Chapters 8 and 9 contain a systematic look at information technology-from how to assess institutional capacity to planning for its expansion. Linda Heit provides a way to examine information technology resources in ten key areas. Susy S. Chan then examines planning for information technology and calls for the application of process reengineering as a component of organizational transformation. Diana L. Sharp and G. Gary Grace take an integrated approach, in Chapter 10, to understanding student development by applying a service perspective. Gretchen Warner Kearney and Stephen P. McLaughlin examine a co~curricular framework as an experiential learning opportunity to augment classroom learning. Co~curricular involvement has emerged as a key component ofholistic education and has a positive impact on educational attainment. Chapter 11 provides a good introduction to current approaches and practices in co~curricularplanning models. Putting academic planning into a larger context is the focus ofChapters 12 and 13. Dilip M. Anketell examines how to integrate academic and facilities planning, followed by Thomas K. Anderes' recommendations on how academic plans and pro~ cesses should be linked with budget development and funding allocation processes. The use ofperformance indicators (PIs) as a method to couple quality assurance with accountability is becoming increasingly common among higher education sys~ tems, institutions, and programs. The closing chapter by Brian P. Nedwek introduces academic leaders to a range of PIs of process and outcomes in higher education.

Brian P. Nedwek Associate Provost, Saint Louis University President, Society for College and University Planning Acknowledgments • vii [

Acknowledgments

DOing Academic Planning is the first in a three-volume series of publications by the Society for College and University Planning (SCUP) for academic leaders and planners. Many individuals gave countless hours to the task of building the first sourcebook. Members of the Academic Planning Academy ofSCUP assisted in iden­ tifying the core components for the sourcebook and potential contributors. SCUP's Director of Education and Research, Mendi Spencer, provided numerous ways to improve the quality and usefulness of the book to a wide range of readers. Terry Calhoun, SCUP's Publications Director, has been supportive throughout the project, keeping us all focused on the deliverables, and sensitive to the needs of the reader in the knowledge age. Danny Steinmetz, temporary staff in SCUP Publications, helped in many ways, including preparation of the index. J. Thomas Bowen, Jr., Chair ofthe Professional Development Committee, shared his keen insights on how to integrate academic and facilities planning, and provided considerable assistance with Chapter 12. Meredith Whiteley, Chair of the Publications Advisory Committee, helped in so many ways to bring this academy goal to reality. I am grateful to the staff at Saint Louis University, especially Barbara Lind for her assistance in manuscript management and preparation, and to Ryan Comfort for his critical insights.

Contents • ix [ Contents

Electronic Reference Citations i Preface iii Acknowledgments vii Contents ix Expanded Table of Contents and List of Figures and Tables xi Environmental Scanning 1. Policy Analysis: Scouting for the Academic Wagon Train 3 Marie E. Zeglen 2. Approaches to Environmental Scanning 17 Thomas V. Mecca Curriculum Planning 3. Planning an Academic Program Review 27 Gertrude M. Eaton and Helen F. Giles-Gee 4. Alternative Delivery Strategies, Partnerships, and Articulation Agreements: New Recipes for Favorite Dishes 35 Kathleen A. Corak and James L. Croonquist Enrollment Management 5. Recruitment/Retention Analysis Tools 49 Michael F. Middaugh and Dale W. Trusheim 6. Financial Aid and Strategic Planning 57 Dale W. Trusheim and Michael F. Middaugh Human Resources Planning 7. Human Resources Planning 69 Carol Everly Floyd Planning for Information Technology 8. Institutional Informational Technology Resource Assessment 79 Linda Fleit 9. Planning for Information Technology 87 Susy S. Chan Student Services 10. Student Development: An Integrated Approach to the Age Old Pursuit 97 Diana L. Sharp and G. Gary Grace 11. Planning the Co-Curricular Component 107 Gretchen Warner Kearney and Stephen P. McLaughlin Academic Planning within the Larger Context 12. Integrating Academic and Facilities Planning 117 Dilip M. Anketell 13. Connecting Academic Plans to Budgeting: Key Conditions for Success 129 Thomas K. Anderes Linking Quality and Accountability 14. Linking Quality Assurance and Accountability: Process and Performance Indicators 137 Brian P. Nedwek Index 145 About SCUP 155 Order Form 157

Expanded Table ofContents and List of Figures and Tables • xi Expanded Table of Contents and List of Figures and Tables Electronic Reference Citations i

Preface III Acknowledgments vii Contents ix Expanded Table of Contents and List of Figures and Tables xi Environmental Scanning 1 Policy Analysis: Scouting for the Academic Wagon Train 3

FIGURES & TABLES Assessing the viability of • Figure 1. Policy Development, Imple- each policy alternative 9 mentation, and Evaluation Cycle 7 Policy selection 10 • Table 1. Contents of the Setting the context for Policy Presentation 12 each policy alternative 10 • Table 2. General Guidelines for Identifying policy attributes 11 Policy Analysis Reports 13 Comparing the CORE PLANNING QUESTIONS 3 policy alternatives 11 Goal achievement 11 Planners and policy analysts as partners 3 Cost-benefit 11 Actionability 11 The role of the analyst 4 Ranking the policy alternatives 12 QUESTIONS 4 Policy presentation 13 BASIC CONCEPTS 4 MANIPULATION AND DELIVERy 13 Issues 4 Packaging of the proposal 13 Stakeholders 4 ACTIONABILITY ISSUE 14 Policy partners 5 Access 14 Policy analysis as an Feedback 14 iterative process 5 Design 14 The "messy" troika of judgment, intuition, and political savvy 5 Delivery 14 Models grounded in RECOMMENDATIONS 14 the environment 6 Defining the issue 15 Actionability 6 Including the stakeholders 15 APPROACHES AND PRACTICES 6 Knowing the environment 15 Issue crafting 6 Recognizing the quasi-political Clarifying the issue 7 role of the analyst 15 Establishing the context Over-emphasizing for the issue 7 quantitative approaches 16 Stating policy objectives 8 Sharing responsibility for Stating a broad range of policy outcomes 16 policy alternatives 8 Suggesting success criteria 8 Going beyond incrementalism 16 Recommendation on proceeding 8 SUMMARY 16 Policy crafting 8 PRINT REFERENCES 15 Refining policy alternatives 9 Specifying and creating a model ELECTRONIC SAMPLER 15 for each policy alternative 9 [xii • Doing Academic Planning

Approaches To Environmental Scanning 17

FIGURES & TABLES Environmental • Figure 1. Typical Scanning scanning systems 18 Information Resources 19 MANIPULATION AND DELIVERy 21 CORE PLANNING QUESTIONS 17 ACTIONABILITY ISSUES 21 BASIC CONCEPTS 17 Vulnerability audit 21 Levels of the environment 17 EDQUEST 22 Approaches to The issue management model 22 environmental analyses 18 Components of environmental RECOMMENDATIONS 23 scanning process 18 PRINT REFERENCES 23 APPROACHES AND PRACTICE 18 ELECTRONIC SAMPLER 23 Models of environmental scanning 18

Curriculum Planning 25 Planning An Academic Program Review 27

FIGURES & TABLES Role of the institutional research • Figure 1. Four Key Steps in or planning office 31 Program Review Process 29 Role of the president/ • Table 1. Academic Program Costs board of trustees 31 and Productivity Indicators 32 MANIPULATION AND DELIVERy 31 CORE PLANNING QUESTIONS 27 Cost and productivity indicators 31 BASIC CONCEPTS 27 Departmental analysis and APPROACHES AND PRACTICES 28 recommendations 32 The program review process 28 ACTIONABILITY ISSUES 33 Role of the RECOMMENDATIONS 33 chief academic officer 29 Role of the department chair 30 PRINT REFERENCES 33 Role of the faculty 30 ELECTRONIC SAMPLER 33-34 Role of students 30

Alternative Delivery Strategies, Partnerships, and Articulation Agreements: New Recipes for Favorite Dishes 35

FIGURES & TABLES 2. What is the environment • Figure 1. Issues to be Addressed for the agreement? 40 in Cooperative/Articulation 3. What are the processes for Agreements 37 approval of the agreement? 41 4. Has the agreement worked? 44 CORE PLANNING QUESTIONS 35 5. What, if anything, can be done BASIC CONCEPTS 36 to improve the agreement? 44 Cooperative agreements 36 SUMMARY 45 Planning model elements 36 PRINT REFERENCES 45 1. What are the intended outcomes of this agreement? ...... 39 ELECTRONIC SAMPLER 45 Expanded Table ofContents and List of Figures and Tables • xiii

Enrollment Management 47 Recruitment/Retention Analysis Tools 49

FIGURES & TABLES BASIC CONCEPTS 51 • Table 1. Student Information Admissions planning 51 System Weekly Admissions Campus Summary Report 50 Retention planning 53 • Table 2. Fall 93, 94, and 95 Current SUMMARY 56 First-Time New Students 52 • Table 3. Enrollment, Dropout Rates, and PRINT REFERENCES 56 Graduation Rates for First-Time Fresh­ men on the Newark Campus (Total) .. 55 ELECTRONIC SAMPLER 56 CORE PLANNING QUESTIONS 49 QUESTIONNAIRE RESOURCES 56 Financial Aid and Strategic Planning 57

FIGURES & TABLES APPROACHES TO • Table 1. Financial Aid/Admissions Ex­ FINANCIAL AID ANALYSES 58 tract and Overall Financial Aid Extract 60 ANALYSIS AND DISPLAY OF PLANNING INFORMATION 60 • Figure 1. Financial Aid Flow Chart 61 Freshman admissions • Table 2. Admissions and Financial Aid Outcomes by SAT Range: Illustration 63 and financial aid 60 • Table 3. Institutional Scholarship Currently enrolled students 62 Award Distribution by Major Freshmen, Financial aid program evaluation 65 Sophomores, and Juniors Only: 64 ACTIONABILITY ISSUES 65 CORE PLANNING QUESTIONS 57 RECOMMENDATIONS 66 BASIC CONCEPTS 58 Financial aid 58 PRINT REFERENCES 66 Tuition discounting 58 ELECTRONIC SAMPLER 66 Differential or preferential packaging 58

Human Resources Planning 67 Human Resources Planning 69

CORE PLANNING QUESTIONS 69 Increasing the mutual benefits of the scholarship/teaching connection ... 73 BASIC CONCEPTS 69 Expanding the range of faculty Faculty Recruitment development opportunities 73 and Retention 69 Differentiating faculty Minority and female faculty 70 responsibilities 73 Part-time faculty 70 Strengthening evaluation methods for Market and equitable salaries 71 faculty teaching and scholarship .... 73 Faculty roles, responsibilities Improving rewards for and accountability 71 excellent faculty teaching 74 Institutional mission Emphasizing research commitments 72 about teaching 74 Relationships between teaching Application of principles to liberal arts and scholarship 72 colleges and community colleges ... 74 Focus on departmental units 73 ACTIONABILITY 74 MANIPULATION AND DELIVERy 73 RECOMMENDATIONS AND CAVEATS 75 Ensuring strong curricula at both the undergraduate and PRINT REFERENCES 75 graduate levels 73 ELECTRONIC SAMPLER 75-76 [xiv • Doing Academic Planning

Planning for Information Technology 77 Institutional Information Technology Resource Assessment 79

WHAT AN ASSESSMENT IS lAND IS NOTI .... 80 End-user tools 83 KEY ASSESSMENT AREAS AND QUESTIONS .81 Training and support 83 Governance 81 Hardware 83 Planning 82 DOING THE ASSESSMENT 83 Support staff 82 WORKING WITH THE RESULTS 84 Information architecture 82 FINAL THOUGHTS 85 Standards 82 Networking 82 PRINT REFERENCES 84 Software 82 ELECTRONIC SAMPLER 84

Planning for Information Technology 87

CORE PLANNING QUESTIONS 87 DATA SELECTION AND CAPTURE 90 BASIC CONCEPTS 88 MANIPULATION & DELIVERy 91 Four types of planning 88 ACTIONABILITY ISSUES 92 Strategic planning 88 Operational planning 89 RECOMMENDATIONS 93 Major initiative planning 89 ADDITIONAL READINGS 94 Financial-budgetary planning 89 PRINT REFERENCES 93 INTEGRATED PLANNING MODELS 89 ELECTRONIC SAMPLER 93-94 PLANNING FOR IT ORGANIZATIONAL CHANGE 90

Student Services 95 Student Development: An Integrated Approach to the Age Old Pursuit 97

CORE PLANNING QUESTIONS 97 The data collection system process development 102 BASIC CONCEPTS 97 Labels related to DATA MANIPULATION AND student development 97 INFORMATION DELIVERy 103 Historical separation of affective Functional approach 103 and intellectual development ...... 98 Environmental-interaction 103 Student development subcultures .. 99 Developmental models 103 Role and scope of student Cross functional approach personnel services 99 to research 104

General theories of RECOMMENDATIONS FOR PLANNING student development 100 FOR STUDENT DEVELOPMENT 104 Specific theory-based PRINT REFERENCES 104-105 student development 100 ELECTRONIC SAMPLER 106 DATA SELECTION, COLLECTION, AND MANAGEMENT 101 Data selection and collection 101 Expanded Table ofContents and List of Figures and Tables • xv [

Planning the Co-Curricular Component 107

CORE PLANNING QUESTIONS 107 Co-curricular planning model 109 What is the co-curriculum 107 Needs assessment 110 Why is the co-curriculum MANIPULATION, DELIVERY, AND important 107 ACTIONABILITY ISSUES 112 What nationwide trends are Why is the data collected on affecting co-curricular planning ... 108 co-curricular programs often What are the most common obstacles not useful to academic planners ... 112 to co-curricular planning 108 RECOMMENDATIONS 113 BASIC CONCEPTS 109 PRINT REFERENCES 114 Environmental factors 109 ELECTRONIC SAMPLER 114

Academic Planning within the Larger Context 115 Integrating Academic and Facilities Planning 117

FIGURES & TABLES MANIPULATION & DELIVERy 125 • Figure 1. Campus Planning and Implementation Wheel 119 ACTIONABILITY ISSUES 126 • Table 1. Long Range Academic Plan CONCLUSIONS AND RECOMMENDATIONS .. 126 1995-2004 125 Planning must be viewed as essential INTRODUCTION 117 and adequately supported for an institution to maximize benefits ... 126 CORE PLANNING QUESTIONS 117 The planning process must be Why plan 118 open, inclusive and responsive How do you get to input 127 decision makers to plan 118 Schedules should be carefully Should staff planners be a managed to ensure adequate time part of the process 118 for input and feedback 127 What type of plan 118 Adequate, appropriate policies, procedures and committee structures BASIC CONCEPTS 118 must be established to ensure Conceptual program compliance with the plan and development 119 subsequent review and revision Organization 120 as a "living" document 128 Process 121 Progress toward implementation of the plan should be tracked Content 121 through continuous, regular updates Deliverables 122 of the documents 128 COMPREHENSIVE PLANNING APPROACHES PRINT REFERENCES 127 AND PRACTICE 123 ELECTRONIC SAMPLER 127 [xvi • Doing Academic Planning

Connecting Academic Plans To Budgeting: Key Conditions For Success 129

CORE PLANNING QUESTIONS 129 Participation by Legitimize planning 129 key constituencies 132 Legitimize budgeting 129 Planning to budget connections .. 13 2 Follow through on expectations COMPARISON OF INSTITUTIONAL raised in planning 129 AND SYSTEM PLANNING 132 Secure institutional support 130 RECOMMENDATIONS 133 Provide continuity over time Active leadership 133 in the achievement of goals 130 Broad participation 133 Track performance 130 Intention to connect planning Reduce decisions made outside and budgeting 133 of program priorities 130 Informational forums 133 PLANNING AND BUDGETlNG- Feedback on decisions 133 AN INSTITUTIONAL PERSPECTIVE 131 Strengths 131 FINAL THOUGHTS 134 Weaknesses 131 PRINT REFERENCES 134 PLANNING AND BUDGETING- ELECTRONIC SAMPLER 134 ASYSTEM PERSPECTIVE 132 System "vision" and leadership 132

Linking Quality and Accountability 135 Linking Quality Assurance and Accountability: Using Process and Performance Indicators 137

FIGURES & TABLES ANALYZING AND DISPLAYING • Table 1. Sample Performance PI INFORMATION 141 Indicators Across Levels 140 Data display 141 CORE PLANNING QUESTIONS 137 Making comparisons public 142 BASIC CONCEPTS 138 ACTIONABILITY ISSUES 142 Quality 138 Producing usable knowledge 142 Indicators 138 Making PI systems useful 144

APPROACHES AND PRACTICES 139 SUMMARY 144 System applications 139 PRINT REFERENCES 143-144 Institutional applications 140 ELECTRONIC SAMPLER 144 Program applications 141 Individual applications 141

Index 145 About the Publisher-SCUP 155 Order Form 157 Environmental Scanning Policy Analysis: Scouting for the Academic Wagon 1rain Marie E. Zeglen

Approaches to Environmental Scanning Thomas V. Mecca

~day's academic leader needs to marshal the best available information to guide the planning process. But good information alone is not enough. Policy analysis is a systematic tool which academic leaders can use to ensure that their plans will result in effective action. Policy Analysis: Scouting for the Academic Wagon Train Marie E. Zeglen

CORE PLANNING QUESTIONS in sorting out alternatives. The end product is Visions, plans, and policy analyses are all part a set of recommendations for future action ofthe same effort to build the future. The pio­ which is presented to policy makers. neers in this country who drove wagon trains Planners and policy analysts as partners. westward had a vision of a new life in a new Policy analysis is grounded in the kinds ofreal land. They had a general planfor how to make world issues an academic leader already under­ their journey from east ofthe Mississippi to the stands. Like all planning processes, policy mountains and seashores of the west. They analysis is iterative, seeking continually to used policy analyses to decide which particular refine and rethink assumptions and conclu­ path or direction should be taken whenever sions throughout a study process. Policyanaly­ they encountered obstacles such as rivers or sis does not ignore political processes. On the hostile populations along the way. Policy analy­ contrary, a good analysis takes into account the sis is a systematic process for reducing issues or way political factors influence an issue or its problems to actionable solutions. Wildavsky resolution. Like planning, policy analysis is refers to policy analysis as "an activity creat­ collaborative and involves continual consul­ ing problems which can be solved" (1979, tation with stakeholders and policy makers. p. 17). The process is systematic, in that policy Planning and policy analysis are kindred analysis proceeds through a set ofpredictable disciplines. Both activities "deal with the fu­ steps once an issue or problem has attracted the ture, use similar methodologies, operate in attention ofan individual or group. In policy institutional settings, exercise influence, and analysis, however, the problem is not taken for participate in similar implementa­ granted. It is analyzed, clarified, and crafted in tion processes" (Benveniste, 1989, such a way as to allow for solution. Policyob­ p. 53). Partnership is productive jectives are set and solutions are then devel­ between analysts and planners. oped to meet those objectives. The solutions Analysts contribute skill and sen­ have to be actionable, or capable of being sitivity in designing change, while implemented in the specific environment planners bring knowledge and where the problem exists. The analyst uses a experience to make change hap­ variety of research and modeling techniques pen. While judgment and intu­ Marie E. to predict the effects ofeach potential solution. ition are part of both policy Zeglen Policy alternatives are thensystematically com­ analysis and planning, the policy is Associate Provost for Planning and Instttutional Research pared to identify policy outcomes, trade-offs, analyst also brings a background in for Northern Arizona University, Ragstaff, Arizona. Zeglen and impacts. Criteria such as cost-benefit, goal quantitative techniques to the is amember of the Society for College and University Plan­ achievement, or actionability are typically used ning who has presented at SCUP's annual, international planning process. conference. [4 • Doing Academic Planning

The role ofthe analyst. Policy analysts need policy study. Consider an example from aca­ extensive access to policy makers, stakehold­ demic planning. In response to anticipated ers, and others in order to function effectively. enrollment pressures, leaders decide to pro­ The analyst must have a thor­ mote several initiatives to enable students to ough understanding ofthe issue complete degree programs more quickly. Plans An analyst's and its context, and be able to are proposed to extend academic program judgment is sharpened judge the actionability ofpolicy delivery in terms ofthe calendar, the locations options. An analyst's judgment where courses are taught, and the mode ofde­ when opportunities to is sharpened when opportuni­ livery by which students can receive instruc­ ties to test and exchange ideas tion. In addition, course and facility scheduling test and exchange ideas with policy makers and stake­ are reviewed to eliminate barriers to efficient holders are afforded throughout student access to required courses and pro­ with policy makers the planning process. grams. A committee is formed to make recom­ and stakeholders are mendations, but numerous issues emerge QUESTIONS during discussion ofpotential options. Depart­ Policy analysis can be used to afforded throughout ment chairs are concerned that facilities com­ study many types of academic monly used by the department faculty will be the planning Process. planning issues. It is an optimal less available under the new plan. Faculty are approach for answering ques- concerned with equity in compensation for tions such as: teaching courses outside the current academic • What is the real issue needing the atten­ year calendar on which most contracts are tion ofdecision makers? based. Courses are not available in alternative • What policy or other options do deci­ delivery formats, and faculty have no time to sion-makers have for resolving the issue? develop new instructional approaches. Stu­ • Which of the possible options provide dents are concerned with the proposed pric­ the best resolution to the issue? ing for the different program alternatives. Local employers are concerned that student • What are the likely effects and side ef­ workers may not be available in the time frame fects of implementing the option? needed to support seasonal work. The admin­ • How can change best be managed to istration is concerned that the enrollment op­ ensure success? portunities created through the new approach • How will decision makers know if the will not create student access fast enough to change really works? forestall legislative intervention. The institution's financial officer believes that the BASIC CONCEPTS committee has not shown clearly that the new There are several basic concepts for the aca­ programs will be cost effective or allow ad­ demic planner to understand before using equate time for facility maintenance. The array policy analysis: of issues arising from the committee's work • Issues; demands the brokering ofa political decision • Stakeholders; from institutional leadership. That decision can be informed by systematic study of the • Policy partners; issues and the policy alternatives. • The iterative nature of policy analysis; Stakeholders. Stakeholders are individuals or • The role of judgment, intuition, and groups who are invested in a policy outcome. savvy in policy analysis; The investment may be made for personal, • The use ofgrounded models; and emotional, rational, economic, philosophical, • The need for actionability of recom- artistic, or other reasons. Investment in a mendations. policy outcome forces stakeholders into the Issues. An issue is any disagreement among political process as either recognized, legiti­ stakeholders for which a solution is sought by mate players in the decision, or illegitimate policy makers. Issues that present planners challengers to the political order. Benveniste with significant social, economic, or ethical (1989) describes two kinds of stakeholders: problems are most likely to benefit from a "the real clients or beneficiaries" (p. 18) and Policy Analysis: Scouting for the Academic Wagon Train • 5 [

the implementers or "individuals within or PoUcy partners. The problems academic lead­ outside the organization who would carry out ers face today can't be solved without involve­ the policy or plan" (p. 19). A third group ment of other organizations or individuals. should not be overlooked-the plan or policy Policy partners are individuals or groups who designers. It is natural for the planner or policy can be co-opted or invited to share in devel­ analyst to have a stake in the acceptance of oping a solution to a problem. These policy policy recommendations and in the success­ partners mayor may not initially be stakehold­ ful implementation ofthe resulting policy. This ers to an issue. In many cases, the partner may kind of stakeholding is healthy, motivating, choose involvement in the planner's issue in and not ofconcern unless the analyst or plan­ order to solve another unrelated problems. For ner loses objectivity. instance, businesses are often willing to fund Stakeholders for academic issues can classrooms in their facilities to increase edu­ include a wide variety of individuals, such as cational opportunities for their staffs. Academ­ administrators, faculty, staff, state and federal ics may trade expertise for use ofthe classrooms, government officials, students, parents, which can help institutions meet goals for de­ alumni, trustees, politicians, taxpayers, profes­ livering other programs. Business profession­ sional societies, and members ofthe business als can become stakeholders after being invited and industry community. Policy analysis must to collaborate as partners in policy making. take into account the various stakeholders' Policy analysis as an iterative process. There views and concerns about an issue either are few policy problems with only one accept­ through direct or indirect means. Many infor­ able solution. The task ofthe policy analyst is mation sources can be used to gauge stake­ to identify and study solutions, proceeding until holder interests, such as surveys, research one is found that is actionable in the environ­ reports, orfocus groups. Generally, more effort ment. The "best fit" solution may not be iden­ is expended to track the views and positions tified immediately, so policy of those stakeholders with greater ability to analysis is often an iterative pro­ influence change. 1he "invisible" stake ... cess. Quade (1975) indicated The "invisible" stakeholders ofthe past that analyses may need to be re­ holders of the past are are not silent about academic issues today. shaped and redone for several Students and their parents are now concerned reasons. The alternatives identi­ not silent about aca... about academic curricula and their content. fied may not achieve the goals es­ The business community now invests substan­ tablished for solving the problem. demic issues today. tial funds in the preparation ofcollege gradu­ The goals themselves may be Students and their par... ates for employment. Bringing these silent unrealistic and need redefinition stakeholders into the planning process is im­ or lowering. The recommenda­ ents are now concerned portant. Ignoring such stakeholders only post­ tions may not be actionable be­ pones dealing with their needs. cause of political or other about academic cur... Stakeholders who are unsupportive or external constraints. Gill and adversarial should be sought out since they Saunders (1992) explain that is­ ricula and their content. provide a lens for predicting the reaction of sues themselves can change as a The business community some groups to new policies. Participation of study unfolds. The analyst needs those without commitment to the customary to adapt to such changes and now invests substantial way of operating can stimulate creative ap­ refocus the study. proaches to problems or encourage support for funds in the preparation changes that are later implemented. As an The "messy" troika of judgment, example, when business leaders were named intuition, and political savvy. ofcollege graduates to the Task Force on the Future ofEngineer­ The role of the policy analyst is ing Education in the University ofWisconsin like that ofan organizational an­ for employment. System, there was an initial period ofcritical, thropologist. The policy analyst even adversarial, discussion about the goals of needs to use disciplined, rational approaches the engineering programs. Ultimately, the in assessing how an issue works in the environ­ business leaders contributed many innovative ment. But the process changes when the ana­ ideas to the planning process and later helped lyst must identify the best solution to resolve to seek better funding for the plan. an issue. Detennining what solution will work [6 • Doing Academic Planning

best in the environment is more craft than sci­ and practices by which individuals inside or­ ence. A cost-benefit analysis, for instance, can ganizations behave and how organizations identify which solution delivers the greatest manage their relationship to external individu­ benefit at least cost, but cannot answer the als or groups. They may be formal or informal. question ofwhether any particular solution will Policies change in a cyclical manner, as illus­ be actionable. Judgment, intuition, and politi­ trated in Figure 1. The three parts ofthe cycle cal savvy are at least as impor­ are the processes ofpolicy development, imple­ tant as facts or analyses in mentation, and evaluation. Policies are con­ Judgment, intuition, selecting among policy alterna­ ceptualized, developed, and then imple­ tives. These skills are gained mented. At some point, stakeholders or policy and political savvy from immersing oneself in the makers agree that the policies either work are at least as environment of the problem acceptably or need change. Out ofthis evalu­ and its solutions. ation come pressures and ideas for improve­ important as facts or Models grounded in the ments or new policies. Then the cycle starts environment. Policy analysts anew. Varying methods are used to progress analyses in selecting have a unique task com- through the cycle, ranging from decision pared to academic research- making according to the simple preferences of among policy alterna-­ ers. A physicist might build a model that describes how a a leader to structured techniques, such as cost­ tives. These skills are phenomenon works. The benefit analysis or risk assessment. goal of the model is to As a formal method, policy analysis is gained from immersing identify the underlying used in policy development, policy evaluation, universal laws governing and policy optimization. In policy develop­ oneself in the environ-­ how the phenomenon ment, policy analysis serves to identify viable behaves-water molecules policy options in response to issues. Policy ment of the problem exposed to heat, for in- stance. The physicist evaluations focus on means of assessing and its solutions. assumes that if the model is whether or not a policy achieves its intended correct, it will work for any goals. Policy optimization is the use offormal water molecules exposed to methods, such as operations research or total heat, in any location meeting the quality management approaches, to analyze specified conditions. In contrast, and strengthen goal achievement under a the policy analyst does not look for given policy. universal laws in the systems studied. Instead, the analyst Academic leaders most often come into attempts to describe and model the contact with the use ofpolicy analysis as a tool uniqueness of an issue being for policy development. There are four main studied. The representational world steps in using policy analysis to develop new which is created by the analyst is policy ideas: (1) issue crafting, (2) policy crafting, unique to the issue and its particular (3 ) policy selection, and (4) policy presentation. set of stakeholders and environmen­ tal constraints. The analyst looks Issue crafting. Policy analysis is similar to the for the solution that best fits the activities of a wagon train scout. The scout's particular issue, as expressed in its job is to go ahead of the wagon train to sur­ specific environment. In so doing, vey the territory, to determine what people and the analyst usually considers how animals live along the way, to look for both the issue has been resolved in obvious and subtle dangers, to define safe similar settings. routes to the destination, and to make general Actionability. A successful policy analysis recommendations to the wagon train master creates more than an improved understand­ on how to proceed. When a mountain or river ing ofthe issue or its stakeholders. It contains or desert lies in the path of the wagon train, actionable recommendations. The solutions the scout needs to alert the wagon master to must work, and must be acceptable to stake­ the problem, to provide good information holders and policy makers. about the obstacle, and to offer an initial as­ sessment ofalternatives to explore. In policy APPROACHES AND PRACTICES analysis, the first step is to craft an issue scout­ Policies are the vehicles ofboth organizational ing report. Issue crafting has six basic goals: (1) stability and change. They specify the rules clarifying the issue, (2) establishing the con- Policy Analysis: Scouting for the Academic Wagon Train • 7 [

text for the issue, (3) stating the policy objec­ cial constraints due to lowered enrollments. tives for solving the issue, (4) giving a broad The policy analyst or planner must clarify the overview ofthe range offeasible policy alter­ issue sufficiently to define meaningful ap­ natives to explore, (5) suggesting criteria for proaches to its solution. Quade (1975, p. 71) determining whether a policy has successfully recommends that an issue be defined with met policy objectives, and (6) recommending respect to "where it came from, what its symp­ whether or not to proceed with a full analy­ toms are, why it is a problem, and what will be sis of the issue. A well done scouting report done with the analysis if it is carried out." may be just as valuable to policy makers as a full fledged policy analysis. It helps sort out Establishing the context for the issue. It is impor­ which issues are productive to address, and tant to put the issue into context in order to which issues are not. Some problems require understand it. The context includes the issue policy study, while others can be solved by culture, issue history, and potential constraints other actions, such as funding allocations or or opportunities related to the issue. The is­ personnel changes. sue culture is the context in which the issue is viewed, discussed, and managed by poten­ Clarifying the issue. Policy issues are not always tial stakeholders and policy partners. The his­ clear in reviewing controversy or problems. tory of the issue, and any policy actions Conflicts may really represent symptoms ofa addressing the issue, are a preview ofhow fu­ problem rather than the real issue. The heat ture policy actions might be received. Finally, ofthe desert sun may be the first apparent prob­ the existence ofany constraints on how stake­ lem, but lack ofwater is more serious. Student holders view what constitutes resolution ofthe complaints, for instance, about small aid awards issue is important in crafting the issue. For in­ could be the result ofchanges in external fi­ stance, policy makers may only be interested nancial aid programs or could result from finan-

FIGURE 1 Policy Development, ImplementAtion, And EVAlUAtion Cycle

Policy Development ~~~ Problem/Issue Issue -+ Policy -+ Policy -+ Policy Crafting Crafting Selection Presention ~~~

Policy Evaluation Policy Implementation

Policy ~ Policy Policy ~ Policy OPrmization Policy Operatio;S 1mPIrrnentationPol icy DeciSio;

"--Evaluation~ "-- Funding ~ [8 • Doing Academic Planning

in reducing the current level of conflict or ing this information in the issue crafting pa­ newspaper coverage over an issue, while other per, the analyst gives the policy makers or stakeholders may want full resolution. In such other stakeholders an opportunity to shift the a case, the policy analyst may recommend a direction or scope of analysis, should the public relations effort rather than a full policy project go forward. study to deal with the issue. Issues also create Quade (p. 75) suggests that the following opportunities for policy makers or stakeholders information be included about each policy alter­ to create pressure or enable change in related native in the presentation ofissues: description, areas. Dan Quayle, for instance, used the judgment ofpotential effectiveness, rough costs stimulus provided by an episode on the tele­ or cost areas, possible spillovers or unintended vision show, Murphy Brown, to raise a host of consequences, initial comparison ofalternatives, concerns about unwed parenting during the and any other important considerations. 1992 American presidential campaign. Suggesting success criteria. Criteria for assessing Stating policy objectives. Once an issue is defined the success or failure offuture policy changes clearly and placed in context, policy objectives are suggested in the issue report. If possible, orgoals can be identified. According to Quade quantifiable measures should be identified (1975), the issue analysis should "suggest the which can later be used in policy evaluation. objectives toward which programs for meet­ Recommendation on proceeding. The issue re­ ing the problem should be directed... [and] port is a thorough but preliminary study ofthe call attention to the ultimate goal toward issue being faced. Its most important compo­ which the solution is directed" (p. 73). Gill nent is the judgment of the analyst whether and Saunders (1992, p. 19) distinguish be­ the policy maker should pursue a more inten­ tween the assigned objectives ofthe study and sive policy study. Some potential reasons why the objectives ofthe policy maker. Ifthese dif­ further analysis may not be fruitful are: (1) the ferent objectives are in conflict, the results of organization does not control the policy levers the analysis may not be actionable. The pur­ necessary to effect change, and so should pur­ poses of narrowing policy objectives are to sue political action rather than policy action, create a manageable study focus and to com­ (2) the issue can be resolved by a more direct municate realistic expectations action, (3) not enough information is avail­ }he purposes for outcomes to the policy able to sustain a reasonable policy analysis, or maker. (4) the policy issue is already well studied and ofnarrowing Stating broad range ofpolicy alter­ understood, so an educational rather than ana­ natives. Issue crafting surveys lytic effort might be useful. If the analyst rec­ policy objectives the landscape of potential ommends proceeding, the issue crafting report policy alternatives, striving for can set expectations for the scope, cost, and are to create completeness and culminating time frame of the study to follow. a manageable in some judgment about poten­ Policy crafting. Policy crafting is the effort to tial alternatives. Here the ana­ identify, specify, and assess the viability of study focus and to lyst advises the policy maker policy choices for resolving an issue. Continu­ about the likely policy paths to ing the wagon train scout analogy, the scout communicate be recommended in a full study. analyzes which routes are likely to bring the realistic expectations Information about potential wagon train to its destination in a safe and policy alternatives comes from timely manner. As part ofthis effort, the scout for outcomes to review ofthe policy literature, considers the characteristics and culture ofthe networking with policy makers wagon train, specific information about each the policy maker. or stakeholders, or from other possible route, and other environmental fac­ sources-such as historical tors (projected weather, food, and water along works, client feedback, or focus groups. The the route, and the possibility ofdangerous en­ information is synthesized, and used to decide counters). The scout explores portions ofeach whether or not a given policy alternative possible route to gather more information. In should be considered. Majchrak (1984) points academic planning, the routes considered out that policy changes may range from the range from changes in existing policies orprac­ incremental to the fundamental. By includ- tices to entirely new approaches. Policy craft- Policy Analysis: Scouting for the Academic Wagon Train • 9 [

ing proceeds iteratively through three steps: ality accurate enough to give the researcher (1) refining the policy alternatives, (2) speci­ confidence in predicting the effects ofa change fying and creating a model for each policy al­ in policy (Quade, 1975). Models range from ternative, and (3) assessing the viability of thought experiments to complex mathematical each policy alternative. representations ofsystems. In building a model, Refining policy alternatives. In the issue scout­ the analyst uses the best available tools and ing report, a number ofpotential policy alter­ information and seeks first to represent the natives are presented. The alternatives are most important features of the environment described in broad-brush terms, and an in­ for which a policy change is being planned. For fonned guess is made concerning their viability. example, in building a model to use in simu­ In policy crafting, each alternative must be fully lating policies for enrollment planning, the first defined and set in its environmental context. step is to replicate the overall environment of All policies are embedded in a cultural the institution. Factors like demographics, high environment with rules and nonns by which school enrollments, the economy, and institu­ individuals and organizations operate to tional policies concerning admissions, financial achieve goals, choosing behaviors consistent aid, and academic standards, would be repre­ with values and operating practices to maxi­ sented. Once the overall environment-the mize gains. Further, the extent to which indi­ microworld-is modeled, ideas about the ef­ viduals and organizations can achieve goals fects ofpolicy changes can be tested. Models will be limited by their influence, authority, can help show the lag between policy imple­ and power. In order to plan for a policy change, mentation and actual change, or highlight un­ the analyst has to understand the values and anticipated effects ofpolicy. Quade points out modus operandi ofstakeholders who direct or that models can be very good as communica­ influence outcomes to achieve specific goals. tion devices and as a way to focus the judgment Different stakeholders see policies as more or and intuition of researchers and stakeholders less beneficial or adoptable in light of their onfinding a policy solution (p. 49). The policy goals, so the analyst should examine how such analyst or planner can use the model to verify factors will operate for each policy alternative understandings about the environment by shar­ being studied. ing the model widely and using Gill and Saunders (1992) point out that it to discuss potential changes Since simulating it is useful to analyze history or trends in policy with stakeholders. Since simu­ development concerning an issue. Any given lating policy changes in a model policy changes policy alternative has probably been tried in is less threatening than pilot test­ other organizations or even in the same orga­ ing such changes in the real in a model nization in the past. Review ofsuccessful and world, open discussion ofpolicy unsuccessful implementations of policies in alternatives is facilitated. Partici­ is less threatening similar settings can aid in identifying specific pation ofstakeholders in devel­ than pilot testing challenges or benefits ofone policy approach opment and review ofthe model over another. also promotes confidence in its such changes There may be legal, judicial, economic, later use in simulating policy ethical, cultural, or political constraints on the impacts. in the real world, kinds of policies that can be considered. For Assessing the viability ofeach policy instance, the existence of a contract may alternative. Deciding whether or open discussion eliminate some policy options. Some policy not a change is viable is one of ofpolicy alternatives goals or initiatives may also create opportunity the most difficult tasks in plan­ for change in other policies. Emphasis on re­ ning. Benveniste (1984) distin­ is facilitated. search partnerships with business, for instance, guishes between technical and may enable change in academic program de­ feasibility methodologies associated with plan­ livery or academic support services. ning activities. Technical methodologies, such Specifying and creating a model for each policy al­ as systems analysis, forecasting, or trend analy­ ternative. The analyst often creates a model for sis are helpful in analyzing among alternatives how a new policy would operate in the envi­ and in describing the environment for which ronment. The model is a representation ofre- change is being planned. Feasibility method­ ologies are more active than technical meth- [ 10 • Doing Academic Planning

ods and help develop greater intuition about nates some alternatives through exploring, how policies might behave in the environ­ mapping, and examining sections ofeach po­ ment. They involve "providing technical as­ tential path. The scout's next step is to explain sistance, networking ideas in the bureaucracy, the narrowed choices to the wagon master and creating incipient alliances ofsupporters, fa­ provide some judgment on the optimal route cilitating understanding ofthe issues, explain­ for the train to follow. In academic planning, ing the consequences ofactions, negotiating policy selection relies in part on the use of with opponents, keeping tabs on implemen­ formal methodologies or techniques to com­ tation, and so on" (Benveniste, 1989, p. 32). pare alternative courses ofaction, and in part Feasibility methodologies are used proactively on the more intuitive assessment ofhow ac­ to explore acceptability and workability ofan tionable a policy choice would be. For that idea for change in the environment. Their use reason, every policy alternative must be stud­ involves active discussion with the stakehold­ ied and assessed within the context ofthe en­ ers of how different changes might work or vironment in which it will be implemented. might not work in the environment. Floating The steps to follow in assessing the value of ideas through discussions and focus groups can any policy alternative include: (1) setting the be helpful. In exploring the feasibility ofpoli­ environmental context for each alternative, cies, the analyst's role is more similar to that (2) identifying relevant policy attributes for of a participant observer than to a scientist each alternative, (3) comparing the policy al­ conducting an experiment. There is no sub­ ternatives with respect to the attributes, (4) stitute for active engagement with policy mak­ ranking the alternatives on the basis of the ers, stakeholders, and future implementers for comparison, and (5) making recommenda­ gaining the intuition and insight needed to tions for change or stability. judge the viability of potential changes. Setting the context for each policy alternative. The Active collaboration with stakeholders environmental context for each policy alter­ and policy makers throughout the study is native includes the influence ofcultural, his­ important because ownership of the change torical, and any other constraining or pro­ process facilitates later acceptance ofchange moting factors on how a policy will operate in (Fullan, 1991). Sharing the policy ideas helps the particular environment under study. to transfer ownership of the ideas from the Each policy alternative is seen as more planner or policy analyst to or less consistent with the views, practices and Sharing the stakeholders and policy makers. philosophies ofthe different stakeholders for Change may fail if this transfer the decision. Once a new policy is adopted, policy ideas ofownership is not successfully there will be a shift in the relative power or made. influence of stakeholders in the policy area. helps to What are some of the The analyst must understand and assess both common reasons a potential the willingness of different stakeholders to transfer ownership policy might be dismissed as un­ accept or support a decision, and the relative of the ideas workable? A policy proposed influence or power of those stakeholders. Is a may not achieve the desired decision likely to be blocked, regardless ofthe from the planner policy outcomes. Otherhurdles merits of the policy being suggested? a policy must leap are those of Given what is known about the way in or policy analyst acceptability to stakeholders, which different policy alternatives have been economic affordability, and treated in the past, what kind ofreception will to stakeholders and political feasibility. Proposed the policy idea receive? Are there particular policy makers. changes should not result in un­ stakeholder groups that need to be advocates for wanted impacts unrelated to a given policy shift? How does the policy change the change at hand. Solutions compare to prevailing policy trends in the area? should not create new problems worse than A new policy direction may be seen as those being solved. either a vehicle for enhancing change in a Policy selection. Policy selection is the task specific direction or a throwback to policy now ofassessing the policy alternatives and iden­ seen as antiquated. The policy may also have tifying the best option or options for the policy implementation characteristics that make it maker to pursue. The wagon train scout elimi- Policy Analysis: Scouting for the Academic Wagon Train • 11 [

less acceptable for other reasons, such as tim­ in similar environments, views ofstakeholders ing, level ofchange required, cost, or the time on how well a proposed policy might meet required for producing results. their interests orgoals, willingness ofkey stake­ Identifying policy attributes. Stokey and holders or implementers to expend effort to Zeckhauser (1978) point out that it is a fairly make the policy change successful, and, if easy task to choose among alternatives if there available, simulations or pilots is only one outcome ofa policy and it can only of the potential effects of the Cost...benefit analysis be measured one way. For instance, if the only policy. goal a policy needs to satisfy is to increase the Cost-benefit. Stokey and is also insensitive number ofstudents enrolling in an academic Zeckhauser (1978) indicate program, then ranking alternatives such as that "benefit-cost analysis is the to political issues. lowering admissions standards or awarding principal analytical framework program-specific financial aid is straightfor­ used to evaluate public expen­ The question ward. Preference is given to the alternative diture decisions" (p. 134) . This ofwho gets that results in the highest number ofstudents kind ofanalysis is related to the in the program. But, "the trouble is that most assessment of goal achieve­ the benefits or policy proposals (intentionally or otherwise) ment, but focuses on linking serve a variety of objectives, and their out­ the relative amount ofsuccess who pays the costs comes are described in tenns ofmore than one in meeting goals to the cost of characteristic, some ofwhich may be unfavor­ the effort involved. There are at may be more important able" (p. 117). This "multi-attribute problem" least two major limitations to than the ratio (p. 117) means that analysts first need to cost-benefit analysis used in define all of the attributes, or valued conse­ policy comparison. First, many resulting from quences, associated with each policy alterna­ ofthe desired policy attributes tive before comparisons can be made. In the in higher education are not eas­ analysis. example on increasing enrollment in a pro­ ily quantifiable. For instance gram, there are probably some associated goals, what level of"benefit" can be assigned to de­ such as maintaining quality standards or ex­ livering a higher quality versus a lower qual­ panding in accord with curricular concerns, ity course in business economics? The cost of that need to be considered for any policy quality will usually be higher, given traditional change. The analyst needs to know which at­ methods of course delivery, and the benefits tributes are most important to satisfy. No one (better decision making by future executives?) policy is likely to have the same performance may be very high but not easy to identify or characteristics with respect to each attribute, demonstrate. The second major limitation is so a decision is usually made favoring one at­ that cost-benefit analysis focuses only on costs tribute over another. and benefits that can be identified at the time Comparing the policy alternatives. The analyst ofstudy. Stokey and Zeckhauser (1978) point compares the anticipated perfoITnance ofeach out that such benefits or costs need to be dis­ policy alternative with respect to each at­ counted in some fashion to account for con­ tribute. There are three attributes traditionally sequences experienced in the future (p. 136). considered in the comparison: goal achieve­ Anotherdifficulty to keep in mind is that costs ment, cost-benefit, and actionability. Other and benefits of a future action are unknown impacts ofpolicy change need review, such as and must be projected. The analysis must rely unanticipated consequences or impacts result­ on either a model that can be used to simu­ ing from how the new policy interacts with late the policy effects, or on data from a pilot existing policies (Majchrak, 1984). Sometimes, project or a project in another setting. Cost­ doing nothing at all is the best alternative. benefit analysis is also insensitive to political issues. The question ofwho gets the benefits Goal achievement. To what extent does the or who pays the costs may be more important policy alternative satisfy the desired policy than the ratio resulting from analysis (Quade, attributes or goals? Projecting a policy's effec­ 1975; Majchrak, 1984). tiveness in meeting goals can be difficult. Sources ofinfonnation to help with this assess­ Actionability. There are two components to the ment include data from prior use ofthe policy decision ofwhether or not a policy change is [12 • Doing Academic Planning

"actionable" or able to be implemented. The example, a policy change initiating on-line reg­ first is stakeholder support of, or opposition to, istration for students may require structural the potential policy. The best ways to assess changes in terms ofstaffing or work processes. opposition are to study similar implementa­ Implementing the new registration system tions ofpolicy and to use structured interviews would require technology, staff, time, and other with key stakeholders. Organizational require­ resources in order to be successful. Related ments for the success ofthe new policy are the policy changes in the area of student course second component. Majchrak (1984), for in­ approval processes and faculty involvement in stance, lists three critical aspects ofthe orga­ scheduling decisions may also be necessary. nization that should be reviewed in assessing Ranking the policy alternatives. The analyst usu­ how actionable a policy might be: (1) the struc­ ally stops short ofrecommending one final al­ ture needed in the organization to implement ternative and, instead, presents information a policy, (2) organizational resources needed on all actionable alternatives. Preferences for for implementation, and (3) related policy selection among policy alternatives do not mechanisms needed for implementation. For always match the results ofwhatever quanti-

Clarify the issue addressed by the policy study. State what specific policy objectives are to be addressed. Review the key environmental factors that affect the issue and any policy solutions. Mention major stakeholders and potential partners with the ability to influence whether or not a policy change will occur or will work if implemented. Describe the new policy model(s) recommended in the study. Attempt to "encapsulate the vision in a short metaphor, slogan, or memorable statement that conveys its essence and captures attention" (Nanus, 1992, p. 127). Give the underlying rationale for selecting the policy model(s), including results of the policy comparison process, and the judgments of stakeholders, policy makers, and/or the analyst concerning the viability of the models reviewed. Give informed estimates of policy outcomes, tradeoffs with other organizational outcomes, and impacts that can be expected on other areas of the organization. List any factors needed to ensure the success of the policy change, such as required investments, related policy changes, provision of staff training, or involvement of particular stakeholders or partners in the change. Alert stakeholders and policy makers to any challenges that can be expected in implementing the change(s), and include suggestions about the handling of any implementation issues. Recommend one or more new policy models be adopted, or that no alternative model is better than the current approach. Suggest other actions to help resolve the issue under dispute if recommending the status quo. Recommend an approach to evaluation of the policy change, including method of study, monitoring measures, or periodic review to assess goal achievement or cost­ benefit. If relevant, point out the need for baseline data on current policy or practices to enable evaluation after implementation of policy change. Policy Analysis: Scouting for the Academic Wagon Train • 13 [

tative approaches are used in the comparison ofpolicies. In the end, policy preferences are based both on quantitative assessments and a judgment about what policies will be most ef­ fective and actionable in the environment at hand. The perfect policy would be one that • Provide a brief executive summary. achieves the organization's policy goal in the least costly manner, with positive benefits to • State conclusions first. all stakeholders, and can be implemented • State the problem addressed by the study. without creating any new problems. Needless • State study limitations. to say, such a policy usually does not exist! The • Clearly state factors needed for success. challenge for the analyst is to synthesize all the • Use the active voice. information available on context, potential performance, and implementation for each • Forego jargon. policy alternative, and to arrive at a slate of • State the issue. acceptable policy choices. • State and discuss all actionable Policy presentation. How the scout presents alternatives. the choices to the wagon master is important. • State tradeoffs and impacts of each The wagon master wants good information on alternative. which to base a decision, but does not neces­ sarily want to be told what to do! Recommen­ • Use concrete examples. dations for the content ofa policy presentation • Limit data tables or move to appendix. are given in Table 1 (page 12). The presenta­ tion may be written or oral, or both. If writ­ • Use graphics to convey information. ten, the presentation should always begin with • Create oral and written versions of a briefexecutive summary communicating the the report. main points and recommendations in the pro­ • Be brief. posal. Any detailed material should be in­ cluded as an appendix, or referenced as a separate report. The analyst should assume aging to meet the communication needs of that many ofthose interested in the study will decision makers. review only the executive summary. Packaging of the proposal. Stokey and Zeckhauser point out that "many policy analy­ MANIPULATION AND DELIVERY ses are gathering dust because they are too long The packaging and delivery ofthe proposal is or too hard to understand" (1978, p. 329). part of the political process for building sup­ Policy researchers are often academicians and port for the policy decision about to be made. may package a policy proposal using the same Policy makers may want to use the analyst's style as in academic research. Academic pa­ report as an independent expert document, a pers typically follow a format: state a problem, statement ofa new policy direction for the or­ summarize all relevant literature and informa­ ganization, or a vehicle for floating some new tion about the problem, state an hypothesis ideas on a topic under discussion. Since the about the problem, describe the research de­ analyst does not "own" the delivery process sign for studying the problem, present results (policy makers do), it is important to tailor the of the study, interpret the results, and then structure ofthe policy proposal report to its in­ make recommendations for further research tended use. Generally, the analyst or planner or improvement ofthe study. The audience for will need to deliver the report to many differ­ a policy report is much less patient than the ent kinds ofaudiences in a variety oforal and audience for an academic paper! A good dis­ written forms. As an alternative, other staff cussion ofthe style and format ofa policy re­ within the organization may adopt the project, port is found in Majchrak (1984). Table 2 officially or unofficially, to carry the process for­ contains general guidelines for preparing a use­ ward. At a minimum, the report delivered by ful report for policy makers or stakeholders. the analyst should be sufficiently complete and The challenge for the analyst is to be well constructed to allow for further repack- concise as well as credible. Only a limited [14 • Doing Academic Planning

amount of the thought and work behind the Feedback. Effective policy analysis cannot be analysis can be presented in the policy report, done in isolation; the analyst needs to seek and but supplemental materials can give detail on obtain reasonable feedback during the study the contextual or comparative information used process in order to maximize the workability of to support conclusions. Different readers have resulting recommendations. Feedback at the different needs and desires for information. end of the process of study is too late. "Some will desire more detailed information, Intraprocess feedback from stakeholders and some will only want the major findings, and policy makers is critical at almost every step some will only want information that directly during the study. Examples include the restate­ helps them" (Majchrak, 1984, p. 94). Ulti­ ment ofthe issue, the statement ofpolicy ob­ mately, the success and credibility ofthe analy­ jectives, the initial cut at policy alternatives, sis will depend on the quality and workability the reasonableness ofpolicy models, the policy ofthe ideas within it. Packaging needs to be ef­ comparison, and the assessment ofactionability. fective, without getting in the way ofthe ideas Even the packaging of the final policy report in the report. is dependent upon feedback concerning the specific audience, and goals for presentations ACTIONABILITY ISSUE or written reports. Actionability is enhanced when the analyst is positioned to understand thoroughly both Design. Good study design maximizes the the technical and political aspects ofthe prob­ chance for workable results. However, there is lem being studied. Four factors are extremely a pragmatic aspect to policy research as com­ important in helping assure actionable results: pared to academic research. Thoroughness in (1) access to stakeholders and policy makers, analysis trades off to some extent against the (2) regular feedback among the analyst, stake­ timetable for policy action. As Stokey and holders, and policy makers, (3) effective study Zeckhauser (1978) stress, "a less ambitious design, and (4) effective study delivery. study that is in hand when policy is debated will be far more valuable" (p. 329) than one The analyst needs to understand the Access. which is thorough but late. Policy studies have views of stakeholders and policy makers if a to be as thorough as possible-given the time­ successful policy path is to be table for discussion and change, and the plotted. Such understanding is resources available for the study. Recommen­ Ultimately, impossible if the analyst does dations may not be actionable if the study not have access to individuals the success and design is flawed or if insufficient information and organizations influential in is available to support the conclusions. But the credibility of the policy process. Majchrak study effort will be wasted if policy decisions (1984) points out that both the are made before its completion. the analysis policy analyst and the policy Delivery. If policy makers, stakeholders, or on maker learn from the interac­ will depend tion. The policy analyst learns policy partners do not understand the results the quality and about the political process while or recommendations ofthe study, there is little the policy maker learns about likelihood of action. Good delivery is sensi­ workability of the study process. Without ac­ tive to the culture, background, and priorities cess, the analyst has to resort to ofthe audience for policy change. the ideas within it. second- and third-hand infor­ RECOMMENDATIONS mation and must make guesses Packaging needs to Policy analysis is a powerful tool for improving about political positions, values, the academic planning process. Properly be effective, without and impacts. Lack ofaccess can launched, it helps elevate the conversation be­ result in incorrect assumptions yond politics and results in more effective plans. getting in the way about issues and policies, or Policy analysis is also an imperfect art. There policy effects going unchal­ are seven essential admonitions for the aca­ of the ideas lenged during the study. The demic leader using policy analysis in planning: in the report. consequence may be that un­ (1) define issues so that solutions are achievable, reasonable or unacceptable (2) find and include the views ofall stakeholders solutions will be posed to stake­ on issues, (3) know the environment of the holders and policy makers. problem and ofthe solutions, (4) recognize the Policy Analysis: Scouting for the Academic Wagon Train • 15 [

quasi-political role ofthe analyst, (5) balance quantitative and qualitative approaches, (6) PRINT REFERENCES share responsibility for policy outcomes, and (7) Benveniste, G. 1989. Mastering the Politics ofPlanning: Crafting Credible recognize when reengineering is needed instead Plans and Policies That Make a Difference. San Francisco: ]ossey-Bass of incrementalism. Publishers. Dolence, M. and Norris, D. 1995. Transforming Higher Education: A Vision Defining the issue. One principle of total for Learning in the 21 st Century. Ann Arbor: Society for College and quality management is to invest more time in University Planning. designing good processes than in checking for Fullan, M. 1991. The Meaning ofEducational Change. New York: Teachers errors later. Similarly, policy analysis benefits College Press. trom investing time in the definition and clari­ Gill, J. and Saunders, L., eds. 1992. Developing Effective Policy Analysis fication ofthe issues to be studied rather than in Higher Education. New Directions for Institutional Research No. 76. relying on later evaluation techniques to dis­ San Francisco: ]ossey-Bass Publishers. cover if a new policy is working effectively. Majchrak, A. 1984. Methods for Policy Research. Applied Social Research Good policy crafting depends on good issue Methods Series. Volume 3. Newbury Park: Sage Publications, Inc. crafting. Issues that are unclear or misidentified Nanus, B. 1992. Visionary Leadership: Creating a Compelling Sense ofDi­ or misfocused will lead to policies with simi­ rection for Your Organization. San Francisco: ]ossey-Bass Publishers. lar characteristics. Norris, D. and Poulton, N. 1991. A Guide for New Planners. Ann Ar­ bor: Society for College and University Planning. Including the stakeholders. Understanding the Quade, E. S. 1975. Analysis for Public Decisions. New York: American views, environment, and goals ofstakeholders Elsevier. is critical to success in an academic planning Skulley,]. 1995. "Building Blocks of a New Society". Educom Review effort. Not including the views of relevant 30(5): 28-31. stakeholders leads to stale analyses which do Stokey, E. and Zeckhauser, R. 1978. A Primer for Policy Analysis. New not address the needs for change of different York: W. W. Norton & Company Inc. groups or individuals. Policy recommendations Wildavsky, A. 1979. Speaking Truth to Power: The Art and Craft of Policy that are not embraced and owned by both Analysis. Boston: Little, Brown and Company. stakeholders and policy makers eventually fail. Knowing the environment. Issues cannot be ELECTRONIC SAMPLER understood without knowing the environment in which the problem developed. Policy craft­ http://cause-www.colorado.edu/ ing cannot be done effectively without under­ CAUSE (the association for managing and using information resources in higher education). standing the environment in which solutions This is a good source for reams of on-line information about to the problem must operate. Implementing higher education policy pertinent to information technology. a policy designed for another time, another place, or another culture is usually fruitless. http://epn.org/ EPN (Electronic Policy Network: Idea Central). Recognizing the quasi-political role of the This website contains links to a number of policy centers and analyst. A good policy analysis incorporates think tanks on a wide variety of issues and topics, some of information about the biases and points of which are related to higher education. view ofstakeholders in selecting and compar­ http://seamonkey.ed.asu.edu/epaa/ ing potential policies. To understand the po­ Education Policy Analysis Archives: A Peer Reviewed]oumal. College of litical side ofthe environment, the analyst, like Education, Arizona State University. Gene V. Glass, ed. the participant-observer, has to become in­ In addition to the website, there is a listserv for related volved, even immersed, in the thinking pat­ discussions. Instructions on how to join are located on the Web pages. A related listserv, EDPOLYAN, is for discussion of terns and culture of the organization. The education policy. You may subscribe from http://info.asu.edu/ challenge is to maintain objectivity in the way asu-cwis/epaa/discuss.html. the analyst uses and assesses the information gained from this participation. If the policy http://www.ed.uiuc.edu/coe/eps/prof/Prof.html Professional Information. College ofEducation, University of Illinois at analyst or planner becomes a stakeholder, Urbana-Champaign. Nick Burbules. analysis may be distorted. This can happen if A set of links to colleges of education and related departments, the analyst becomes committed to a particular education resources, philosophy of education resources, and more. course ofaction, either because ofemployment http://www.fsu.edu/Nair/home.htm with the academic organization or due to at­ Internet Resources for Institutional Research. AIR (Association for Institutional Research) . tachment to a particular idea or position. The process itself may influence the judgment of [16 • Doing Academic Planning

the analyst, as the pressure to produce satis­ from a policy developer to a policy evaluator, factory results comes to bear. while maintaining political innocence, is gen­ Overemphasizing quantitative approaches. erally not well received! There is a great danger in giving too much Going beyond incrementalism. Policy analysis emphasis to quantitative measures and results often leads to incremental change. Incremen­ in policy analysis. Quantitative information tal changes are easiest to make, since they is important in providing a rational basis for manipulate practices that already exist in the the policy selection or comparison process but culture of the organization. The focus on may mislead if not coupled with expert judg­ actionable change creates a dilemma for the ments and the intuitions of those closely as­ analyst when only incremental change seems sociated with the policy area. The pressure to acceptable, but only real reengineering can maximize the cost-benefit or other perfor­ solve a problem or meet a planning goal. The mance ratios estimated for policy alternatives policy analyst may have to choose between should not automatically outweigh intuitive playing it safe with incremental recommen­ judgments on the viability of policies. Ulti­ dations or taking the risk of a bolder recom­ mately, the policy analyst needs to make rec­ mendation. Incremental change is usually ommendations balancing both qualitative and doable, but not always meaningful! quantitative assessments. SUMMARY Sharing responsibility for policy outcomes. Policy analysis is a critical tool for higher edu­ The policy analyst becomes part ofthe arena cation leaders and planners who are trying to for decision making, sometimes even assuming reinvent the academy. Strategic vision is needed the role of assistant or partner to the policy to see a new future, and careful planning is maker. The price ofaccess and participation needed to move an institution toward that fu­ in the planning process is shared responsibility ture. But the vision and plan are not enough to with the policy makers and policy imple­ ensure successful change. Good information is menters for the outcomes achieved. The policy needed, but it is not enough. Many obstacles analyst who embraces this responsibility as a and issues arise during a process of cultural, team member is more likely to be invited into political, or institutional change. Policy analysis the policy process again. Changing overnight is the tool for articulating solutions to those issues that would otherwise impede progress. The methods and techniques used in policy analysis combine sophisticated use ofinforma­ tion with the judgment, intuition, and politi­ cal savvy needed to find actionable solutions to problems. A partnership among leaders, plan­ ners, and policy analysts is needed to craft the new academy successfully. • ~iS chapter describes the concept ofenvironmental scanning, outlines basic approaches higher education administrators can take to identify change in the external environment, and suggests ways to project the consequences ofchange into strategic and long--term planning. Approaches To Environmental Scanning Thomas V. Mecca

CORE PLANNING QUESTIONS policies, strategies, or tactics adopted by groups College and university administrators who can or organizations to effect a desirable change. identify major changes in the external envi­ The core planning questions include: ronment---changes affecting the future oftheir institutions-are equipped for more effective • To deal with the uncertainty ofthe ex­ strategic planning. By expanding their knowl­ ternal world, how can higher education edge ofexternal changes disrupting the rela­ administrators process information about tionship between their institutions and the emerging trends and potential events environment, administrators can develop that forecast future conditions? more effective long-term strategies. Typically, • How can academic managers and plan­ however, academic leaders gather strategic ners collect external data systematically information passively, on an informal and ir­ and lessen the randomness of informa­ regular basis, selecting strategic information tion flowing into their institutions? without the benefit ofspecific criteria to ap­ • To what extent can sufficient lead time ply in identifying change across all sectors of be built into the planning processes for the environment. managers to understand external Moreover, unanticipated changes in the changes and develop appropriate strate­ environment render conventional approaches gic responses to resulting issues? to strategic planning inadequate, unable to address the uncertainty created by change. Such BASIC CONCEPTS approaches lead administrators to base long­ Simply put, the external environ­ term strategies upon expectations ofa "surprise­ ment comprises everything beyond free" future, ignoring unanticipated change by the direct control ofthe college or relying on extrapolations ofhistorical data. university that administrators and But the future ofcolleges and universities staff see as affecting its future, di­ is not predetermined. A complex interaction of rectly or indirectly. Researchers trends, chance events, and human interventions categorize such factors into four creates the future environment. Trends are sectors: social, technological, eco­ changes in environmental factors that are mea­ nomic, and political (STEP). Thomas V. surable over time (fluctuations in funding of Levels of the environment. Envi­ Mecca public higher education nationwide). Anevent ronmental factors also exist at sev­ is Senior Vice President of Piedmont Technical College, is a discrete, confirmable occurrence that makes erallevels (Morrison, 1992). The Greenwood, South Carolina. Mecca is also amember of the future different than the past. (Congress task environment level includes SCUP's Academic Planning Academy and has presented mandates two years of military service for all external factors specific to a particu­ aworkshop on environmental scanning at SCUP's annual, international conference. eighteen-year-olds.) Human interventions are lar institution (e.g., students/ [18 • Doing Academic Planning

potential students, their parents, their future and developments identified previously. Moni­ employers, donors, other revenue sources). The toring identifies changes in environmental industry environment level contains external trends and developments critically important factors directly affecting all institutions ofhigher to the institution. education (e.g., federal student aid, public Forecasting determines the direction and attitudes toward higher education, federal leg­ magnitude ofchange in key external factors. islation). Themacroenvironment, the broadest Whendecision makers lack sufficient knowledge level, embraces factors that affect all organiza­ ofcausal relationships among environmental tions, including colleges and universities. For factors, they are unable to identify, with certainty, example, the advent ofcomputers affected not developments that may disrupt the future. Fore­ only the workplace, but all segments ofhigher casts allow administrators to base their strategic education (e.g., two- and four-year, public and decisions on estimates regarding the probable private, research and comprehensive). occurrence ofenvironmental change. Approaches to environmental analyses. Admin­ Assessment allows administrators to istrators employ two basic approaches when analyze forecasts ofenvironmental trends and analyzing the external environment. With the developments relevant to the institution. inside,out,approach, common in most strategic Assessment focuses the attention ofdecision planning processes, decision makers examine a makers particularly on the nature and degree limited number of specific trends or external ofimpact each trend or development will have. factors and their effect on a set ofstrategic goals Administrators use the infonnation from such and objectives already seen as important to the assessments to fonnulate appropriate strategies. institution's future. With the outside,in,ap, APPROACHES AND PRACTICES proach, decision makers first identify major trends Models environmental scanning. In formu­ and factors emerging across the environment and of lating strategy, administrators use four distinct then determine which of them may be critical models ofenvironmental scanning, represent­ to the institution's future. With this information, ing different levels of sophistication (Jain, they develop strategies that capitalize on predict­ 1984). They use a primitive model when scan­ able environmental opportunities ning passively and informally, with no attempt and/or cope with possible envi­ Comprehensive to distinguish between strategic and nonstra­ ronmental threats. tegic information. Administrators employ an environmental Components of environmental ad hoc model when they obtain information scanning includes: scanning process. Comprehen­ sporadically about particular environmental sive environmental scanning sectors seen as important to the institution. scannIng, includes: scanning, monitoring, They adopt a reactive model when they con­ forecasting, and assessment. tinuously monitor, store, and analyze informa­ monitoring, Scanning identifies the signs of tion about specific environmental sectors but social, technological, economic, do not use a formal scanning system. When forecasting, and political change. Aguilar using the proactive model, administrators es­ and assessment. (1967) distinguishes among four tablish a formal system ofenvironmental scan­ modes of scanning. In the first ning to conduct ongoing, systematic scanning, two, undirected viewing and monitoring, forecasting, and analysis across a conditioned viewing, decision makers exposed broad range of environmental sectors. to environmental information are either un­ Environmental scanning systems. Those who aware of its significance or inactive in assess­ research academic planning encourage college ing it. In the informal search and formal search and university administrators to establish for­ modes, however, decision makers actively col­ mal systems ofenvironmental scanning (Hearn lect information either through unstructured and Heydinger, 1985; Morrison and Mecca, efforts (obtaining environmental information 1989). In a fonnal system, decision makers sys­ limited to a specific purpose) or preestablished procedures (securing information related to tematically review an assortment ofprint ma­ terials (magazines, newspapers, reports) broad changes in the environment). electronic media (TV, radio, electronic data­ Monitoring complements scanning by bases) and human sources (conferences, meet­ tracking, systematically and over time, trends ings, personal conversations) for infonnation. Approaches to Environmental Scanning • 19 [

In the sim­ plest system, one or more persons ab­ stract information from a variety of e.g., New York Times, USA Today, publications (na­ The Wall Streetlournal, tional and regional Christian Science Monitor newspapers, leading Popular magazines e.g., Time, U.S. News and World magazines, specialty Report, Newsweek publications, other relevant literature) Professional magazines e.g., Training, IEEE Spectrum, and circulate the Datamation, Foundation abstracts, in their News, Nation's Business original form or in Special interest publications e.g., BYTE, Psychology Today, an internal newslet­ American Demographics, ter, among admin­ Technology Review istrative offices and Popular intellectual publications e.g., Atlantic Monthly, Harper's staff. A modern Non-establishment periodicals e.g., Utne Reader, Mother Jones, variant of this is New Age, The Noetic forwarding email Review newsletters and web pages electronically. Futurists literature e.g., The Futurists, Futurics, Clearly, however, Futures Research Quarterly the idiosyncratic nature of the scan­ General publications e.g., The Chronicle of Higher ner's perceptions of Education, Planning for the environment Higher Education, Change, greatly affects the Education Week, Commu- objectivity ofthe re­ nity College Week sulting infonnation. Specialized publications e.g., Journal of Medical Educa- A more com­ tion, Graduate, Women, prehensive system CASE Currents, Academe utilizes a cadre of staffvolunteers who e.g., institutional research systematically scan reports; local and state material from a government reports; broad range ofinfor­ regional, state and local mation sources newspapers (many now representative of available online) external change. Recruited from per­ sonnel within the institution, these volunteers industry, macro) ofthe environment, diversity can include faculty members, key administra­ is the important criterion in selecting scanning tors and staff members, planning committee materials (Morrison, 1992). members, and senior administrators. Morrison The publications shown in Figure 1 rep­ (1992) recommends that scanners be trained resent print information resources generally in a full-day workshop how to scan assigned scanned. Developments in the macro­ sources and prepare abstracts. environment are recorded in national newspa­ The sources scanned include material pers, popular magazines, professional magazines, from the social and behavioral sciences, natu­ special interest publications, popular intellec­ ral sciences and technologies, business and tual publications, and non-establishment peri­ economics, politics and government, and edu­ odicals. Futurist literature is an excellent source cation. Because information sources should ofinfonnation about emerging trends and new represent all STEP sectors and all levels (task, developments in the macroenvironment. [20 • Doing Academic Planning

A number ofgeneral and specialized pub­ Periodically, an analysis committee-rep­ lications serve as basic sources ofinformation resenting a cross-section ofthe institution's ad­ about the industry environment. Information ministration, faculty, and staff-reviews the resources for scanning the task environment abstracts. Thecommittee evaluates new abstracts generally include institutional reports; state to identify emerging trends, events, and strategic boards of higher education re­ issues they consider to have the most significant ports; local, state and regional implications for the future of the institution. ]he trends and newspapers; and local and state A summary ofthe committee members' developments government reports. Any pub­ evaluations is prepared and forwarded to the lished material, however, can be institution's strategic planning committee, the monitored in the a source of information. scanners, and other key decision makers. The Scanners are asked to re­ summary contains a briefdescription often to scanning process view publications they regularly fifteen trends, possible events, and emerging read. Materials not regularly re­ issues. It should also include a briefanalysis of are generally those viewed may have to be assigned the environmental forces influencing the rate identified as critical to so that the group covers all rel­ and direction ofeach trend, the likelihood of evant information sources. If each event occurring, and the emergence of the future of the number ofscanners is suffi­ each issue. cient, two or more should re­ The analysis committee distributes the the institution by view the same source to prevent information developed from its analysis ofthe items ofpotential interest being abstracts in several ways. A scanning newslet­ participants in missed. Volunteers scan their as­ ter focuses the attention ofall members ofthe the initial workshop signed materials for articles con­ institution on critical trends and developments taining signals of departures emerging in the environment. Distributing and by major from expected futures or discon­ selected abstracts can draw attention to a par­ tinuity in current trends. The ticularly significant trend or issue. Information decision makers. trends and developments moni­ can also be available institution-wide through tored in the scanning process campus email, and electronic bulletin boards. are generally those identified as critical to the Planning staffmembers incorporate the future ofthe institution by participants in the summaries ofthe analysis committee's meet­ initial workshop and by major decision mak­ ings into alternative scenarios. Members ofthe ers. Specifically, scanners identify items that strategic planning team analyze the scenarios contradict assumptions about what is happen­ and develop institutional strategies. ing, represent trends or ideas never before en­ Summaries direct the scanners by iden­ countered, contain forecasts, represent new tifying emerging changes in the environment twists to old arguments, present opinion polls that warrant continued monitoring. Faculty showing shifts in attitudes or values, or discuss and curriculum planners use the summaries to technological breakthroughs. revise existing academic programs and to cre­ The scanners prepare one-page abstracts ate new ones. ofeach article, explaining the idea or devel­ The office responsible for administering opment that indicates change, its implications the system described here will vary by insti­ for their institution, and for higher education tution (Morrison, 1992). Depending upon the in generaL Implications may appear as emerg­ institution's planning capability and resources, ing strategic issues, identification ofstakehold­ the planning office may be responsible. Insti­ ers affected, or future trends resulting from tutions with neither a planning nor a research social change. Scanners also prepare abstracts office may assign a faculty or staff member to ofconferences, books, TV and radio programs, oversee the scanning system as part of their movies-publications in all forms of media. regular duties. Scanners forward completed abstracts to Senior administrators should recognize the staff member coordinating the program, that a scanning system requires time and re­ who then catalogues and files them according sources. According to Morrison (1992) a con­ to a previously developed taxonomy. The tinuous scanning system requires, at a collected information can then be quickly and minimum, one professional who can devote conveniently classified and retrieved. half-time to the activity. Approaches to Environmental Scanning • 21 [

MANIPULATION AND DELIVERY tions ofthe institution's future environment. Three methods commonly used for environmen­ With this approach, however, the quality of tal scanning are: Delphi, cross-impact analysis, the scenarios depends upon the writer's ana­ and scenarios. Each helps decision makers clarify lytical abilities, creativity, and experiences. the future by studying unanticipated discon­ The scenarios may be so idiosyncratic that tinuities and environmental changes. decision makers find it difficult to develop The Delphi technique obtains forecasts institutional strategies sufficiently objective from a group of"experts," on the assumption and robust. that many heads are better than one. In con­ More sophisticated techniques use inter­ ventional Delphi, a panel ofexperts forecasts active computer models to generate scenarios. the likelihood, rate, and impact ofemerging PASS (policy analysis simulation system), for developments-through a series ofquestion­ example, is designed specifically for applica­ naires. Anonymity ofpanel members is main­ tion in higher education planning. It incorpo­ tained while determining the degree of rates trend-impact analysis techniques to consensus among them. generate outlines of alternative futures that The typical panel of experts includes display a chain ofevents occurring over time planning team members, key decision makers, as well as resultant variations in the level of and other individuals, in and beyond the in­ trends affected (Mecca, 1993, p. 266). stitution, judged to have knowledge critical for Decision makers conduct policy analysis the institution's future. Information gained by reviewing each scenario. Within the par­ from the Delphi procedure is used to formu­ ticular future described by a scenario, they late scenarios defining alternatives. identify opportunities and threats (explicit or Before formulating alternative scenarios, implied) posed by environmental forces, the planners create a cross-impact model to assess causal relationships among these forces, and relationships among critical trends and devel­ key points for policy interventions. Interven­ opments predicted through Delphi. Such a tions seriously considered as possible strategies model traces enhancing and inhibiting inter­ seize the opportunities and avoid the threats. relationships among a set ofevents or develop­ ments, allowing decision makers and planners ACTIONABILITY to identify, in particular, those that playa major Administrators use various approaches to in­ role in affecting the future (Morrison and corporate scanning information into their stra­ Mecca, 1989). A cross-impact analysis process tegic decision making activities. defines explicitly and completely the pairwise Vulnerability audit. Colleges and universities causal relationships within a set of events or that lack sufficient resources to support a com­ developments. The process asks how the prior prehensive system of environ­ occurrence ofa particular event might affect the mental scanning can conduct a occurrence of other events or developments. vulnerability audit. A vulner­ Colleges and Once these relationships are specified, analysts ability audit focuses the insti­ universities that lack can "let events happen" and trace a new set of tution's scanning efforts on forecasts representing an alternative to the assessing only those environ­ sufficient resources "most likely" future. mental factors that pose direct Scenarios describe possible futures, illus­ threats to the control feature of to support a trating alternative outcomes of a set of fore­ the institution (Ashley and casts, and illuminate critical uncertainties Morrison, 1995). comprehensive system created by the major forces affecting the insti­ The process consists of of environmental tution (Wack, 1985). Each scenario defines a five sequential steps. First, mem­ unique mix offuture environmental forces. By bers ofthe analysis team identify scanning can conduct providing a range ofpossible futures, alternative factors critical to the institution's scenarios facilitate identification ofcommon stability. These can either be a vulnerability audit. features likely to have an impact on the orga­ tangible (a large pool of enter­ nization-no matter which future materializes. ing students) or intangible (the public's view In most colleges and universities, a single of the economic worth ofa college degree). individual within the scanning team or plan­ During the second step, members ofthe ning staffwrites a series ofalternative descrip- team identify external developments that could [22 • Doing Academic Planning

undermine the factors identified in step one­ The ED QUEST model includes six pro­ environmental threats requiring a strategic re­ cedural components, each incorporating various sponse from decision makers and administrators. methodologies and procedures used in environ­ In step three, the team members first mental scanning, including Delphi forecasting, restate the particular development as a fore­ cross-impact analysis, and scenario analysis. cast ofan event or condition that could hap­ The institution's strategic planning com­ pen within a specific time period (e.g., within mittee initially detennines the current status three years the federal government will require ofthe institution by identifying the elements a SAT score of850 for a student to qualify for ofits mission and key indicators of its perfor­ financial aid). Members then assess the prob­ mance. Using published materials (magazine ability ofeach forecast and its impact on the and newspaper articles, graphs, trend extrapo­ institution. Individual assessment ofeach fore­ lations, book excerpts) collected in a "future cast (threat) is then mapped on a master chart prospects notebook," team members identify according to the dimensions of impact and critical trends and future events by using a probability ofoccurrence. Members complete Delphi procedure. They then forecast the this step by discussing individual assessments direction/institutional impact ofeach critical that deviate from the general consensus. trend and the likelihood/impact ofeach event. In step four, the team reviews the overall The team next conducts a cross-impact pattern ofthreats to the institution, identifying analysis to determine the interrelationship those to which the institution is most vulnerable, within a set ofcritical trends and events. From and detennining the degree ofits vulnerability. the infonnation obtained, they create alterna­ In the fifth and final step, the team designs tive scenarios of the future. Each scenario strategies to address each area ofvulnerability, consists ofa particular configuration ofcritical assigns persons to implement each strategy, and trends and events describing a potential future allocates resources to carry out the priorities. environment. Team members assess each sce­ ED QUEST process. The ED QUEST stra­ nario to determine its institutional conse­ tegic planning model links environmental quences should it materialize. After they scanning information directly fonnulate strategies addressing the anticipated to strategy formulation. consequence ofeach alternative future, they Because it comprises Adapted from the QUEST evaluate the impact of each strategy on pre­ the generic elements model (quick environmental viously identified strengths and weaknesses scanning technique), ED and incorporate it into the strategic manage­ of strategic planning, QUEST integrates future re­ ment of the institution. search techniques and diver­ The issue management nwdel. Unless antici­ ED QUEST allows gent thinking methods into a pated and managed, emerging issues can com­ participatory group process that promise institutional performance. The issue administrators of produces visions ofalternative management model suggested by Morrison institutions implement-­ futures and institutional strat­ (1992) allows administrators to integrate raw egy (Mecca, 1993). infonnation obtained through environmental ing strategic planning Because it comprises the scanning into a process for identifying and generic elements of strategic managing complex issues. By identifying issues to design a more planning, ED QUEST allows in the early stages ofdevelopment, administra­ administrators of institutions tors gain sufficient time to develop an orderly elaborate planning implementing strategic plan­ and rational response. ning to design a more elaborate Once issues are identified through scan­ process and apply planning process and apply ning, the nature of each is framed in a suc­ more advanced more advanced planning tech­ cinctly written issue brief. A set of issues is niques incrementally. Thus, it assigned to one of three categories: planning techniques allows college and university Category I-Issues requiring the implemen­ administrators to manage the tation ofthe issue management model. incrementally. evolution of their strategic Category II-Issues that do not require im­ planning capability, increasing mediate action because oftheir maturity, the likelihood that the institution's planning system will mature appropriately. Approaches to Environmental Scanning • 23 [

their inability to be managed, or their relative unimportance. PRINT REFERENCES Category III-Issues that require no action. Aguilar, F. J. 1967. Scanning the Business Environment. New York: Macmillan. The issue management model comes Ashley, W. C. and Morrison, J. L. 1995. Anticipatory Management: Ten into play with issues in Category 1. Once an Power Tools for Achieving Excellence Into the 21 st Century. Leesburg: issue's significance justifies spending further Issue Action Publications, Inc. resources on its management, the following Hearn, J. c. and Heydinger, R. G. 1985. "Scanning the University's 10-step process is initiated: External Environment-Objectives, Constraints, Possibilities." Jour­ 1. Designate an individual as issue owner nal of Hip;her Education 56(4): 419-445. whose institutional responsibility is most Jain, S. C. 1984. "Environmental Scanning in U. S. Corporations." Long closely aligned with the issue. Range Planning 17: 117-128. Mecca, T. V 1993. "A Case Study ofthe ED QUEST Strategic Planning 2. Form an action team ofindividuals from Model in a Public Two-year College." Doctoral dissertation, Col­ areas in the institution most sensitive to lege ofEducation, University ofSouth Carolina. the issue. Morrison, J. L. 1992. "Environmental Scanning." In The Primer for Insti­ 3. Conduct a situational assessment by de­ tutional Research, edited by M. A. Whiteley, J. D. Porter and R. H. fining the issue, gathering information, Fenske. Tallahassee: Association for Institutional Research. and studying the results. Morrison, J. L. and Mecca, T. V. 1989. "Managing Uncertainty: Envi­ ronmental Analysis/Forecasting in Academic Planning." In Higher 4. Define the impact of the issue on the Education: Handbook ofTheory and Research, edited by J. C. Smart. institution's future. New York: Ag athon. S. Identify and assess the ramifications ofthe Wack, P. 1985. "Scenarios; Uncharted Waters Ahead." Harvard Business issue from the perspective ofstakeholders. Review 63: 72-89. 6. Formalize a position on the issue direct­ ing the institution to achieve the desired ELECTRONIC SAMPLER outcome. http://apollo.gmu.edu/Njmilam/air95.html 7. Help stakeholders develop objectives that Internet Resources for Institutional Research. contribute to the institution's position. http://sunsite.unc.edu/horizon/ 8. Develop technical objectives that change On the Horizon. School of Education, Program in Educational leadership, the way the institution "does business." University of North Carolina. James L. Morrison. 9. Implement an action plan containing Encourages discussion about emerging issues, trends, events in the social, technological, economic, environmental, and specific changes the institution will make political sectors of the macro environment (national/global to implement its strategies. levels) that will affect education-elementary and secondary 10. Measure progress on the issue and fine schools as well as colleges and universities. You will also find tune accordingly. instructions on how to subscribe to a related listserv. http://www.cua.edu/www/eric_ae/search.html RECOMMENDATIONS Search ERIC. Educational Resources Information Directory. The literature onenvironmental scanning reveals a discrepancy between the "ideal" and the "real" http://www.gactr.uga.edu/Scanning/scan0796.html Lookouts: The Newsletter of Environmental Scanning. Georgia Center for model ofenvironmental scanning. Jain (1984) Continuing Education. Donna L. McGinty (ed.). finds that only one-third ofcorporations engaging http://www.newwork.com/Ed_watch.html in environmental scanning activities actually BraveNewWorkWorld & NewWork News. Gary Johnson. develop formal systems ofscanning. As the masthead of this electronic journal says, "All about work. All Developing a comprehensive, systematic the time. For business, education, and careers." Sample article on approach to environmental scanning requires September 7,1996 was "What ifThey Gave an Education and Nobody a commitment oftime and resources. Manag­ Came" by Mark Champion (Grand Rapids Community College). ers ofenvironmental scanning units typically http://www.rrpubs.com/heproc/ encounter difficulty in identifying relevant HEPROC (Higher Education Processes). R&R Publishers. information and scanning material because HEPROC is a collaborative, participatory discussion and they have an inadequate concept ofthe gen­ research environment for higher education interests. eral environment (Jain, 1984). Limiting the scope ofthe environmental scan information collected addresses this problem. [24 • Doing Academic Planning

Also, finding sufficient readers to scan a cational Resources Information Center (ERIC), variety ofinformation sources regularly can prove Public Affairs Information Service (PAIS), Dia­ problematic. Institutions without the human log, and Bibliographic Retrieval Service (BRS) resources to implement a continuous scanning are also valuable sources to monitor. process can subscribe to environmental scanning Filing and storing scanning information newsletters. Examples of such publications in­ requires a good deal oftime and effort. Man­ clude Future Survey published by the World agers ofscanning systems, however, can eas­ Future Society, What's Next from the Congres­ ily create and maintain a taxonomy with a sional Institute for the Future']ohn Naisbitt's Trend database program. Letter, and Technotrends from Burrus Research As­ The complexity ofenvironmental scan­ sociates, Inc, in Milwaukee, Wisconsin. ning systems has evolved over time in a pat­ Some valuable websites include On the terned fashion, from simple processes of Horizon, Academe this Week, EDUCOM, and information gathering to complex systems of Internet Resources for Institutional Research. See information analysis. Administrators and plan­ references to these and other sites in this ners interested in committing their institutions chapter's "Electronic Sampler." to a comprehensive environmental scanning According to Ashley and Morrison (1995), system should do so incrementally, and over databases such as those available through Edu- an extended period oftime. • Curriculum Planning Planning an Academic Program Review Gertrude M. Eaton and Helen F. Giles;Gee Alternative Delivery Strategies, Partnerships and Articulatinn Agreements: New Redpes for Favorite Dishes Kathleen A. Corak and James L. Croonquist

~iS chapter provides a model of the content and process ofprogram review: ad~ ministrative structures employed, definition/selection ofkey indicators and a format for their display, critical steps in the review process, faculty and student expectations, and alternative links to institutional planning. Planning An Academic Program Review Gertrude M. Eaton and Helen F. Giles~Gee

CORE PLANNING QUESTIONS student-centered approach. Inputs as yard­ Increased demands for accountability have af­ sticks ofquality are being replaced by outcomes fected traditional program review practices. In as measures of performance/accountability. earlier decades, institutions simply added the More and more, the following core planning cost of inflation and new initiatives to their questions guide decisions about what can be annual budget appropriations (Solomon, 1990). done to improve program quality: As legislatures and consumers began to question • Are faculty involved in de­ pricing and costing decisions about products and veloping performance indi­ services, program review became a central el­ cators and benchmarks to ement in planning, especially since program in­ demonstrate whether the ventories failed to adjust to declining financial program is responding to resources. This chapter provides a model ofboth institutional demands for ac­ the content and process ofprogram review: ad­ countability? ministrative structures employed, definition/ • Are assessments of student selection ofkey indicators and a format for their Gertrude M. learning outcomes in place? display, critical steps in the review process, fac­ Have any changes in cur­ Eaton ulty and student expectations, and alternative ricula and/or teaching re­ is Associate Vice Chancellor for Academic Affairs for the links to institutional planning. University of Maryland System, Adelphi, Maryland. Eaton sulted? The higher education community has was both apresenter at SCUP-31 and the Plenary Ses­ typically regarded program review as an assess­ • How productive is the pro­ sions Chair for the SCUP-31 Conference Committee. ment ofquality and/or an opportunity to re­ gram? What does it cost? quest more resources. Consideration of a How do expenses compare program's contribution to the long-range goals to similar programs at the in­ of an institution, system, or state were often stitution and elsewhere? overlooked. Increasingly, however, institutions • Does the program fit the expect that program reviews will inform de­ institution's mission and cisions about where to reallocate resources ef­ plans for the future? Are re­ fectively. Barak (1986) observes that an deployments necessary? Helen F. integrated approach among program review, Giles~Gee BASIC CONCEPTS planning, and budgeting is advantageous be­ Program review is simply the is Associate Vice Chancellor for Academic Affairs and cause goals and objectives are clarified, units evaluation ofa program's contribu­ Director of ArtiCUlation for the University of Maryland Sys­ are evaluated consistently, and expectations tem Administration, Adelphi, Maryland. Giles-Gee was tion to students, faculty, the insti­ are specified before the process begins. Insti­ SCUP's 1992 Mid-Atlantic Regional Representative, served tution, and the larger community. tution-wide planning is leading program re­ on the Executive Committee of SCUP's Board of Directors, Implemented on a five-to-seven view from a faculty-oriented approach to a and was SCUP's President in 1993-94. [28 • Doing Academic Planning

year cycle, a common core ofquality indica­ ment, forcing higher education institutions to tors usually includes, but is not limited to, search for better ways to conduct formative information on students' preparation and per­ reviews (ongoing and continued program formance, faculty qualifications and produc­ evaluation) and summative reviews (periodic tivity, currency of the curriculum, level of analyses ofthe final product). A few examples instructional support, adequacy of facilities, follow in which institutions took varied steps and alumni/ae satisfaction. to address predetermined objectives. Each Postsecondary institutions use the results engaged the faculty in the process. Each dealt of program reviews to make decisions about effectively with reviews outside the depart­ enhancement, continuation, merger/consoli­ ment. Each validated institutional priorities dation, and reduction or elimination of aca­ through reallocation. demic programs. Increasingly, motivations for Thompson (1983) describes how the program review include the need for an insti­ University ofWashington, through its commit­ tution to become more efficient and thereby tee structure, identified priorities and allocated contain costs. In 1992, for example, the Mary­ resources to maintain the enrollment level, to land Higher Education Commission con­ improve academic support for instruction, and ducted a statewide review ofprograms, using to provide funds for equipment, computing, li­ such indicators as enrollments and degrees brary, and physical plant. Some programs were awarded, to target several hundred programs eliminated, resulting in a surplus oftenured fac­ as nonproductive and/or duplicative. The ulty who were either reassigned or provided University ofMaryland System (UMS) Board with early retirement options. Bloomfield ofRegents responded by requiring institutions (1984) describes a mathematical and comput­ to justify retention ofsuch programs. Through erized program review model used at Oregon an arduous process that determined cost, pro­ State University. Student credit hour trends ductivity, and centrality to mission ofall tar­ were plotted on a logarithmic scale to enable geted programs, the board ofregents mandated the simultaneous review of programs regard­ over 166 program actions and reallocated $10 less of size. Average expenditures were com­ million among UMS institutions. pared to those of peer institutions. Several T The experience in Mary- programs were reduced by limiting enrollment 1he overarching goal land.for~ed.resident post:secon­ and/or major areas ofconcentration. dary lnstltutlOns to recogmze that In another case, the University of of the review process "quality" as it is usually defined Montreal faced a $45 million budget deficit . by faculty was, in and ofitself, in- from 1982 to 1985. The university decided IS to demonstrate sufficient to retain a program. To that service to non-majors, freshmen, and how the pro am fits th~ r~gents, clearly reflecting the graduate programs were high priorities. gr, opmlons ofexternal groups, com- Belanger and Tremblay (1982) developed an with the mission and parative program cost, and pro­ equation that compared course credits from ductivity were essential-not different disciplines. The results ofthe analysis future plans alternative-components of were used to reduce teaching resources by de­ . .. quality. Thus, institutions had to creasing course offerings and sections, elimi­ of the Instltutwn. demonstrate the particular value nating courses with low enrollment, oftargeted programs in sharpen­ promoting cyclical course offerings, and in­ ing their institution's role within the system. To creasing section sizes and efficiency. the UMS community, the downside of the re­ These historical examples demonstrate gents' approach to program review was the real that within the canon ofprogram review there threat to institutional autonomy. are key steps in the process. APPROACHES AND PRACTICES The program review process. The overarching The basic concepts of program review build goal of the review process is to demonstrate both upon indicators ofaccountability (often how the program fits with the mission and fu­ fiscal and external) and upon traditional mea­ ture plans ofthe institution. Therefore, the in­ sures ofquality. Since the 1980s, national and stitution must orient chairpersons and faculty regional accrediting bodies have developed to new or unusual demands for accountability. stringent procedures for outcomes measure- For example, in the fall of 1995 the Univer- Planning An Academic Program Review • 29 [

sity of Maryland System Office of Academic to the provost. An Affairs held a systemwide workshop for new de­ effective review pro­ partmental chairs. One ofthe most widely at­ cess requires clarity tended sessions dealt with the effect ofexternal of responsibilities accountability and fiscal need on program re­ among key individu­ view. The chairs focused upon a single ques­ als and groups. tion, "what do the regents and the state want Some institu­ from us?" In brief, the answer was "accountabil­ tions prefer to ity": 1) serve students better through more supplement the cooperation among the system's institutions, information devel­ 2) use distance education technologies to oped during inter­ maintain a solid market share of the state's nal review processes students, and 3) increase access and maintain by adding an exter­ quality while simultaneously streamlining ad­ nal panel. The use ministrative services and downsizing programs. ofan external team As they shared experiences in these areas, the can help to validate chairs acknowledged the legitimate interests the findings of ear­ ofgoverning boards and state agencies in re­ lier reviews and to defining the focus ofhigher education. How­ minimize the con­ ever, the imposition of the regents' tenets in flicts that might re­ institutional planning has proved to be a fun­ sult from unpopular damentally new experience for departments. recommendations. Initially, program review is an effort un­ Role of the chief dertaken by an entire department, facilitated academic officer. by the chairperson; units and individuals out­ The chiefacademic side the department are also key to the pro­ officer must view cess. It is critical that the selection ofprogram each program re­ data and performance indicators be agreed view in three con­ upon by the academic leadership before a re­ texts: the institution view begins. If the review is to be useful for and/or system mis­ resources across planning, faculty must see the synergism sion and goals, the • Determine priority of program, in among a program's quality, productivity, cost, curriculum, with its and institutional priorities. The chairperson comparison to other programs, within prerequisites or co­ the mission of the institution should work with faculty to develop prelimi­ requisites for other nary recommendations, and with the planning academic programs, officer to incorporate an institutional perspec­ and the services pro­ tive into the department's thinking. vided to the general Following the departmental review, pro­ education program. grams are usually evaluated by larger units within Additional consid- the institution (college/school or institution­ erations may in­ wide planningcommittees, senior cabinet), with clude a program's program the levels ofreview detennined by the size ofthe reputation, gauged • Inform campus of decisions and institution. The University ofMaryland at Col­ by regional or na­ next steps lege Park (UMCP), for example, requires sev­ tional rankings. The erallevels ofreview beyond the department in value of each pro­ 'For puhlic institutions, some indicators may he which programs are slated for downsizing, modi­ gram under review detennined hy external agencies such as a state higher fication, merger, or elimination: the Campus education coordinating hoard. For institutions within is measured against systems, the indicators may he prescrihed hy the hoard of Senate; the General Committee on Programs, all otherprograms at regents in consultation with the state higher education Curricula, and Courses; and the campus Aca­ the institution. For­ coordinating hoard. demic Planning and Advisory Committee merly, the chiefaca­ 2A hoard of regents for a system may estahlish a review (APAC). Comments are sought from UMCP cycle to ensure the silnultaneous review of silnilar demic officer might programs system wide. alumni/ae and external constituents. Program have made the first duplication and comparative costs are exam­ recommendations alone, but now it may be ined, and final recommendations are forwarded necessary to work more closely with the chief [30 • Doing Academic Planning

financial officer and institutional planner to ad­ changing the student/faculty ratio, assessing dress issues ofcost and strategic value. the ratio oftenure/tenure-track faculty to core Role of the department chair. The responsi­ undergraduate course instruction, determin­ bilities of a department chair are very differ­ ing effects ofthat ratio on program cost, reduc­ ent from those ofa faculty member. Increasing ing the number ofelectives in the major, and T responsibilities in the areas of increasing the instructional load offaculty-all within the constraints of the institution's In today's account.... personnel management, cost containment, and accountabil- mission and the department's definition of ability climate, ity, are transforming the chair quality. Moreover, efforts to link the results of . into a manager/administrator program review to financial planning will program reVIews are and report writer. Metz (1995) influence how faculty are assigned and evalu­ ated. Personnel costs provide the most fungible d . b.{: l d notes that decisions to rIVen y JIsca nee strengthen the role of the de- resource for reallocation, tenure notwithstand­ ing. It is critical, therefore, that program re­ and pose a threat to partment chair encounter strong resistance among faculty. view engage faculty in analyses that will inform faculty and staff, since Further, the task ofimplement- the outcomes of their programs. . . ing the results of program External pressures may require new fac­ one possIble outcome IS review my be hindered by fre- ulty workload models to justify distribution of h quent turnover in the depart- effort in teaching, research, and service accord­ retrenc ment. mental leadership, emphasizing ing to the institution's mission. Consequently, again how critical it is that in­ institutions must develop a reliable way to stitutions have in place a staff development determine whether the productivity of the plan for new chairs. During the review process, department is within an acceptable range. One the department chair must be prepared to as­ measure of instructional productivity is the sume the following responsibilities: number ofstudent credit hours generated by tenured/tenure-track facuIty. Productivity • To interface with the institutional re­ levels of faculty at similar institutions with search officer, institutional planner, and similar programs can provide a framework for academic administrators; comparison. Reporting productivity has be­ • To maintain a schedule ensuring comple­ come a key issue in state legislative appropria­ tion of the review in timely fashion; tions processes. Two years ago, for example, • To organize faculty and staff, and per­ external demands for accountability forced the haps students, to assemble and interpret UMS to develop a new way to report faculty data; and workload or risk having $20 million withheld • To facilitate development ofrecommen­ from their operating budget by the Maryland dations for improving the review process General Assembly. and strengthening the program; and Role of students. More and more outside in­ • To write the program report. stitutions and agencies are demanding valida­ tion of the relevance and quality of student Role of the faculty. Historically, faculty mem­ learning. What better way to justify spending? bers have had few expectations ofprogram re­ Students, too, have strong expectations regard­ view, regarding the process either as an ing the curriculum's relevance to work or opportunity to identify improvements, or sim­ postgraduate study, the quality ofthe faculty, ply a bureaucratic necessity. However, in and the adequacy ofresources to supplement today's accountability climate, program reviews instruction. Clearly, students enrolled in pro­ are driven by fiscal need and pose a threat to grams under review must be assured that their faculty and staff, since one possible outcome needs will be met, regardless ofthe outcomes is retrenchment. Reviews driven by new fiscal of the review. If an institution decides to implications may decrease the openness of reconfigure or close a program, declared ma­ faculty and require new strategies to keep the jors must be able to complete their work in process objective and collegial (Harpel, 1986). equivalent or substitute courses. Program review identifies faculty utili­ Institutions may collect student input in zation patterns, enabling the department to in­ three ways: 1) include them on institution­ crease productivity in the following ways: wide planning committees, 2) solicit their Planning An Academic Program Review • 31 [

comments about program review recommen­ reviews provided data on the status and direc­ dations, and 3) survey graduates about the tion ofprograms, but did not enable colleges adequacy oftheir preparation for employment to change or improve programs (Conrad, or advanced study. 1983). This approach is no longer viable. Role of the institutional research or planning Today, programs are evaluated according office. Chairs and faculty are not often expe­ to a set ofpredetennined indicators. Judgments rienced in the development and presentation about programs are formed by identifying ofaccountability data, particularly in assigning benchmarks-values ofthe data comparable to program costs. The institution's research of­ values gathered from similar programs on cam­ fice can assist by providing data for indicators pus or at institutions with similar missions. required for all program reviews and for those Alternatively, institutions may simply decide applicable only to a particular program. Most to improve the value of the indicators by a important, the office can assist the department certain percentage over a specified time period in identifying how the program meets the stra­ (e.g., a ten percent increase in sponsored re­ tegic needs ofthe institution, the region, the search or minority enrollment). Benchmarks state, or the nation. Generally, the institution's are important because they demonstrate the research office reports to the president or pro­ program's improvement in specific areas even vost to enhance the objectivity ofdata collec­ after the goals have been reached. tion and to ensure consistency with data The previous section, "Basic concepts," reported to external agencies. Alternately, the mentioned a number of traditional areas-fac­ office may report through a planning officer. ulty, students, curriculum-associated with evalu­ In all cases, the institution should have assur­ ating the quality ofan academic program. This ance that the data used are accurate. section examines program cost and productiv­ ity, indicators that have assumed greater promi­ Role of the president/board of trustees. The nence in institutional planning, goal setting, president, relying upon the advice of the se­ departmental analyses, and recommendations. nior cabinet, will make final decisions about the status ofprograms and be held ultimately Cost and productivity indicators. The process for accountable for the outcomes of decisions ascertaining productivity and cost of offering about programs and reallocation of funds. should be simple, with judgments informed by Typically, the president will share decisions data. The data elements in with the board oftrustees for their understand­ Table 1 were developed by Uni­ Judgments about pro-­ ing and affirmation. It is unusual for a board versity ofMaryland System com­ to micro-manage a president's decisions about mittees comprising facuIty, grams are formed by an academic program, especially when a campus academic administrators, shared governance process has provided the budget and financial planners, identifying benchmarks­ various internal and external constituencies and directors of institutional re­ opportunity for input. search. The elements were used values of the data by the institutions, the system ad­ Finally, an action plan accompanied by comparable to values a timeline for implementing changes is usu­ ministration, and the board of ally required. Actions taken to implement regents to recommend the exten­ gathered from similar change will usually be done in stages that are sive program actions mentioned consistent with decision cycles ofthe institu­ above. One caveat: to many fac­ programs on campus tion. Thus, a program scheduled for elimina­ ulty the indicators in Table 1 tion will be carried on the operating budget appeared to value cost and pro­ or at institutions with for one or more additional fiscal years after the ductivity above quality. In fact, similar missions . decision to shut it down. Faculty development they were designed not to expe­ or buy-out expenses will add expenses to one dite budget cutting, but to provide or more fiscal years. a basis for redeploying resources. In addition, ques­ tions were raised about the paucity of indicators MANIPULATION AND DELIVERY on research and service. The UMS decided that Prior to the 1980s, colleges focused on re­ its systemwide review ofprograms would rely upon sources and inputs rather than outcomes; easily verified data. However, Table 1 includes fac­ therefore, quality as an outcome was assumed ulty contributed indicators particularly useful to but not measured. In addition, most program research institutions within the UMS. [ 32 • Doing Academic Planning

should be prorated according to the number of full-time equivalent students (FTES) produced by each program, since it is students who drive the administrative costs of a program. To supplement cost information, departments might add data on faculty non-instructional productivity or provide other indicators to dem­ onstrate appropriate use of resources. For fur­ ther discussion of the uses of program review indicators by the University ofMaryland Sys­ tem, see Eaton and Miyares (1995). Departmental analysis and recommenda­ tions. In ten case studies ofstate level perfor­ mance indicators, Neal (1995) concluded that to contribute to the formation ofinstitutional planning, indicators must be carefully inte­ grated with other planning and funding strat­ egies. The key to conducting a program review that will inform planning at any level is to se­ lect indicators and benchmarks that allow as­ sessment of the current and future impact of the program. The UMS has found the follow­ ing framework informative and usefuL • Demonstrate contribution of the pro­ gram to the mission and planning priori­ ties ofthe institution; • Identify duplication ofwork done in the academic program with work done in other programs or departments and sug­ The data in ADDITIONAL INDICATORS gest modifications to reduce duplication; Table 1 are available Number of books published/number of • Verify student demand and projected core faculty (tenured and tenure-track) at most institutions. In order to facilitate enrollment in the subject matter taught Number of referred works/number of in the program; core faculty examination ofpro­ gram costs at re­ • Indicate complementary nature ofthe Number of creative activities/number of core faculty search institutions, academic program with other essential those costs are not programs or functions performed in the Number of presentations/number of core faculty allocated among de­ institution; gree levels. State Number of research grants/number of • Correlate the assessment of student core faculty supported expendi­ learning outcomes to program objectives tures include both Number of days spent in public service/ and indicate changes made as a result of number of core faculty tuition and state strategies employed by faculty; and funds. Private insti­ • Demonstrate consistency ofthe faculty tutions should also characteristics with the educational and work with the total service objectives of the program. departmental bud­ get, whatever the sources of income. Data in­ Some institutions have begun to con- clude only direct costs, since no savings accrue nect program reviews directly with strategic to the department when indirect costs are cut. plan development. In response to calls by re­ One difficulty arose when some departments gional accrediting bodies to demonstrate a claimed that disaggregation ofthe data was dif­ capacity to continue planning and to invest ficult among programs housed in the same de­ in quality assessment after reaccreditation, partment. It was agreed that in departments colleges and universities have expressed pro­ where multiple programs are offered, costs gram reviews as strategic planning objectives. Planning An Academic Program Review • 33 [

Saint Louis University's strategic plan, for example, contains an objective that the "Uni­ PRINT REFERENCES versity will support and maintain only those Barak, R. and Sweeney, J. 1995. "Academic Program Review in Planning, programs that meet standards of excellence, Budgeting, and Assessment." In Using Aau1emic Program Review, edited promote the University mission, and for which by R. Barak and L. Metz. New Directions for Instituti(Jf1(l1 Research No. internal, external or emerging markets exist" 86. San Francisco: Jossey-Bass Publishers. (Saint Louis University, 1996, p. 11). Specific Barak, R. J. 1986. 'The Role ofProgram Review in Strategic Planning." strategies are identified to realize the objective Association for Institutional Research, Professional File 26. including the regular assessment of all pro­ Belanger, C. and Tremblay, L. 1982. "A Methodological Approach to Se­ grams against several criteria (e.g., proportion lective Cutbacks." Canadianlournal ofHigher Education 12(3): 25-35. offaculty holding a terminal degree, number Bloomfield, S. 1984. "Analytical Tools for Budget Reductions: A Case Study." Association for Institutional Research, 1984 Annual Forum ofgraduates, faculty scholarship and external Paper, EDRS 246 790. support levels, credit hour production, com­ Conrad, C. 1983. "Enhancing Institutional and Program Quality." In Sur­ petitive viability, minimal duplication and re­ vival in the 1980s: Quality, Mission and Financing Outcome, edited by R. dundancy, cost-effectiveness, capacity for ex­ Wilson. Center for the Study of Higher Education, Arizona Univer­ ternal recognition of excellence, strategic sity, Tucson, AZ. advantage, and mission complementarity). Eaton, G. and Miyares, J. 1995. "Integrating Program Review in Planning and Budgeting: A Systemwide Perspective." In Using Aau1emic Program ACTIONABILITY ISSUES Review, edited by R. Barak. New Directions for Institutional Research Program review itself is not an exact science. No. 86. San Francisco: Jossey-Bass Publishers. Barak and Sweeney (1995, p. 15) stress the Harpel, R. L. 1986. "The Anatomy of an Academic Program Review." importance of simplicity in using the results Association for Institutional Research, Professional File 25. of program review: "The more complex the Metz, L. 1995. "Program Review in Academic Departments." In Using decision-making process, the less likely that Academic Program Review. New Directions for Institutional Research it will be successfuL This seems counter-intui­ No. 86. San Francisco: Jossey-Bass Publishers. tive because the act of integration and use of Neal, J. 1995. "Overview of Policy and Practice: Differences and Simi­ program review results make the decision­ larities in Developing Higher Education Accountability." In Assessing making process more complex. It appears that Performance in an Age ofAccountability: Case Studies, edited by G. Gaither. New Directions for Higher Education No. 91. San Francisco: the act of use itself is quite simple: someone Jossey-Bass Publishers. just insists on using the results ofprogram re­ Saint Louis University. 1996. Strategic Plan: A Shared Vision and Com­ view" (p. 15). In the case ofMaryland, it was mitment to Excellence. St. Louis: Saint Louis University. the regents who made the first decision. Solomon, L. 1990. "Rhetoric: Revising the Cost Spiral in Higher Edu­ Program review is, however, informed by cation." Paper presented at the Seventh Annual Professional De­ data. Consistently applied cost/productivity velopment Seminar, State Higher Education Financial Offices, indicators allow institutions to identify the SHEEO, Chicago, August 17, 1990. outliers, those programs that differ significantly Thompson, R. 1983. "Maintaining Quality Programs During Periods of from similar programs on the same campus or Fiscal Stress." In Survival in the 1980s: Quality, Mission and Financing at peer institutions. Departments that single­ Options, edited by R. Wilson. Center for the Study of Higher Edu­ mindedly show the best investment ofinstitu­ cation, University ofArizona. tional resources (e.g., reallocations, program modifications, increased productivity, entrepre­ ELECTRONIC SAMPLER neurship, strong student learning outcomes, and greater administrative efficiency) are most able http://bridge.anglia.ac. uk/www/f1exi.html Flexible Learning and Higher Education. Faculty of Educational Services, to justify resources for their programs. In short, Anglia Polytechnic University. a final program review report proposes to the http://chronicle.merit.edu leadership anticipated changes over the next The Chronicle ofHigher Education. five to ten years, and indicates how faculty and students will incorporate these changes for the http://rhythm.mecn.mass.edu/bhe/zassess. htm Assessment in Higher Education. Massachusetts Board ofHigher Education. benefit ofboth program and institution. http://sshe7.sshechan.edu/mayplan.html RECOMMENDATIONS Imperatives for the Future: A Plan for Pennsylvania's State System ofHigher Accountability is documentation of an Education. Office of the Chancellor, Pennsylvania State System of Higher Education. institution's effectiveness in meeting its mis­ An interesting look at how academic program review fits into sion and goals. The use of resources to maxi­ this state's strategic plan. mize effectiveness is the crux of serious [34 • Doing Academic Planning

should reveal how the program fits with the ELECTRONIC SAMPLER priorities. The University ofMaryland System, http://www.educom.edu/program/nlii/keydocs/massy.html for example, requires an institutional financial! Using Information Technology to Enhance Academic Productivity. NUl (National accountability plan that includes reallocations, Learning Infrastructure Initiative). William F. Massy and Robert Zemsky. particularly those deriving from program reviews. A white paper from the Wingspread Enhancing Academic Even if an institution has not yet devel­ Productivity Conference in June 1995. oped a financial plan, it will be wise for the http://www.schev.edu/paper.html department to select performance indicators Paper Trail: Reports, studies, news releases, regulations, and other documents. and establish benchmarks to measure how well SCHEV (State Council of Higher Education for Virginia). it is meeting its own objectives. Planning at Includes papers on state policy on transfer, transfer connec­ the departmental level is critical because it is tion, and more. certain that, as resources diminish, institutions planning at every level within an institution. will tum to academic programs for significant The process that follows program review links redeployments, if not savings. tactical planning efforts on the program level The goal ofthis chapter has been to pro­ with the institution's overall plan. vide the basic elements ofa program review in The integration ofseveral planning activi­ the face ofever increasing demands for account­ ties into a single set ofclearly defined goals en­ ability. Departments and their faculties should sures that the collective outcomes of program be fundamentally influenced by the outcomes review reflect the institution's mission and vi­ of program review. Program review will affect sion. The ability ofa department actually to link plans at every level: staffing, reallocation, en­ its review ofacademic programs with the plan­ rollment, facilities, budget, and so on. The de­ ning and budgeting of the institution depends partmental plan must, therefore, demonstrate largely upon whether the institution itself has centrality to the mission and goals ofthe insti­ projected expenses, enrollments, and income tution, accountability through data, and a will­ over the next five to ten years. If so, the review ingness to redesign its use of resources. • ~iS chapter proposes a five--step model for constructing cooperative curricular agreements. First, clarify purposes for the agreement and determine whether it fits the institutional mission. Second, assess the collaborative environment to guarantee involvement by key decision makers. Third, structure a process to address matters ofgovernance, curriculum, facilities, resources, revenues, and policy conflicts. Fourth, assess the product of the agreement and improve it. Finally, use assessment results to reappraise the agreement, revising or retiring it as necessary. Alternative Delivery Strategies, Partnerships, and Articulation Agreements: New Reci pes for Favorite Dishes Kathleen A. Corak and]ames L. Croonquist

CORE PLANNING QUESTIONS scarce resources through partner­ Preparing a generic recipe for success in coop­ ships. The basic questions con­ erative agreement-making is a little like mak­ fronting academic leaders include: Kathleen A. ing spaghetti. Every chef knows what • Why go off campus? ingredients should be included in the sauce Corak • How are off-campus articu­ and how long the pasta should be cooked. But is Executive Dean of Minot State University, Bottineau, North lation agreements and part­ very seldom do two chefs agree upon the pre­ Dakota. Corak is aformer Convener of SCUP's Academic nerships formed in a way cise formula for the sauce or even how hot the Planning Academy, acurrent member of that academy, amem­ that ensures the integrity of ber of SCUP's Planning Institute Subcommittee, and aformer stove should be. Nonetheless, they all assume the process? member of SCUP's Publications Advisory Committee. that people who make spaghetti know how to fire up the stove and select the proper uten­ For many, the experience sils. For the purposes ofthe following discus­ today is one of all-out warfare sion on cooperative agreement-making, it is among institutions for operational assumed that readers are at various stages of dollars. Traditional curriculum culinary expertise and will create their own delivery-the student travels to the recipes from the ingredients offered here. campus for face-to-face faculty Successful institutions are marked by in­ interaction-is no longer univer­ novation and creativity in marshaling re­ sally suitable or appealing to the James L. sources to respond to new markets in a timely learner. The search for alternative Croonquist manner. No longer able to rely upon predict­ modes of delivery that will reach is Vice President for Academic Affairs at Minot State Uni­ able and steady revenue streams, decision new markets and result in new versity, Minot, North Dakota. Croonquist is amember of makers and planners seek to leverage their revenues has intensified. the Society for College and University Planning. [36 • Doing Academic Planning

BASIC CONCEPTS Expectations offinancial gain grow exponen­ Cooperative agreements. The most viable tially as administrators anticipate increased alternatives seem to be a collection ofunder­ student credit hour production and/or tuition standings loosely referred to as "cooperative," from a new clientele for only a minor invest­ "co11aboratlve, . ""..Jomt,"".Ior artlCu ation" agree- ment in an already proven product: an existing ments between two or more institutions. academic program. These agreements are somewhat like con­ Regrettably, it is not as simple as that. tracts, although may not be as legally binding. When one enters the world of cooperative They are likely to result eventually in written agreement-making with an uninformed per­ documents. But such physical evidence may spective, the outcome is one of frustration. be drafted well after the handshake ofunder­ Motivated by the prospect of"more bang for standing has taken place-and even then, per­ the institutional buck," cooperative agree­ haps, only as problems with the agreement ments are often entered into prematurely. That begin to surface. is, they are formed without structure, without Agreements ofthis sort are like treaties clarity of intentions, and without a compre­ the result of negotiations that transpire be~ hensive appraisal ofthe environment in which tween one campus and another institution. they exist. This inevitably leads to misunder­ Although subsequent agreements may be standings and misconceptions about the pur­ modeled after earlier versions, there are fre­ pose and direction ofthe agreement and can quently no precedents to follow, for each ven­ result in one or more ofthe parties withdraw­ ture is new territory explored. Developing ing from it. procedures to make the agreement work can Planning model elements. Five elements are in­ be most challenging and often requires some tegral in building a foundation of trust upon very creative thinking. But, whether defined which solid agreements can stand. These ele­ as a partnership or couched as an alliance it ments, listed below, are expressed as a series of is important to remember that cooperatio~is steps toward fonning a successful plarming model: the theme and revenue enhancement the goaL • Establishing clear intentions; Key to the development • Analyzing the environment; otivated by ?fthese ag~eements is the abil- M ity to dehver curriculum in • Agreeing to the process; the prospect of nontraditional ways. Such alter- • Assessing the product ofthe agreement; " b -r. h native delivery strategies in- and more ang Jor t e clude courses taught through • Revisiting the plan. ail institutional buck " e:n or s~~ace ma~l, interac- Further, it is certain that no meaningful , tlve teleViSion semmars con- planning will occur unless each ofthe parties duc~ed s~multaneously cooperative agreements in is thoroughly involved in the process and has multiple sites, satellite uplinks a stake in the outcomes. This means that the and downlinks, and audio and are often entered process ofconstructing agreements must first . video conferencing. Added to address the benefits to be derived by each those are the flexibly-formatted Into prematurely. participant in the process. If value is not self­ courses and workshops that evident to all parties, and if there is no "buy­ range in length from overnight and weekend in," the agreement is doomed even before it seminars to those that stretch over the full is formalized. term. Alternative delivery strategies are central Thus, although written agreements may to some agreements because of the market look very different from each other, there must enhancement potentiaL Because oftheir char­ certainly be a structure to partnerships. There acteristic flexibility with regard to timing and are also consistent rules to follow in assembling place of delivery, they attract students who such partnerships. The key, then, lies in the might otherwise be unable to participate in the planning. And, as always, the key in planning higher education milieu. is to ask the right questions. Figure One pro­ To the uninitiated, cooperative agree­ vides a checklist of issues to be addressed in ments suggest an immediacy to revenue prob­ building cooperative agreements. The issues lem solving that is compelling. They have the are grouped into four categories: general desirable appearance ofsimplicity and efficacy. Alternative Delivery Strategies, Partnerships, and Articulation Agreements: New Recipes for Favorite Dishes • 37 [ [38 • Doing Academic Planning Alternative Delivery Strategies, Partnerships, and Articulation Agreements: New Recipes for Favorite Dishes • 39 [

concerns, issues ofquality, specific concerns attend your campus? Further, is there a man­ about quality, and procedural matters. date involved? Are there pressures from the The particular planning model pro­ state or federal government, or even from ac­ moted in this chapter converts the five key crediting associations, that require one ofthe elements--establishing clear intentions, ana­ partners to take action? lyzing the environment, agreeing to the pro­ Another important consideration is cess, assessing the product ofthe agreement, knowing which ofthe parties has initiated the and revisiting the plan-into the five pivotal collaboration. Ask, "Why questions that follow. now?" Is there more than one But the importance 1. What are the intended outcomes of agenda being played out in the this agreement? discussions? As these intentions ofarticulating As elementary as this question seems, it is are clarified, you must also ask daunting to see how frequently it goes unan­ yourself whether, in light of individual expectations what you are learning, the swered. Articulation agreements are formed in truly mutual terms without sufficient thought given to outcomes. project is in keeping with your A sort of"common understanding" ofinten­ institutional mission. If the an­ cannot be overstated. tions is assumed. There is an implicit trust that swer is "yes," a fruitful discussion all parties want to work toward the same ends. ofoutcomes can begin. It lays the groundwork But it may be premature to discuss outcomes There are three main without a full questioning ofmotives. components to be addressed in for discussing the One reason is that those elements regard to outcomes: revenues, outcomes issues. thought to be part ofa "common understand­ curriculum and faculty. These ing" between the involved parties, tum out to components can be likened to be not so common. Misinterpretations are the ingredients in the spaghetti analogy. As vary­ norm. It will help to remember that agree­ ing quantities ofingredients result in very dif­ ments made between two different organiza­ ferent tasting sauces, so will different emphases tions are interpreted in light ofthe corporate on revenue, curriculum, or faculty directly af­ language and the cultural context peculiar to fect collaborative outcomes. Consider how each. (We may all speak the same language, each partner to the collaboration intends to but we don't speak the same organizational measure each of these three critical ingredi­ dialect.) Differences between two colleges or ents as they are added to the agreement. If you universities are significant. They are only mag­ cannot reach consensus (who should put in nified when negotiating with a different kind how much ofeach), then you have no collabo­ oforganization. It can be very worthwhile to rative recipe for success. The point is that con­ spend sufficient time in the early stages of sensus on intended outcomes must drive the negotiation just defining your terms. It may combination ofingredients central to the goals require great diplomacy and patience to un­ of the collaboration. Well-articulated out­ derstand and accept the oddities inherent to comes should drive the rest of the process. the other organization. But the importance of Well-articulated outcomes are expressed articulating individual expectations in truly in measurable terms that make the program mutual terms cannot be overstated. It lays the evaluation phase much cleaner. To be specific: groundwork for discussing the outcomes issues. as outcomes are agreed upon, urge the group Some specific questions posed and an­ to decide what kind ofevidence will convince swered will greatly help the participants others that a particular goal has been met. For achieve a common understanding while also example, if an intended outcome is to prepare, illuminating motives. First, think through in two years, a sufficient number of licensed carefully and discuss openly the many reasons practical nurses to fill the local hospital needs, for taking on the project. For example, are ask what evidence would convince the col­ there financial antecedents? Do you need to laborators ofsuccess? A graduation rate often increase revenues? Do they have to cut costs? students per year? A decrease in LPN turnover Then, are there access issues? Do they need rates at the hospital within three years? Em­ additional training that cannot be had else­ ployer satisfaction index increases? Measurable where? Do you have students who cannot outcomes are second to none; arriving at them should be a goal of the negotiating team. [40 • Doing Academic Planning

2. What is the environment for the agreement? Having considered matters ofkey person­ Assuming the first question has been an­ nel, time frame, and facilities, conduct a swered to everyone's satisfaction, the next SWOT analysis, a particularly effective tool for phase is to analyze the environment within analyzing the environment. Project negotia­ which the agreement will be struck. This is tors, individually or collectively, list items that a four-step process: identifY key fall into each ofthe four SWOTcategories and t is most important in players, establish a time frame, then weigh the positives against the negatives. I determine facilities needs, and An example: suppose the local high the articulation process conduct a SWOT (Strengths, school wants to teach college-level courses to Weaknesses, Opportunities, its seniors on its own campus and wants your to identlfy the players Threats) analysis. blessing on the project. In the "Strengths" ' by It is most important in column you might note that you are the only promptly. D0 thIS the articulation process to iden- postsecondary organization in the area that is asting all personnel- tifY the "players" promptly. Do in a position to work with them toward their this by listing all personnel-ad- goal. They need you. Also, you have the right administrative, faculty, ministrative, faculty, support­ faculty on board whose help could be enlisted. who must be involved to make In the "Weakness" column you might note support-who must be the agreement work. Deter- that the timing is bad. It is late April, and the ,I d make the mine whether the right assort- faculty will soon be away for the summer. In mvo ve to ment of decision makers has the "Opportunities" column, though, you rec­ agreement work. been invited to the negotiating ognize that this partnership has the potential table. It is frustrating to work of increasing freshman enrollment. When on a project with good inten­ those high school seniors graduate, they will tions only to find that the ultimate decision be more committed to attending your campus. makers have been left out ofthe loop. It can Conversely, in the "Threats" column, might be useful for the negotiating team to construct this project actually result in a decrease in stu­ a flow chart clarifYing who does what in their dent credit hour production? If those students respective organizations and with what level are earning college credit at no cost during of authority. high school, they will not need/pay for them Another essential step is the establish­ at your college. ment of timelines. One timeline, ofcourse, is As these lists are shared among the col­ the date by which you want to have the agree­ laborators, it often happens that others have ment completely articulated. Another is the put a very different spin on the concerns you duration ofthe agreement once it is in place. yourself have raised. Consider the matter of An agreement with an expiration date is always classrooms, for example. In many agreements, more desirable than one ofindefinite duration, one ofthe parties must assume responsibility because it allows for review, revision, or even for providing the space in which to teach. The termination of the agreement as necessary. organization that controls the space, usually Once the initial agreement has been signed, one classroom or a group ofthem, determines participants can shift focus to other matters and which rooms are available, and when and quickly lose sight of the day-to-day adminis­ which facilities are to remain unavailable to tration ofthe project, especially those who ad­ other partners. To the campus in charge ofthe minister collaborations from a distance. Include classrooms, that "control" can be seen as an benchmark dates in the document. They gauge opportunity; space rental may be on the ho­ the extent to which the partners are achiev­ rizon. But to the partners, lack of influence ing their desired outcomes. over space usage may be a legitimate threat, A third crucial step is to determine the especially if the articulation agreement does facilities requirements for the agreement, in­ not reference charges normally levied for use cluding the buildings, classrooms, and tech­ offacilities. The surprise ofan unforeseen cost nologies. Computers, chairs, and desks after the agreement is in effect will undermine obviously fall into this category, but so do post­ the partnership. Discussion of the SWOT age, paper clips, copying costs, and telephone analysis broadens everyone's thinking and in­ charges. All instructional support must be creases understanding about what is at stake considered to project expenses accurately. for the participants. Alternative Delivery Strategies, Partnerships, and Articulation Agreements: New Recipes for Favorite Dishes • 41 [

Sometimes an identified weak area can tion or transfer credit. Faculty have deeply be transformed into a strength. Consider the vested interests in matters ofcurriculum. Most matter offaculty "load" (the number ofcred­ campuses rely on bodies like curriculum com­ its to be taught each term). Some proposals mittees and faculty senates to oversee the suggest or imply the use offaculty "above load" curriculum. To form agreements that affect the (greater than full-time; essentially, overtime) delivery ofcurriculum, yet do not get plugged in order to offer extended programs. This is into faculty governance procedures, is akin to awkward for the home campus and particularly trying to make spaghetti without turning on disadvantageous when the extended program the stove. Faculty left in the dark about "new is distant. To the home campus ofthe faculty academic agreements" have been known to member, then, this aspect ofthe collaboration stonewall mercilessly on principle alone. constitutes a weakness. Campuses are forever Next, the team should look off campus. having to justify overworking faculty for the Colleges, universities, and other organizations "Greater Good" of service to students. But usually have governing boards. There may be consider the possibility ofinvolving other fac­ a local board of regents or a state board of ulty already in the extended area. Ifqualified higher education that needs to be consulted. faculty are already on site and carry the creden­ If there is a state-coordinated system, consider tials necessary to achieve mutually desired how the agreement might affect other cam­ outcomes, by all means use them. Doing so puses. Will a commissioner or a chancellor ul­ converts the "weakness" (overworked faculty) timately have to authorize this agreement? into a "strength" (expanded faculty base in a What questions will they want answered be­ new service region). It enriches the coopera­ fore giving you their stamp of approval? tive spirit ofthe collaboration by including new Next, the team should think in terms of colleagues who share a commongoal-a signifi­ accrediting bodies. Would the new agreement cant step toward cementing good relations be in line with regional, national, or profes­ between and among collaborators. sional accreditation standards? Do you need 3. What are the processes for approval of to make a formal request for in­ the agreement? stitutional change ofaffiliation Remember that it will The next step is to immerse the team in "pro­ status with an accrediting body? cess" issues. There are six issues that need to If a specific discipline is singled be common-and neces .... be carefully processed: governance; curricular; outfor articulation, does it have facilities; resources; revenues; and interinsti­ accreditation standards that sary-to hark back to the tutional policy conflict resolution. limit or prohibit clauses in the Before discussions, the team should estab­ agreement? Ifso, how are those outcomes statements lish some ground rules for itself, planning to circumstances to be mediated? in order to clarify meet regularly and often to handle the myriad Accreditation issues can be of details that will emerge. No "wildcatting" tricky. It is best to look at them intentions and define should be allowed-that is, no one individual carefully at the outset. should be permitted to determine policy or Curricular issues consti­ each participant's role initiate procedures unfamiliar to the others. tute another important part of Problems should be solved as a team. Remember the articulation process. They in bringing about the that it will be common-and necessary-to hark are oftwo kinds: ownership and intended ends . back to the outcomes statements in order to quality control. In forging an clarify intentions and define each participant's agreement, partners quickly role in bringing about the intended ends. have to come to tenus with matters ofowner­ To ensure their success, agreements must ship. Whose degree (or program or course) is consider issues ofgovernance at all levels. The this? You may all be contributing instruction, primary level is faculty governance. A com­ but only one awards the degree. (There are ex­ mon failing ofarticulation agreements is their ceptions: the Joint Doctoral Program at San lack of faculty involvement from the very Diego State University and The Claremont inception ofthe project. By their nature, col­ Graduate School, for example). Who is respon­ laborative agreements address curriculum ei­ sible for determining the curriculum? Whose ther directly, as in the sharing ofprograms, or syllabi will be used? These questions are directly indirectly, through concerns about accredita- related to concerns ofownership. [ 42 • Doing Academic Planning

Questions regarding quality control must run our campus-based programs. For example, also be answered. Some concern themselves extended-campus agreements, largely aca­ with the learners. Who sets the admission demic in nature, will include some expecta­ standards? Who sets the retention standards? tion that the learners have access to library How are the learners to be evaluated? Other materials. Which libraries can meet these questions address quality of instruction. For needs for the learners? Are online library ser­ example, who determines which faculty will vices available to students who study at a dis­ be qualified to teach? What criteria are impor­ tance? Are available services sufficient given tant in this selection? Who is responsible for the nature ofthe agreement? Ifnot, what can evaluating faculty credentials and approving be done to address the deficit? or disapproving them? Who hires the faculty? Another resource, often overlooked, is Who evaluates their performance and under access to what we generally consider to be stan­ whose governance structure? Still other ques­ dard student services. Although we may tend tions should be raised about the quality ofthe to take their availability for granted on our own program emerging from the agreement. How campuses, how will we provide the extended will the team know whether the program is campus student with, say, academic advising? successful? The intended outcomes already What about tutoring services or study skills agreed upon will point toward an answer, but assistance? Depending upon the nature ofthe the team should specify responsibility for fu­ agreement, your campus may be obligated, by ture gathering and analysis ofdata required to virtue ofaccreditation requirements, to provide answer the question thoroughly. standard services to all students, even those It is important to keep in mind that de­ who are not based at your site. termining curriculum and assigning faculty Revenues issues are undoubtedly the have great bearing on intended outcomes. The "sticky wickets" of articulation agreements. shape ofthe curriculum and the credentials of There are generally at least two revenue issues the faculty are main ingredients in "the sauce," central to most agreements: student credit if you will. The team will have to consider the hour production; and collection oftuition and proper mix offaculty when determining the assorted fees. It is difficult to talk about one design of the curriculum-and always while without the other. In some agreements they attending to the intended outcomes. are resolved separately, but not easily. Appar­ Facilities issues need articulation. They ently simple things, like collecting tuition, can are ofthree kinds: availability, access, and cost. become terribly complex. For example, in a First, it must be determined whether the three-way agreement among institutions with needed space is available during varying fee structures, will students be ex­ }here are generally hours that meet the needs of pected to pay three separate, partial fees, or one the agreement. Premium space mutually acceptable amount? If the latter, who at least two revenue may not be available. Will the will collect it (and how, and when), and will team consider different facili­ it be split? If revenues are to be shared, what issues central to ties? Ordifferent times ofdeliv­ precisely does that mean? Who gets how much ery? Second, are the available for doing what? What is meant by sharing? Is most agreements: facilities accessible to both stu­ there a constant percentage involved or is it dents and faculty? If great dis­ to be an enrollment-driven model, flexible student credit hour tance is involved, what bearing with each offering? production; and will that have on access? Third, What if the agreement brings together and not to be overlooked, are two fee structures that are really quite differ­ collection of tuition there costs for facilities usage? ent? Suppose one institution charges by the Will there be rental fees? Is credit regardless ofcredits amassed, while the and assorted fees. there a charge for use ofspecial other charges a flat rate to anyone exceeding equipment? What about hid­ twelve credits per term. What is to be done for den costs such as travel to and from the facility the student taking three credits from the first or meals on the road? Facilities issues need to campus and twelve credits from the second? be resolved as the agreement is taking shape. How can you address the fiscal needs ofboth Next are resource issues. Resources in­ partners to the agreement without doing a clude the people and the services it takes to disservice to the learner? Another scenario is Alternative Delivery Strategies, Partnerships, and Articulation Agreements: New Recipes for Favorite Dishes • 43 [

one in which institutions Alpha and Beta student with enough hours in residence to share a program. Students at Alpha pay $90 qualify for one ofyour diplomas! Anothercon­ a credit. Students at Beta pay $70. To complete cern is the coordination offinancial aid. Who this new program ofstudy, students will soon will monitor it-and how? Posting grades and be taking Beta courses on the Alpha campus. issuing transcripts are among other important Because the degree is to be granted by Beta, details that need to be worked out. Existing students will take discipline-specific courses policies will probably guide the extent to from Beta faculty. But, Alphafaculty will teach which you can influence that the general education component ofthe de­ part of the agreement. gree. Students will probably be taking Alpha Dozens of such consider­ Details make or break and Beta courses simultaneously. Will they pay ations should be sorted out dur­ agreements. It is wise, $70 or $90 per credit to earn the degree? ing the articulation process. The bottom line: Who will pay? What Details make or break agree­ therefore, to involve is the leamer's share and what are the partners' ments. It is wise, therefore, to in­ shares? Who will manage accounts receivable volve those who will ultimately those who will ultimately (tuition, fees, rents) and accounts payable be responsible for the logistics of (technological support, library materials, fac­ the agreement as early in the be responsible for the ulty salaries)? Resolving matters ofrevenue is planning stages as possible. The logistics of the agreement frequently the most challenging and frustrating particular mix ofothers you con­ aspect ofagreement-making. As with matters sult will vary according to the as early in the planning of curriculum and faculty, you cannot attain nature of the agreement. Most intended outcomes without a clear under­ typically they would include ad­ stages as possible. standing of how revenues will influence the missions, registration, financial agreement. The document should clearly aid, and business office personnel, who will specify who controls revenues and how they remember to ask important questions the team are to be shared. Revenue sharing details, may overlook. And they can help you think including a complete budget projecting ex­ through logistical road blocks. When it comes penses and income, should be presented to all to agreement making, the maxim "don't sweat participants before any deals are struck. Mis­ the details" does not apply. trust creeps into agreements when one party There is much to consider when pulling has budgetary control over the others, yet is together an agreement. Governance issues are unwilling to disclose budget projections fully. inherent. Is the faculty signed on? Will the Recall the spaghetti analogy. Revenues board stand in the way? Is there a good fit with make it possible to add other ingredients to the accrediting associations? Next are the curricu­ sauce and thereby influence intended out­ lar issues. Whose degree is this? How will we comes. No one party should "buy ingredients," control quality? Facilities issues must address however, unless all agree to what they are and availability, accessibility, and costs. Resource how they are to be used in the agreement issues examine the mainstays of human ser­ recipe. Candid discussion and full disclosure vices and instructional support. Revenue are important. matters must be hammered out. How much Last but not least, the process ofagree­ will students pay, and to whom and for what? ment making needs to include an analysis of How much will the partners contribute? What those taken-for-granted policies of the other returns can be expected on the dollar? What organization that may be at odds with your are the budget projections? Who will manage own institutional policies. Quite frankly, you the budget? Finally, there are policy issues. Are may not be aware ofstanding policies in your terms ofthe agreement in keeping with exist­ own organization that could affect the work­ ing policies governing each partner's organi­ ability ofthe agreement on the table. It is easy zation? Have all the affected people been to overlook some ofthe seemingly peripheral consulted? It may take many hours and many people whose work may be greatly affected by meetings to answer these questions to the terms ofthe agreement. For example, in­ everyone's satisfaction. stitutional residency requirements can surprise Once such matters have been resolved, you. The degree program on which the team the agreement can take effect. Depending on has worked so diligently may not provide the how your timeline was developed, you may [44 • Doing Academic Planning

have more than a little breathing room to col­ to answer measurement questions. Finally, it lect your thoughts and tum to other matters. is important to identify multiple measures in But eventually, your next step will be to assess order to draw conclusions about the efficacy the product of the agreement, and you will ofyour agreement program. tum back again to your intended outcomes. For example, it is helpful to have the 4. Has the agreement worked? faculty collect comparison data on students The real significance ofany articulation agree­ involved in collaborative agreements and those ment is in the assessment ofits product. Ifleam- "mainstreamed" oncampus. Evidence ofsignifi­ ers are served in a manner cant student success, or lack ofit, compared to f learners are consistent with the intent ofthe nonns established in the traditional setting tells I . articulation, then the agreement much about the quality of the program. An­ served In a manner can be considered a success. But, other measurement might be the degree of satisfaction among students, faculty, and sup­ consistent with the that succ,ess must,be measured in an ongomg fashton. An assess- port staff. Surveys can indicate whether satis­ faction improves or worsens over time. A third ment ~ea~ure captures a mo­ intent of the articula-- measurement might be a survey ofemployers ment tn ttme. It provides a to determine whether needed skills were tion, then the agree-- snapshot ofthe program's effec- . tiveness. A series of snapshots, brought to the work place by graduates ofthe ment can be consIdered however, helps determine agreement program. Each of these measures is useful. But all three together create a more com­ a success. B t that ,,:het~er the .tr~nd is in the right U , dtrectton. It ts tmportant to con- pelling picture ofthe success ofthe agreement. What if the data indicate the agreement success must be firm that what is working now continues to work over time. is not achieving its objectives? There are some administrators who hold that providing stu­ measured in an It is also important to .. plan on using the evaluative dents with "access" to academic programs is ongOlng fashlOn. data acquired to make appropri- a more important consideration than the ate changes to the program. For quality ofthe programs. After all, the argument example, if the data indicate that graduates of purports, students who have "something" are the agreement program are not doing well on better served than students who have "noth­ subsequent licensing exams, there are curricu­ ing." This is a weak argument. Students who lar implications. If the results of student sur­ are served poorly are better offseeking service veys indicate frustration with library access, elsewhere. If the results of your assessments changes in library hours ofoperation may be indicate that quality is insufficient to meet warranted. It is useless to gather data and file intended outcomes, it may be time to termi­ it away. The commitment must be made to nate the agreement. analyze and use it to improve the program and/ To reiterate, it is the intended outcomes or the terms of the agreement. in the original agreement that should drive the How are articulation/cooperative agree­ assessment phase. Multiple measures should ments assessed? These programs should be held be used to evaluate effectiveness. And, most as accountable as any ofyour other academic important, based on the data gathered in as­ programs and can be assessed in the same ways. sessment, changes should be made to the pro­ Ifyour intended outcomes eventually become gram to improve upon it. Assessment and fonnalized inmeasurable tenns, then you have improvement should be cyclical and continu­ an advantage. Tools for measuring outcomes ous. Responsibility for it should be assigned to range from standardized tests to in-class in­ the partners as the agreement is being crafted. structor assessment; from pre- and post-gradu­ Strict adherence to a plan yields more legiti­ ation surveys of students to surveys of mate results and better infonns the evaluators employers; from assessments of selected stu­ oftheir product. dents' portfolios to trend analyses ofclass per­ S. What, ifanything, can be done to improve fonnance over several years. Many different the agreement? approaches may be suitable. It is best to let the The most ignored aspect ofarticulation agree­ intended outcome itselfpoint toward preferred ments is review of the document. There is means ofmeasurement. It is also smart to use often a sense of relief and finality associated existing data (as much as possible) in new ways with the formal signing of the agreement-as Alternative Delivery Strategies, Partnerships, and Articulation Agreements: New Recipes for Favorite Dishes • 45 [

though it were "finished." But the most valu­ able information comes later, after students PRINT REFERENCES have been cycled through the program once Commission on Institutions of Higher Education. 1991. Assessment Work­ or twice. At that point there are assessment book. Chicago: North Central Association ofColleges and Schools. data to consider and subsequent program Gronlund, N. E. 1995. How to Write and Use Instructional Objectives (5th changes to analyze. A review ofthe document ed.). Englewood Cliffs: Merrill. is called for before it is renewed. Kearns, K. P. Summer, 1992. "From Comparative Advantage to Dam­ Document review should have structure. age Control: Clarifying Strategic Issues Using 'SWOT' Analysis". A good approach is to engage the collabora­ Nonprofit Management and Leadership 3(1). tors in the same dialogue, albeit in condensed "Principles of Good Practice for Electronically Offered Academic De­ fashion, that guided initial negotiations. Dis­ gree and Certificate Programs." October, 1995. NCA Briefing 13(3), special insert. cuss intended outcomes to see whether the "Resources for Learning about Distance Education." December, 1995. articulation did what it was supposed to do. AAHE Bulletin 48(4): 9-10. Revisit the environmental concerns and see Rogers, S. M. December, 1995. "Distance Education: The Options Follow whether the strengths and opportunities still Mission. " AAHE Bulletin 48(4): 4-8. outweigh the weaknesses and threats. Examine Rossman, M. H. and Rossman, M. E., eds. 1995. Facilitating Distance processes critically; discuss problem areas Education. San Francisco: ]ossey-Bass Publishers. openly. Then assess the assessment process. Stark,]. S. and Thomas, A., eds. 1994. Assessment and Program Evalu­ Were you able to measure your intended out­ ation. Needham Heights: Simon and Schuster. comes in meaningful ways? Ifnot, how should measurement be approached in the future? ELECTRONIC SAMPLER Have you already made changes, either to the program or to the assessment approach? What http://edie.cprost.sfu.ca/Nrhlogan/bm_dl .html changes still need to be made? Long Distance Education Links to the Web. Ralph H. Logan. A renewed agreement subjected to this http://www.atlantic.edu/studinfo/artic.html kind ofreview will be a stronger document and Atlantic Community College Articulation Agreements. testimony to the success of collaborative ef­ Listing of some of the agreements this two-year college has forts between your institution and others. with other institutions, including some in process. SUMMARY http://www.bor.ohio.gov/transfer/atpolicy.html Ohio Articulation and Transfer Policy. Ohio Board ofRegents. This chapter proposes a five-step model for con­ structing cooperative curricular agreements. It http://www.extension.ualberta.ca/atl/ is important first to clarify purposes for the agree­ Academic Technologies for Learning (formerly the Alternative Delivery Initiative). Faculty of Extension, University of Alberta. ment and determine whether it fits within the scope ofthe institutional mission. Second, the http://www.thecb.state.tx.us/homepage/univ/distance/dlmphome.htm Texas Higher Education Distance Learning Master Plan. Texas Higher collaborative environment must be assessed to Education Coordinating Board. determine whether the key decision makers are http://www.trsa.ac.za/main_campus/depts/cll/rpi-conf.htm appropriately involved, to establish a time frame Recognition ofPrior Learning Conference/Workshop, South Africa, I996. and a timeline, to locate available facilities, and Centre for Lifelong Learning ofSouthern Africa. to consider the "pros" and "cons" ofthe project. Third, a process for establishing an agreement must be structured to address matters ofgover­ a good lesson plan with strategic planning nance, curriculum, facilities, resources, revenues, principles. A well made lesson plan states spe­ and policy conflicts. Fourth, the product ofthe cific goals and outcomes for the learners. Stu­ agreement must be assessed and the data used dents are engaged in the learning environment for ongoing improvement ofprogramming and and then evaluated to determine the extent the assessment techniques themselves. Finally, to which they have learned. Further, the lesson the assessment results must be used to reevaluate plan itself is evaluated and modified as nec­ the terms ofthe agreement, revising or retiring essary. So it is with the partnership. Specific it as necessary. These steps impose a structure on goals and intended outcomes are identified the drafting ofoff-campus agreements to ensure with the full involvement ofall partners. The a better product for the collaborators. agreement is implemented. The program par­ Crafting agreements for alternative de­ ticipants are evaluated, and the plan is revis­ livery ofcurricula can be likened to combining ited and modified as necessary. [46 • Doing Academic Planning

Strategic planning begins with an analy­ source allocation) with the deliberateness of sis of the environment, an appraisal of the the lesson plan (structure and evaluation). campus' strengths and weaknesses, and a listing That combination begins the process of ofcurrent opportunities for-and threats to-the partnering. It lays a foundation upon which institution. These discussions always include the bricks and mortar of an agreement can staffing and curriculum issues and should be be assembled. closely attuned to fiscal resource implications. It is safe to assume that future articula­ If resources are not directly and immediately tion agreements between your institution and tied to planning, the result is not strategic, but another are likely. Each one will be different. only preliminary. In strategic planning, one But the use ofa planning model like this one must link resources to objectives. Likewise, a provides needed structure and brings a com­ good partnership agreement should analyze its forting sense offamiliarity to the process. Each environment, appraise its resources, and fully prospective agreement can be seen as an op­ consider the fiscal implications ofthe proposed portunity. And each allows you to further re­ agreement. Its intended outcomes should be fine the structure you have created to develop stated in clear and measurable terms and must it. With each iteration, your collection ofreci­ also be linked to resources. pes grows, your menu ofsauces is more invit­ This model of partnering, then, com­ ing, and your reputation among the great chefs bines the strategic element ofplanning (re- ofagreement-making is assured. • Enrollment Management RecruitrnendRerenrion Analysis Tools Michael F. Middaugh and Dale W. Trusheim Financial Aid and Strategic Planning Dale W. Trusheim and Michael F. Middaugh

Enrollment planning is an integral part of the strategic planning process at any college or university. The authors describe specific strategies for acquiring more useful data to assist in the recruitment and retention ofstudents. Recru itmentjRetention Analysis Tools Michael F. Middaugh and Dale W Trusheim

In his 1983 volume, Academic Strategy, George • Whatdo we know about the institution's Keller emphasized the highly competitive na­ position in the admissions marketplace? ture ofthe higher education marketplace. In Who are actual competitors for the kind order to respond to that competition effec­ of students we are currently enrolling? tively, strategic planning must be rooted in an Who are competitors for other students institution's accurate assessment of its niche whom we might wish to enroll? How do within that marketplace. Nowhere is this more these groups ofstudents perceive our in­ true than in shaping policy and programs to stitution? To what extent are those per­ recruit and retain students. The integrity ofthe ceptions correct, and where incorrect, to academic core curriculum, the depth and what extent can they be modified? breadth of the full time faculty, a consistent • What proportion ofentering tuition revenue stream (many institutions freshmen are retained as nationwide are 60 to 80 percent tuition depen­ matriculants in subsequent dent), and efficient utilization offacilities-all Fall semesters? What propor­ are directly or indirectly dependent upon a tion ofa given entering co­ stable pool ofstudents whose attributes match hort of first time freshmen the mission of a given college or university. graduate within four years? Whether it be an open admission community Five years? Six or more years? Michael F. college, a major research university, or some­ What are the comparable Middaugh thing in between, a college or university must data for transfer students? is the Assistant Vice President for Institutional Research have a clear vision ofits mission, the clientele and Planning for the University of Delaware, Newark, Dela­ • What do we know about sat­ to be served, and the programs and services ware. Middaugh is amember of SCUP's Professional De­ isfaction levels among stu­ necessary for attracting and retaining that velopment Committee, was the Preconference Program dents with regard to the Coordinator for the SCUP-31 Conference Committee, and clientele. For purposes ofplanning, such a vi­ institutional programs and has contributed to SCUP's quarterly, scholarly journal, sion is imperative. services provided to them? Planning for Higher Education. CORE PLANNING QUESTIONS Whatdo we know about their Effective enrollment management addresses a satisfaction with the overall number ofkey planning questions about admis­ college experience at the in­ sions and retention, including the following: stitution? How are satisfaction • What do we know about the relation­ levels different for those who ship over time between applications for remain at the institution admission, offers ofadmission, and paid compared with those who deposits for first time freshmen? For leave without graduating? Dale W. transfer students? How can these data be How can this information be Trusheim used to target admissions activity? used to improve retention is the Associate Director for Institutional Research and and graduation rates? Planning for the University of Delaware, Newark, Delaware. oVI • ~ ~o

>-n ~ ~ r;o 'U ~ ~o Recruitment/Retention Analysis Toals • 51 [

BASIC CONCEPTS changes in the paid deposit pool to ensure that Admissions planning. To determine where an the mid-course corrections in offer rate are not institution wishes to go with its admissions deleterious to the overall quality ofthe enter­ policies and practices, a clear understanding ing class. If the decline in total applications ofits present position within the marketplace holds throughout the cycle, the implications is essential. A fundamental monitoring ofad­ are obvious for expanded mar- rr missions history is an important first step. ket penetration into new 10 determine Table 1 is a page from the weekly Admissions sources for quality applications. Monitoring Report in use at the University of Some institutions may where an institution Delaware. Conceptually, it is adaptable to any wish to raise the academic pro- . h ' college or university. In this instance, it looks file of their entering freshman WIS es to go wIth at admissions activity as of September 14, class. Table 2 is structurally it ad " P l" 1995, and compares it to similar points in the comparable to Table 1, but ar- S mIssrons 0 Ieres two preceding admissions cycles (September rays admission activity by SAT and practices 17, 1994, and September 22, 1993). At any score intervals. Ifan institution ' given point in the admissions cycle, this report wished to increase the number a clear understanding allows comparison with the same point dur­ ofenrolling freshmen withSAT, ,, ing preceding cycles. The table looks at sev­ scores above 1200, the same of Its present pOSItron eral critical variables: total applicant pool, logical relationship between 'th' th ketplac admission denials, admission offers, paid de­ targeted deposits, offers, and ap- WI In e mar e posits (accepted admission), offer rate (ratio plications described in Table 1 is essential. of offered to all applicants), and yield rate would apply here. Having set (ratio of accepted to offered). Within those the target, it is possible to estimate how many variable categories, the table examines actual offers to, and applications from, students with head counts, by Delaware resident/nonresident 1200+ SAT scores would be needed to real­ status (an important indicator at state related ize the objective. institutions), average SAT verbal scores, av­ The total university summary displayed erage SAT math scores, and predicted grade in Tables 1 and 2 is replicated for each ofthe index (a mathematical prediction offreshman eight undergraduate colleges at the University year grade point index based upon actual per­ of Delaware. The analyses are provided for formance in core high school subjects). transfer students as well as first time freshmen. Table 1 provides crucial data for strategic Where Delaware focuses on resident/nonresi­ admissions planning. Suppose that the target dent measures, other institutions may choose size for an entering first time freshman class to focus on gender, ethnicity, or some other is 3,100 students. Knowing what the historical variable related to institutional mission. The yield pattern has been for the past three years important principle here is the acquisition of (the ratio ofpaid deposits to the number ofad­ critical information within a historical con­ missions offers), it is possible to estimate the text that will allow for strategic decisions at number ofoffers necessary to bring in the tar­ appropriate points throughout the admissions get class. Knowing the historical offer rate cycle, thereby increasing the probability ofan (ratio ofoffers to total applicants), it is possible entering class that is academically and demo­ to estimate the total number of applications graphically consistent with the mission and needed to generate an acceptable offer pool. revenue targets ofthe institution. These estimates are essential for monitoring Having established the numerical pat­ activity throughout the admissions cycle. Sup­ terns associated with admissions data, the next pose that in early February the number ofap­ step in analysis is to define the behavioral plications received is substantially lower when context for those patterns. Why do high compared to early February in the two preced­ school students apply to certain schools and ing cycles. A mid-course correction in the offer not others? Why do students who have re­ rate will ensure that the target class will be met ceived multiple offers ofadmission select one by admitting students otherwise denied admis­ college or university over another? Many in­ sion or put on a waiting list. The academic stitutions attempt "prospect" research with quality indicators (SAT scores and predicted varying degrees ofsuccess. One method is to grade index) allow weekly monitoring of approach those students who express an inter- [ 52 • Doing Academic Planning

est in an institution (by requesting a catalog, sive are data from qualified students who live viewbook, or through some other form of within the geographic area served by an insti­ communication) but do not apply for admis­ tution but never express interest. sion. A survey to discover why the prospect Institutions should not attempt these failed to follow up might prove instructive; kinds of information gathering on their own. however, response rates to surveys ofthis kind Colleges and universities that need to expand are low and frequently do not justify the ex­ and/or deepen their market penetration, and penses incurred. Even more elusive and expen- for whom this sort ofinfonnation would prove Recruitment/Retention Analysis Tools • 53 [

useful, would best be served by a reputable ad­ Similarly, it is useful to know where stu­ missions marketing firm. Organizations, such dents are obtaining information about a col­ as the American Association ofCollegiate Reg­ lege, whether the source is significant, and istrars and Admissions Officers (AACRAO), whether the information is favorable or unfa­ can provide names ofconsulting firms. vorable. If the admissions office learns that A college or university can, however, guidance counselors in the state's school dis­ gain invaluable strategic information by sur­ tricts are giving the institution unfavorable veying its pool ofaccepted applicants to learn: reviews, the strategic implications are obvious; (1) why students who were offered admission build a better communication network with made the choice to enroll, and (2) why stu­ those counselors. dents who were offered admission but chose Finally, financial aid is often a key fac­ to enroll elsewhere, made that choice. The tor in the college selection process. The sur­ College Board has developed an instrument vey ofaccepted applicants should gather data called The Admitted Student Questionnaire, about the amount and kind of financial aid more generally known as the ASQ, which can being offered by competitors (merit/need be purchased if funds are available. An insti­ based, grant, loan, work study), and specific tution can develop its own survey instrument, attention should be given to financial aid but would miss out on some ofthe analytical packaging at institutions to which the focal services and capabilities offered by the College college or university is losing students. Board. The survey can be administered to the Having collected this information­ full population ofstudents offered admission, whether from a commercially produced or lo­ or to a sample. If sampling is used, appropri­ cally generated instrument-an institution can ate stratification should ensure representative identify its competitor pool, compare itselfwith samples ofenrolling versus non-enrolling stu­ that pool along a spectrum ofinstitutional char­ dents, as well as any other demographics im­ acteristics, discern which factors are important portant to a given college or university. in a student's college selection decision, and Any survey ofthe accepted applicant pool identify critical sources ofinformation students should gamer several important pieces of infor­ use in shaping their decision. Equipped with mation. Respondents should be asked to specify, this knowledge, a college or university is ready by name, those institutions to which they sought to articulate a strategic plan for enhancing its admission, ideally in order ofpreference, and to current position or repositioning itselfwithin indicate whether they were accepted, rejected, the admissions marketplace. or wait-listed. This information identifies the Retention Planning. Presum­ Resuming appropriate competition and the focal institution's rank in ing appropriate strategies are in the hierarchy ofpreferences. The survey should place for recruiting students, the strategies are in place also list obvious characteristics ofa college or uni­ other half of enrollment plan­ versity (range ofacademic programs, quality of ning is retaining and graduating for recruiting students, faculty, physical facilities, campus appearance) those students. Students are re­ and ask the respondent to indicate whether the cruited to an institution for the the other half of characteristic is important to them and how the specific objective of earning a enrollment planning focal institution compares with others to which degree; effective enrollment they applied. These questions will yield informa­ planning includes systematic as­ is retaining and tion regarding applicant perceptions of the in­ sessment ofthe extent to which stitution, and where those perceptions position this objective is realized. We graduating those the institution with respect to competitors. While recommend cohort survival students' perceptions about a given institution analysis as the tool ofchoice for students. may well be incorrect, they are nonetheless real. this assessment. They must be addressed in order to improve the Each Fall semester, a new cohort ofstu­ institution's perceived position in the admissions dents enters an institution either as first-time marketplace. Ifa college is perceived as a "party freshmen or as transfer students. Each student school" even though it has an active Phi Beta is assigned a permanent identification number Kappa chapter and 60 percent of its seniors go in the institution's data base. Cohort survival on to graduate school, there is a genuine need to analysis is tracking student attendance patterns address the issue ofacademic rigor. over time, using student identification numbers. [54 • Doing Academic Planning

Table 3 illustrates cohort survival. The While cohort survival data are essential table displays ten Fall cohorts and their per­ to enrollment planning, so too are more con­ sistence and attrition patterns recorded each textual data that help explain why some stu­ Fall. For example, there were 3,394 students dents persevere while others do not graduate. in the first-time freshman cohort entering the Let us be totally candid about our bias: though university in Fall 1984. Tracking those 3,394 commercial vendors produce withdrawing/non­ student identification numbers over time, returning student surveys, and institutions use 2,839 were at the university in the second Fall, them as well as home grown versions with representing an 83.6 percent retention rate, varying degrees ofsuccess, it is our opinion that or pessimistically, a 16.4 percent attrition rate; they are not an effective means of collecting 2,538 or 74.8 percent were at the university data. Response rates to these surveys are low, in the third Fall, and so on. Ultimately 2,395 and the student who has left has no vested ofthose initial 3,394 students graduated from interest in completing the survey. Those stu­ the university, for a 70.6 percent completion dents who do complete the surveys usually cite rate. Suppose a student who entered the uni­ personal or financial reasons for leaving, rather versity with the Fall 1984 cohort failed to re­ than providing more specific answers that could turn to the university in Fall 1985, but did in have policy implications. In our view, this is an fact return in Fall 1986. This individual will expensive data collection strategy, with a low always be reported as a member of the Fall return on investment. 1984 cohort and, based upon the attendance We advocate a different approach. At scenario just described, would be part of the the University ofDelaware, as at most colleges 16.4 percent attrition rate displayed for the sec­ and universities, student satisfaction surveys ond Fall-but would be part ofthe 74.9 per­ are a routine part ofthe institutional research cent persistence rate in the third Fall. The program. We use two different instruments: important concept here is the integrity and sta­ American College Testing Program's Student bility of the composition of the cohort. Opinion Survey and C. Robert Pace's College Looking at the ten cohorts and the at­ Student Experiences Questionnaire. The former tendance patterns ofeach, it is possible to get assesses student use of, and satisfaction with, reasonable estimates of freshman-to-sopho­ 23 programs and services typically found at more, sophomore-to-junior, most colleges and universities, and 42 insti­ and junior- to-senior persis­ tutional characteristics that assess student sat­ \\I'h,ile cohort tence rates over time. It is also isfaction with academics, admissions survival data are possible to get a reasonable es­ procedures, institutional rules and regulations, timate of the length of time it physical facilities, registration procedures, and essential to will take for a student to gradu­ the overall campus environment. The latter ate after the initial semester of assesses student satisfaction with the quality enrollment planning, entry. These data are important of various aspects of the college experience not just for state and federal re­ including, interaction with faculty and other so too are more porting requirements; they are students, course learning, library experiences, contextual data essential for solid enrollment and writing experiences. It also affords respon­ planning. The data in Table 3 dents the opportunity to estimate cognitive that help explain why are also broken out at the Uni­ and attitudinal gains growing out of the col­ versity of Delaware by each of lege experience. These are but two ofa num­ some students perse-­ the eight undergraduate col­ ber of student satisfaction instruments leges, by gender, and by available from vendors. They are excellent, vere while others leave ethnicity, in each instance as a not only for reporting student satisfaction, but without graduating. component for enrollment also for getting a reliable reading on the major planning for groupings consis­ discontentment factors that contribute to a tent with the institutional mission. Compa­ student's withdrawal. rable tables are also available for transfer Student satisfaction surveys should be students. Developing reliable retention statis­ administered during the Spring semester to tics is a critical component in an overall en­ ensure a sufficient experience base, particularly rollment planning strategy. for freshmen. They should be administered to a sample ofsufficient size to be representative Recruitment/Retention Analysis Tools • 55 [ [56 • Doing Academic Planning

respondent pool is examined the following Fall PRINT REFERENCES semester and, using the identification numbers, Dolence, M. and Norris, D. 1995. Transforming Higher Education: A Vision is segmented into those students who returned for Leamingin the 21st Century. Ann Arbor: Society for College and for the Fall and those who did not return (ex­ University Planning. cluding graduates), it is possible to test response Middaugh, M.; Trusheim, D.; and Bauer K. 1994. Strategies for the Practice patterns for significant differences between ofinstitutional Research: Concepts, Resources, and Applications. Tal­ those who persevere and those who leave. We lahassee: Association for Institutional Research. have found marked differences in satisfaction with such variables as financial aid practices. ELECTRONIC SAMPLER When the dissatisfied respondents were then examined for financial aid awards, the results http://apollo.gmu.edu/Njmilam/air95.html#index enabled us to recommend specific strategies for Internet Resources for Institutional Research. AIR. (Association for Institu­ tional Research). John H. Milam, Jr. (Information Management and overhauling the packaging strategies in the Reporting, George Mason University. financial aid office. Other policy recommen­ http://www.ed.gov/offices/OPE/ dations also grow out ofthese data, which are Office of Postsecondary Education, United States Department of Education. being collected at the peak moment ofstudent satisfaction or dissatisfaction, not from a QUESTIONNAIRE RESOURCES clouded retrospective view. We have found this practice to be most useful in shaping strategic Admissions Planning Resources. recommendations for improving programs and To obtain a copy of the Admitted Student Questionnaire (ASQ): services in support ofenhanced retention. The College Board Admitted Student Questionnaire SUMMARY 45 Columbus Circle Michael G. Dolence and Donald M. Norris, in New York, NY 10023-6992 their 1995 SCUP volume, Transforming Higher For a fuller explanation ofadmissions monitoring reports, and for a sample of Education-A Vision for Learning in the 21 st an institutionally-developed admissions marketing survey, the following volume Century, underscore the primacy ofa learner­ is recommended, and can be obtained by writing to the Association for Institutional Research, 314 Stone Building, Florida State University, centered environment. While much of our Tallahassee, FL 32306-3038: foregoing discussion centered on the metrics Middaugh, M.E, Trusheim, D.W., and Bauer, K.B. Strategies for associated with measuring retention and gradu­ the Practice ofinstitutional Research. Tallahassee, Florida: ation, the contextual research strategies we Association for Institutional Research, 1994. described are essential to providing the optimal Retention Planning Resources. learner centered environment. A rich data base To obtain specimen copies of the satisfaction instruments described in this showing the extent to which students are sat­ chapter, contact: isfied with the quality of academic programs American College Testing Program and services, and with the depth and breadth PO Box 168 of their academic experiences, is essential in Iowa City, IA 52243 planning for the learner centered environment. College Student Experiences Questionnaire Moreover, the data base provides a wealth of c/o Dr. George Kuh admissions recruiting information. Logic dic­ Center for Postsecondary Research and Planning School of Education, Room 4228 tates that the happier students are with their Indiana University college or university experience, the deeper 201 N. Rose Avenue their commitment to the institution, both Bloomington, IN 47405-1006 before and after graduation. We have found the strategies described in this chapter to be use­ ofthe student body. In the letter inviting stu­ ful in the overall planning process at the Uni­ dents to complete the survey, we have found versity ofDelaware. We offer them as a starting it useful to assure the respondents ofconfiden­ point for readers who wish to develop recruit­ tiality, but to ask them to provide their student ment and retention analysis tools tailored to the identification numbers for future research. Ifthe specific needs of their own institutions. • ~iS chapter discusses the increasing importance offinancial aid and enrollment management and presents a broad framework to describe how financial aid awards can be related to enrollments. Finally, the authors highlight the importance ofan effective and proactive financial aid operation in coming years. Financial Aid and Strategic Planning Dale W Trusheim and Michael F. Middaugh

CORE PLANNING QUESTIONS • How can the financial aid program contrib­ Today, perhaps more than at any time in the ute to effective enrollment management? history of American higher education, aca­ Institutions of higher education have a demic planners need to understand and evalu­ critical stake in assessing successes and failures ate the relationship between institutional offinancial aid because these outcomes impact financial aid operations and enrollment man­ institutional finances-both expenditures and agement. The recent Report to the Leaders of revenues. The amount of institutional funds America's Colleges and Universities: Meeting the spent onfinancial aid is easily moni­ Challenge ofStudent Financial Aid, produced by tored; however, many institutions a distinguished task force and published under do not fully appreciate the impor­ the auspices of the National Association for tant ramifications offinancial aid Student Financial Aid Administrators for the institutional revenue stream. (NASFAA), highlights three most pressing Note, also, important differ­ concerns for higher education and financial aid: ences between financial aid ques­ • College costs continue to rise at rates tions confronting small private higher than family income. Dale W. liberal arts colleges, and large pub­ Trusheim • Students are increasingly relying on lic research universities. Different institutions have different educa­ is the Associate Director for Institutional Research and loans to pay for college. Planning for the University of Delaware, Newark, Delaware. tional missions, different philoso­ • Federal support for financial aid may be phies toward "building" a freshman in jeopardy. class, different budgets, and quite In addition, over the past several years, different approaches to financial institutional financial aid budgets have soared aid topics such as equity packaging, while state and federal funds have declined. preferential packaging and purely During the same time, competition in the ad­ "merit" scholarships. Competition missions marketplace has increased, and many between public and private univer­ schools have undertaken sophisticated market­ sities is also an issue because of Michael F. ing analyses to evaluate the effectiveness of pricing differentials between the Middaugh both admissions and financial aid operations. public and private sectors in is the Assistant Vice President for Institutional Research These facts suggest that over the next American higher education. and Planning for the University of Delaware, Newark, Dela­ decade, planners at higher education institu­ Financial aid officers sub­ ware. Middaugh is amember of SCUP's Professional De­ tions must confront two critical issues: scribe to the principles and prac­ velopment Committee, was the Preconference Program • Can students and their families continue tice of the National Association Coordinator for the SCUP-31 Conference Committee, and has contributed to SCUP's quarterly, scholarly journal, to afford our institutions? for Student Financial Aid, which Planning for Higher Education. [58 • Doing Academic Planning

affirm the importance offinancial aid distri­ a high financial need. This kind offinancial bution to needy students who might not oth­ aid strategy causes problems for some finan­ erwise be able to attend college. The needs of cial aid administrators because students with the student are paramount. However, there approximately equal levels ofacademic ability may well be tension between the needs ofthe may be treated differently in the award distri­ student and the needs ofthe institution, and bution depending on financial need. between issues ofaccess and issues of institu­ tional choice. The dimensions and levels of APPROACHES TO FINANCIAL AID ANALYSES these debates vary from one school to another, The starting point for any in-depth analysis of and from one year to another, depending on the relationship between financial aid and leadership and a host ofother variables. enrollment management is a clear sense of This chapter focuses on key questions institutional mission and how financial aid affecting enrollment managers and academic should support that mission. The position of planners in their dealings with financial aid financial aid among overall institutional goals packaging and management information. We varies from institution to institution, result­ acknowledge from the outset that the full ing in different directions and focuses for the spectrum of issues confronting individual in­ financial aid office. For example, some pub­ stitutions may be quite different. lic state-supported institutions may devote all BASIC CONCEPTS institutional scholarships to in-state students because the state legislature does not allow Financial aid. Financial aid is defined as any institutional funds to be awarded to out-of­ financial assistance (grant or scholarship, loan, state students. Consequently, the financial aid work-study) from any source (institutional, management approach in this situation is federal, private, state) that students may use completely different from a private institution in addition to their own or parental contribu­ which does not distinguish state ofresidency. tions to pay for college. Typically, financial aid Presuming, then, that an institution has officers collapse awards into two types: schol­ clearly defined its mission and the position of arships or grants, and "self-help" funds such as financial aid within it, academic planners can loans and work-study programs. begin by asking three basic questions: Tuition discounting. This is a T .. • What effect does financial aid have on 1he startIng pOlnt for term defined as the ratio ofin- new student enrollment? On retention . d h l' stitutional financial aid expen- any In .... ept ana YSIS ditures to the total tuition ofcurrently enrolled students? • What is the student/parent/institutional of the relationship revenue in an annual budget cycle. The percentage typically view ofthe effectiveness ofthe financial between financial aid ranges from five percent (in aid office? large state-supported institu- • How useful to various stakeholders is the and enrollment tions) to fifty percent (at some annual report from the financial aid office? management is a small private institutions). How quickly and accurately the direc­ Differential or preferential tor offinancial aid operations can answer these clear sense of packaging. Preferential packag­ questions will reveal much about the manage­ ing is a relatively recent con­ ment information and reporting technology institutional mission cept in financial aid awards. of any financial aid office. Can the officers Students are rated according to respond to these questions in timely fashion? and how financial aid some quality indicators (such as If not, the college or university may be in for should support SAT scores or other indices that rough sledding during the next decade. rank candidates) and financial Answers to these and similar policy that mission. need. Financial aid packaging is questions require good data, good information then adjusted according to can- retrieval systems, and timely and efficient didate desirability. Students who are very high management information reporting tools. Yet quality and low need may receive a more fa­ perhaps the most overlooked area in the as­ vorable financial aid package (more grant, less sessment of financial aid operations is the loan) than students who are lower quality with development of effective management Financial Aid and Strategic Planning • 59 [

information. All too often, financial aid of­ financial aid funds be accurately identified ficers are overburdened with the distribution with respect to kind of aid (academic grant, of available aid funds, and the necessity of athletic or other merit scholarship, loan, work­ keeping abreast ofrapidly changing federal and study) and source and type ofaid (merit-based/ state aid regulations. need-based, state funds, private/outside funds Another common complaint from finan­ such as the National Merit Scholarship, Lion's cial aid professionals is that "off-the shelf' soft­ Club, federal government). Since timing and ware, even from the nation's leading commercial accuracy ofdata collection is an 0 vendors, is not designed for management infor­ issue for retrieving management ne of the mation reporting. The software is designed for information, the institution efficient processing oftransactions to individuals, must carefully decide on the first needs for an not summary reporting of the overall picture. best time to make an "official" ,, The fact that many financial aid databases stand reporting extract of financial assessment offznanczal alone, or are not integrated with other student aid information. 'd d 11 information data presents another management There are basically two az an enro ment problem. The kind of analysis necessary for large financial aid areas that management is a evaluating the relationship of financial aid to need to be explored. The first enrollment requires a merge ofadmissions infor­ pertains to freshmen (and trans­ data base that mation and student term records for continuing fer) admissions. Assessing the (and withdrawing) students. impact of financial aid upon contains the One ofthe first needs for an assessment freshmen admissions would offinancial aid and enrollment management clearly require a data set that necessary data is a data base that contains the necessary data merged financial aid information elements for elements for statistical analysis. This requires and admissions variables for new the identification and extraction of the re­ freshmen and transfers. The sec­ statistical analysis. quired data points or an integrated system that ond major area involves finan­ can be accessed. cial aid for the entire undergraduate population. But the lack of a data base with requi­ The scenario here asks for an analysis ofall cur- site data elements describes only the first half rently enrolled students and attempts to describe ofthe problem. Data accuracy is also critical the situation for all currently matriculated stu- for any program evaluation and policy deci­ dents. A subset of this analysis involves the sions that may result from the analysis. Finan­ effort to determine the relationship between fi- cial aid researchers at the institutional level nancial aid and student retention. note that obtaining high quality financial aid The appropriate time to select data for data is not an easy task. In the first place, a these two questions is notdefinitive. Freshmen student's financial aid records may change admissions questions might be asked around from day to day depending on the student's the time of the official student enrollment acceptance, rejection, or modification offinan­ extract for the fall term. Prepared to report data cial awards offered by the institution. On to IPEDS, it would therefore yield the most up­ April 1, a student might be offered a $2,500 to-date information available for an analysis scholarship and a $2,500 Stafford loan. On of the new freshmen class. The same time April 30, the student might elect to borrow period could be chosen for the data extract for only $1,500. On May 31, the student might the entire student body. However, some re­ receive a grant from a state agency in the searchers prefer a more retrospective data file amount of $1,000 and further downsize the for the analysis. Often, the financial aid award loan amount to $1,000. Obviously, snapshots and distribution files continue to change ofthe financial aid files taken on these three throughout the academic year. Researchers days would present three different pictures. might therefore want to extract data from the That financial aid data files may not previous academic year (Fall 1994 through accurately describe all the data elements pre­ Spring 1995 in the Fall of 1995) to have the sents a further complication. As noted above, complete story on financial aid during the past most financial aid software focuses on indi­ academic year. The timing ofthis kind ofdata vidual transactions. The effective analysis of extract also makes it possible to explore the financial aid programs requires that individual effect ofaid on student retention. A suggested [60 • Doing Academic Planning

minimum list of variables that would be in­ a descriptive study? Second, which model(s) cluded in a data extract appears in Table 1. or techniques can institutions use to analyze the effects of financial aid on enrollment? ANALYSIS AND DISPLAY OF James Scannell (1992) recognized these limi­ PLANNING INFORMATION tations in his publication The Effect ofFinancial Despite financial aid's obvious importance to Aid Policies on Admissions and Enrollment. He enrollment management and institutional fis­ recommends that the institutional focus be cal health, there is a surprising dearth ofpub­ "on the strategic deployment of institutional lished research to help individual institutions resources to meet a particular institution's en­ accumulate information for planning purposes. rollment goal" (p. 65). To make strategic de­ Much of the published research appears as cisions, institutions need to know where they large-scale descriptive reports ofthe total num­ currently stand. Scannell offers a variety of bers ofstudents receiving aid and how much helpful templates that individual institutions they receive (for example, see the u.s. Depart­ might employ to document the outcomes of ment ofEducation statistical series or the re­ the financial aid award process. sults from various National Postsecondary There are three main components offi­ Student Aid Study reports). Or it may be so­ nancial aid analysis an institution should un­ phisticated multivariate statistical analyses dertake. The first is research in the area ofnew student admission, including admitted students TABLE 1 who did enroll and those who did not. Re­ Financial Aid/Admissions E"tract search involving all currently enrolled students (including freshmen) makes up the second. The third area pertains to consumer satisfac­ Demographic Variables Financial Aid Variables tion (student and parent) and institutional as­ Student identification number Financial need sessment of the success of the financial aid High school GPA Family income effort. We address each ofthese areas below. SAT or ACT scores Total financial award Age Total scholarship or grant amount Freshmen admissions andfinancial aid. One Gender Total work-study amount ofthe first steps in an analysis ofthe relation­ Ethnic origin Total loan amount ship offinancial aid to new student admissions is to trace all possible outcomes for aid and Admissions index (if available) Amount of unmet need non-aid applicants who do and do not enroll. State origin Independent/dependent status Figure 1 shows one way ofpresenting this in­ Other admissions variables formation in a simple and straightforward fash­ ion. The purpose ofthis research is threefold: Overall Financial Aid ~tract first, to compare yield ratios in a sequential fashion throughout the aid process; second, to Demographic Variables Financial Aid Variables determine precisely which students receive fi­ Student identification number Financial need nancial aid; and third, to investigate areas Cumulative GPA (if available) Family income where a possible redirection ofaid funds might SAT or ACT scores Total financial award improve admissions yield. Age Total scholarship or grant amount Financial aid researchers (or other insti­ Gender Total work-study amount tutional staff) would need to fill in the vari­ Ethnic origin Total loan amount ous cells of the financial aid flow chart with State origin Amount of unmet need actual numbers ofstudents who fall into each Department and major Independent/dependent status category or cell. This information would only Earned credit hours be presented for applicants who were offered admission. Each cell should contain two items of information: the total number ofstudents such as the work done by Chapman andJack­ in the cell, and the yield ratio for that num­ son (1987), Cabrera and Castaneda (1992), ber. (Yield ratios are calculated by dividing the or St. John (1989, 1990, 1992). number of enrolling students by the total The problem for individual institutions, number of applicants.) therefore, is twofold. First, are student record Although the numbers in Figure 1 are and financial aid data available to undertake illustrative only, they present a clear picture of FIGURE 1 Fiftaft&i,d Aid Flow Chart

/ ~ Accepted Applicants , N=1,475 64% Did not apply for " r ~ Aid applicants \... J N=500 • 51% N=915 '-- ~ 72% \... ,J y • Rec'd Aid High*Need Medium Need Low*Need No Need N=66 y N=154 N=200 N=144 N=417 52% 77% 73% ~ 68% 72% \. ~ \. ~ No Aid y y y N=494 • 51% Rec'd Aid No Aid Rec'd Aid No Aid \. Rec'd Aid I No Aid Rec'd Aid I No Aid "T1 N=135 N=19 N=175 N=25 N=121 N= 23 N=321 N=96 ~. 85% 16% 81% 20% 77% 17% 76% 57% n ~ i ,J # Y" " " " # '1-"-''' # '-- r-''' 15.:>­ 1 j ~ ~ y VJ / / • g No Gap No Gap No Gap y rt N= 26 N= 75 N=102 Large $ Less $ o.s. • -..... -..... / * n 100% 80% 78% N=253 N=68 'I:i Med Gap Med Gap Med Gap 76% 78% y ~ ~ y @ N=85 N=86 N=15 * ~. 86% 84% 87% Hi Gap Hi Gap Hi Gap N=24 N=14 N=4 • 67% 64% 25% 0\ ...... ~ \. [62 • Doing Academic Planning

what the admissions/financial aid flow might In assessing the impact offinancial aid be at a single institution. The chart contains on admissions, it is important to compare two a substantial amount ofinfonnation. It shows, groups ofstudents: enrolling students and non­ for example, percentages ofapplicants who ap­ enrolling students. Table 2 provides illustra­ ply for aid and percentages of applicants who tive data on these two groups by level ofneed, do not. It displays the percentages ofstudents but also adds several other important variables: who have high, medium, low, or no need, as • Average of the total aid award (grants, well as the non-aid applicants who might re­ loans, and work study); ceive aid (either through merit scholarships or • Average award ofonly institutional dol­ unsubstantiated Stafford loans). For example, lar expenditures; a data presentation such as this underscores the importance offinancial aid for high-need stu­ • Percentage offinancial need met; dents. In this illustration, 85 percent of the • Percentage of grant and scholarship high-need students who receive aid enroll, funds in the total aid package; compared to only 16 percent ofthe high-need • An indicator ofwhether the student has students who do not receive financial aid. This declared the institution as first choice; and chart also shows the strong impact of aid for • Yield ratios. students who apply for assistance but who do not demonstrate financial need: 76 percent of In addition, each summary statistic is bro­ students who did not have need but who re­ ken down by SAT level. This kind ofpresenta­ ceived some "merit" aid enrolled, compared to tion allows planners to explore discrepancies in 57 percent ofthe no-need applicants who did the aid packages offered to enrolling students and not receive awards. The chart further allows non-enrolling students, and also demonstrates institutions to investigate the impact ofdiffer­ SAT levels which might benefit from expanded ent award gaps on admitted applicants, assum­ contributions of institutional financial aid. For ing that this practice is followed.! example, if the yield rate is much stronger at It is also very important to note that this lower SAT levels (say, 1100 to 1199) thanhigher method ofdata presentation is quite valuable SAT levels (say, 1400-1600), and it can be de­ when done systematically and annually. Plan- termined that nonenrolling students in the lower ners can assess whether yield range received significantly less favorable finan­ recent development rates within specific groups are cial aid awards, institutions might want to con­ A increasing or decreasing, or sider different award strategies. Questions about in financial aid is whether the percentage ofstu- the strategic manipulation ofaid funds would re­ . dents in higher need groups is main unanswered without the kind ofdata pre­ the use 0f econometnc increasing substantially from sentation shown in Table 2, which documents the actual distribution offinancial aid dollars. modeling to forecast ye~r to year. As aid award strat- JC egles evolve or change from A recent development in financial aid actual enrollment year to year, the data presenta- is the use ofeconometric modeling to forecast tion allows planners to monitor actual enrollment and to budget financial aid. and to budget the effects ofthese adjustments. In brief, this kind of modeling requires an .. If we assume that a college or econometrician or statistician (often, an ex­ financral azd. university elected to transfer fi- ternal consultant), who develops a model to nancial aid funds from low- predict overall new student enrollment and need to high-need students and, further, to the amount of financial aid necessary to implement a medium gap award policy instead achieve the predicted goal. This is not the of one that attempted to meet full need, the place to discuss econometric modeling in de­ results ofthis strategy would have to be moni­ tail, but it does represent an effective and use­ tored to determine the policy's success, as well ful way to plan a freshman class. Econometric as to make necessary mid-course adjustments. modeling has been enthusiastically endorsed The main benefit ofthis kind ofdata presen­ by several users (Massa, 1995). tation is that it allows the institution to see ex­ Currently enrolled students. Too often, per­ actly how admissions and financial aid interact haps, financial aid research looks primarily at for admitted applicants to the freshman class. the impact ofaid on new students. It is equally

! The specific cut points that group students in various need categories and various financial aid categories can vary from school to school. High, medium, and low-need groups are usually defined by specific monetary ranges. It may be better to use a percentage basis for the need­ met categories: e.g., medium gap defined as 50 percent to 99 percent ofneed met; high gap defined as less than 50 percent of need met. TABLE 2 Admissions and Finan&ial Aid Out&omes by SAer Ranee: Illustration

HIGH NEED ($7,000+) NON-ENROLLING ENROLLING

Average Average %of 1st Average Average %of 1st Overall Aid College Need % Choice Aid College Need % Choice Yield SAT-Total $ N Funds 1$1 N Met Grant % $ N Funds ($1 N Met Grant %% 1400-1600 5380 1 4000 1 42 100 0 7800 4 3000 4 84 70 50 80.0 1300-1399 3563 4 1000 1 48 74 0 7766 8 2333 3 85 73 50 67.0 1200-1299 3813 4 2000 1 45 78 25 6783 12 1000 1 85 73 38 75.0 1100-1199 3563 2 0 43 74 50 7312 13 2265 6 84 64 85 86.7 1000-1099 3696 9 0 40 67 57 6248 13 5250 2 69 64 62 59.0 400-999 3099 14 0 61 51 25 6817 30 2334 9 76 57 74 68.2

HIGH NEED ($3,500-6,999) NON-ENROLLING ENROLLING

"T1 ~. n ~

15.:>­ HIGH NEED ($1-3,499) NON-ENROLLING ENROLLING ~ VJg rt o.s.n 'I:i @ ~ . • 0\ l..N [64 • Doing Academic Planning

as important to continue monitoring the dis­ do not receive much financial aid. The last tribution ofaid among currently enrolled stu­ column shows the ratio ofthe aid received to dents. Table 3 presents a way to think about the total financial aid distribution-useful for the relationship offinancial aid to all enrolled determining which majors ordepartments are students. (As with earlier charts, these data are being underwritten by financial aid. illustrative only.) Table 3 simply reports the Note that although Table 3 presents in­ number ofmajors at a college or university and formation disaggregated to the major level, the associated percentage ofthe total under­ other institutions may choose to group the graduate enrollment. It then shows the num­ data in larger units, for example, departments. ber of students in the major who receive It is also important to note that the data are financial aid, the average award, the total reported only for currently enrolled freshmen, amount of scholarship dollars invested and, sophomores, and juniors, since the senior class finally, information about the academic stand­ will be graduating and all institutional schol­ ing of the aid recipients. The final two col­ arship funds will probably be reinvested in the umns show the ratio of aid recipients to all next freshman class. Holding out the seniors majors: a high percentage indicates that this from Table 3, therefore, allows planners to see specific major is well-subscribed; a low percent­ how much scholarship aid will be available age indicates that students within this major

TABLE 3 Institutional Scholarship Award Distribution by Major Freshmen, Sophomores, and Juniors Only:

Depart· Average Average Ratio of mental %of Nof Cumulative SAT Aid Percen­ N of Total Awards Average Total GPA: Aid of Aid Recipients tage of Major Majors Enrolled Rec'd Award Dollars Recipients Recipients to Majors All Aid Financial Aid and Strategic Planning • 65 [

because ofsenior graduation, and it also de­ dents, even though competitors make signifi­ picts the probable situation for underclassmen. cantly higher offers. These parental and stu­ Planners can use this information to tar­ dent surveys should focus on questions about get new students into undersubscribed majors the accuracy and timeliness of financial aid or continue to build some ofthe academically communication or the effi­ stronger areas at the institution. The key pur­ ciency offinancial aid services. pose ofthe analysis is to describe the existing Often surveys are con­ I t may also be distribution offinancial aid awards and relate ducted along with a small num­ it to enrollment targets for the coming year. ber of focus group interviews, useful to conduct This same table can be broken down into sub­ which provide a much richer, departmental process groups (ethnic status, gender) for help in plan­ though less universally appli­ ning for diversity and other goals. cable, collection ofcomments and functioning Financial aid program evaluation. There are and insights into a department's any number ofways to conduct program evalu­ operations. Institutional re­ reviews: internal ations for financial aid operations. Keeping in searchers may be available to examinations of mind that it is impossible (because offinan­ help set up focus group formats ciallimitations or legal restrictions) for finan­ and assist with the professional organizational charts; cial aid officers to "please" all clients, it is still conduct ofthis kind ofresearch. possible to obtain useful evaluations ofhow the Finally, it may also be use­ paper flow with respect office is conducting business. These reviews ful to conduct departmental should take place on a systematic basis, per­ process and functioning re­ to processing, filing, haps as often as every other year. views: internal examinations of and efficiency; and One starting place is the institutional organizational charts; paper guide for financial aid self-evaluation, available flow with respect to processing, the accuracy and from the National Association for Student Fi­ filing, and efficiency; and the nancial Aid Administrators (NASFAA, accuracy and availability of availability ofgood 1996). According to NASFAA, the guide was good management information. designed "as in in-house tool to assist financial It can reveal the need for up­ management aid administrators in evaluating the efficiency dated computing equipment information. and effectiveness oftheir administration offi­ and additional computer pro­ nancial aid programs, as well as compliance gramming support for manage­ with federal laws and regulations" (p. ii). Sys­ ment information. A department process tematic and repeated administration of this review can be conducted with an internal in­ self-study should be helpful in highlighting de­ stitutional consultant or, budget permitting, partmental strengths and weaknesses. a consultant who is expert in financial aid op­ Other techniques that can be used for erations and information retrieval. program review include survey research, focus ACTIONABILITY ISSUES group interviews, and departmental process or One way to force data to influence policy is functioning reviews. Random samples ofstu­ to see whether they are available to answer dents and parents who interact with the finan­ strategic questions. If the following questions, cial aid office can be contacted by telephone falling under the three major themes identi­ or mail to request information about their ex­ fied above, were posed to the chieffinancial perience with the financial aid office. If the sur­ aid officers, how quickly and accurately could vey respondent can be identified (by name or a response be delivered? student ID number), researchers have the ca­ • What effect does financial aid have on pability ofmerging information from the aid new student enrollment? On retention files to control statistically for items such as the of currently enrolled students? Addi­ amount ofaid awarded or percentage ofneed tional preliminary questions include: met. Incorporating institutional financial aid Who receives institutional financial aid? data with attitudinal information permits more What effect does financial aid have on sophisticated and in-depth research studies. It matriculation probabilities? How much may also be the case that financial aid admin­ aid is spent on special interest groups? Is istrators are doing their job by not awarding this money being spent wisely? How is large scholarships to certain categories ofstu- [66 • Doing Academic Planning

mation reporting be put in place? Addi­ PRINT REFERENCES tionally, how much institutional revenue Cabrera, A.; Nora, A.; and Castaneda, M. 1992. "The Role of Finances is spent on financial aid? How much net in the Persistence Process: A Structural Model." Research in Higher revenue do these expenditures generate? Education 33(5): 571-594. What is the institution's tuition discount Chapman R. G. and Jackson, R. 1987. College Choices of the Academi­ rate? Has this changed over time? What cally Able Students: The Influence ofNo-Need Financial Aid and Other are projections for the next three years? Factors. New York: College Entrance Examination Board. What is the trend line in institutional fi­ Massa, R. 1995. "How Much Is Enough?: The Strategic Use of Institutional nancial aid awards? Is this line outpacing Aid." Paper presented at the 1995 National Association of Student Fi­ net revenues, or is it increasing faster than nancial Aid Administrators Annual Conference, San Antonio, TX. tuition increases? Is the chiefaid officer National Association of Student Financial Aid Administrators. 1996. an integral part of budget planning? Self-Evaluation Guide for Institutional Evaluation in Title IVand Other Federal Programs, 12th ed., 1995-1996 and 1996-1997. Washing­ RECOMMENDATIONS ton, DC: NASFAA. Given the new demands soon to be placed on Report to the Leaders ofAmerica's Colleges and Universities: Meeting the Chal­ financial aid programs, some recommendations lenge of Student Financial Aid. 1995. Washington, DC: National Association ofStudent Financial Aid Administrators. for greater success in enrollment management can be made. First, financial aid operations St. John, E. P. 1989. "The Influence ofStudent Aid on Persistence." Jour­ nal ofStudent Financial Aid 19(3): 52-68. should be supported with new technology to St. John, E. P. 1990. "Price Response in Enrollment Decisions: An Analy­ improve service, data management, and infor­ sis of the High School and Beyond Sophomore Cohort." Research mation storage and retrieval. Many financial aid in Higher Education No. 31(2): 161-176. officers spend most of their time dealing with St. John, E. 1992 "Workable Models for Institutional Research on the Im­ individual students, processing individual trans­ pact ofStudent Aid." Journal of Student Financial Aid 22(3): 13-26. actions, and keeping current with changing Scannell, J. J. 1992. The Effect ofFinancial Aid Policies on Admissions and regulations. Thus, it is important to assist the Enrollment. New York: College Board. financial aid office with computer programming Also ofuse are any issues oftheJoumal ofStudent Financial Aid, Washington, support necessary to generate effective manage­ DC: National Association ofStudent Financial Aid Administrators. ment information. A review of current finan­ cial aid reports and paper flow might lead to ELECTRONIC SAMPLER more efficient ways ofprocessing the bulk ofin­ formation financial aid officers must handle. http://finaid.org/nasfaa Second, planners should ask the aid of­ NASFAA (National Association of Student Financial Aid Administrators). ficials to develop financial aid plans for best, http://www.ed.gov/index.html worst, and probable outcomes for a given year. Ed Home. United States Department of Education. Even while recognizing that there is more art http://www.ed.gov/NLE/sfa.html than science in predicting the behavior of Bibliography on Student Financial Aid. National Library of Education. college-bound high school seniors and college http://www.ed.gov/offices/OPE/ students, it is critical for the fiscal health ofan United States Department of Education, Office of Postsecondary Education. institution to monitor carefully the financial aid http://www.finaid.org/ expenditure budget and its impact on tuition FinAid: The Financial Aid Information Page.NASFAA (National Association revenue. Using the kind of enrollment man­ ofStudent Financial Aid Administrators). Mark Kantrowitz. agement reports presented above, it is possible to track institutional fund expenditures and to this determination made? Does financial project expenditures from students who have aid support the retention ofstudents? not yet replied. A major and unexpected shift • What is the student/parent/institutional in yield in either direction may have heavy and view ofthe effectiveness ofthe financial damaging budgetary impact for years to come. aid office? Moreover, how satisfied are Third, it is not sufficient to see financial students and their parents with the qual­ aid offices as nothing more than distributors ity of information and service received ofavailable resources. In coming years, chief from the financial aid office? aid officers must, through effective informa­ tion management, take the lead in constant • How useful is the annual report from the monitoring ofthe effectiveness ofthe finan­ aid office? Does a single annual report cial aid program. Including the director offi­ provide information in timely fashion, or nancial aid on the budget team may be should more routine management infor- appropriate for many institutions. • Human Resources Planning Human Resources Planning Carol Everly Floyd

~iS chapter analyzes basic mission and quality issues that become the framework for human resources planning. Then, moving to specifics, the first subsection addresses faculty recruitment and retention; the second focuses on faculty roles, responsibility, and accountability. Human Resources Planning Carol Everly Floyd

CORE PLANNING QUESTIONS • To what extent canfaculty development be­ A new focus on connecting human resources come linked to organizational development? planning with basic institutional mission com­ mitments is being reinforced by emerging ex­ BASIC CONCEPTS pectations on the part ofaccrediting bodies and Faculty recruitment and retention. Institu­ governmental funding sources. Institutions, tions have historically thought about faculty therefore, are focusing more sharply on fitting recruitment and retention in fairly simple their concepts offaculty effectiveness and pro­ tenus: a strong faculty combined with staffing ductivity into their institutional missions and flexibility. They sought well-prepared faculty, goals. Institutions are linking student outcomes expected probationary faculty to present a assessment with what faculty do, explaining strong record, and expected tenured faculty to how commitments to diversity and affinnative be responsive to institutional needs and pro­ action are being kept, and making specific con­ ductive within their disciplines. Some flexibil­ nections between recruitment/retention prac­ ity was provided by faculty turnover and the tices and institutional quality. use ofpart-time faculty; however, institutions Regional and specialized accrediting have always been concerned about limited bodies, as well as state higher education boards, opportunities for introducing new blood and are broadening the challenge to higher edu­ over concentration ofresources in the senior cation to demonstrate ongoing improvement ranks. and quality assurance. Although some con­ In the future, institutions will be recruit­ cepts and practices date back to the 1970s, ing faculty to serve an increasing number of faculty development is receiving newly con­ non-traditional college students in an increas­ centrated attention as an area in which to ingly complex labor market. Without doubt, demonstrate continuous quality improvement. full-time regular faculty will be The scope offaculty development activity has more difficult to recruit, in most broadened from its original focus on improving fields, than in the 1980s and early the skills ofindividual faculty to include both 1990s because significantly more refonuulation ofthe curriculum to incorporate faculty hired during higher new concerns, and creation ofmore career op­ education's boom years have re­ tions. The core planning questions about tired. But the number ofnew hires human resources include: needed is very elusive because of Carol uncertain patterns of retirement • How will the academic culture adjust to Everly Floyd the emerging calls for enhanced quality behavior and institutional hiring is Assistant to the Provost for the University of Illinois at and accountability? preferences. Some incentives en­ Springfield, Springfield, Illinois. Royd is Associate Convener courage early retirement while the of SCUP's Academic Planning Academy, amember of • How rapidly will faculty roles change in removal ofa mandatory retirement SCUP's Publications Advisory Committee, and was formerly response to a learner-centered policy the Associate Editor of Planning for Higher Education, age encourages those who are so agenda? SCUP's quarterly, scholarly journal. [70 • Doing Academic Planning

inclined to stay. Institutional hiring offaculty, tion, is especially important for minority and especially full-time regular faculty, may be con­ female faculty. Difficulties encountered by strained by decreasing revenue. This is espe­ minority and female faculty include: less gradu­ cially so in public state institutions when ate school socialization, weak mentoring re­ economic downturn leads to declining tax rev­ lationships, fewer networking opportunities, enue. Uncertain patterns ofstudent demand for and greater demands to serve on committees various fields ofstudy present another problem. and advise students. Institutions can address Institutions are likely to have difficulty such problems by creating incentives for se­ recruiting full-time faculty in engineering, nior faculty to work with juniorfaculty, con­ accounting, and quantitative-oriented business ducting orientation for new faculty, and fields. Relatively few doctorates are awarded scheduling yearly meetings of the faculty in such fields and there is fierce competition member, chair and dean. All should be done from both academic and nonacademic em­ in a way that respects the diversity ofdepart­ ployers. On the other hand, hiring well-pre­ ment members (Tierney and Rhoads, 1993; pared faculty will be less difficult for the Tack and Patitu, 1992). humanities, where students have continued to Questions about appropriate ways to pursue the doctorate in large numbers and diversify the faculty are being addressed in an where degree holders typically find nonaca­ increasingly complex environment. Some af­ demic employment unappealing. firmative action procedures are subject to New external expectations help institu­ question on political and legal grounds. In the tions focus on the importance of an institu­ wake ofthe University ofCalifornia Board of tional academic culture that nurtures Regents' decision to strike down all its affir­ excellence and continuous self-improvement mative action policies in July, 1995, many in both students and faculty. Consequently, institutions are carefully examining specific institutions give increasing attention to such affirmative action policies and procedures issues offaculty recruitment and retention as while simultaneously affirming their commit­ the status ofminority and female faculty, the ment to diversity. In this environment, insti­ employment ofpart-time faculty, and fair and tutions are beginning to do focused studies of equitable compensation. the connection between objectives, means, }he academic Minority and female faculty. results, and outcomes for various population Many institutions have diffi­ subgroups. Analysis focused on advantages and culture is complex; culty attracting and retaining disadvantages ofparticular policies contributes minority and female faculty in to reasoned policy discussion. no one should numbers consistent with the Part-time faculty. Although over reliance on assume new faculty national market. In many de­ part-time faculty has always been regarded partments female and minority negatively by planners, systematic attention know what to do faculty are too few to meet di­ to approaches for proper use ofpart-time fac­ versity goals. The retention rate ulty is a recent development. Maintenance of or how to do it. ofsuch faculty through tenure institutional quality now requires that such ap­ and promotion tends to be pointments be used carefully and for clearly lower than for white male faculty, contributing educational rather than solely budgetary rea­ to a "revolving door" scenario frustrating to sons. Part-timers should maintain office hours both probationary faculty member and aca­ for students, should be provided office space demic department. and other support services, and should be in­ Although issues of compensation and volved in some public service or research ac­ supporting resources must be addressed, the tivity. Institutions should be able to primary difficulties on most campuses lie in the demonstrate that all faculty members are pre­ academic culture and informal institutional pared and supported in their efforts to provide socialization. The academic culture is com­ high quality instruction (Gappa and Leslie, plex; no one should assume new faculty know 1993). what to do or how to do it. New faculty some­ The new qualitative expectations relat­ times receive confusing and easily misinter­ ing to use of part-time faculty clearly have preted messages. Spelling out messages clearly, direct financial implications ofspace and sup­ especially expectations for tenure and promo- port services, and less direct implications for Human Resources Planning • 71 [

compensation. The tug ofwar between quali­ the identification ofmethods to incorporate tative improvement and financial constraints fully all segments ofthe faculty into the insti­ will need to be addressed. Part-time faculty can tutional academic culture; provides adequate be expected to continue to playa significant support services, fosters individual faculty role at most institutions, especially when they development, evaluates faculty performance, bring subject matter and experience not oth­ and compensates faculty fairly and equitably. erwise available, in fields where evolving pri­ Faculty roles, responsibilities and account­ orities require flexible staffing patterns, and to ability. Intense discussions are meet short-term or emergency needs. underway within the national Market andequitable salaries. As institutions higher education community ]he application ofhigher education compete in a national la­ about faculty roles, responsi­ bor market, they must pay "market" salaries to bilities and accountability-all of concepts ofquality attract and retain faculty. At the same time, within the framework of insti­ salaries must reflect fairness and equity. The tutional mission commitments assurance and continu-­ first consideration urges significant differen­ and priorities. This has re­ ous improvement to tiation based on perceptions ofsalary levels by sulted in the refinement of discipline and also by subdiscipline. The sec­ many existing and new plan­ the areas of recruit-­ ond emphasizes evaluation ofcontribution and ning concepts, as well as the meritorious performance. reconfiguration of others. ment and retention Both market and merit will remain sig­ Planning practice has moved nificant factors in setting salaries at time ofhire away from a narrow focus on offaculty creates and in salary administration. Institutional work loads into analysis of a several benefits. refinements in both areas will be necessitated number of institutional issues. by continuing external pressure from the na­ Such discussions help institu- tional academic marketplace and internal tions frame their responses to external and pressure for fairness and equality based on internal challenges that they use resources individual merit and contribution to campus more productively and be more accountable. mission priorities. Special market adjustments Resolutions ofthese broader issues have ma­ on many campuses in "hot" fields in recent jor implications for the mix and balance of years have, in many instances, drawn strong faculty duties, and evaluation and rewards for negative reactions from a fairness or equity faculty performance. perspective. Similarly, very high salary in­ The "research and development" efforts creases for the few raise questions offavorit­ that are providing new planning concepts on ism or bias (Moore and Amey, 1993). faculty resources are the Pew Higher Educa­ Periodic performance reviews offaculty, tion Research program ("Testimony," 1992) based on well-understood criteria and admin­ based at the University of Pennsylvania, the istered in a well-documented way, should National Center for Higher Education Man­ increase fairness and equity in salary admin­ agement Systems (NCHEMS) projects istration. Criteria should be developed with (1995), and the American Association of significant faculty participation and should Higher Education (AAHE) Forum on Faculty emphasize institutional criteria, but include Roles and Rewards (1995). The first two draw college/school ordepartmental criteria as well. heavily from the disciplines ofeconomics and A sound evaluation system creates an account­ management, while the latter draws upon ability system for administrators, discouraging more traditional higher education research. inappropriate decisions and increasing the These projects converge in their emphasis on perception offairness and equality (Lozier and consensus building within institutions and the Dooris, 1989). More specifics on faculty evalu­ rebuilding of collegial bonds that have atro­ ation are discussed below, especially teaching phied over the past forty-five years. Both the and scholarship foci and rewards for excellence Pew/Pennsylvania program and the AAHE in teaching. forum emphasize rebuilding collegiality within In summary, the application ofconcepts departments initially and then across depart­ ofquality assurance and continuous improve­ ments, since departments are recognized as the ment to the areas ofrecruitment and retention gateway to change and to improved produc­ offaculty creates several benefits. It results in tivity in the academic culture. [72 • Doing Academic Planning

Faculty workload should be generally stitutions that offer substantial graduate teach­ understood to include all activities that take the ing and related research activity should show time ofuniversity faculty members and are di­ an increased emphasis on scholarship com­ rectly related to institutional anel/or professional pared to institutions offering baccalaureate duties, responsibilities, and interests. In short­ degrees only. That emphasis should increase hand fashion, faculty workload involves teach­ further ifan institution offers several doctoral ing, research and service. Scholarly activity or professional degrees, and should be especially includes performance/creative pronounced at universities whose primary activity for fine arts faculty. Ser­ emphasis is doctoral education and research. Because workload vice includes institutional, pro­ Institutions should also examine patterns studies consistently fessional, and public service. relating to kinds ofscholarship conducted at Because workload studies the institution. In his report, Scholarship Re­ show that faculty de-­ consistently show that faculty considered (1990), Ernest Boyer identifies four devote an average of 50 to 60 kinds of scholarship: discovery, application, vote an average of50 hours per week to professional integration, and teaching. Boyer believes that activities (very few report less most institutions devalue any scholarship to 60 hours per week to than 40 hours; some report except discovery and urges institutions to professional activities over 70), planning should focus broaden their definition. Institutions would be on how faculty work time is dis­ well served by faculty discussions that evaluate (very few report less tributed rather than on time the soundness ofBoyer's categorization (espe­ spent. The question is whether cially the "teaching" category), and apply more than 40 hours; some allocations offaculty activities precise definitions ofthem to campus patterns. are consistent with institu­ It can be argued that institutions whose stron­ report over 70) , plan-­ tional missions and priorities, gest mission is in teaching should give particu­ ning should focus on and thus meet the needs ofstu­ lar attention to the scholarship ofapplication, dents and other beneficiaries of integration, and teaching because ofa closer how faculty work time university programming. connection with the instructional function The broad context for fac­ and less strain on resources. is distributed rather ulty planning includes institu­ Relationships between teaching and schol­ than on time spent. tional mission cOlllinitments, the arship. The conduct ofscholarly activity and relationship betweenscholarship dissemination ofresults should closely relate and teaching, and departmental to university instructional programs because units rather than individuals. Specific topics de­ teaching and research are complementary, not serving examination include: ensuring a strong competitive. Each is stimulated and strength­ core for the undergraduate and graduate curricu­ ened by the other, contributing to greater ef­ lum, enhancing the mutual benefits ofthe schol­ fectiveness and efficiency in both areas. arly/teaching connection, expanding the range The interconnection between teaching offaculty development activities, differentiating and scholarship should be even stronger at the faculty responsibilities, strengthening evaluation graduate level where seminars prevail and where methods for teaching and scholarship, and students explore their field and research interests improving rewards for excellent teaching. in depth. The output of a student's doctoral Institutional mission commitments. Faculty research and that ofthe student's doctoral su­ involvement in scholarship is important at any pervisor will often come from a "joint develop­ institution to foster faculty currency within the ment" process in which the research process and discipline/profession and to update instruc­ the research training process have common tional content. American higher education has elements. Student involvement in scholarly long stressed that college teaching is infonned activity should also be a significant element in and strengthened by faculty scholarship. In­ most master's programs. Scholarship extends creasingly, community college faculty are being even to the undergraduate level: many institu­ encouraged to engage in scholarly activity. tions are developing programs ofresearch par­ The mix offaculty professional activities ticipation for selected undergraduates. should vary depending upon the institutional Of course, complex tradeoffs between mission and the academic goals and priorities time devoted to scholarship and time devoted that derive from it. Faculty work loads at in- to teaching are sometimes encountered. But Human Resources Planning • 73 [

this is a matter ofadjusting time commitments tive faculty should be encouraged in the in­ to complementary, not competing, activities. terview process to talk about the connections Focus on departmental units. The focus on between their ambitions and the institutional departmental units recognizes that depart­ mission, between their teaching and scholar­ ments are the fundamental unit ofuniversity ship, and to address the opportunities for par­ organization as the "producers" ofinstruction, ticipation of undergraduate and graduate research, and public service. Departments students in their scholarship. should, therefore, be held accountable for Expanding the range of faculty development making whatever changes are necessary in the opportunities. Institutions should have a variety departmental academic culture to support a ofactivities or units designed to assist faculty in pattern of faculty roles and responsibilities fulfilling their professional responsibilities and consistent with institutional mission. enhancing their skills and capabilities. These Planning for management ofhuman re­ include instructional support units, faculty ex­ sources should focus on outputs offaculty ac­ change programs, faculty mentoring programs, tivity rather than on minute measurement of and teaching/learning workshops. Planning faculty time. Recent elaboration ofthis perspec­ should begin with evaluation of any existing tive emphasizes concepts offaculty citizenship units, assessing general effectiveness and overall in departments aimed at getting a mix of"fac­ results. The importance offaculty development ulty team" activity necessary to achieve desired activities should be emphasized as one part of student learning outcomes and other program­ institutional development to meet a constantly matic achievements. This approach relies changing set of institutional challenges; no in­ heavily on faculty consensus development at dication of individual shortcoming is involved. the departmental level. It begins with leader­ Institutions would be well served by ship that impels faculty to look upon their own integrating the concepts and funding for fac­ individual professional roles as a part ofdepart­ ulty development with sabbaticals in order to mental and institutional citizenship more than maximize flexibility for renewing faculty vi­ they have in recent years. tality and meeting institutional goals. MANIPULATION AND DELIVERY Differentiating faculty respon­ With the above as a more general framework, sibilities. Higher education Departments should analysis can move to more specific foci. institutions are beginning to formalize approaches to faculty be held accountable Ensuring strong curricula at both the under­ responsibility patterns based on graduate and graduate levels. Faculty review the intuitive understanding for making whatever of both undergraduate and graduate curricula that different faculty make dif­ should focus on reexamining the core courses in changes are necessary ferent contributions and that order to reinvigorate the common body of members' interests evolve along in the departmental knowledge within a discipline or professional the length of their careers. area. This review is likely to result in a Institutions can negotiate academic culture to reconceptualization ona finner base, lengthening workload weights at the time of the core in relation to more specialized courses. hire and alter workload weights support a pattern of Such a reconceptualization would improve the from time to time by mutual quality ofboth undergraduate and graduate edu­ faculty roles and respon-­ consent within parameters con­ cation and enable a department to meet student sistent with the institutional needs more effectively and efficiently. sibilities consistent with mission. The strength of this Increasing the mutual benefits ofthe schol­ approach is that it considers institutional mission. arship/teaching connection. More explicit individual faculty and prefer- attention can be given to the way in which ences, but its fluidity may lessen the clarity of faculty relate their scholarly activities to other institutional standards and expectations. aspects ofinstitutional mission, especially in­ Strengthening evaluation methods for faculty struction and student advising. Departmental teaching and scholarship. Institutions should approaches can be developed that would em­ test the validity of, and refine methods for, phasize these interconnections when faculty evaluating faculty teaching and scholarly ac­ are hired, when expectations are set, and when tivity. Useful assessment must examine the full evaluations ofperformance are made. Prospec- [ 74 • Doing Academic Planning

scope offaculty activities while using broadly Application of principles to liberal arts col­ acceptable analytical procedures and defini­ leges and community colleges. Most of the tions (Braskamp and Orly, 1994). In the past, national discussion on faculty roles, responsi­ evaluation of teaching has either ignored or bilities, and accountability has beenconcerned overemphasized student evaluations ofin-class over whether graduate institutions are paying delivery. Ordinarily, the review of scholarly appropriate attention to undergraduate educa­ activity has focused somewhat on the specifics tion and teaching. Little attention has been of peer review, but has been strongly influ­ paid to applying these principles to small in­ enced by sheer volume of publication. dependent liberal arts colleges ofvery modest The AAHE Forum on Faculty Roles and means and community colleges. More atten­ Responsibilities emphasizes development of a tion is deserved, since faculty involvement in more systematic review of teaching, especially scholarship is important at all institutions as through peer review, as a way ofstrengthening a way to foster faculty currency within the the status ofteaching relative to scholarly activity. discipline/profession and to update instruc­ One such method incorporates the review ofa tional content. On each campus, the question teaching portfolio. Clarification is needed on the becomes "What kinds ofscholarly activities are degree to which evaluations ofsuch portfolios are appropriate-and how much scholarly activity based on professional academic judgment. is appropriate-in light ofinstitutional mission Improving rewards for excellent faculty teach­ commitments?" A real challenge ofresources ing. An effective faculty reward system must fit is seen in circumstances that require faculty to closely with academic mission commitments teach four or five courses per semester. and faculty choices among various kinds of ACTIONABILITY professional responsibilities. How well are evalu­ An institutional planning framework should ations connected to faculty salaries and other require the formulation ofa faculty roles and compensation? Unless such systems appropri­ rewards policy as an explicit part ofplanning ately reward those faculty who give a particu­ at the institutional, college/school and depart­ larly strong emphasis to instruction and excel mental level. Such a policy recently estab­ at it, faculty will not be motivated to concen­ lished at Virginia Commonwealth University trate their efforts on instruction. This suggests requires that: an ongoing dialogue about fine tuning the re­ •A system ofwork unit accountability be­ ward system, and vigilance to see that stated come the focus ofplanning and evaluation; norms are upheld in practice. Further analysis might be made ofthe effective­ • Faculty work roles be flexible, keyed to ness of any formal awards that the work unit's mission and consistent Higher education recognize excellent teachers (in­ with promotion and tenure criteria; institutions should espe-­ cluding monetary or non-mon­ • Standards ofexcellence be the basis for etary awards). The most effective evaluation ofall faculty and work units; cially encourage and combination of monetary and and non-monetary awards will vary • The institution implement a fair and reward faculty research from campus to campus. consistent system ofmerit-based rewards. and other scholarly activ-­ Emphasizing research about It may be difficult to direct full institu­ teaching. Higher education insti­ tional attention to planning issues on faculty ity dealing with all aspects tutions should especially encour­ resources in the absence of a major external age and reward faculty research crisis. External motivation may come from the ofinstruction, including and other scholarly activity deal­ press, reporting class shortages attributed to low classroom teaching. ing with all aspects ofinstruction, faculty teaching loads and too much faculty including classroom teaching. Es- research. Thus the student is hampered in the pecially strong institutional pursuit ofa degree. Although higher education affinnations will be necessary for the commitment boards in some states are directly pushing for to be credible to faculty. The historical pattern increases in teaching loads, others are trying of the last 30 years reveals that research with to get institutions to address a number ofhu­ pedagogical elements has notbeen valued atmost man resource issues connected with faculty institutions involved in graduate education. roles, responsibilities, and accountability. Human Resources Planning • 75 [

If institutions are slow to address these issues within consultative channels on campus, they PRINT REFERENCES are likely to find themselves facing more de­ Alvino, Kathleen M., ed. 1995. Strategic Planning: A Human Resource Tool tailed external expectations and deadlines for Higher Education. Washington, DC: College and University imposed by accreditors and state boards. Personnel Association (CUPA). Institutions must also plan for the costs American Association for Higher Education (AAHE). 1992. "Forum on ofimplementing improved faculty support sys­ Faculty Roles and Responsibilities." Activities reported in issues of tems and faculty development activities. In­ AAHE Bulletin, continuing, and at Annual Conference ofForum. Washington, DC: AAHE. stitutions will need to become more like other Boyer, E. L. 1990. Scholarship Reconsidered: Priorities of the Professoriate. knowledge-intensive sectors ofthe economy, Princeton: Carnegie Foundation for the Advancement ofTeaching. allocating significant sums for professional Braskamp, L. A. and Orly, J. C. 1994. Assessing Faculty Work: Enhanc­ support and development closely connected ing Individual and Institutiarud Performance. San Francisco: Jossey-Bass with institutional mission commitments. Publishers. RECOMMENDATIONS AND CAVEATS Edgerton, R. interviews R. Chait, J. Gappa and R. E. Rice. 1995. "From Tenure to... New Pathways: Reframing the Debate." AAHE Bul­ 1. As human resource planning focuses on the letin 47(10): 3-7. academic core of the institution, it must Gappa,J. and Leslie, D. 1993. The Invisible Faculty: Improving the Status ofPart­ closely involve faculty and operate within Timers in Higher Education. San Francisco: Jossey-Bass Publishers. a consensus-building framework. The Hammon, L. H. and Hartman, M. 1989-90. "Planning for Faculty De­ greater the level offaculty involvement in velopment at a Comprehensive State University." Planningfor Higher planning, the greater chances for success. Education 18(4): 31--46. 2. Although this chapter talks about culture Johnstone, D. B. 1993. "Enhancing the Productivity of Learning. The Short Version." AAHE Bulletin 46(4): 3-8. and socialization primarily in terms ofone campus, higher education is strongly influ­ Lozier, G. G. and Dooris, M. J., eds. 1989. Managing Faculty Resources. New Directions for Higher Education No. 63. San Francisco: Jossey­ enced by the national cultures ofthe dis­ Bass Publishers. ciplines and professions that frame Moore, K. M. and Amey, M. J. 1993. Making Sense ofthe Dollars: The Costs graduate school socialization and heavily and Uses of Faculty Compensation. ASHE-ERIC Higher Education Re­ influence the operations of the national ports 5. Washington, DC: George Washington University. labor market. The split loyalties offaculty National Center for Higher Education Management Systems (NCHEMS). members (to their institution and to their 1995. Faculty Workload and Productivity. Presented to Third AAHE discipline/profession) makes this national Conference on Faculty Roles and Rewards. January 19, 1995. organization involvement very significant. Tack, M. W. and Patitu, C. L. 1992. Faculty Job Satisfaction: Women and Only the combined planning efforts of Minorities in Peril. ASHE-ERIC Higher Education Reports 4. Wash­ institutions and national professional or­ ington, DC: George Washington University. ganizations can provide a base for human "Testimony from the Belly ofthe Whale." 1992. Policy Perspectives, Pew resource planning consistent with institu­ Higher Education Research Program 4(3): AI-A8. tional mission and societal needs. Tierney, W. G. and Rhoads, R. A. 1993. Enhancing Promotion, Tenure and Beyond: Faculty Socialization as aCultural Process. ASHE-ERIC Higher 3. Departments must be recognized as the Education Reports 6. Washington, DC: George Washington University. gateway to change in the academic culture, Wergin, J. E 1994. Analyzing Faculty Workload. New Directions for Institutiarud and to increased institutional effectiveness Research No. 83. San Francisco: Jossey-Bass Publishers. and efficiency. Institutions should strive to ensure thatdepartmental units have an in­ ELECTRONIC SAMPLER stitutional mandate to plan for faculty roles and responsibilities, institutional support http://HEDSFTPJANDM.EDU/ to conduct that planning, and rewards for (HEDS) Higher Education Data Sharing Consortium. successfully completing it. The institution http://www-Isdo.ucdavis.edujssworkload.html ultimately relies on the integrity and pro­ Faculty Workload Report. Division of Social Sciences, University ofCalifornia, fessionalism of faculty themselves at the Davis. Barbara Metcalf (Dean). departmental level where instruction takes http://www.aahe.org/ place and from which other creative con­ AAHE (American Association for Higher Education) . tributions emerge. http://www.aahe.orgjffrrnew2.htm 4. This chapter does not address the grow­ AAHE Forum on Faculty Roles & Rewards. AAHE (American Association ing national discussion about the extent for Higher Education) . to which tenure practices in their current A particularly valuable part of of the AAHE website. [ 76 • Doing Academic Planning

8. The treatment of faculty development in ELECTRONIC SAMPLER this chapter has been limited primarily to http://www.igc.apc.org/aaup/ development in the teaching and scholarly AAUP (American Association of University Professors). roles narrowly defined. Some commentators www.cupa.org (notably Schuster and Wheeler, 1990) see CUPA (College and University Personnel Association). this breadth as falling very short ofthe aims of both theorists and practitioners in the 1970s to offer a broader range of activities form serve either institutional or indi­ fully integrated with two other elements­ vidual faculty interests. AAHE an­ personal development and organizational nounced in March, 1995 a New Pathway development. A greater emphasis onfaculty Project to "deepen the emerging national and institutional vitality involves increas­ discussion about tenure and to cast it in ing career preparation for prospective fac­ broader terms" (Edgerton, 1995). Antici­ ulty in graduate school, providing career pated foci include re-envisioning faculty consulting services to mid-career faculty, careers and developing creative employ­ promoting faculty health and wellness, pro­ ment arrangements. Faculty professional viding employee assistance programs (EAP) organizations and collective bargaining appropriate to academia, and designing at­ representatives have expressed concerns tractive options for early retirement. about how the purposes and protections 9. Preparing prospective faculty for the teach­ of tenure are to be maintained while pur­ ing role is an increasingly important aspect suing such an agenda. ofdoctoral preparation at many graduate 5. Institutional success in attracting and re­ schools and it needs to be an even higher taining minority and female faculty is likely priority (Schuster and Wheeler, 1990). to increase in the next decade as institu­ Such preparation was initially limited to tions in the 1990s have given greater at­ student teaching assistantships at graduate tention to fostering a more diverse and schools. Gradually, the variety and range inclusive institutional culture and more ofsuch preparation activities has increased. effective institutional socialization. Such It is increasingly common for departments success is dependent on maintaining a to offer courses on college teaching and ac­ strong institutional commitment at all lev­ tively supervised teaching internships. els, starting with the board oftrustees and Graduate school deans have worked with senior administration and including all de­ multiple departments to offer additional partmental units. This includes regular teaching opportunities not feasible for any monitoring of movement toward goals, one department, reassessing concentration of efforts, and 10. Institutions ofhigher education will need identifying new initiatives. to respond in coming years to a number of 6. The use of part-time faculty, and institu­ external forces (social, political, and eco­ tional support for them, has become a regu­ nomic environment) that will affect faculty lar topic in campus planning discussion roles and responsibilities (Wergin, 1994). (emerging either from uncritical accep­ 11. Larger and more sustainable productivity tance or condemnation). gains probably lie in measures that focus 7. Refined planning analysis of market and directly on increasing student learning equity factors in salary administration will rather than on increasing workloads offac­ be necessary on most campuses. Salary ad­ ulty and otherprofessional staff. So observed ministration is an increasing source offrus­ Bruce Johnstone, former chancellor ofthe tration for both administrators and faculty. State University ofNew York, emphasizing Formal and informal grievances about that a direct focus on student learning leads possible inequities on grounds of gender to an re-examination of the curriculum, and race have increased. Seniorfaculty are pedagogy, and technological support. He frustrated at salary compression as junior identifies more individually paced mastery people are hired at higher salaries. The learning and expeditious completion for full­ delicate institutional balancing act on sala­ time traditional age students as areas for ex­ ries becomes more and more complex. ploration (Johnstone, 1993). • Planning for Information Technology Institutional Informational Technology Resource Assessment Linda Fleit Planning for Information Technology Susy S. Chan

Information technology (IT) is not an end in itself. It is only vital when it serves institutional goals and objectives-when it actually produces results. Our institutions need that kind ofexcellent IT and all its related products and services. If IT is to be a useful partner in planning for an improved educational climate, it must subject itself to ongoing evaluation and assessment. This chapter discusses the assessment process, illustrating that it begins by asking the right questions. Institutional Information Technology Resource Assessment Linda Fleit

High quality assessments are difficult in any expensive. No matter how quickly hardware discipline, but perhaps especially so in the area prices decline, no matter how much better ofinformation technology (IT). The ingredi­ the price/performance ratio is this year than ents necessary for a good IT assessment-ob­ last, no matter how much more one can buy jectivity, knowledge, and wisdom-are hard to for one's dollar, the total cost ofinformation come by, especially in combination. A useful technology on a typical college campus is assessment takes time. The process can make huge. It is taking an increasingly large bite people uncomfortable, bringing together a out ofthe institution's budget. As financial wide range ofcampus personnel, perhaps for pressures continue to mount for most colleges the first time. Nevertheless, such assessment and universities, the bite seems more and is critically important, and institutions that do more voracious. not face its challenges likewise miss out on its What makes the situation even more returns, both present and future. Successful compelling is the fact that higher education planning is impossible without it. is itself increasingly being held accountable for On one hand, there is the promise and the management of its resources. Parents, state potential of technology. Virtually every goal governments, trustees, and others are all asking and objective a college or university espouses very hard questions these days. Where are the can be affected in positive ways by informa­ campus dollars going? Are tuition money, tion technology. Whether it is using computers grant and foundation dollars, and government and networking to strengthen current and new funding being spent sensibly? How educational programs, to provide individual­ well, really, are college students be­ ized learning experiences for students, to at­ ing educated? Is college today still tract and retain students best able to benefit "worth" attending, and if so, at from the institution's educational experience, what price? What is the real pur­ to enhance the quality of student life, or to pose of a college education in emphasize sound planning and increased fi­ today's society? nancial strength, information technology has The positive potential ofIT Linda an important, substantive role to play. on one hand and its great expense Fleit Working against these positive forces, on the other, make it difficult to is President of Edutech International, Bloomfield, however, is the fact that technology is very find the right balance and to Connecticut [80 • Doing Academic Planning

create the most appropriate plans for the in­ and how well users employ technology, how stitution to follow. Asking questions about communications about technological issues are technological accountability, as many institu­ disseminated, how the administration is pro­ tions do, is a good start toward finding the bal­ moting and funding technology, and how tech­ ance. However, just asking the questions--even nological innovation is being rewarded. the right questions asked in the right way-is An IT assessment should also incorpo­ not sufficient. There must also be answers, rate a wide variety oftechnologies, often sup­ based on knowledge and understanding of ported through different departments. what technology is about. In a Computers and computing are included, to be }here are still climate ofaccountability, infor­ sure, but so should be video technology, voice mation technology and its re­ and data communications, imaging, and all the many people on lated services are often at a big increasingly ubiquitous instances ofelectronic disadvantage. IT has to com­ tools and devices. campus who question, pete with campus priorities As an important planning tool, an IT whose benefits may be more im­ assessment serves several purposes. First, it is if not the activity level, mediate or more obvious. There a diagnosis. Of course, there are institutions at least the value of are still many people on campus where information technology is everything who question, ifnot the activity wonderful, all services run beautifully, every­ what's going on with level, at least the value ofwhat one on campus feels they have sufficient re­ is going on with IT, and sources, and everyone is working in perfect IT, and whether the whether the campus could be harmony on IT issues. At least, I think such choosing better investments for institutions are out there-somewhere. In campus could be its limited resources. In this most, however, IT is a source ofsome conster­ choosing better context especially, an IT assess­ nation. And, almost always, the exact cause of ment should be done-not just the consternation is not clear. Is it too much investments for its as a way to reduce costs-but demand? Too little money to spend? Too much with solid appreciation for the prima donna behavior in the computer cen­ limited resources. high potential of IT benefits. ter? Too few in the top administration who How does all this relate to understand IT? All ofthe above? Diagnosing planning? An assessment forms the very ba­ the situation and identifYing root causes for the sis ofplanning, by providing the starting point consternation is one of the most important for the future. While planning efforts are al­ aspects of an IT assessment. It is not a blame ways focused on deciding our destination, as­ tool, however; that is not the point at all. The sessments describe where we are starting from point is to figure out what's wrong, to identifY and allow us to plot the appropriate course. An factors that are contributing to a less-than­ assessment, properly done, brings consensus on highest-quality computing environment, and the current situation, proves invaluable in then to use that infonnation to attack the prob­ identifying and analyzing institutional lems. It does not really matter how the prob­ strengths and weaknesses, and gives us the lems got there, or who made what decisions jumping-off point for all future activities. that may have led to them. What matters is the diagnosis-upon which a cure can be based. WHAT AN ASSESSMENT IS (AND IS NOT) Second, an IT assessment is preventive Consider first the nature and definition ofwhat medicine. Like taking vitamins or working out is to be assessed. One ofthe traps institutions regularly on the treadmill, performing an IT as­ often fall into is thinking that the only task in sessment can prevent major problems from de­ assessing information technology is to give a veloping. For instance, realizing through an perfonnance review to the department respon­ assessment that the IT department should be sible for delivering information technology putting together formal plans for each project, resources and services. While that is one com­ relying heavily on user participation, may prevent ponent, it is far from the whole issue. The real the next major technological initiative from going value in an IT assessment is that it creates seriously awry. An assessment is an anticipatory understanding ofhow the whole institution is mechanism; it finds whatever should be changed dealing with technology. A thorough assess­ to enhance the institution's dealings with IT, and ment looks at the whole picture, including how it detects signals that trouble is brewing. Institutional Information Technology Resource Assessment • 81 [

Third, an assessment obtains a compara­ and getting the most benefit in return. These tive measure, asking the questions, "How well ingredients, in order of importance, are: are we doing? How well could we be doing? • The right ITgovernance structure, includ­ How well are other institutions doing?" ing reporting relationships and committees; Finally, an IT assessment achieves consen­ •A planning process; sus on the important issue of measuring qual­ ity. IT people themselves traditionally have • Sufficient and qualified support staff to measured those things which are most relevant match the institution's technology goals to them and which are most easily quantified: and objectives; lines of programming code written per day, • An information architecture built on the number of CPU cycles, percentage of main­ principles ofdata integration, easy access frame downtime, number ofmicrocomputers in within security constraints, and func­ public labs. But when all those numbers seem tionality; satisfactory, or fall within the "right" ranges, it • Publicized standards for hardware, software, may be difficult to understand why the users acquisitions, networking, and procedures; don't seem happy. Users, in fact, may be using •A network which connects all comput­ entirely different measurements. They may be ing devices, everywhere at the institu­ measuring (at least subconsciously) the quality tion, capable ofhigh-speed transmission ofIT services by how much technical jargon the ofvoice, data, and video; computer people use when they talk to others, not how much disk space is available. One of • Software that includes integrated software the important things we are beginning to realize for administration, classroom software for now is that the traditional quantitative measures students, and research software for faculty, used by IT people do not get to the heart ofthe some purchased and some issue for the users. What is needed, and what created in-house; J[tis ir,nportantto an IT assessment promotes and provides, is an • Microcomputer-based agreement among IT people, users, and the ad­ end-user tools for data rer,ner,nber what an ministration about what constitutes success. access and manipulation; It is important to remember what an IT • Ongoing training and sup­ IT assessr,nent is not. assessment is not. It is notan audit. The purpose port for everyone, includ­ It is not an audit. is not to look for areas of control or potential ing end users, technical mischief; the emphasis is notoncompliance, asset staff, top administration, The purpose is not to protection, reliability and accuracy ofdata, or any faculty, and students; and ofthose audit-oriented subjects. Thequestions are • Proliferating hardware as look for areas of more strategic; the answers are meant to provide it becomes smaller, faster, insight into the broad array ofservices offered, the control or potential and cheaper. way they are administered and delivered, and the relationship between the department and the The point ofan IT assess­ r,nischief; the er,nphasis larger institution. The assessment is designed to ment is to gauge how well the is not on cor,npliance, elicit information, not just data. The answers are institution is doing in assem­ to be weighed, judged, and open to interpretation. bling these ingredients. The asset protection, Many answers will be more subjective than ob­ questions, therefore, should fall jective; none will be stated numerically. into categories that correspond reliability and Whereas the focus of an audit is on ef­ to the ingredients list. I suggest ficiency and control, the focus ofan IT assess­ using the following categories as accuracy ofdata, ment is on effectiveness, assessing the quality a starting place, and I have in­ or any of those and quantity of technology resources, the cluded a few of the many pos­ department's responsiveness, and policies that sible questions in each category.! audit--oriented subjects. promote usefulness. Governance. Does the IT de­ partment report to the right level within the KEY ASSESSMENT AREAS AND QUESTIONS institution? Does it report to a person knowl- There are ten ingredients for "doing IT right"­ ensuring that an institution ofhigher educa­ lFor an expanded and more detailed list of questions, see tion is investing an appropriate amount in IT CAUSE Professional Paper # 12, Self-Assessment for Campus Information Technology Services. [82 • Doing Academic Planning

edgeable about computing issues and able to users have participated) for every major project provide substantive guidance and support? Is that the IT department undertakes? Is the IT there support from the president for informa­ department a regular participant in other plan­ tion technology institution-wide? Does the IT ning activities, such as new building construc­ department get enough of the right kind of tion or building renovation, capital campaign attention? Are IT activities sup­ planning, and enrollment management? ported and governed by the Support staff. Do all or most of the IT staff Is the IT department right set ofcommittees? Has the members have experience in higher educa­ a regular participant institution achieved the right tion? Are the "politics" of higher education balance of centralization and institutions an accepted part ofthe work en­ in other planning decentralization so that the vironment? Do the staff members who work entire community is being well directly with end users understand the users' activities, such as served in the most cost-efficient work environments, including goals and ob­ new building ways? Are the expectations of jectives? Do all staff members have enough the end users realistic, given the technical expertise? Does everyone in the construction or institution's funding ofinforma­ department have excellent interpersonal com­ tion technology, the capabilities munication skills, both oral and written? Do building renovation, ofcurrent technology, and their staff members see themselves as productive own perceptions ofwhat their work partners with their users? Do they have capital campaign investment needs to be (educa­ high self-esteem without being arrogant or planning, and tion and training, participation unapproachable? Is morale in the department in planning and setting priori­ good? Is a service orientation promoted and enrollment ties, providing specifications, understood throughout the department? Does review and evaluation of the computer center make use of student management? deliverables)? Are the users' workers whenever feasible? perceptions about both the quality and quantity ofcomputer services fa­ Information architecture. Is the system archi­ vorable? Do the users hold the department's tecture sufficiently flexible to promote end­ staffmembers in high esteem? Does the depart­ user computing and control? Is the right ment have influence with decision makers? Is combination of mainframe, microcomputer, the person in charge ofinformation technology and minicomputer used to provide solutions services thought ofas a part ofthe institution's to end users? Are data definitions consistent "management team?" Do annual reports show and understood by all those who create and the results and costs of computing activities access data? measured against the plan for the year? Is the Standards. Are there hardware, software, and priority-setting process for the department ob­ procedural standards that both computer staff jective and well understood? Is it controlled and users are encouraged to meet? Are pro­ by the users and accountable to the adminis­ grams always written the same way, using re­ tration? Is everyone clear on how new tech­ usable codes and libraries whenever possible? nology initiatives are justified? Is funding at an Are there choices within the standards so users appropriate level to support the institution's can retain some local control? Is ethical com­ technology goals? Does the level of institu­ puting widely promoted by department staff? tional funding for IT accurately reflect its level Networking. Is the campus network ubiqui­ of importance? Do information technology tous and able to handle high-speed and high­ services receive a steady percentage of the volume traffic? Is it easy to send email institution's budget from year to year? anywhere? Can everyone get to the Internet Planning. Is there a multi-year plan for com­ from their desktops? Does the planning for puting and telecommunications in place for the new buildings and other spaces always include whole institution? If so, was it drawn from in­ networking considerations? stitutional objectives, even if those objectives Software. Are there formal ways ofdetermin­ are not fully articulated? Was the planning pro­ ing which applications should be supported by cess participative and collaborative? Is the plan purchased software-which should be devel­ updated on a regular basis, say, once a year? Are oped in-house, and which should be a com- there formal, written project plans (in which Institutional Information Technology Resource Assessment • 83 [

bination ofthe two? Is the backlog ofservice These questions are by no means exhaus­ requests, especially for applications program­ tive, and are presented here to give an idea of ming changes and enhancements, at a reason­ the range of issues covered in an assessment. able level? Is it short enough to avoid a "hidden" demand or guilt on the part ofusers DOING THE ASSESSMENT in asking for something? Are fourth-genera­ There are a variety ofways an IT assessment tion tools, such as non-procedural program­ can be done. The IT department can do its own assessment, for instance (Fleit, 1994). Or ming languages, relational data base management systems, and software engineer­ a team ofadministrators and faculty can do it. ing tools, either in use already or planned for Many institutions, on the other hand, decide the near future? Are they, or will they be, ac­ to work with outside professional colleagues, or even to hire consultants for the job. cessible both by administrative and academic As a former computer center director, I users? Is there a "research and development" favor having the IT department do its own function within the department to assure that assessment, especially if there is reason to technical innovations and recent develop­ believe the department is in trouble. We who ments are not overlooked? are or have been in this position know the End-user tools. Are the department's prod­ shock ofbeing told by our supervisor that an ucts and services moving toward a distributed outside consultant has been called in to do an computing environment? Is the department's assessment. Your main task becomes trying to philosophy supportive of self-sufficiency for maintain an objective, non-defensive, "good­ end users? Are there tools, such as a report soldier" posture. At the same time you must writer, download software, and a query capa­ explain every decision you've ever made to a bility available to promote end-user comput­ group of outsiders who haven't a clue about ing? Does the department have a customer your actual circumstances. The worst part is outreach function? Are there ways to let aca­ knowing that the review is being conducted demic and administrative users know about because there is some perception, real or imag­ new technological innovations in their areas ined, that your department has some very se­ and new sources ofmaterials and information? rious problems it can not solve on its own. Are users regularly canvassed to determine Ifa self-assessment is not how the department can be helpful to them? possible, the institution might Training and support. Is there a training strat­ consider a committee or task Wwhoareor egy for users? Does it make the best use of a force assembled for this purpose, have been in variety ofresources, including self-paced in­ made up of a representative struction, classroom training, one-on-one sampling from across campus. this position assistance, and video? Is there a formal IT staff An important advantage of a training and an education program? Is it re­ committee approach is that it know the shock of viewed on a regular basis to make sure it is up­ sets the stage for the collabora­ to-date and serving genuine staff needs? Is it tion necessary for subsequent being told by our geared toward the higher education environ­ planning efforts. As mentioned supervisor that an ment? Are staff members cross-trained so that earlier, there does need to be a service areas are not vulnerable to someone's mixture of objectivity, knowl­ outside consultant has absence? Is there well-written and accurate edge, and understanding ofITs user documentation for every service area in potential in order to obtain the been called in to do the department? most relevant and effective re­ an assessment. Hardware. Are there enough microcomputers sults. If objectivity is not pos­ for everyone? Is there a replacement policy? Is sible, then outsiders need to be there a capital budgeting process for informa­ called in to do the assessment, either by using tion technology to minimize unexpected costs colleagues from other campuses or professional and to provide for orderly growth? Are hardware consulting firms. usage statistics checked regularly against capac­ The essential task is to formulate and ityon items such as mainframe response time agree on the questions to be asked. They and disk storage? Are there established ways of should be phrased to make it easy to evaluate dealing with both under- and over-utilization? the results. Note that all the questions listed [84 • Doing Academic Planning

above are answered "yes" in the best of all PRINT REFERENCES possible worlds; "no" answers stand out imme­ Allen, D. 1995. "Performance Anxiety." Computerworld, February 15, 1993. diately. While it would be difficult to make the "Asking the Users: How Are We Doing?" 1991. The EDUTECH Report, case that any "no" answer automatically spells May 1991. trouble, a question answered with a "no," "Be Your Own Consultant: Review Computer Services." 1989. The "maybe," or anything less than "yes," suggests EDUTECH Report, April 1989. further scrutiny. A large number of negative Bromley, M. L. 1984. Departmental Self-Study: A Guide for Campus Law answers probably indicates that the institution Enforcement Administrators. Hartford: International Association of has serious IT problems, or is at least approach­ Campus Law Enforcement Administrators (IACLEA). ing them. On a more positive note, if all, or EDUTECH. 1986. "What Makes A Computer Center Great?" EDUTECH Report (December). even most, answers are "yes," then IT is prob­ EDUTECH. 1988. "Ten Reasons Why Computer Centers Fail." ably in good shape. The greater the number EDUTECH Report (August). ofpositive answers, the more assurance every­ Evaluation Guidelines for Institutianal Information Technology Resources. 1995. one has that things are going well, and will Boulder: Higher Education Information Resources Alliance. continue to go well. Fleit, L. H. 1994. Self-Assessment for Campus Information Technology The job then becomes to solicit a wide Services. CAUSE Professional Paper # 12. Boulder: CAUSE. range of views from current IT users, poten­ Green, K. C. 1995. Campus Computing 1994: The Fifth National Survey of tial IT users, top administrators and deans, Desktop Computing in Higher Education. Encino: Campus Computing. academic department heads, front-line staff, Hawkins, B. L., ed. 1989. Organizing and Managing Information Resources students, and, of course, the members of the on Campus. McKinney: Academic Computing Publications. IT department. Although it may be necessary, McLaughlin, G. W. and Howard, R. D. 1991. "Check the Quality ofYour especially on a large campus, to use question­ Information Support." CAUSE/EFFECT (Spring): 23-27. naires, personal interviews are much more ef­ Meyer, N. D. January, 1991. "IS Gets a Physical." CIO Magazine, January 1991. fective for eliciting useful information. Norton, 0. P. and Rau, K. G. A. 1982. Guide to EDP Performance Manage­ Data for comparisons with other institu­ ment. Wellesley: Q.E.o. Information Sciences, Inc. tions are available from a variety ofsources, in­ Peters, T. J. and Waterman, R. H. 1982. In Search ofExcellence. New York: cluding CAUSE in Boulder, Colorado; Warner Books. NACUBO in Washington, DC; and Campus Robbins, M. D.; Dorn, W. S.; and Skelton, J. E. 1975. Who Runs the Computing in Encino, California. A word of Computer? Strategies for the Management ofComputers in Higher Edu­ caution, however: comparisons can be very cation. Boulder: Westview Press. tricky; it is difficult to determine similarities and What Presidents Need to Know About Evaluating Institutional Information differences among institutions being compared. Resources. 1995. Boulder: Higher Education Information Resources Alliance. Data definitions tend to vary, as do the ways in which items are counted. These comparisons ELECTRONIC SAMPLER tend to be more useful on an aggregate level. The assessment itselfshould take about http://cause-www.colorado.edu/ two weeks, perhaps longer in large institu­ CAUSE. (the association for managing and using information resources in tions. Compiling the results takes a bit longer, higher education). especially if done by an outsider. Not much, http://cause-www.colorado.edu/information-resources/ir-I ibrary/ ifany, research is required to answer the ques­ abstracts/pub3012. html tions in this kind ofan assessment, since they Self Assessment for Campus Information Technology Services. CAUSE. Linda Fleit. are much more qualitative than quantitative. http://cause-www.colorado.edu/member-dir/corp-profiles/edutech .html They deal with issues that people can respond Providing Information Technology Services to Higher Education. Edutech to directly, from personal experience. The International. assessment is not particularly difficult in terms http://www.cio.com/CIO/ of information gathering. CIO Magazine: The Magazine for Information Executives. WORKING WITH THE RESULTS http://www.educom.edu/program/nlii/keydocs/massy.html Once the results ofthe assessment are in hand, Using Information Technology to Enhance Academic Productivity. NUl (National Learning Infrastructure Initiative). William F. Massy and Robert Zemsky. it is time to begin developing substantive plans. With a common baseline for everyone, http://www.igc.apc.org/aaup/ the process of formulating a vision for the AAUP (American Association of University Professors). future and designing the roadmap to reach that http://www.thejournal.com/contents/current.html/ vision can be expedited. Technological Horizons in Education Online. T.H.E. Journal. Institutional Information Technology Resource Assessment • 85 [

If the assessment has turned up trouble table, and what he or she can expect in return. spots, short-teITn plans may be needed before Insofar as a well-done IT assessment can bring long-range planning can be done. For instance, clarity to partnerships and contribute an ob­ one ofthe most common items uncovered in jective rendering ofthe institution's IT picture, an IT assessment is the lack ofthe right com­ it is a vital tool. It is not a weapon. It is a com­ mittee structure to lead the institution forward munications and planning device to help in its use ofIT. An institutional "InfoITnation strengthen the partnership. Technology Policy Committee" may be Technology is not an end unto itself. It needed, as well as various user groups. Before is only vital when it serves institutional goals long-range planning is done for IT, the right and objectives-when it actually produces re­ committees should be assembled and charged. sults. Our institutions need that kind ofexcel­ The IT assessment represents ground lent infonnation technology and all its related zero from which to launch the planning pro­ products and services. cess. As we have said, next to governance, What are the ingredients for excellence? planning is the most important ingredient in On the whole, two characteristics mark an doing technology right. In developing a stra­ institution's infoITnation technology environ­ tegic plan for information technology that is ment: (1) it assists in the effort to provide and comprehensive, consensus-driven, forward­ improve quality education, and (2) it assists in thinking, and appropriate to the institution's lowering the cost ofadministering and deliv­ resources, mission, and goals, an IT assessment ering that education. In other words, infoITna­ is an invaluable tool. tion technology, by contributing directly to the goals ofits institution, helps make the institu­ FINAL THOUGHTS tion both more effective and more efficient. Technology is all about partnerships: the presi­ It is incumbent upon us, whether we are dent in partnership with the institution's chief higher education information technology infoITnation officer, the ITdepartment in part­ professionals, or users ofinfonnation technol­ nership with the users, the technology vendor ogy services, to strive for excellence. In order in partnership with the campus buyer. Like all to see how well we're doing in reaching that partnerships, they are two-sided and have to goal, ongoing evaluation and assessment is be nurtured in order to thrive. Each partner has critically important. • to understand what he or she brings to the

A learner~centered academic environment in the information age calls for innova~ tive applications ofinformation technology. As more traditional planning approaches may serve the needs for specific information technology initiatives, a more comprehen~ sive, holistic approach is necessary to achieve long~term institutional results. Strategic thinking, process reengineering, and the re~examination ofacademic goals, delivery, and vision, should incorporate the role and benefits ofinformation technology in the student's pursuit oflearning. Planning for Information Technology Susy S. Chan

CORE PLANNING QUESTIONS emphasize real-time access to vast infonnation Higher education planners face unique chal­ resources and "anywhere, anytime" learning lenges in infonnation technology planning. The through asynchronous communications and ever-evolving nature of information technol­ network technology. The information age ogy, coupled with its visible impacts on people model challenges the paradigm of academic and processes, the escalating expectations from enterprise bounded by the institution, faculty constituents across the institution, and high interests, and academic disciplines. costs ofsuch investment, heighten the impor­ William Massy and Robert Zemsky tance of information technology planning. (1995) concur with this observation. Univer­ The pervasive use of information tech­ sities and colleges capable of adapting to nologies has forced many industries to move change and addressing traditional barriers will from a factory model of industrial economy be able to take full advantage oftheir infonna­ into the infonnation economy, characterized tion technology investment. This by easy access and distribution ofinfonnation. requires a redefinition ofacademic There are abundant examples showing how productivity and redesign oflearn­ this transfonnation reshaped the marketplace, ing process in light ofthe leamer's restructured industries, and reen gineered core interests. Information technology business processes for effective competition. is likely to reshape many tradi­ Michael G. Dolence and Donald M. tional academic support services, Norris (1995) suggestthat a parallel transfor­ because learners will demand dif­ mation will take place in higher education. ferent cost structures and service Susy S. Their vision captures the opportunities avail­ delivery models. Maintaining the Chan able for learners through transfonning the aca­ status quo will weaken higher edu­ is Associate Professor; Director of Center for Information demic enterprise into a learner-centered cation as a whole. Planning for Resource Management for the School of Computer Sci­ environment ofthe infonnation age. The tra­ infonnation technology, therefore, ence, Telecommunications and Information Systems, and Former Vice President for Planning and Information Tech­ ditional (factory) model ofhigher education must be approached in the broad­ nology-at DePaul University, Chicago, illinois. Chan Is has centeredon faculty scholarship, classroom est context oftransformation. also the Theme Coordinator for the SCUP-32 Conference teaching, and certification process. In an in­ Universities and colleges are Committee and aprevious member of SCUP's PUblications fonnation age, colleges and universities should facing the reality ofdecreased fund- Advisory Committee. [88 • Doing Academic Planning

ing from traditional sources, increased public • What are the benefits and opportunities demand for accountability, heightened consumer ofdistributed network and information expectation for more sophisticated services and access? What should be done first? Who data access, a continually evolving network would be the beneficiaries? organization structure, and increasingly techno­ • Is the institution ready for advanced logically sophisticated workers and their demand technology and user ownership ofdata for support (Ernst, Katz, and Sack, 1994). These and technology? trends drive higher education institutions to take • Are the institution's information tech­ a holistic approach to changes in nology resources adequately provided, organization design, process, in­ Such a holistic view effectively organized, and efficiently formation access, technology, managed to support strategic initiatives? demands that deans and and training ofpeople. Transfor­ mation-guided strategic plan­ • How are major investments financed? department chairs ning, therefore, needs to start How does the institution know it is with strategic thinking and a making the right investment? cultivate a capacity for knowledge ofhow to deploy this • How could technology and infrastruc­ strategic thinking, holistic set ofstrategies-a frontier ture be properly upgraded? How could for most academic managers. A obsolescent technologies be migrated organizational change solid understanding ofthe trans­ into new platforms? formation process and supporting • What changes in process, organizational management, and strategies must take place first. structure, and skills of people-in the In most cases, planners institution and the information technol­ innovative use of can still apply four types ofplan­ ogy organization-are necessary to opti­ information technology. ning-strategic, operational, bud­ mize the investment ofnew technology? getary, and major initiatives. Each type serves different objec­ BASIC CONCEPTS tives (Badagliacco, 1992). There is an acute Four types of planning. Three types ofplan­ need to link information technology planning ning (strategic, operational, and initiative­ to institution-wide strategic planning. How­ based) differ in scope, information require­ ever, most reported experiences were focused ments, and processes. Strategic planning offers on other kinds ofplanning. the broadest scope, emphasizing strategic Regardless of the kind of information thinking, visioning and long-term directions. technology planning, it is important to develop Its process is broad-based and requires general strategies for organization, work process, infor­ information, while planning for major infor­ mation, and technology as a coherent set. Such mation technology initiatives is undertaken a holistic view demands that deans and depart­ to achieve specific objectives; a kind ofplan­ ment chairs cultivate a capacity for strategic ning that provides detailed analysis about ben­ thinking, organizational change management, efits, resources, timetable and deliverables. A and innovative use ofinformation technology. fourth type, financial or budgetary planning A linear process ofplanning will no longer be activities, usually accompanies one ofthe first sufficient. A holistic model is needed to sup­ three types of planning. port fast-paced, multidimensional change in an Strategic planning. An institution-wide infor­ information age (Dolence and Norris, 1995). mation technology plan should link closely Within this broad context, academic with an institution's multi-year strategic plan, planners typically face the following questions or as an integral part ofinstitutional priorities, at the beginning of the process: resource allocations, program delivery, and • What is the institution's vision regard­ expected outcomes. A strategic information ing the use of information technology? technology plan should have a clear vision Is it to be a leader, early follower, or late about how information technology applica­ follower? Each position has financial and tions could enable the institution to achieve organizational implications. its mission. For example, distance learning • How does the investment, deployment, technology will enable a nursing program to and management oftechnology and infor­ reach new student markets, enhance teacher­ mation support the institutional mission? learner interaction, and generate new rev- Planning for Information Technology • 89 [

enues. However, information technology is­ and management, emphasizing project objec­ sues have not received adequate attention in tives, solutions, and benefits to the institution. institutional strategic planning at most cam­ Such projects should also include a timeline puses. The Pennsylvania State University's with milestones, resource requirements, team Office ofComputer and Information Systems members, and user involvement. conducted a benchmark study (1995) offive Financial-budgetary planning. Enhancement "best-in-class" large, research universities re­ and investment in information technologies garding their information technology resource are generally costly and require an institution management and support. Based on the to make a multi-year commitment. A new benchmark results, there is very little formal information system for integrated student ser­ institution-wide planning for information vice using distributed network technology technology; the existing strategic planning could easily cost several million dollars over processes generally do not adapt to critical five years. It is necessary to present a detailed information technology issues. This reflects a budgetary analysis showing multiple scenarios need to address information governance as which could compare the costs for adopting well as the institution's knowledge about the the new systems, while maintaining current impact and importance of information tech­ fragmented processes, to the costs for a reen nology on the academic enterprise. gineered process, such as one providing stu­ Operational planning. An information technol­ dents with direct access to their grades, sched­ ogy division or a senior manager within the ules, bills, and other personal information. The area can develop a short-term plan to imple­ analysis should identify funding sources and ment technology and service goals. Such a methods, maintenance costs over time, ben­ plan usually has a one to three year time ho­ efits, and anticipated cost savings or payback rizon, addresses strategies and resources, and schedule. Outsourcing strategies, through provides a timetable for implementing ongoing partnering with vendors, should be explored services and new initiatives. Its scope ranges to achieve cost savings or service improve­ from service improvement (help desk), infra­ ment. The typical twelve- to eighteen-month structure maintenance and investment (insti­ cycle for budget planning and review does not tution-wide cabling and networking), new make allowances for rapid technology changes services (electronic library services), technol­ and needs. Capital funding, A ogy enhancement (voice response systems for based on some formula or life- cademic planners telephone registration), new system develop­ cycle ofdifferent categories of ment (a new human resource system), to fa­ technology, provides greater need to develop cility upgrades (student microcomputing flexibility in planning and allo- kId b centers). An operational plan for an informa­ cation. now e ge a out tion technology division should have a com­ prehensive and institutional scope, but it is INTEGRATED complex project PLANNING MODELS usually approached from the perspective ofthe Traditional planning approaches planning and service division. The value ofoperational plan­ do not address the fast-paced ning is to set implementation priorities, change initiated by information management, timelines, and resource commitment. Key to technology. However, models effective operational planning is the clarifica­ that integrate organization, pro­ emphasizing project tion ofoutcome measures and deliverables. cess, information, and technol­ objectives, solutions, Major initiative planning. Multi-year or large ogy issues are emerging. One information technology projects also call for example is the learning action and benefits to formal planning. Such projects are expensive plan proposed by Maricopa and often exceed budgets or timelines. Rigor­ Community Colleges (Baltzer, the institution. ous project planning is critical in ensuring 1994). This model puts informa- successful completion. A cross-functional team tion technology planning in the context ofor­ approach has become a preferred way ofimple­ ganizational culture, customer communities, menting major information technology initia­ and technology assessment. The model con­ tives. Academic planners need to develop tains six components, supporting strategies, knowledge about complex project planning tools, and tactics. The components include: [90 • Doing Academic Planning

aligning of the information technology divi­ members to embrace constant changes. Such sion with the institution, creating a shared transformation requires careful planning. Re­ vision, articulating strategic principles, design­ structuring formerly fragmented information ing the information technology organization technology resources into a coherent structure structure, applying a process reen gineering ap­ is one ofthe approaches under consideration. proach, and providing continuous feedback for It helps to flatten the organization, emphasizes services and priorities through cross-functional processes, and directs the in­ bansformation has to customer input. A holistic ap­ formation technology division's attention to proach creates incentives for in­ customer services (Chan, 1995). Successful occur in the informa-­ stitutionallearning. restructuring demands a commitment to staff Pennsylvania State development. The debate on a centralized tion technology organi-­ University's benchmark study versus decentralized IT organization can be identified four guiding prin­ viewed in terms ofresources and services. A zation in order for it ciples practiced by research centralized IT organization, without the turf to facilitate change universities: wall between academic and administrative • Use policy, budget, and strat­ computing, can achieve greater efficiency and elsewhere. Obsolete egy measures to maximize productivity. For large institutions ofdecen­ the benefits of information tralized culture, services will need to be aligned technologies, ineffective technology through a clear more closely with the customer base through organizational design, information technology gov­ shared reporting and accountability. ernance structure and re­ DATA SELECTION AND CAPTURE escalating user expecta-­ porting relationship, early Information technology planning, like any adoption ofa process reeng­ other planning process, should start with an tion, rapid technology ineering approach, the bal­ assessment to identifY institutional strengths, advancement, and ance of centralized and weaknesses, infrastructure, capacity, and cus­ decentralized needs, and use tomer satisfaction, along with institutional limited institutional oflife-cycle funding to sup­ needs regarding information technology. port the rapid pace of tech­ These assessment data form the basis for experience in process nological change. growth, upgrades, and financial impact projec­ • Encourage early implemen­ tion. In Chapter 8, Linda Fleit addresses as­ reengineering challenge tation of information tech­ sessment issues and strategies. A more detailed the information nology infrastructure and discussion of the framework can be found in standards to implement in­ her SelrAssessment for Campus Information technology organization stitution-wide connectivity. Technology Services (Fleit, 1994). • Emphasize customer service The Higher Education Information Re­ and its members in order to integrate technol­ sources Alliance (HEIRAlliance, 1995) re­ cently updated its guidelines and examples of to ogy into the institutional embrace culture through faculty de­ what the information technology environ­ constant changes. velopment and information ment might look like at an information re­ technology training. source-intensive institution. The text ofboth • Develop standards, security, and archi­ the guidelines and the supplementary docu­ tectural planning to create a supportive ment can be retrieved from the CAUSE Web environment for change. server or. This set of guidelines PLANNING FOR IT encompasses information technologies (com­ ORGANIZATIONAL CHANGE puting and voice, video, and data communi­ Transformation has to occur in the informa­ cations), information services, and informa­ tion technology organization in order for it to tion itself. It addresses a growing area of facilitate change elsewhere. Obsolete tech­ common concern for both libraries and infor­ nologies, ineffective organizational design, es­ mation technology organizations-access to calating user expectation, rapid technology and delivery ofinformation through comput­ advancement, and limited institutional expe­ ing and communications technology (elec­ rience in process reengineering, challenge the tronic information resources). information technology organization and its Planning for Information Technology • 91 [

Planners can use various methods to • Both CAUSE and NACUBO provide capture data: benchmarking data. The CAUSE ID • Focus groups, committees, periodic sur­ Survey provides comparative data on veys, and task-based feedback cards as­ budgets, staffing, policies, practices, and sess user satisfaction and needs. The services for participating member insti­ choice ofmethod should be determined tutions. It is a useful source on services by the question to be answered. A broad and funding practices, such as how many annual survey ofuse satisfaction gauges institutions use chargebacks to recover a general response by user groups. A costs for network services. Since 1992 the short feedback card for each project and NACUBO Benchmarking Project has task will generate more formative infor­ collected cost data on infonnation tech­ mation for improvements. nology and telecommunications activi­ ties and functions. These benchmarking • Financial and budgetary information on data are often fraught with problems in hardware, software, new services, sup­ definition and comparability. As the port, and infrastructure should address Penn State (1995) experience revealed, both initial investment, maintenance, it is extremely difficult to establish com­ and replacement in view ofthe life-cycle mon definitions to measure infonnation ofeach category oftechnology. Projec­ technology resources and services, even tions and comparative data may be ob­ within a small set ofsimilar institutions. tained through vendors and comparable The focus onnumeric input data is better institutions or industry. shifted toward outcomes • Performance data on quality and effec­ and on framing evalua­ tiveness come from resource allocation tion questions. Lke all effective behavior (information technology budget as a percent of institutional operating MANIPULATION &DELIVERY planning information, budget), user satisfaction measures (per­ A written plan with clear goals, cent satisfied with timeliness ofservice), objectives, strategies, budgets, the choice of cost ratios (costs per user for bundled timelines, and expected out­ presentation format software license), and operating efficien­ comes with frequent updates is cies (percent uptime for network and essential. Specific data can be and level of details on email service, number ofusers supported displayed in multiple formats. by each help desk staff). For specific Like all effective planning infor­ informationrechnowgy measures on performance and for plan­ mation, the choice ofpresenta­ ning purposes, it may be useful to collect tion format and level ofdetails plans should be data from the industry in areas such as on information technology plans derermined by the help desk staffing, network support, and should be determined by the ob­ number ofsubscribers per port for dial-in jective of the communication objective of the service. These measures are well estab­ and knowledge ofthe audience. lished and less affected by industry type. Because ofthe technical nature communication and • Policies and procedures are part of this ofthe subject matter, greater at­ knowledge of assessment. Most colleges and universities tention should be devoted to ef­ are struggling with the need to create poli­ fective presentation ofplanning the audience. cies to cope with the changing environ­ data and recommendations. The ment. Data can be gathered through both following are some examples: observation and interviews with people • Architecture and infrastructure data are who deliver, manage, and use the services. best presented in graphs showing logical • Information on current and projected layers, geographical and physical distri­ application portfolios is crucial for archi­ bution and configuration. tectural planning. It is usually scattered • Financial and budgetary data should be or kept only in the technician's head. presented in spreadsheets; diagrams; pie Review of documentation and group charts; and summaries ofbenefits, costs, interviews could help reconstruct the and choices. The resource allocation technical information. should be tied to objectives and benefits. [92 • Doing Academic Planning

• Staffing and operating performance data source, and research grants. Developing should be presented in trends and ratios and enforcing architecture, standards, and to show stability and improvement. policies presents a challenge for planners. • User feedback and satisfaction data are The economy ofscale and large informa­ best presented by service groups or cus­ tion technology staffenable these univer­ tomer groups in trend analysis to capture sities to develop some of the most the change over time. innovative technology applications. • Electronic presentation via Power­ • Community colleges are principally Point™ or HTML allow integration of funded by state allocations and have complex data. highly centralized decision making pro­ cesses that focus on the teaching mission • Major projects should always be pre­ ofthe institution. A more top-down ap­ sented in a summary form with project proach to infonnation technology plan­ objectives, benefits, approaches, ning is common. There is also greater timelines, and estimated budgets. success in integrating information tech­ • Use electronic means, such as email.to nology planning and institutional stra­ solicit user feedback. tegic planning. Several large community ACTIONABILITY ISSUES college systems, such as the Maricopa In selecting an appropriate planning model, Community Colleges and Miami-Dade academic planners should always be mindful Community College, emphasize the use about unique institutional characteristics and of network technology and distance needs. Research universities, community col­ learning to reach the learning needs of leges, and liberal arts colleges have vastly dif­ growing student populations. ferent needs and technology solutions. • Private liberal arts colleges focus on teach­ Generalizations about the planning processes ing, small class size, and faculty student at different institutions are prone to oversim­ interaction, but also maintain an emphasis plification because planning de­ on research. Because oftheir size and small pends heavily upon the information technology staffs, these col­ In selecting an personalities of the leadership leges are often unable to take advantage appropriate planning and the specifics oftraditions of ofeconomies ofscale in undertaking new those institutions. However, initiatives. Outsourcing, collaboration, model, academic plan-­ these three kinds ofinstitutions and a clear focus on institutional mission can be differentiated by their become more important strategies. ners should always be degree of centralization, the It is also necessary to clearly define the mindful about participants in planning, and users, constituent groups, and participants of the central focus of the plan­ the planning process. Executive sponsorship unique institutional ning process (Smallen, 1992). and participation of key users are critical for The nature ofdecentralization information technology planning at all levels, characteristics and power among the three in­ as there is heightened attention on technol­ stitutional types differs substan­ ogy investment and its impact. The most ef­ and needs. tially and is reflected in their fective process would be one that is linked with planning processes. strategic planning. Technology solutions are • At research universities, decision making presented as part ofinstitutional directions. At is generally decentralized, with consider­ large complex universities such integration is able power vested in the schools, research difficult to achieve. A formal planning process centers, and sometimes the individual de­ that involves many committees and constitu­ partments. Insuch an environment, plan­ ent groups may not be productive, especially ning for information technology is when there is no centralized information tech­ generally a decentralized, though highly nology division to advocate strategies and coordinated process. The situation at pub­ priorities. It would be appropriate to organize lic universities may be further complicated special groups and processes to facilitate on­ by statewide or systemwide technology going review ofpolicies, priorities, and tech­ planning groups, determined by funding nology directions. These groups should include Planning for Information Technology • 93 [

representatives offaculty, administrators, staff, and students. Representatives from the student PRINT REFERENCES government bodies will become increasingly Anandam, K., ed. 1989. "Transforming Teaching with Technology: Per­ vocal about their learning needs, information spectives from Two-Year Colleges." EDUCOM Strategy Series on In­ policies, and technology fee assessment. Their formation Technology. Washington, DC: EDUCOM and Academic active participation in information technol­ Computing Publications. ogy planning should be considered. Badagliacco,]. 1992. "Planning for Information Technology Resources: Information technology plans need to The Methods." In Computing Strategies in Liberal Arts Colleges, ed­ provide a clear argument about benefits to the ited by M. Ringle. New York: Addison-Wesley. institution and user, requiring deans, depart­ Baltzer,]. 1994. The Learning Action Plan: A New Approach to Informa­ tion Technology Planning in Community College. Boulder: CAUSE. ment chairs, and faculty committees to make Chan, S. S. 1995. "Strategies for Restructuring IT Organizations." special efforts to be imaginative about what CAUSE/EFFECT 18(3): 13-19. technology applications could accomplish in Dolence, M. and Norris, D. 1995. Transforming Higher Education:: A Vision terms ofacademic mission and program objec­ for Learning in the 2IstCentury. Ann Arbor: Society for College and tives. These benefits must be presented in University Planning. nontechnical language. In light of process Ernst, D. ].; Katz, R. N.; and Sack,]. R. 1994. Organizational Technological reengineering, institutions are also interested Strategies for Higher Education in the Information Age. Boulder: CAUSE. in identifying cost savings to be achieved Fleit, L. 1994. Self-Assessment for Campus Information Technology Services. through streamlined or redesigned processes CAUSE Professional Paper # 12. Boulder: CAUSE. and technology solutions. There is a high ex­ Graves, W. H., ed. 1989. Computing across the Curriculum: Academic Per­ pectation that new processes can be delivered spective. EDUCOM Strategy Series on Information Technology. Wash­ at a lower cost and new technology solutions ington, DC: EDUCOM and Academic Computing Publications. can therefore be funded out of this saving. Hawkins, B. L., ed. 1989. Organizing and Managing Information Resources Planners need to do a thorough analysis to sup­ on Campus. EDUCOM Strategy Series on Information Technology. port or counter these expectations. Reengi­ Washington, DC: EDUCOM and Academic Computing Publications. neering often impacts people and work HElRAlliance. 1995. Evaluation Guidelines for Institutional Information Resources. Boulder. assignment. The analysis has to include a human resource view. Lynch, B. P., ed. Summer, 1995. Information Technology and the Remak­ ingof the University Library. New Directions for Higher Education No. RECOMMENDATIONS 90. San Francisco: ]ossey-Bass Publishers. Academic planners may consider the follow­ Massy, W. E and Zemsky, R. 1995. Using Information Technology to En­ ing actions in initiating and supporting plan­ hance Academic Productivity. Washington, DC: EDUCOM, Interuni­ ning for the information technology area: versity Communications Council, Inc. Office ofComputer and Information Systems, Pennsylvania State Uni­ • Because of the high costs in IT invest­ versity. 1995. "Observations on Benchmarking Information Tech­ ments, there should always be rigor and nology Support." CAUSE/EFFECT 18(1): 20-28. discipline in the planning and imple­ Ringle, M., ed. 1992. Computing Strategies in Liberal Arts Colleges. New mentation process, deliverables, mile­ York: Addison-Wesley. stones and accountability. Smallen, D. 1992. "Planning for Information Technology Resources: The • Executive sponsorship is critical for Issues." InComputing Strategies in Liberal Arts Colleges, edited by M. enabling and sustaining process change Ringle. New York: Addison-Wesley. and financial commitment. • The use ofconsultants and committees ELECTRONIC SAMPLER are instrumental in achieving leverage, http://cause-www.colorado.edu/ objectivity, and buy-in. CAUSE (the association for managing and using information resources in • Effective communication throughout higher education). the planning and implementation http://ca use-www.colorado.edujco[labjhelrapapersjheI0400.htm [ phases is necessary in order to set appro­ What Presidents Need to Know About the Payoff on the Information priate user expectation. Technology Investment. HEIR Alliance Executive Strategies Report # 4. HEIR is the Higher Education Information Resources Alliance •A balance between governance and of ARL, CAUSE, and Educom. It has published many other decision making in the planning for valuable reports. information technology will help to keep http://educom.edu/ momentum for visible results and accep­ tance ofstandards. [94 • Doing Academic Planning

Infonnation technology plays multiple roles in ELECTRONIC SAMPLER enabling an interactive knowledge network. EDUCOM (transforming higher education through information technology). As more traditional planning approaches may http://www.educom.edu/program/nlii/keydocs/massy.html serve the needs for specific information tech­ Using Information Technology to Enhance Academic Productivity. NUl (National nology initiatives, a more comprehensive, Learning Infrastructure Initiative). William F. Massy and Robert Zemsky. holistic approach is necessary to achieve long­ A white paper from the Wingspread Enhancing Academic term institutional results. From the informa­ Productivity Conference in June 1995. tion technology and service provider's http: j jwww.educom.edujwebjpubsjreviewjteachLearnlndex.html perspective, the transfonnation starts from re­ Teaching and Learning Index from Educom Review. aligning its organization with institutional http://www.state.va.us/cim/cim.html goals. From the institution's perspective, stra­ Virginia Council on Education Management. tegic thinking, process reengineering, and the http://www.thejournal.com/2hot/what.html re-examination ofacademic goals, delivery, and Technological Horizons in Education Online. T.H.E. Journal. vision, should incorporate a clear definition of http://www.scup.org the roles and benefits ofinformation technol­ SCUP's Planning Pages. SCUP (Society for College and University Planning). ogy in facilitating active and interactive pur­ SCUP, the publisher of this book, has information about SCUP's suit of learning activities by the student. events and publications including its highly regarded journal, Planning for Higher Education. The URLs cited in this book are ADDITIONAL READINGS accessible through "SCUP's Planning Pages." Both EDUCOM and CAUSE have publica­ tions addressing infonnation technology strat­ http://www.utahsbr.edu/tech/intror.htm egies. These publications fonn a good basis for current issues and exemplary practices at dif­ ferent colleges and universities. • Staffing readiness with skill sets required • EDUCOM Strategy Series on Information for supporting new technology and or­ Technology provides an in-depth look at ganizational transformation should be academic strategies (Graves, 1989; part of the planning assumptions. Anandam, 1989) and practices at com­ • There should be reasonable process munity colleges (Anandam, 1989), liberal reengineering commitment and experi­ arts colleges (Ringle, 1992), and large ence in order to optimize returns of in­ institutions (Hawkins, 1989). These formation technology investment. source books, although published several • Commitment to training and develop­ years ago, still provide a good insight on ment as part of implementation strate­ organizational and process issues. gies is part ofa holistic model. • CAUSE has a professional series on a In conclusion, a learner-centered aca­ variety ofcurrent topics and best practice. demic environment in the information age The most useful source is from the online calls for a transfonnation process and innova­ resource on current publications, CAUSE tive applications ofinfonnation technology to conference proceedings, and various facilitate the learning process and delivery. CAUSE online discussion groups. • Student Services Student Development: An Integrated Approach to the Age Old Pursuit Diana L. Sharp and G. Gary Grace Planning the Co,Curricular Component Gretchen Warner Kearney and Stephen P. McLaughlin

~e academic and affective realms ofstudent development have been separated in the higher education environment for centuries. The authors look at the need to inte-­ grate both realms ofstudent development and offer practical methods for incorporating student development outcomes into the planning process. Student Development: An Integrated Approach to the Age Old Pursuit Diana L. Sharp and G. Gary Grace

CORE PLANNING QUESTIONS • How can student development out­ Student development has been viewed by comes become an integral component some as an unsystematic byproduct that hap­ oflearner-centered higher education? pens by chance. Although this has been in­ validated by a growing body of literature, BASIC CONCEPTS student development is still often considered Labels related to student development. The elusive. Institutional planners and research­ labels for student development functions and ers have had difficulty understanding where subsequent organizational models student development fits into the planning are not as discrete as those in other and evaluation processes. Some of this con­ fields. Some literature suggests that fusion is inherent to the field, where a variety student development is concerned oflabels have been used for what seem to be primarily with the impact of col­ similar functions, and multiple theories and lege on students (Pascarella and models have been used to develop activities Terenzini, 1991). Others, like and influence research. Student development Creamer (1980), state that student Diana L. functions have grown considerably over the affairs work comprises services that Sharp years; however, their growth has been accom­ support the instructional mission is Executive Assistant to the Assistant Chancellor for Stu­ panied by a struggle for recognition and accep­ ofthe institution and are intended dent Affairs for the University of Wisconsin-Parkside, tance as a field. The organizational structure to help students. These functions Kenosha, Wisconsin. of higher education has also aggravated the are known by many different confusion by ignoring differences between names, including student person­ campus subcultures and often separating the nel services, student affairs, and intellectual from developmental growth of student development (Crookston, students. Such issues affect the academic plan­ 1980). The philosophical under­ ning processes. The core planning questions pinnings ofone institution's "stu­ facing student development include: dent development" and another • How can the evolving nature ofstudent institution's "student services" may G. Gary development and its subcultures contrib­ be the same, while the array ofser­ Grace vice units reporting to each orga­ ute to effective, integrative academic is Assistant Chancellor for Student Affairs for the University nization might be vastly different planning? of Wisconsin-Parks ide, Kenosha, Wisconsin. [98 • Doing Academic Planning

in role and scope. Whatever they have been to this separation, articulating a philosophy called, and regardless ofwhich organizational that affirmed the importance of the "whole units report to the area, there are three con­ person," a philosophy that "imposes upon edu­ ceptual models that exemplify the organiza­ cational institutions the obligation to consider tional approach used at most institutions: the student as a whole-his intellectual capac­ functional services (units offering specific ity and achievement, his emotional make up, support functions that students need), envi­ his physical condition, his social relationships, ronmental-interaction (units focusing on the his vocational aptitudes and skills, his moral interaction between aspects of the organiza­ and religious values, his economic resources, tion and student lives), and human develop­ and his aesthetic appreciations" (p. 49). This ment (units that focus on the holistic growth philosophy put "the emphasis... upon the de­ ofstudents-intellectually, personally, spiritu­ velopment of the student as a person rather ally, and physically). Many institutions use than upon his intellectual training alone" (p. aspects of all three models in an eclectic or­ 49). Over the past sixty years, this philosophy ganizational scheme. has had far-reaching impact on student affairs The lack of a uniform organizational work, and the document has been nationally approach to student services leads to ambiguity reaffirmed in 1949 and 1987 (NASPA, 1989). about their purpose and philosophy. Some The reintegration ofacademic and stu­ practitioners use the terms and organizational dent affairs called for in The Student Personnel schemes interchangeably; others argue that Point ofView was aggravated by many post­ there is purposeful distinction in the various World War II events, including the rapid ex­ labels. In any case, the organizational concepts pansion of colleges and universities and the philosophical orientations behind the necessitated by the introduction ofthe GI Bill labels are fuzzy and are influenced mostly by and the accommodation ofthe "baby-boom" institutional tradition and practice. The mod­ generation. Other student development els used in isolation or in combination at an changes occurred as a result ofcampus protests institution reflect different assumptions as well in the 1960s and the emergence ofhuman de­ as specific planning needs for velopment theory as a programming consid­ ~e historical roots of the institution. eration for meeting the needs of college Historical separation of affec­ students. Some critics argue that student and student development tive and intellectual develop­ academic affairs have never attained the inte­ ment. The historical roots of grated approach to education of the whole add to confusion about student development add to person envisioned in The Student Personnel confusion about student-ori­ Point ofView. student--oriented ser-­ ented services and their right­ It is clear that this briefhistory contains unresolved issues that have implications for vices and their rightful ful place within the planning activity ofthe organization. As student development within the broader con­ place within the plan-­ Rudolph (1962) points out, text ofinstitutional planning. Since much of presidents and faculty in the institutional planning has been devoted to ning activity of the middle- and late-1800s made academic planning, it is important to note the efforts to rid themselves of re­ organizational separation ofresponsibility for organization. sponsibilities for student affective development from intellectual train­ records, advising, and disci­ ing. Some attempts at reintegration have been pline. This movement gave way to the cre­ made, but there is still a schism at many col­ ation ofseparate freshman advising programs leges and universities between the intellectual and special offices to handle a myriad ofstu­ (academic) and affective (social) development dent matters, while the responsibility for the ofcollege students. This gulfmay be narrowed academic program remained with the presi­ as our accreditation bodies, governing and leg­ dent and faculty. By World War I, the sepa­ islative bodies, and the public-at-large hold our ration ofthe intellectual and affective domains institutions more accountable for what hap­ of students was evidenced by distinct offices pens to students at college and their learning for academic and social matters at most col­ outcomes. Recent emphasis on accountabil­ leges and universities. The Student Personnel ity and assessment ofcollege and student out­ Point ofView (ACE, 1937) served as a response comes may offer the most real opportunity in Student Development: An Integrated Approach to the Age Old Pursuit • 99 [

recent times for institutions to bring academic The inevitable value conflicts and differ­ and student development together into a co­ ences of meaning between these roles and the ordinated whole. cultures they represent requires a level ofplan­ Student development subcultures. The exist­ ning and strategy that captures a "rational se­ ence ofdistinct cultural subgroups within col­ quence ofactivities that moves trom research to leges and universities also brings complexity development to packaging before to the prospect ofplanning and student devel­ dissemination takes place" Often, the breadth of opment. Bergquist (1992) describes four dis­ (Bergquist, 1992, p. 199). tinct cultures within the academy: Bergquist further observes that roles and responsibilities planning ofthis kind is massive, • Collegial-represented most by the fac­ requiring meaningful relation­ in student affairs con .... ulty and their emphasis upon rational­ ships between and among the ity, is concerned with values ofresearch participants from each culture tributes to an ill....defined and scholarship and the dissemination and active coordination oflogical ofknowledge. identity on campus and sequences ofplanning activity. • Managerial-values fiscal responsibility Role and scope of student per­ to confusion about the and supervisory effectiveness as it is used sonnel services. Student affairs to achieve specified institutional and in­ professionals are involved in a stance student affairs dividual goals. wide variety of administrative Professionals take vis ....a.... • Developmental-involved in program, support functions-from the re­ service, planning and research activities cruitment ofpotential students, vis the academic mission that support cognitive, affective, and be­ through the delivery of services havioral maturation ofall students, fac­ upon entrance to the university, of the institution. ulty, administrators and staff. to their placement in jobs upon • Negotiating-consists of individuals who graduation (Garland, 1985). Often, the breadth find meaning in equitable and egalitarian ofroles and responsibilities in student affairs con­ policies and value the use offair bargain­ tributes to an ill-defined identity on campus and ing for the distribution of resources in to confusion about the stance student affairs pro­ ways that benefit the institution at large. fessionals take vis-ii-vis the academic mission of According to Bergquist (1992), rational the institution. Student affairs exists for the pur­ planning can find root and support in at least pose ofcontributing to the mission and goals of three of the four student development subcul­ higher education (Hurst and Morrill, 1980). Al­ tures, namely, collegial, developmental, and though the role of student affairs professionals managerial. However, student development in the achievement of educational goals may appears most often in the developmental culture. differ from their academic counterparts in the Differences will exist when individuals classroom, the role must be compatible with and from these varying subcultures try to work to­ supportive of the overall educational mission. gether or communicate without understanding Hurst and Morrill(l980, p. 4) describe the pri­ the inherent cultural influences. Student devel­ mary roles ofstudent services professionals as: opment professionals focus on process-based • To study and understand the student, en­ growth ofthe whole student, while academic pro­ vironment, and the outcomes oftheir in­ fessionals emphasize content-based knowledge. teraction in order to identify potential Student development professionals are typically mismatches and needed interventions. trained as generalists to work in vertical cross • Growing out of the first role, to facilitate sections ofthe organizational structure. Acade­ student resource development by providing micians are typically trained as specialists in their students with the skills, attitudes, and other disciplines and viewed as entrepreneurs in a more resources they need to take advantage of horizontal hierarchy. While student development and profit trom the learning environment. professionals might emphasize qualitative meth­ • To promote environmental resource de­ odologies for planning and research, academics velopment by restructuring and inter­ might see more value in quantitative approaches. ventions designed to create the optimal Each views and relates to their world based on environment within which human de­ their academic cultural heritage. velopment may occur. [ 100 • Doing Academic Planning

General theories of student development. For sion may result in change in another dimen­ most ofthe twentieth century, student affairs sion); the dimensions are based upon several professionals have employed both theories and central developmental assumptions, such as models of student development to carry out "human development is characterized by the fundamental roles described by Hurst and growth toward more complexity, internal in­ Morrill. While student affairs tegration, and finer discrimination" (Morrill, Given the diversity of professionals have focused pri­ Hurst, and Oetting, 1980, p. 25). marily on human development Specific theory-based student development. student bodies and the theories over the years, they Beginning in the 1970s, the use of theory have also embraced a variety of shifted to specific aspects ofstudent develop­ complexity of the cam-­ other theories-from personal­ ment. Intellectual development theories such pus environment, stu-­ ity theory to systems theory­ as Perry's (1970) and moral development theo­ to help explain role ries (Kohlberg, 1971) were used to help ex­ dent affairs professionals expectations ofcollege students plain reasoning and cognitive development of and relationships among a host college students. Peer group influences could never depend on ofvariables under consideration (Newcomb and Wilson, 1966) were studied (Moore and Upcraft, 1990). to understand the interpersonal aspects ofthe only one or two theories The genesis ofstudent develop­ campus environment more fully. Ecological ment grew from theories about to guide their work. perspectives focused on the relationship be­ personal growth and develop- tween college students and their environment ment. Psychological theorists (Walsh, 1978). Astin (1985) conceptualized using such theories as identity development involvement theory to focus attention on why (Erikson, 1968), integration and differentia­ students learn best in a collegiate setting char­ tion (Sanford, 1962), and vectors ofdevelop­ acterized by investment of physical and psy­ ment (Chickering, 1969), have influenced the chological energy in the academic experience. way student affairs professionals think about Schlossberg, et al. (1989) theorized student college students. Theories ofcareer develop­ success as a function of the degree to which ment, such as that postulated by Holland students are made to feel they matter at the (1966), have helped guide the work on voca­ institution. Tinto's (1987) work on freshman tional assessment and career choice. integration into college life suggested that Miller and Prince (1976) first defined student departure from a campus can be stud­ student development as "the application of ied in distinct stages: separation, transition, human development concepts in and incorporation. Multiple theories expanded postsecondary settings so that everyone in­ the general theories that informed the student volved can master increasingly complex de­ development profession. Given the diversity velopmental tasks, achieve self-direction, and of student bodies and the complexity of the become interdependent." Drum (1980) later campus environment, student affairs profes­ conceptualized student development as a pro­ sionals could never depend on only one or two cess in which an individual undergoes a num­ theories to guide their work. Various theories ber ofchanges toward more complex behaviors and models have been applied by practitioners that result from mastery of the increasingly to develop services and programs that maxi­ demanding challenges oflife. Drum describes mize student development. a multidimensional model that charts devel­ What do all these emerging theories opment of three major life systems: (1) cog­ actually mean for student affairs practitioners? nitive development (changes in how students Developmental theories can provide useful think, solve problems, seek and evaluate frameworks for understanding students and knowledge), (2) development ofself (changes their needs, goals, attitudes, and problems, in how students relate to the questions ofes­ offering a context from which to design, imple­ sence and responsibility as well as how a sense ment, and evaluate programs and activities to of personal identity emerges), and (3) social serve students. Theoretical perspectives pro­ development (changes in how students relate vide student affairs professionals with a ratio­ to friends and others, such as ethnic groups). nale for their work and a framework for Drum's dimensions are not assumed to be in­ gathering and interpreting data in the field. As dependent (substantial change in one dimen- Brown and Barr (1990) observe, student affairs Student Development: An Integrated Approach to the Age Old Pursuit • 101 [

professionals who have developmental per­ and philosophies in the planning and assess­ spectives often approach tasks differently from ment processes is imperative if institutions are professionals who lack that perspective. Be­ serious about realizing student development cause many of the responsibilities ofstudent outcomes. The overall institutional plan must affairs professionals can be approached from be grounded with measurable and achievable either a task orientation or a task and process student development goals that are tied to point ofview, the "whole person" can be con­ programs and activities throughout the insti­ sidered in addition to the "how" and "why" of tution. The regular assessment ofstudent de­ each task. It is this "whole student" perspec­ velopment outcomes could then feed new tive, centered on the learner instead ofon the information into the planning processes and institution, that is advocated as the institution program development at the institution. translates theories and practices into assessable student development outcomes. DATA SELECTION, COLLECTION AND MANAGEMENT How does student development trans­ late into measurable outcomes in the higher Data selection and collection. Most campuses education environment? Winston and Miller collect student information related to admis­ (1994) developed a practical model for assess­ sion, enrollment, retention and graduation. ing student development outcomes. They These quantitative data are captured through identify the themes traditionally identified in pre-admission testing, admission applications, student development (academic, cultural, registration fonus, financial aid fonus, orienta­ emotional, intellectual, moral, physical, pur­ tion and other surveys, such as the Cooperative pose, and social-interpersonal) and offer ex­ Institutional Research Program (CIRP) under amples ofoutcome variables that planners or the sponsorship ofThe American Council on researchers might pursue under each category: Education. Data items are usually specific to the campus operationcollecting the data (academic • Evidence ofacademic literacy in the aca­ records for advising; financial background for demic category; financial aid packaging). Additional data fields • Cultural, racial, ethnic, and religious tol­ may be collected if they are included in a pre­ erance; intercultural exchange; and cul­ packaged software program or if a functional turalliteracy in the cultural component; area has agreed to collect or store data items for • Sexual identity, interdependence, per­ another area's use. Federal andstate regulations, sonality characteristics, and life coping institutional or systemwide policies, research in­ skills in the emotional category; terests ofindividuals or organizations, program • Commitment in relativism (Perry, 1970, reviews, auditing requirements, 1980) in the intellectual domain; and other concerns often drive the collection of related data. }he overall institutional • Spiritual development (Fowler, 1981), stages of moral judgment (Kohlberg, Many of these data items are plan must be grounded 1973), and transcending moral relativ­ translated into reports that ex­ ist at most institutions, but may ism (Gilligan, 1980; Kohlberg and with measurable and Kramer, 1969) in the moral category; not be well circulated or under­ stood. Some of the data items achievable student • Salubrious lifestyle (Winston and Miller, may not be in print, but may be 1987) in the physical domain; and available in electronic fonu. development goals that • Intimacy, empathy, citizenship, and ci­ Institutions usually have are tied to programs vility in the social-interpersonal compo­ an array of instruments for col­ nent (Winston and Miller, 1994). lecting the data that they have and activities throughout Using their model as a roadmap, and historically identified as "neces­ their themes as the guide, higher education sary" for operations. These in­ the institution. professionals can collaboratively design, imple­ struments may be developed by ment, assess, and revise programs and activities the institution, imposed by state or federal laws, aimed at student development outcomes for or may come from a variety ofvendors. Com­ their particular student body. As Bergquist mercial surveys can be used to collect environ­ (1992) advocates: the integration ofacademic mental-interaction data, student satisfaction and student affairs professionals, operations, data, and outcomes assessment data. Many [ 102 • Doing Academic Planning

vendors provide validity and reliability mea­ outcomes are established, determining a va­ sures and nonnative data for campus compari­ riety ofways to measure them improves the op­ sons. Strengths and limitations of the more portunity to get a more complete picture of popular instruments and their usage are often what is happening with students and a well­ documented in journal articles or books, or can informed method ofevaluating campus prac­ be obtained from professional organizations or tice related to student development (Winston accreditation groups. and Miller, 1994). Most professional organizations can pro­ Qualitative research used in conjunction vide the names and addresses ofnational, re­ with quantitative measures may enhance in­ gional or local consultants who offer data formation collected in student development collection instruments. Published resources for and environmental-interaction areas. Focus instruments include the Mental Measurements groups (Krueger, 1988), diaries (Benjamin, Yearbook (Conoley and Kramer, 1992), Tests 1990) and interviews (Siedman, 1991) can in Microfiche (Educational Testing Service), assist in the identification of assessment cri­ Tests in Print (Mitchell, 1983), and Student Ser­ teria and add new dimensions to particular vices/Involvement Assessment Instruments, In­ strengths and weaknesses that may not be stitutional Effectiveness Assessment Instruments discernible from quantitative studies. Other (Clearinghouse for Higher Education Assess­ qualitative methods suggested by Hanson ment Instruments, 1993). There is also an (1991) include observable performance mea­ online Bibliographic Retrieval Service ofthe sures such as work samples or oral presenta­ Educational Testing Service that provides tions, consensus rendering techniques that access to their instruments. Vendors such as bring different constituent groups together to the American College Testing College Level analyze whether and how an outcome has Assessment and Survey Services (Iowa City, been achieved, orsimulations such as in-basket IA), Noel Levitz (Iowa City, IA), or Socratek exercises or case studies. (St. Paul, MN) are just a few ofthe many or­ The data collection system process develop­ ganizations that currently supply survey instru­ ment. DeVellis (1991) suggests that before an ments related to student development. institution picks assessment tools or designs the Although a campus may collect a data collection processes, it needs to accom­ plethora of information, the items currently plish the following: collected may not be sufficient to assess stu­ • Develop a concise definition ofthe out­ dent development. Much ofthe infonnation comes to be measured; captured by campuses reflects Student development the functional approach to stu­ • Determine the data needed to assess dent services (number of stu­ those outcomes; planning needs fune-­ dents per counselor, for • Determine the scale of measurement example). Student develop­ (such as Likert-type or Guttman-type); tional information, ment planning needs func­ • Have data items reviewed and evaluated tional information, but also by experts; but also must be must be supported by environ­ • Pilot the instrument with a representa­ mental-interaction (student supported by environ-­ tive group of students; satisfaction with counseling re­ mental--interaction ... ceived) and human develop­ • Evaluate the pilot results for internal con­ ment related infonnation (life sistency, reliability, and scale structure; and human development coping skills acquired in the • Optimize the scale based on these re­ related information. counseling program). sults; and Winston and Miller • Conduct a validity study of the final (1994) urge campuses to look instrument. beyond what is already collected. Because of The American College Personnel Asso­ the complexity ofinfluences on student devel­ ciation Commission IX published a useful guide opment, they suggest "using qualitative and for identifying instruments to assess certain con­ quantitative methods and both direct and structs ofstudent development(ACPA, 1990). unobtrusive (institution records) measure­ Turning to the literature in student develop- ments" (p. 10). Once student development Student Development: An Integrated Approach to the Age Old Pursuit • 103 [

ment research may offer campuses additional environmental fit. Most campuses have formal insights as they develop assessment criteria. reports on student satisfaction such as class Research timing should be appropriate evaluations or campus service unit/program to the criteria being assessed. Baseline data evaluations. Informal reports on environmen­ must be collected early enough to reflect true tal-interaction or satisfaction include, but are starting points for students. Outcome data are not limited to, complaint letters, student news­ captured after students have had significant paper columns, and personal interaction with academic and extracurricular experience and constituents such as parents, the time to incorporate new dimensions into students, alumni and col­ their lives. The context of institutional life leagues. Graphs and charts are A combination of should also be taken into consideration. In­ frequently used to display this systematic data collection formation collected immediately following a data (such as the number ofstu­ campus crisis may be reflected in the data. dents highly satisfied with processes is necessary to Data collection approaches taken too late in health services compared by ser­ the academic term may be a followup night­ vices offered in that unit). En­ bring student characteris.. mare for the researcher; students are often too vironmental-interaction data preoccupied with upcoming exams to respond, collection is gaining new tics, environmental.. and once exams are completed, they quickly strength as campuses look be­ interaction and satisfac.. exit campus life. yond satisfaction data to deter­ mine the underlying cause of tion, and student devel.. DATA MANIPULATION AND student satisfaction or environ­ INFORMATION DELIVERY mental fit. Data in this area can A combination ofsystematic data collection opment data together in be displayed by using Moos' processes is necessary to bring student charac­ (1979) three dimensions (rela­ the analysis process. teristics, environmental-interaction and sat­ tionship, personal growth, and isfaction, and student development data clarity ofexpectations) to help the institution together in the analysis process. Every method know the "extent to which people are in­ ofdata gathering has its strengths and weak­ volved in a setting, the extent to which they nesses. The reliability and validity ofthe data support and help one another, and the extent can be derived from correlation ofsimilar find­ to which they express themselves freely and ings across a collection ofapproaches rather openly... the basic goals ofthe setting... and than one specific instrument-resulting in a full the extent to which the environment is or­ array ofdata by which the criteria for student derly and clear in its expectations, maintains development can be appropriately analyzed. control, and responds to change" (p. 15-17). Functional approach. The functional ap­ Comparing the reasons students leave proach uses reports every campus is familiar the institution, or other factors, by each di­ with: enrollment or admissions data broken out mension may offer a new view ofcampus cul­ by student demographic characteristics or aca­ ture. Banning's (1978) Campus Ecology: A demic programs, or cost comparison informa­ Perspective for Student Affairs is a good resource tion. Campuses tend to display functional data for information on ecological or environmen­ in very similar tenus: retention charts, prospec­ tal studies related to behavior-setting theory, tive student pool breakdowns, and audit indi­ personality types and model environments, cators related to cost per student indices. subculture approaches, need-press culture Functional models focus on cost, time, and theory, and transactional models. Banning's number of students served. Graphs or charts work considers the effect learners have on the to display the data are typically offered in a institution as well as the effect the institution common comparison basis related to the func­ has on the learners. tional area (cost ofleadership development ac­ Developmental nwdels. Developmental mod­ tivities over a five-year period, number of top els focus on the long term assessment ofout­ quartile high school students who live in each comes based on student development theory. residence hall, or the number of students of Cross-sectional designs (sampling various co­ color involved in student government). horts by class standing) and longitudinal de­ Environmental-interaction. Environmental­ signs (following a certain group ofstudents over interaction models focus on satisfaction and time) are typically used for developmental [ 104 • Doing Academic Planning

model assessments. The analysis of develop­ PRINT REFERENCES mental data may be more complex as quanti­ American College Personnel Association (ACPA) Commission IV. 1990. tative and qualitative data are merged to obtain Clearinghouse list ofenvironmental and student development assessment a broad view of each of the developmental tools. Bowling Green: Department of Student Affairs and Higher outcome criteria. The display ofdevelopmental Education, Bowling Green University. data is often organized by developmental out­ Astin, A. W. 1985. Achieving Educational Excellence: A Critical Assess­ come criteria. Text combined with graphs, ment of Priorities and Practices in Higher Education. San Francisco: charts, and samples from interviews or diaries Jossey-Bass Publishers. offer analysis snapshots ofstudent groups under Banning. 1978. Campus Ecology: A Perspective for Student Affairs. Cincinnati: each ofthese criteria. 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Education and Identity. San Francisco: Jossey­ team involved in planning, data collection, Bass Publishers. analysis, implementation and review melded Clearinghouse for Higher Education Assessment Instruments. 1993. Stu­ with student development theory models. Such dent Services/Involvement Assessment Instruments, Institutional Effec­ tiveness Assessment Instruments. an approach should help minimize philosophi­ Conference on the Philosophy and Development ofStudent Personnel cal differences regarding the assessment ofstu­ Work in College and University. 1937. The Student Personnel Point dent development, allowing concerns to be ofView. The American Council on Education Series I, Volume 1(3). addressed throughout the process by team Washington, DC: American Council on Education (ACE). members. Ideally, it could unite the best think­ Conoley, J. C. and Kramer, J. J., eds. 1992. The Eleventh Mental Measurements ing ofthe institution with the data needed to Yearbook. 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of separation the intellectual and affective realms ofstudent development can be easily PRINT REFERENCES integrated, there is no reason to ignore the Holland, J. 1966. The Psychology ofVocational Choice. Waltham: Blaisdell. positive impact ofcollaborative research and Hurst, J. C. and Morrill, W. H. 1980. "Student Environmental Devel­ planning that may lead to a reunion. Planners opment as the Conceptual Foundation for Student Affairs." In Di­ and researchers need to bring together person­ mensions of Intervention for Student Development, edited by W. H. nel from all backgrounds to perform broadly Morrill and J. C. Hurst. New York: John Wiley & Sons. based assessment and provide input into pro­ Kohlberg, L. and Kramer, R. 1969. "Continuities and Discontinuities in Childhood and Adult Moral Development." Human Development, cesses that will offer the institution and its stu­ 12(2): 93-120. dents opportunities for holistic improvement. Kohlberg, L. 1971. "Stages ofMoral Development." In Moral Education, Student services and academic profes­ edited by C. M. Beck, B. S. Crittenden, and E. V. Sullivan. Toronto: sionals must assess the aspects ofplanning in University ofToronto Press. which they excel. Student services profession­ Kohlberg, L. 1973. "Continuities in Childhood and Adult Moral Devel­ als are usually quite adept at reassessing and opment." In Life-span Developmental Psychology: Personality and So­ revising programs, activities, and plans to meet cialization, edited by P. Baltes and K. Schaie. New York: Academic Press. the varied issues (and crises) that each new Krueger, R. A. 1988. Focus Group Interviews: A Practical Guide for Ap­ semester brings. Academic planners may be plied Research. Newbury Park, CA: Sage. more adept at long term planning and goal Miller, T. K. and Prince, J. S. 1976. The Future ofStudent Affairs. San development. Each individual and each pro­ Francisco: Jossey-Bass Publishers. fession brings a wealth of talent, skill, and Mitchell, Jr., J. v., ed. 1983. Tests In Print: An Index to Tests, Test Reviews, vision to the collaborative planning process. and the Literature on Specific Tests (3rd ed.). Lincoln: Buros Institute Planning professionals need to recognize of Mental Measurements. multiple perspectives in the planning process. Moore, L. U. and Upcraft, M. L. 1990. "Theory in Student Affairs: Evolv­ The implicit assumptions behind subcul­ ing Perspectives." In Evolving Theoretical Perspectives on Students, ed­ ited by L. Moore. New Directions for Student Services No. 51. San tures and professional training need to be rec­ Francisco: Jossey-Bass Publishers. ognized; they affect collaboration and Moos, R. H. 1979. Evaluating Educational Environments. San Francisco: coordination efforts. Explicit and conscien­ Jossey-Bass Publishers. tious communication processes must be used Morrill, W. H.; Hurst, J. c.; and Oetting, E. R. 1980. Dimensions of In­ to overcome negative influences. Planners tervention for Student Development. New York: John Wiley & Sons. must model an inclusive environment for National Association ofStudent Personnel Administration. 1989. Points institutional and programmatic planning and ofView. Washington, DC. development. In this way, the holistic leamer­ Newcomb, T. M. and Wilson, E. K., eds. 1966. College Peer Groups: centered plan can become integrated within Problems and Prospects for Research. Chicago: Aldine. the broad-based strategic planning and opera­ Pascarella, E. T. and Terenzini, P. T. 1991. How College Affects Students: tional functions of an institution. Findings and Insights from Twenty Years ofResearch. San Francisco: Third, planners need to move from roles Jossey-Bass Publishers. typically focused at the upper administrative Perry, W. G. 1970. Fonns ofIntellectual and Ethical Development in the College level to become expert consultants at the pro­ Years. New York: Holt, Rinehart and Winston. duction/process/program stage. Here, together Rudolph, F. 1962. The American College and University: A History. New with those who implement programs, they York: Vintage Books. could collaborate on structuring strategic Sanford, N., ed. 1962. The American College. New York: John Wiley & Sons. questions, program designs, and evaluation Schlossberg, N. K.; Lunch, A. Q.; and Chickering, A. W. 1989. Improving schemes. Planners must share their expertise Higher Education Environments for Adults: Response Programs and Services from Entry to Departure. San Francisco: Jossey-Bass Publishers. "indialogue" with those closest to the students; Seidman, 1. E. 1991. Interviewing as Qualitative Research: A Guide for those in front-line operations must share their Researchers in Education and the Social Sciences. New York: Teachers expertise with planners. Both must work hand­ College Press. in-hand to plan for, implement, and assess Tinto, V. 1987. Leaving College: Rethinking the Causes and Cures ofStu­ programs that help achieve desired student dent Attrition. Chicago: University ofChicago Press. development outcomes. Ideally, students Walsh, W. B. 1978. "Person/Environment Interaction." In Campus Ecol­ should also be included in this dialogue. ogy: A Perspective for Student Affairs, edited by J. Banning. Cincinnati: Fourth, planning processes need to be re­ National Association ofStudent Personnel Administrators. shaped to include implementation strategies Winston, R. B., Jr. and Miller, T. K. 1994. A Model for Assessing Devel­ and continual re-evaluation as a part of the opmental Outcomes Related to Student Affairs Programs and Services. plan. As each new generation of students NASPAJournal, 32(1): 2-19. crosses the threshold into our classrooms and [ 106 • Doing Academic Planning

planning model that effectively integrates all ELECTRONIC SAMPLER pieces ofthe planning puzzle cannot be found. http://vocserve.berkeley.edu/ The assumption that turbulence will be elimi­ NCRVE (National Center for Research in Vocational Education). University nated by proper planning is also a myth. Plan­ of California, Berkeley. ning in student development is a fluid process, NCRVE is the nation's largest center for research and develop­ not a static product. It is muddied by individual ment in work-related education. Headquartered at the growth and development and an ever-chang­ University of California at Berkeley since 1988, NCRVE has ing mix of students. Linear plans are not ef­ played a key role in developing a new concept of vocational education as the center works towards fulfilling its mission to fective and are conspicuously absent from strengthen education to prepare all individuals for lasting and modern theory in student development. rewarding employment, and lifelong learning. Multidimensional circular or spiral models http://www.acpa.nche.edu/ may be more appropriate for planning in stu­ American College Personnel Association. dent development. The conceptual model of units (functional, environmental-interaction, http://www.naspa.org or human development) typically drives the Student Affairs on the Internet. NASPA (National Association of Student Personnel Administration). data collection and planning processes. It http://www.siu.edu/staffair/saihome.html needs to be tempered by the inclusion ofdif­ Student Affairs on the Internet. Southern Illinois University. David D. Shinn. fering views and models as planning for the This is a project to understand the Internet's use and potential planning process begins. Planners can help for student affairs. initiate the inclusion of differing views and Using any of the Web search engines, you can search for help their institution take advantage of the "student affairs" or "student development" and locate dozens, if variety of models available. not hundreds, of student affairs and student development Web The interplay between model-building pages from around the world. and evolving theories ofstudent development http://www.wiu.edu/users/micpc/index.html#top has implications for current administrative CPC (Curriculum Publications Clearinghouse). Department of Elementary software systems. Most student record system Education and Reading, Western Illinois University designs are insensitive to student developmen­ crc exists through a funding agreement with the Illinois tal dimensions. Data elements seldom include State Board of Education's Department of Adult, Vocational student behavioral characteristics associated and Technical Education for the purpose of producing and with student development. Only recently have distributing state-developed materials on a cost-recovery basis. co-curricular transcripts and similar develop­ mental features appeared in software systems. residence halls, we need to be prepared for their Most ofthese new designs are add-ons to the new challenges. Student development and in­ administrative software and are not supported stitutional planning are ever evolving processes by most vendors. that cannot remain static, cannot rely on The argument comes full circle: institu­ yesterday's snapshot. Institutional planners are tional planning gets back only what is put into needed to help implementers predict and pre­ the planning process. The integration of in­ pare for the future. The forward thinking higher tellectual and affective realms will only take education institution ofthe future will lead the place one step at a time. Institutional planners paradigm shifts, not simply react to them. have the opportunity to embrace or ignore the Finally, all models by definition are in­ opportunity on their doorstep. • complete, but some are usefuL The perfect C o--curricular programming has been shown to have a positive impact on student educa-­ tional attainment, persistence to graduation, and career success. Because the co--curriculum supplements and supports classroom learning, it is vital that student affairs and academic affairs planners work together to develop, implement, and assess the effectiveness ofthese programs. The authors discuss ways in which this can be accomplished. Planning the Co-Curricular Component Gretchen Warner Kearney and Stephen P. McLaughlin

CORE PLANNING QUESTIONS At least some ofthe cultural and athletic What is the co-curriculum? Before exploring programs offered on many campuses are either ideas for integrating the co-curricular compo­ planned through academic affairs orare a joint nent within the academic planning process, we responsibility ofthe academic and student af­ must define the term "co-curriculum" (or fairs divisions. An example of one such col­ "extracurriculum" in some institutions). Accord­ laborative venture is a holiday program ing to Stage and Manning (1992, p. 65), "the entitled "Let Us Light Candles," a co-curriculum includes any activity that takes narrated musical performance pre­ place outside the college classroom." Or in the sented by the University of Wis­ words ofMacKinnon-Slaney (1993, p. 35), "co­ consin-Parkside Office ofStudent curricular activities can be viewed as experiential Life in collaboration with three learning augmenting the cognitive and theoreti­ academic departments-English, Music, and Dramatic Arts. This cal perspectives of the classroom." Gretchen Co-curricular activities and services are program is used throughout the generally thought to include student clubs and chapter to illustrate various aspects Warner organizations; sports and cultural activities; ofco-curricular planning. Kearney leadership, wellness, and multicultural pro­ Why is the co-curriculum impor­ is the Director, Office of Educational and Career Develop­ gramming; experiential and service learning tant? The theoretical basis for the ment for the University of Wisconsin·Parkside, Kenosho, Wisconsin. Warner Kearny became amember of SCUP's (volunteer work, internships); and student importance of the co-curriculum Academic Planning Academy in 1995 and is currently employment This definition is broadened to comes from a number ofresearch Convener of that academy. encompass direct academic support services sources. Tinto's model of student such as tutoring, group study and mentoring persistence, discussed in his book programs, academic advising, counseling, and Leaving College (1993) has gener­ services for students with physical and learning ated a large body ofresearch that disabilities. Co-curricular programming and overwhelmingly documents the services are typically located within the stu­ importance ofstudent co-curricu­ dent affairs divisions of colleges and univer­ lar involvement. This research sities, although in some institutions academic correlates students' satisfaction, support components such as tutoring, success in college, and ultimately Stephen P. mentoring, academic advising, student disabil­ persistence to graduation with McLaughlin ity services, and career/student employment both their social and their aca­ is the Dean of Students for the University of Wisconsin­ services report through academic affairs. demic integration into the life of Parkside, Kenosha, Wisconsin. [ 108 • Doing Academic Planning

the college. Many studies have found that in­ present a concise profile oftoday's college stu­ volvement outside the classroom can posi­ dents: over halfare women, almost halfattend tively affect students' critical thinking ability college part-time, more than 20 percent are and other forms of cognitive development minorities, the median age is 28, and an ever­ (Terenzini,1993). rising number have a disability or are academi­ Pascarella and Terenzini (1991) analyzed cally underprepared. twenty years ofresearch on the topic and con­ To respond to these new, diverse groups clude that "extracurricular involvement has a ofstudents, co-curricular initiatives, as well as positive impact on educational attainment" other student services and academic programs, (p. 624). They explain that students who are will increasingly have to be restructured to involved in co-curricular activities often enter address their various levels ofsocial and aca­ college with higher educational aspirations demic preparation, needs, and expectations. than other students, and that these active stu­ Program design and implementation will have dents form peer groups to reinforce their aspi­ to stress flexibility, accessibility, presentation rations. They also present evidence that in new formats (at off-campus sites such as extracurricular involvement, especially when corporations, shopping malls, and training students are placed in leadership roles, has a centers, and through information technology), moderately positive impact on career success and specialized content focused on particular after graduation from college. Student-faculty student groups. Academically underprepared interaction outside the classroom is a related students, for example, require an increasing factor that positively impacts student values and variety of special support services and inter­ attitudes, career choice, student persistence, vention strategies including tutoring, group and cognitive development. One way in which study opportunities, mentoring, developmen­ this kind of interaction can be achieved is tal course sequences, intrusive academic ad­ through participation in co-curricular events. vising, and career counseling. Co-curricular planning differs from other What are the most common obstacles to co­ kinds of planning in its emphasis on qualita­ curricular planning? A number ofobstacles to tive measures deriving from student develop­ planning are inherent in the fact that, at most ment theory and the learning outcomes process. institutions, the co-curriculum is housed prima­ Movement in this area has been rily within the domain of student affairs. As Co--curricular plan-­ away from production-centered such, it is often perceived as an unnecessary planning, which has tradition­ luxury, a frill that can easily be eliminated with­ ning differs from other ally focused on such quantita­ out consequence when budgets get tight. As ex­ tive measures as student/faculty plained in Chapter 10, the prevailing kinds ofplanning in its ratio, number oflibrary volumes, assumption on many campuses is that student total institutional budget, and emphasis on qualitative affairs professionals are responsible for students' faculty workload. social development (including discipline, per­ measures deriving from What nationwide trends are sonal issues, and other support functions), while affecting co-curricular plan­ the faculty control the direction ofstudents' in­ student development ning? Because co-curricular tellectual growth-a task more central to the programs focus on students and college's mission ofteaching and learning. Over theory and the learning student needs, it is not surpris­ time this assumption has led to the development outcomes process. ing that the rapidly changing of a conceptual gap between individuals who demographics of today's col- do co-curricular planning, and those who en­ lege-going population are hav­ gage in academic (curricular) planning. Many ing a significant impact on program planning. institutions have thus failed to forge linkages The white, traditional-aged student who lives between students' co-curricular experiences and in a campus residence hall and enrolls in what occurs within the classroom-a failure that classes full-time is rapidly becoming a thing of has had a negative impact on students' personal the past. A more likely matriculant today is development as well as their academic experi­ an older female minority student who com­ ence (Seldin and Associates, 1990). mutes to campus, works off-campus, and bal­ Another obstacle arises when the lines ances a variety of time-consuming family of planning responsibility are blurred. In the responsibilities. Garland and Grace (1993) case of "Let Us Light Candles," planning is Planning the Co~Curricular Component •

done jointly by three separate academic depart­ could include faculty, staff, student governance ments and the student life division. Co-curricu­ groups, community and alumni organizations, lar programming frequently calls for such and informal power structures that exist at the collaborative efforts between student and aca­ institution. Resistance to planning is still high demic affairs planners. Unfortunately, they on many campuses, and it can be easy to un­ often result in poorly conceptualized and ex­ derestimate the degree ofresis­ ecuted programs when no one from either area tance any particular plan might takes sufficient initiative to carry out the plan­ engender (Norris and Poulton, Resistance to ning process thoroughly or cooperatively. Ex­ 1991). Therefore, it is vital that planning is still high acerbating the problem is the fact that the any planning effort be centrally academic affairs and student affairs planning coordinated, that it receive fi­ on many campuses, cycles are commonly out of synch. On cam­ nancial and political support puses where students are enrolled in classes year from institutional leaders, and and it can be easy to round, student affairs programs and planning that it be accomplished within are conducted on an ongoing, twelve-month the context ofthe institution's underestimate the basis. In contrast, many academicians and fac­ mission statement. degree ofresistance ulty operate on a nine-month calendar. Other factors to consider Co-curricular programs are generally include resource availability, any particular plan held on weekends, in the evenings, and dur­ institutional size (Can it sup­ ing lunch hours when students with tight port the type and scale of the might engender. schedules (and little time to spend on campus) proposed program?), and the can attend. In the case of academic support residential or commuter character ofthe cam­ programs, services must be made available on pus. It is much more difficult to attract students an emergency or short-term basis in response to co-curricular programs at nonresidential in­ to student need. Tutoring, testing, academic stitutions since most students who commute advising, and career counseling are ongoing to two- and four-year campuses have jobs, support services and are generally offered families, and other responsibilities. Many plan­ throughout the summer and between semes­ ning models are based on the assumption that ters as well as during the academic year. These most students live on campus even though the delivery modes may not coincide with course opposite situation prevails today. Nonresiden­ schedules or with the academic calendar, tial students are primarily interested in an edu­ which is often published years in advance and cational, not social, experience. is relatively unchanged from one year to the In order to attract commuting students, next. In order to be effective, co-curricular it is helpful to tie co-curricular programming planning needs to be collaborative, systemati­ to classroom experiences or related academic cally including both academic and student topics. It is often most successful to schedule affairs personnel. Later in the chapter recom­ programs and activities during the lunch hour, mendations are examined for facilitating this immediately before or after class times, or kind of interaction. during an established "activity hour" during which it is agreed that no classes will be held. BASIC CONCEPTS Offering educational programs that can be Environmental factors. Co-curricular plan­ enjoyed by the entire family and providing on­ ning is not linear in nature-that is, it does not site child care are strategies to attract older, always flow logically in a neat, stepwise pat­ commuting students. tern. Rather, because ofthe diverse nature of Finally, although in theory the co-cur­ today's students and the often overlapping riculum serves all students attending an insti­ functional boundaries between academic and tution, the growing diversity oftoday's student student affairs as they pertain to the co-cur­ population precludes anyone program meet­ riculum, the process needs to be flexible and ing all needs. Before beginning to plan a pro­ synergetic. Before beginning to plan, careful gram, careful thought should be given to consideration should be given to both the which student group(s) will be targeted and internal and external environments ofthe in­ why these groups have been identified. stitution as they might affect program effec­ Co-curricular planning model. Co-curricu­ tiveness. These environmental influences lar planning is usually internally-directed, [ 110 • Doing Academic Planning

focusing on the needs and development ofstu­ Before collecting any new data, the co­ dents at a particular institution. It is often ac­ curricular planning team should examine in­ complished over a short time frame. Thus, formation already available. When generating while some of the elements of strategic and new data, informal focus groups and interviews T long-term planning processes can be used, along with minutes of student 1 he growing diversity may be applicable, operational organization meetings, attendance figures from , or tactical planning models that similar past programs, institutionally-devel­ of today s stw1ent POPU-- focus on the shorter term, are oped surveys, and nationally-normed instru­ . l· .J - more appropriate. Stage and ments such as the Acrstudent profile and the lanon prec 'ULU::'-S anyone Manning (1992) advocate the CIRP survey ofincoming freshmen developed program meeting all use of Ru~sell's (1982) m~del by the Higher Education Research Institute. for recreattonal and co-curncu- Planners should carefully consider the reliabil­ needs. Before beginning lar programming. Six basic el­ ity and validity ofan instrument before using ements form the model: it. They should also look for indications that to plan a program, • Needs assessment; a particular instrument may be culturally bi­ ased-a growing concern as our student bod­ • Determination of program careful thought should be ies become more diverse. A number of objectives; available books and research articles explain given to which stw1ent • Generation ofprogram pos­ how to plan programs for specific student group(s) will be targeted sibilities; populations. These are listed in the bibliogra­ • Program development; phy at the end of the chapter. and why these groups • Program implementation; Phase two, determination of program and goals and objectives, is based upon the results have been identified. ofthe student needs assessment. Since not all • Program evaluation. student needs can be met through a single pro­ Depending upon the kind ofco-curricu­ gram, the planning team must establish goal pri­ lar program under consideration, a cross-dis­ orities. In order to do so, team members can ciplinary planning team with representatives interpret the collected data and determine what from both student and academic affairs should student outcomes (behavioral and/or cognitive) be formed to work together through all stages should result from the proposed program. It is ofthe process. This team should also include vital that goal setting be selective and collabo­ student representatives from the target rative, actively involving all members of the group(s) toward which the program is focused. team. This phase must also be realistic, taking From the outset, this strategy should increase into account available resources as well as po­ support (personal and financial) for the pro­ tential barriers and limitations. Barriers might gram, reduce existing political tensions, and include existing policies, political controversies, assist in integrating co-curricular programming and staffing limitations. Strategies for overcom­ within the academic affairs planning cycle. ing them should be identified, but if they appear Needs assessment. The first phase, is best ac­ insurmountable, it is realistic for the team to complished through collection of both quan­ consider scaling back or scuttling the program. titative and qualitative data; a process that may Finally, goals must be measurable to provide a be time-consuming but will give a much more basis for later evaluation of the program. The balanced, accurate, and useful profile of the team should decide what quantifiable outcomes needs of the target population than anyone (objectives) would be necessary in order for the kind ofdata alone. This phase needs to be ac­ program to be considered a success. At this complished in conjunction with stage six, evalu­ point, a method ofmeasuring the outcomes may ation or outcomes assessment. Together, the two need to be identified and pre-tested. constitute an ongoing system of co-curricular The third phase involves team brain­ planning and evaluation. Because most student storming of potential programs that might fit outcomes are influenced by a wide variety of the student needs and program goals and objec­ programs, events, and environmental and back­ tives defined in the earlier two phases. This is ground factors (Winston and Miller, 1994), a creative, collaborative process. Existing pro­ both the needs and outcomes assessment phases grams are fair game for discussion, particularly ofprogramming should use multiple measures. ifthey can be expanded or changed in some way Planning the Co,Curricular Component • 111 [

to accommodate the activity or event under • Pre- and post-testing for learning, behav­ consideration. At the end ofthis stage, the team ioral, or attitudinal change; should narrow its options to one preferred pro­ • Findings from student focus groups; and gram or event or a series of related programs. • Institutional climate/environment surveys. During phase four, the planning team develops the co,curricular program. This For greatest effectiveness, these measures stage requires a brutally realistic appraisal of should be used in conjunction with needs as­ costs and any other limits to program effective­ sessment data generated during phase one of ness. Stage and Manning (1992) have de­ the planning process. Outcomes assessment signed a matrix that can be used for making should combine quantitative and qualitative decisions about programming costs. Program measures as well as cross-sectional and longi­ objectives can be placed on the left-hand side tudinal designs. A systematic assessment ef­ of the matrix, while various cost levels (low, fort can use several different approaches, medium, and high) are placed along the top. including functional, environmental interac­ When the budget is tight, an increasingly tion, developmental, or cross-functional for ef­ common condition, tradeoffs have to be made fective analysis and display of co-curricular to achieve program objectives. data. (See Chapter 10 for a full discussion of The fifth phase ofthe process is program these different approaches.) This final out­ implementation. Depending upon the kind of comes assessment phase must lead, in circu­ program, the team may decide to conduct a lar fashion, back through the other five stages pilot or trial program with a small group of as part ofa continuous process in order for the students. Particularly when the full-scale event planning cycle to be effective and dynamic. will be expensive to produce, a pilot program The planning team should develop, in that is evaluated thoroughly following imple­ advance, strategies that can be used to deal with mentation can be highly cost-effective. low student response rates and low program in­ Whether or not the program is a pilot or the terest and participation. This is particularly true "real thing," students and staffwho are not on ofco-curricular planning for nonresidential stu­ the planning team will probably be involved dents. Strategies may include: in its implementation, and care must be taken • Obtaining survey responses from audi­ to ensure that these individuals understand ence members or participants immedi­ why and how the program was developed. In ately following an event/performance; addition, members of the planning team • Conducting assessments in should attend the event itselfso that they have classrooms where students ]he planning team direct experience so important in the final are a "captive audience"; evaluation stage. • Designing a personal fol­ The final phase, which should be ongo­ should develop, in low-up process when par­ ing if the program will be implemented on a ticipants orgroups can be advance, strategies regular basis, is evaluation or outcomes assess, identified; ment. As Stage and Manning (1993) point out, that can be used to this stage is very much like the needs assessment • Providing incentives phase in that several kinds ofevaluation should (food, prizes, money) to deal with low student be conducted in order to get the broadest pos­ respondents; sible range ofresponses. In addition to the evalu­ • Including self-addressed response rates and low ation methods described for use during needs return envelopes or post­ program interest and assessment, typical outcome measures include: cards with mailed surveys; • Portfolio analysis (in which examples of and participation. a student's work or experiences in plan­ • Using telemarketers to ning or implementing an activity are survey program participants. gathered together); On campuses with touchtone registra­ • Student satisfaction instruments; tion systems, the researcher can program the • Persistence and graduation rate data; system to ask a series of questions and auto­ matically dial a random sample of students. • Developmental transcript analysis (Win­ ston, Miller, and Prince, 1979); The campus management information system [112 • Doing Academic Planning

should also be used as it can collect and assimi­ changes and in determining whether or not late a tremendous amount ofspecific data for the program should have been offered the analysis. Although this kind ofinformation is following year. readily available on most campuses, it is sel­ The program was developed within a dom used for program planning. relatively short time frame (and without the The "Let Us Light Candles" program il­ benefit ofRussell's planning model!). Never­ lustrates this six-step process. Initially, a mem­ theless, the planning process for this program ber of the student affairs staff conducted a can be used to illustrate some ofthe steps that qualitative needs assessment by interviewing can be taken to plan a successful new co-cur­ a cross-section ofstudents, staff, and faculty at ricular event. the university. Results ofthe assessment indi­ "Let Us Light Candles" can also be used cated a high level of interest in the proposed to illustrate how to measure co-curricular out­ program and confirmed that it would fill an im­ comes, utilizing several different but appropri­ portant educational need. To form a planning ate tools. A survey could be distributed at each team, the student affairs staff member ap­ performance, asking audience members proached faculty in the English and music whether they learned something new about departments as well as a student member ofthe the holiday traditions presented and whether campus activities board. Together, these team their expectations concerning program con­ members developed a set ofgoals and objectives tent and quality were met. A pre-test could be to meet the needs articulated in the assessment administered to students to determine their phase. The primary outcome defined for this level ofawareness and understanding ofvari­ program was to educate the campus and com­ ous religious traditions before attending the munity about diverse holiday traditions. performance. A post-performance assessment The team spent the next several weeks could be administered to measure changes in brainstorming ideas as to how the goals and knowledge (concerning various religious ob­ objectives could be accomplished and what ar­ servances presented) or behavior (whether re­ tistic and program components would need to spondents exhibited increased tolerance for be included. Once the brainstorming had con­ the ways in which other cultures and religions cluded, and the ideas had been translated into celebrate the holidays). Focus groups con­ useable concepts, the team proceeded to de­ ducted before the event and immediately af­ velop the program. This included writing the terward could also indicate whether a desired narrative, selecting the music, designing a set, learning outcome occurred. Finally, co-curricu­ developing a promotional plan, and delineat­ lar planners would want to see some quanti­ ing a budget. During the fifth phase of the tative data in order to know whether or not effort, the team invited students attendance figures met expectations and }he campus and instructors to two matinee whether revenue projections for the event performances. Following each were reached. management informa-­ program, an informal survey was conducted to gauge general MANIPULATION, DELIVERY, AND ACTIONABILITY ISSUES tion system should reactions to the program and to discover what members ofthe Why is the data collected on co-curricular also be used as it audience had learned. In retro­ programs often not useful to academic plan­ can collect and spect, team members felt they ners? It is difficult to find information useful should have developed a formal or meaningful when one cannot gauge the assimilate a tremendous evaluation tool to determine effect ofa program on the institution's "bot­ more accurately the impact and tom line." In order to demonstrate that co­ amount ofspecific usefulness of the program and curricular programs have an important impact to discover whether the pro­ on students that in tum affect the institution data for analysis. gram met the originally stated in favorable and significant ways, program goals and objectives. Using the planners must demonstrate that students who survey instrument, each year's performance attend/participate in these programs learn or would then reflect the evaluation results ofthe develop in ways that differentiate them from previous year's program. This information their peers who do not attend/participate. could have been critical in making needed While on the surface the impact of most Planning the Co-Curricular Component •

co-curricular programs is highly subjective, a and is not widely distributed or shared in a sys­ direct relationship does exist between the re­ tematic way. It is essential thatdata on co-cur­ tention ofsatisfied students and the budget­ ricular programs and outcomes be made ary implications of such satisfaction. If we available to both student services and aca­ know that satisfaction results from student ex­ demic affairs planners so the institution can pectations being met by the university, and the make good decisions regarding limited re­ university promotes its co-curricular programs sources and so the importance as part ofthe student recruitment process, then ofsuch programs is understood. it follows that these programs influence recruit­ There are a variety of It is essential that data on ment, retention, satisfaction, loyalty, and technological tools available to co--curricular programs and graduation rates. assist in data display and dis­ One way in which planners candiscover semination. Planners should be outcomes be made available whether co-curricular programs are important able to access data via elec­ to student satisfaction is to use the university tronic mail and through online to both student services and database to survey prospective students who databases. Other formats may visit the campus. This information can help include executive summaries, academic affairs planners determine whether the availability ofspecific presentations on videotape, programs is instrumental in a student's deci­ newsletters, and news releases so the institution can make sion to attend the institution. The university's in the campus and community good decisions regarding institutional research office can correlate the newspapers. Specialized reports data with students' academic performance and focusing on the mission and limited resources and so with retention and graduation rates to deter­ goals ofvarious offices and di­ mine the impact of various programs on the visions within the university the importance ofsuch university's bottom line. can also "get the message Another way to measure co-curricular across" effectively. Winston and programs is understood. impact is to analyze the experiential portion Miller (1994) suggest that stu- ofa program. For example, students who are dent quotations gleaned through interviews involved in the promotional aspects of"Let Us and focus groups can "humanize" data and Light Candles" can have their hands-on ex­ make it more meaningful than graphs and perience analyzed as it applies to learning in statistical tables. a marketing class. Other courses for which this experience could be relevant include theater RECOMMENDATIONS First, it is vital that co-curricular planning be set design, musical performance, box office accomplished within the context of the management/audience development, public relations, and promotional writing. This con­ institution's mission statement and that it be influenced by the vision ofthe chiefexecutive. cept could be further expanded through the When the mission statement is inaccurate or development ofcredit-bearing internships and weak and when the chiefexecutive has failed practica in a variety ofacademic disciplines. to articulate a vision for the institution, the Related measures include instructor and stu­ planning process becomes extremely difficult. dent evaluations of the experience, data on Second, the planning process should not how many students have taken advantage of experiential learning, and whether this num­ become too prolonged. Co-curricular plan­ ber has increased each year, and alumni sur­ ning must reflect the institutional environ­ ment, which is in a constant state of flux. veys indicating how helpful the experience was to students' career growth after graduation. Programs must often be developed and imple­ mented quickly in order to take full advan­ How can co-curricular data be inter­ preted, displayed, and distributed so that it is tage ofcurrent events on campus and in the larger community. used effectively by other planners on campus? Third, collaborative linkages between Planners tend to use data most when it is sum­ student and academic affairs must be built into marized in a brief, concise format. This is prob­ the planning process. These two areas should lematic in the area of co-curricular work as functional teams (Garland and Grace, programming. Because of the overlapping 1993) and take joint ownership ofco-curricu­ planning functions in this area, information is often collected by several different offices lar planning and outcomes assessment. The [114 • Doing Academic Planning

two components must be planned and assessed PRINT REFERENCES in an integrated way if the resulting programs Cheatham, H. E., ed. 1991. Cultural Pluralism on Campus. Alexandria: and evaluative data are to be understood and American College Personnel Association Media. supported by both the student and academic Garland, P. H. and Grace, T. W. 1993. New Perspectives for Student Affairs Pro­ affairs communities. Through reengineering fessionals: Evolving Realities, Responsibilities and Roles. ASHE-ERIC Higher analyses, some institutions have made bold Education Report No.7. Washington, oc: George Washington University, organizational changes to foster collaborative School of Education and Human Development. linkages. Combining the position ofthe aca­ MacKinnon-Slaney, E Spring, 1993. "Theory to Practice in Co-Curricular demic vice president with that ofthe student Activities: A New Model for Student Involvement." Collep;e Stu­ development officer has met with success in dent Affairs Journal 12(2 ): 35-40. community colleges and four-year institutions Norris, D. M. and Poulton, N. L. 1991. A Guide for New Planners. Ann Arbor: Society for College and University Planning. ofmoderate size. Fourth, new information technology Pascarella, E. T. and Terenzini, P. T. 1991. How College Affects Students: Findings and Insights from Twenty Years of Research. San Francisco: should be used whenever possible to improve Jossey-Bass Publishers. the analysis, presentation, and dissemination Russell, R. 1982. Planning Programs in Recreation. St. Louis: Times-Mir­ ofdata. Email, online databases, and computer ror/Mosby. analysis and formatting are examples. Al­ Seldin, P., and Associates. 1990. How Administrators Can Improve Teaching. though usually limited to processing transac­ San Francisco, CA: Jossey-Bass Publishers. tions, administrative software systems should Stage, E K. and Manning, K. 1992. Enhancing the Multicultural Campus be examined as well for their potential to cap­ Environment: A Cultural Brokering Approach. New Directions for Stu­ ture and report student development informa­ dent Services No. 60. San Francisco: Jossey-Bass Publishers. tion usable to a variety stakeholders including Stage, E K., ed. 1992. Diverse Methods for Research and Assessment of College students, managers, advisors, and faculty. Students. Alexandria: American College Personnel Association Media. Fifth, co-curricular planning is not a Tinto, V. 1993. Leaving College: Rethinking the Causes and Cures ofStudent static process. Evaluation, as the last step in Attrition (2nd ed.) Chicago: The University ofChicago Press. Russell's (1982) planning model, has to be Winston, R. B. and Miller, T. K. 1994. "A Model for Assessing Devel­ revisited continuously. Often, evaluation opmental Outcomes Related to Student Affairs Programs and Ser­ needs to be done at times other than the con­ vices." NASPAJournaI32(l): 2-19. clusion ofa program because new information Winston, R. B.; Miller, S. c.; and Prince, J. S. 1979. Student Develop­ mental Task Inventory (2nd ed.) Athens: Student Development As­ that could alter program delivery is constantly sociates, Inc. being collected. Wright, D. J., ed. 1987. Responding to the Needs ofToday's Minority Stu­ Sixth, it is vital for co-curricular plan­ dents. New Directions for Student Services No. 38. San Francisco: Jossey­ ners to demonstrate how programs in this area Bass Publishers. benefit the curricular and institutional "bot­ tom lines." Illustrating the budgetary implica­ ELECTRONIC SAMPLER tions of retaining and graduating satisfied, successful students is one approach. The co­ http://sshe7.sshechan.edu/mayplan.html curriculum affects the academic bottom line Imperatives for the future: A plan for Pennsylvania's state system ofhigher education. directly when departments establish intern­ An excellent document to peruse on how co-curricular facets of ships, practica, and volunteer experiences that higher education are woven through an entire strategic plan. tie in with different programs to give students http://w3.wo.sbc.edu/Co-curricular/home.html "hands-on" experience and complement the The Sweet Life@SBC. Office ofCo-Curricular Programs, Sweet Briar College. academic component. http://www.siu.edu/plan.html Finally, because campuses comprise nu­ Priority Issues for SIU. Southern Illinois University. merous subcultures and diverse racial and eth­ This is the pertinent portion of the Southern Illinois Univer­ nic groups, it is difficult to define the exact sity strategic plan. students we are targeting for co-curricular pro­ http://wWw.uwp.edu/ gramming efforts. Co-curricular planners need Home page. University ofWisconsin-Parkside. to incorporate multiple perspectives into the planning process in order to serve various stu­ co-curriculum is by definition "experiential dent constituencies. Diverse perspectives must learning augmenting the cognitive and theo­ be sought from faculty, staff, and students by retical perspectives of the classroom" incorporating a variety ofethnic and age groups (MacKinnon-Slaney, 1993, p.35), and these into all phases of the planning process. • Academic Planning within the Larger Context Integrating Academic and Facilities Planning Dilip M. Anketell Connecting Academic Plans to Budgeting: Key Conditions far Success Thomas K. Anderes

~e link between academic planning and facilities planning is often strong in theory but weak in practice. Facilities planning can be successful only when it is integral to the overall mission and goals ofan institution, and when all facets of the academic community are represented at every step along the way of the planning process. Integrating Academic and Facilities Planning Dilip M. Anketell

INTRODUCTION • How do planners get key decision mak­ The integration of academic and facilities ers to plan? planning usually occurs either through a broad • Should planners be a part of the deci­ range ofactivities that incorporate academic sion-making process? needs into the design, construction, and use • How can planners establish and main­ ofa new building, or when institutions coor­ tain an institutional commitment to dinate key elements oftheir strategic plan into continuous planning? a concise planning tooL A fundamental tenet of the planning Effective planning leads to a rational process dictates that the "academic plan" process ofdefining and clarifying purpose or guides and directs the physical and facilities mission. An institution's academic plan, an planning on any campus. However, defining identification of program strengths, areas of and crystallizing academic objectives into an expertise, and selected priorities where the orderly set ofpriorities and principles is difficult institution wants to focus its attention and for institutions governed by faculty accus­ resources, should serve as the foundation for tomed to independence and autonomy. In­ an integrative planning process. The lack of creasingly, the complexity ofhigher education a clear, well defined academic plan, however, institutions and the regulations that are im­ inhibits the planning process, much like trying posed on them make specialization, compart­ to start a car without an ignition key. mentalization, and even competition more CORE PLANNING QUESTIONS common on campus than collaboration. In­ Planning is a fragile profession, creased specialization often leads to a lack of inherent in its grounding in the soft communication and knowledge about the sciences, heavily dependent on the overall mission of the organization. Thus, political climate, and the acumen physical and facilities planners often become of the planner-proponent for its frustrated when they attempt to convince their success. Universally embraced as es­ academic colleagues and executive manage­ sential to sound policy practice, ment to develop an academic plan. planning is rarely mandated or re­ Dilip M. Although this chapter focuses primarily quired by statute. Further, as middle Anketell on the processes that integrate academic and managers, planners often fail to is an Educational Planning and Management Consultant facilities planning, some fundamental ques­ exert significant influence on deci­ with dilip m. anketell &associates, Riverside, California. tions must first be explored. sion makers or the decision making Anketell is the Associate Convener of SCUP's Facilities • Why plan? process. Yet, effective planning Planning Academy and afrequent presenter at SCUP's annual international conference. [118 • Doing Academic Planning

requires clear support from the president or ofconstruction completion, butdescribed little chancellor and their executive officers. about the extensive, necessary decision pro­ Why plan? Higher education is redefining and cess followed to reach that point. transforming itselffrom inside and outside the During the past decade, an approach academy. Changing environments, external similar to a general city plan that includes many competition, new clientele, uncertainty ofre­ constituencies has evolved as an effective way sources, a growing diversity ofstakeholders and to depict campus growth. An outgrowth of mission complexity together demand the use of concerns over environmental problems, the managerial tools to prevent organizational frag­ participative approach to a Long Range Devel­ mentation. To successfully manage the trans­ opment Plan (LRDP) replaced "master plans" formation of higher education and guide its in the planning vocabulary. LRDPs establish future, institutions must view comprehensive broad land use policy and direction for campus and integrative planning as an essential tool. growth, and include text that outlines and prescribes enrollment trends, planning assump­ Haw do you get decision makers to plan? Of­ tions and land use requirements. ten, the arrival ofa new chiefexecutive officer provides an opportunity to begin a planning BASIC CONCEPTS process because administrative change affects Comprehensive planning requires a participa­ reassessment and evaluation ofexisting poli­ tive team approach to achieve a broad perspec­ cies and procedures. External challenges also tive ofthe institution's vision. Comprehensive encourage planning efforts because society planning also requires a continuous process, today demands accountability from higher segmented at specific, regular intervals only to education as well as other institutions. To pro­ create milestones or benchmarks to manage data. vide educational services efficiently, institu­ Figure 1 (Campus Planning and Imple­ tions must determine priorities and judiciously mentation Wheel) illustrates the comprehen­ allocate scarce resources. (The University of sive planning approach. The initial step, the California, for example, was forced to embark development ofthe academic plan, defines the on long range development vision and mission statement to establish in­ planning to justify funding sup­ stitutional direction and provides a framework During the past port for enrollment growth and for the deliberations that will follow. These the creation ofnew campuses.) plans ofren contain broad statements ofdirec­ decade, an approach Should staff planners be a part tion for each division college or school. How­ similar to a general city of the process? Involvement of ever, the plan must also include sufficient a staff planner can improve details offuture growth (or retrenchment) for plan that includes communication. The planner campus planners. The academic planning can provide feedback on ques­ document should contain: many constituencies tions about program-to-facility • The planning horizon (time frame); compatibility, costs, adjacency •A list ofexisting programs, enrollment has evolved as requirements and other issues, history and future projections; an effective way to including feasibility. Collabora­ •A list ofnew program initiatives, including tion between academic and start dates by program level (AA, BS/ physical planners through depict campus growth. BA, MS/MA, PhD) team-based project manage­ enrollment trends by level to build-out mentfosters ongoing commitment to planning by senior management. program growth rate estimations; What type of plan? Historically, campus plans • Existing program space and needs followed the "city beautiful" style ofplanning, projections; commonly referred to as "master plans." The • New program initiatives and projected deliverable product usually resulted in an space needs; elaborate multicolored drawing, depicting • New program adjacency requirements; existing and future buildings with adjacent • Annual operating budget development; and malls and walkways. The illustrative drawings, often limited in text, provided the viewer/ • Annual capital program budget de­ velopment. reader a clear vision ofthe campus at the time Integrating Academic and Facilities Planning • 119 [

FIGURE 1 Campus Planninll and Implementation Wheel

StIIlle 1 Strategic Planning

Conceptual program development. This next ning assesses space and facilities at comparable stage defines the general campus appearance or competitive institutions. and configuration. The planning team should Following the data collection phase, the include consultants (architectural and plan­ team should develop conceptual programs for ning), campus and system representative space each identified unit/division or college/school. planners, and the long range (physical) plan­ The team should review draft forms ofprogram ning committee. Specialty consultants (e.g., models with various client groups and when engineers, landscape architects, technology necessary, develop a phased implementation specialists) should be included in the consult­ plan. The quantitative description of each ant team as required. program should include faculty counts (full The first step in this process is a program time equivalent), full-time employees and FTE needs assessment that includes interviews with students served. The facilities inventory should all vice presidents/vice chancellors, deans, and include net square footage requirements, net­ unit heads. In addition, environmental scan- to-gross efficiency factors appropriate for each [120 • Doing Academic Planning

component type, and the resulting gross square tion ofthe Request for Proposal (RFP) to hire footage required by each component and a consultant (or consultants), and provisions phase. These data can then form a base to for logistical support to the various commit­ generate prototype building footprints for tees established. One ofthe first staff tasks is broad categories of campus building types. to circulate and obtain approval of the RFP The process should also produce a report from the various committees or administrators. narrative on the various programs, a phasing Selection ofthe consultant should be a deci­ implementation schedule, a sion made by representative committee mem­ transportation and parking re­ bers, as a first step toward consensus building }he fewer administra, port, a residential and non-resi­ and to ensure support of the process. tive staff involved in dential housing report, and an Once the consultant is selected and con­ inventory ofland uses and acre­ tractually secured, the administrative staff the process, the greater age requirements. should define the philosophical position! ofthe The Long Range Devel, planning office and prescribe the ground rules the number of opment Plan (LRDP), the for the consultants. Further, some institutions third segment in Stage 1 ofthe select consultants based on stylistic compatibil­ consultants who strategic planning process, can ity, expertise, and experience not possessed by must be contracted, be organized into four major staff. These philosophical ground rules may vary categories: organization, pro­ among campuses, according to the degree ofre­ resulting in a lower cess, content and deliverables. liance on consultants during the process. To establish the founda­ Operationally, at least one member of commitment to the tion for a successful LRDP, the in-house team should accompany the there must be visible and abso­ consultant to all meetings. Further, all com­ study than desired. lute community, campus and munication flows through the in-house project central administrative support team leader to the consultants. for the endeavor. In addition, this consensus The agenda for the kick-off meeting of broad support should help articulate the between the in-house team and consultants goals ofthe plan and should clearly define the should include the generation and discussion terms of process and the anticipated results. ofideas, a confirmation of issues that require Next, the project must receive adequate fund­ attention, and the development ofa schedule ing and appropriate staffing, or the project will for the plan. The first meeting should also faiL The fewer administrative staff involved provide the consultants' team members an un­ in the process, the greater the number ofcon­ derstanding ofthe campus culture, its organi­ sultants who must be contracted, resulting in zational components and communication a lower commitment to the study than desired. channels, and all pertinent operating policies Two final ingredients, a clearly articulated and and procedures. adopted academic mission, and a detailed, co­ The initial meeting should also identify gent conceptual program form the basis for a specific tasks and logistics to manage and as­ successful LRDP. sign individuals responsible for them. Included Organization. Review committees are an im­ in these discussions should be the establish­ portant element in the process, and the plan­ ment and content ofa mail and email distri­ ning team must develop policy that identifies bution list that will maintain open commu­ the membership ofeach committee and defines nications among all members of the their respective roles. For example, if a blue committee. The list should be as broad and in­ ribbon advisory committee is established, the clusive as possible. Attempts to scale down the composition of membership and its role and list often lead to problems later which could ranking compared to other standing commit­ result in significant expense and delay. An tees, such as an academic senate committee, open, inclusive process will strengthen the must be clearly defined and channels ofcom­ constituent group's sense ofownership and will munication between the groups established. result in a successful process and plan. Tasks usually performed by the institution's administrative staff include the lAs an example of what is meant hy "philosophical position," the University ofCalifornia, Riverside (UCR) identifies all hiring ofnew personnel as required, prepara- contracted consultants as extensions of the university planning office. Integrating Academic and Facilities Planning • 121 [

Process. The process to develop an LRDP neighborhoods is anticipated. Including local begins with the identification of priorities in planning and redevelopment officials, public the academic plan and refinement ofthe mis­ utilities, and public works staffcreates coopera­ sion statement. These requirements must then tion and trust that will improve information dis­ transfer directly into a physical plan that will semination and expand and enhance the evolve from active participation of planning support base for the planning effort. Local of­ committee members representing all facets of ficials and institutional "planners" recognize the the institution. The typical review process campus as an integral part ofthe local, regional, begins with the concept definition, follows and in some cases, national landscape. with client committee review and revision, and Data collection and reports on building concludes with public review and comment. condition and use, as well as adaptive reuse The concept definition phase begins surveys, should cover all campus (i.e., aca­ with data classification and categorization into demic and non-academic) facilities. The utility various schematic types: ofthese data will become evident as alterna­ • Physical; tive land use plans are developed, and ulti­ mately, when the capital program and • Biological; associated budgets are developed. • Transportation; While the first Long Range Develop­ • Infrastructure; ment Planning Committee meeting outlined • Housing; the study, defined the concept, and identified and assigned specific tasks and responsibilities, • Local plans and ordinances; the second committee meeting should present • Land use (on-campus and surround­ key notions ofthe members' vision ofthe in­ ing area); stitution. Discussion should include topics • Zoning; and such as assets, liabilities, opportunities, barriers • Building conditions, use and adaptive and a preferred future. Assets should encom­ reuses. pass both the natural (e.g., unspoiled hills sur­ rounding the campus) and the human-made Content. Data collected in the "physical" cat­ (e.g., historic buildings). Liabilities may in­ egory include climate (temperature, rainfall, clude a freeway adjacent to the campus with wind) as well as topographic and soils infor­ its associated noise and air pollution. Chal­ mation. Biological data should include natural lenges associated with those items which, with fauna and flora, recognized riverland stream remedial action, could become right-of-way areas, and endangered species. an asset to the campus can in­ Transportation includes campus parking pat­ ~bUcinstitutions clude both natural and con­ terns (e.g., data on origins and destinations), structed features, such as a series methods oftravel (bus, train, carpool, bicycle, can avoid land use of poorly situated temporary walking), street and intersection volumes and structures blocking an other­ capacities, and freeway and highway accessi­ conflicts and enhance wise attractive view to a lake or bility routes. Housing data should consider building. Such issues should be their standing with availability, type, location and cost of(on- and identified with text, maps, and off-campus) housing for students, faculty and photographs. This technique local jurisdictions by staff, and should project any new housing will produce an inventory of projects that will be available later in the area. involving them in existing data and will reveal Infrastructure data should describe all utilities missing information that can (power, water, sewer, storm drains, telephone, the process, particularly assist planners to frame options media, heating and cooling), and should in­ that are politically feasible and if growth into clude projections offuture expansion. technically accurate. Land use and zoning data are particularly Next, the committee adjacent neighborhoods important to private institutions governed by should thoroughly review the local ordinances. Public institutions can avoid is anticipated. data collected and formulate its land use conflicts and enhance their standing environmental assessment, developmental op­ with local jurisdictions by involving them in portunities and constraints, site analysis/visual the process, particularly ifgrowth into adjacent assessment, transportation, roads and intersec- [122 • Doing Academic Planning

tions, parking and utilities capacities, growth to see the campus expand across its recognized limitations that may affect adjacent city plans, boundaries and become a more visible player and an inventory ofcampus/community issues in the community, versus the institution's and conflicts. Here again, the use oftext and vision ofa cohesive single unit with minimal illustrations is particularly useful. involvement or intrusion into the surrounding Alternative physical planning scenarios community. Many campuses today face con­ first prove useful during development ofalter­ flicting issues to provide broad access to fa­ nate land use plans. An open, honest and cilities, but also maintain a safe, secure responsive process results in the greatest level environment. ofconsensus and support. Color maps, charts, Assuming consensus can be reached on and photographs are useful tools in this pro­ the evaluation criteria, choosing and ranking cess. At this early stage participants should be alternative plans can be done collectively. encouraged to become actively involved and Often, elements from various plans may ap­ add their own interpretations to the drawings. peal to different groups. Then, an opportunity A facilitator should record these interpreta­ may exist to build consensus by adopting spe­ tions on wall charts to demonstrate to the par­ cific elements and creating a new alternative. ticipants the importance oftheir opinions. At Since land use planning decisions are not the next committee meeting, these interpre­ based on absolutes, this outcome presents one tations should be distributed as part ofthe pre­ of the easiest opportunities to participate in vious meeting's minutes so that participants the decision making process and, when man­ realize their comments are part of an official aged correctly, can generate support and own­ record and are earnestly considered. ership at a critical point in the process. Any Deliverables. Constantinos Doxiadis com­ stakeholder's lingering perception ofneeds left pared the lifespan ofphysical plans to biologi­ unaddressed at this point can seriously dam­ cal organisms (Doxiadis, 1969), where various age the final outcome ofthe plan, particularly organs represent land uses and arteries and if the perception causes either active or pas­ veins represent transportation infrastructures. sive disassociation with the plan. Iftransportation is a function ofland use, then Once adopted, the committee must several alternative land use plans may result quickly transmit the plan to appropriate de­ along with a corresponding cision making bodies on campus for consul­ transportation is number oftransportation alter­ tation. The LRDP document should include: If natives. Each alternative should • An executive summary; be given due consideration, not a function ofland use, • An introductory statement of purpose only by the committee, but and need; then several alternative through campus and commu­ nity workshops and task forces • Plan context; land use plans may that involve students, faculty, • Planning determinants; and staffand community mem­ •A description of the plan; result along with a bers. Alternatives should also • The process for plan implementation; and corresponding number be publicized in project news­ letters. • Appendices. of transportation The development of al­ The Capital Improvements Plan com­ ternative plans should identify prises the final segment in Stage l---Strategic alternatives. an ideal plan superimposed Planning portion ofthe diagram. The organi­ over existing conditions. When zational structure necessary to review and ap­ tested through a formula-weighting system for prove a capital program on campus depends compliance with vision, mission, goals, phas­ on a variety ofcircumstances that may include ing and costs, etc., the ideal plan should earn campus culture and organization, precedents the highest value and the lowest cost. It be­ and history. Composition of the committee comes the benchmark against which other al­ should represent all academic units, adminis­ ternatives are tested and compared. trative decision makers, students, staff, and Alternatives should also include differ­ academic senate or appropriate faculty gover­ ing, and in many instances, competing vi­ nance assemblies. To provide continuity in the sions. An example might be the city's vision process, membership should include key mem- Integrating Academic and Facilities Planning • 123 [

bers of the Academic Planning and Long nonnal operation until time for renovations to Range Development Planning Committees. occur in the building because ofage, deterio­ The first step in the development of a ration, or change in program accommodations. capital program should be a two-page project The Planning Wheel outlines the pro­ summary that includes a paragraph or two cess for new construction, but additional plan­ covering problem identification, alternative ning must occur to fully utilize existing solutions, project description, quantitative facilities once space is vacant. justification, and status of project. Priority ranking and scheduling of COMPREHENSIVE PLANNING APPROACHES AND PRACTICES projects is the next step in the development Comprehensive, consistent planning practices ofthe capital improvement plan. Priority rank­ require a pragmatic approach, meeting with all ing for scheduling projects should correspond deans and unit/division heads to ascertain the as nearly as possible to the delivery schedule visions, goals, and program objectives for their ofprograms in the academic plan. Variations specific areas of responsibility. Prior to these from the academic plan schedule should oc­ meetings, enrollment and other growth trends cur only when new information, unavailable or retrenchment analyses must document jus­ during development of the academic plan, tifications for further facilities planning. results in a rearrangement ofacademic priori­ The strategic planning process described ties. Finally, the time frame (planning horizon) in Stage 1 of the Planning Wheel can apply for the multi-year capital improvement pro­ directly to space assignments and renovation of gram should match the time frame used for the existing facilities. Once the academic priorities academic and physical plans. are established and decisions are made about Private institutions may choose to com­ who will move into new facilities, a second plan­ bine academic and non-academic projects on ning cycle can begin to "backfill" vacant space. a single master capital improvements schedule. A series ofimportant decisions must follow: A consolidated list also often benefits public institutions who must coordinate and manage • Will the existing structure remain? Does staff workloads. Many public institutions also the master plan call for demolition ofthe require a separate program schedule for non­ structure and an adaptive re- C state funded projects. use ofthe site? Is it cost-ben- omprehensive Once Stage 1 is complete, Stage 2, the eficial to renovate the struc- ' Pre~Design Stage follows, measuring the re­ ture? Does the structure have consistent planning sults derived from Stage 1 against any recog­ historical or architectural (or . , nized benchmark or regulatory guidelines and both) value? Is the structure practzces requzre a standards to determine whether the plan is tied to any legal commit- pragmatic approach accurate, pragmatic, affordable, realistic, and ments ofthe property? ' complies with recognized local, state, and fed­ • What is the current con~ meeting with all deans eral construction codes. dition of the structure? d' /d' " h ad When the Pre-Design Stage confinns or Will it require more reno- an unzt zvzslOn e s adjusts the results ofthe strategic plan derived vat,ion funds ~han. ar,e to ascertain the visions in Stage 1, then the project moves to Stage 3, avmlable or can 1t be JUst1- , the Design Phase, where actual construction fied? ~an ,new oc~upa~ts goals, and program drawings develop after selection ofan execu­ move m W1th a bas1c mam- tive architect to oversee the project. Building tenance upgrade of paint, objectives for their projects move steadily from schematics carpeting and lighting? ,, through design/development and finally to • Are renovation funds avail- specifzc areas of construction documents. able? Funding for immedi- responsibility. Stage 4, the Construction Phase, begins ate or near future (within the actual construction process, from hiring eighteen months) renovations requires contractors to administering specific construc­ careful and timely planning. In some cases, tion projects, and continues to the point of the availability amount of renovation Stage 5, Occupancy ofthe building(s). Stage funds can determine the extent ofreno­ 5 includes the period when the building and its vation scope and may detennine who can equipment is new and under warranty, through actually move into the space. [124 • Doing Academic Planning

• What academic priorities might fit into approach. The range ofapproaches will vary the vacant space? When possible, space according to the size ofthe constituency, the allocation decisions must be made ac­ level of buy-in and sense ofownership. cording to strategic academic and ad­ The length oftime required to undertake ministrative priority needs. Occasionally, such studies and the reliability of the data limited renovation funds may dictate collected create two common, difficult ob­ assignment ofspace on the basis offunc­ stacles in this approach. Another challenge tion. Thus, vacant space may be assigned may be securing active participation in an to functions that rank lower in priority, academic community, where process is often but fit the type of space avail­ more important than outcome. able better than other higher In-house physical planning activities begin Once program need priority units. with a thorough, objective analysis of staffing for facilities is Consensus must develop levels, expertise and workload. The enormous on the feasibility ofthe sched­ amount ofdata that must be collected, analyzed warranted, academic ule and the necessary action and synthesized makes it unlikely that any cam­ steps (process). Once program pus has the breadth of in-house expertise to leadership should need for facilities is warranted, undertake such efforts without contract assis­ academic leadership should be tance. Specialty consultants can fill the identi­ be advised of advised of the study being un­ fied voids where in-house staff expertise is the study being dertaken and, when possible, missing. For example, specialty consultants should participate fully. The should be considered for architectural and in­ undertaken and, template for the document, frastructure engineering. A land use planner also identified earlier in this chap­ should be considered, unless campus staff has a when possible, ter, should be approved prior to proven track record in this activity. Fresh per­ undertaking this in-house aca­ spectives of outside consultants can be useful, should participate fully. demic planning exercise and creative, and energizing to the process. should form the basis ofthis ap­ Coordinating the work ofmultiple con­ proach. Finally, all parties should have the sultants can be difficult, particularly if in-house opportunity to review and comment on the staff cannot perform the task or lack the nec­ entire draft document. essary experience. As one strategy, hire one Several inherent challenges exist with consultant (e.g., the land use consultant) as this approach. First, such a comprehensive contract manager, and require the contract project must garner top priority for operational manager to hire additional specialty consult­ and executive level support among otherman­ ants as necessary. datory, regular, daily activities. Lack of top Ideally, physical planning should parallel priority can cause delays and short-cuts of academic planning, eliminating dual meetings important steps in the process, input, review, and providing program-to-building fit. Compre­ and feedback responses that can lead to inac­ hensive analysis and feedback are simultaneous, curacies, frustration, and failure. Ultimately, and adequate facilities data are available from the loss ofcredibility in the process can occur. the start. If concurrent start-up is not feasible, Other inherent weaknesses and unre­ the physical planning process should begin after solved issues also must be considered, such as: the first round of interviews with deans. The range ofdata to collect is similar to • The credibility and competence of in­ what was proposed earlier in the Conceptual house staff; Program and Long Range Development Plan. • In-house biases, preconceptions, and The thoroughness and accuracy of data cre­ motives; ate confidence in the staff and build support • The lack ofan impartial third party (pro­ and involvement in both process and out­ vided by a consultant); and come. Participants should be encouraged to • Variations in the management styles of suggest and provide additional data for the deans on the issue of inclusiveness and study, and once received, data should be used decision making. to validate and verify opinions. Environmental scanning is a good start­ Some executives may include all depart­ ing point for data collection. The available data ment heads; others may choose a more limited bases that have been established during the last Integrating Academic and Facilities Planning • 125 [

decade form a sound foundation for data man­ • Enrollment history and projection; agement. Several national organizations with • Campus goals and objectives local chapters (United Way, for example) are teaching an invaluable resource. City, county, regional research and state planning agencies should be con­ tacted, as well as federal agencies-National service Weather Service, Department ofAgriculture, and, diversity; and Housing and Urban Development, Education, • Current academic strengths (by aca­ Interior, Transportation and Defense. The long demic unit). list ofdata sources should be tailored to setting The following sections should be com­ and time constraints, but time limitations must pleted after review, approval and adoption of not compromise data collection. new programs: The time frame for each planning effort • Implementation procedures should be kept to a minimum, to sustain in­ terest and participation. Regardless of ap­ - funding and faculty allocations proach, the LRDP should be accomplished in - space planning and allocation; and a single academic year. Ideally, a schedule that • Development ofnew programs (by aca­ begins during the fall quarter/semester so that demic unit). final documents can be submitted, reviewed The text for each new program initiative and approved by the end ofthe academic year should contain: or the middle of the next fall term is most • History and background; effective. Even when academic and physical planning efforts cannot occur simultaneously, • Academic & economic trends (environ­ the entire planning process should be com­ mental scanning); pleted in a year and a half. Protracted delays • Justification (mission-related goals and can seriously threaten the validity ofthe data. objectives); MANIPULATION & DELIVERY • Program characteristics and levels (AA, The Academic Planning Statement should BS, MS, PhD); include segments on the following: • Program content (courses) and mode(s) • Distinctive academic features of the ofdelivery; campus; • Faculty compensation and size; [126 • Doing Academic Planning

• Enrollment growth to build out; • History ofcampus growth; • Space requirements and type; • Regional setting; • Funding level and source(s); • Local setting; • Projected schedule (start-up dates); and • Existing conditions; • Performance assessment procedures. • Existing land use; Using a member of the academic plan­ • Vehicular circulation and parking; ning committee to head a subcommittee in this • Pedestrian and bicycle circulation; and effort will maximize participation by the faculty. • Infrastructure utilities (sanitary sewer, The final item in the document should storm drain, water, gas, electricity, steam, be a multi-year academic program delivery chilled water, and telecommunication­ schedule. Table 1 provides a suggested format voice, data and video). for such a table. Open forums should present a draft of Multiple drafts are common during this the academic plan and solicit feedback. The process. The first is an administrative draft forums should begin with focus group sessions developed for in-house staff review. The sec­ within each academic area, and should follow ond draft is for the committee and campus at with general campus sessions that include stu­ large, and the third draft (including a tightly dents and staff. It is important that non­ written executive summary) is reviewed by the academic audiences understand forum presen­ trustees/regents. Then a camera-ready report tations as primarily information sessions, should be prepared, reviewed, and published. although comments may be entertained. It is ACTIONABILITY ISSUES helpful to conduct debriefing sessions after Both the Academic Plan and Long Range De­ each forum to better understand the depth of velopment Plan should express commitment to: community sentiment. The fi­ • Establish appropriate administrative nal step in the process is review, procedures that comply with the goals comment, and adoption by the and objectives ofeach plan; and It is important appropriate governance body that non...academic (e.g., the academic senate). • Review and revise the plans as appropriate. In the physical planning Institutions should review their aca­ audiences understand phase, alternative land use demic plan every two to three years, and their plans are not only useful, but physical plan every three to five years. Ideally, forum presentations essential. This is also the first of the development, maintenance and updating as primarily many interactive steps in the ofacademic and long range development plans development of the final se­ should be incorporated into the bylaws ofthe information sessions, lected plan. An open, honest, trustees orregents and should be implemented proactive and responsive pro­ through that body's standing orders. On a although comments cess is essential to ensure buy­ campus, planning should be mandated in and support. The use ofcolor through administrative policies and proce­ may be entertained. maps, charts, and photographs dures, academic senate bylaws, and standing are all standard tools of the orders. Bylaws and orders should include the trade. At this early stage participants should establishment ofadministrative and academic be encouraged to be actively involved, includ­ committees to oversee the plans and their ing being invited to add their own solutions implementation, including any deviations on the drawings. Using a facilitator/recorder from the approved documents. Parallel aca­ to present comments on a wall is also helpful demic and administrative systems should en­ in reassuring the audience that their feedback sure necessary checks and balances and is not being filtered out. These recorded notes adherence to time frames. should then be distributed to the follow-up meetings as minutes. CONCLUSIONS AND RECOMMENDATIONS Drawings should be large enough to dis­ Planning must be viewed as essential and play for discussion during the forum and should adequately supported for an institution to be easy to reduce for photocopying and incor­ maximize benefits. Planning and its processes porating into text. Key plans should include: must be supported at the highest levels if it is Integrating Academic and Facilities Planning • 127 [

to succeed; anything less dooms the process to failure. Competition from alternative educa­ PRINT REFERENCES tion providers makes planning essential to Brubaker, W. C. 1983. Campus Planning: Redesign-Redevelopment­ sound academic and fiscal management. Ifthe Rethinking: Proceedings ofA Professional Development Symposium. chiefexecutive officer does not support plan­ Waco: Myrick, Norman, Dahlberg & Partners, Inc. ning as central to the life of the institution, Creighton, J. L. 1981. The Public Involvement Manual. Cambridge: Abt planning exercises become empty rituals. Books. External pressures and threats do not Dandekar, H. c., ed. 1988. The Planner's Use of Information. Washing­ energize faculties; in fact, the opposite may be ton, DC: Planners Press. true. Garnering faculty support requires induce­ Dolence, M. G. and Norris, n M. 1995. Transforming Higher Education­ A Vision for Learning in the 21 st Century. Ann Arbor: Society for ments. The planning process should present an College and University Planning. opportunity to understand academic directions Doxiadis, C. A. 1968. Ekistics: An Introduction to the Science ofHuman and needs and to find ways to fund them. Plan­ Settlements. London: Hutchison & Co. Ltd. ning can prioritize need and allocate finite Fink, 1. and Fardet, N., eds. 1992. Campus Planning and Facility Develop­ resources. To suggest more may gamer short­ ment: A Selected Bibliography. Berkeley: Ira Fink and Associates, Inc. term support, but long-tenn support and trust McClendon, B. Wand Quay, R. 1988. Mastering Change: Winning Strat­ will lessen iffunding is not quickly forthcom­ egies for Effective City Planning. Washington, DC: Planners Press. ing. Successful planning requires support from Morrison, J. L.; Renfro, W. L.; and Boucher, W 1. 1984. Futures Research all facets ofthe campus community. and The Strategic Planning Process: Implications for Higher Education. The planning process must be open, inclu­ Washington, DC: Association for the Study ofHigher Education. sive and responsive to input. Sustained sup­ Norris, D. M. and Poulton, N. N.1991.A Guide for New Planners 1991. Ann port for planning, regardless ofprocess, depends Arbor: Society for College and University Planning. on openness, inclusiveness and responsiveness. Solnit, A. et. al. 1988. The]ob ofthe Practicing Planner. Washington, DC: Planners Press. If ground rules and limitations are set, they Smith, F. and Hester R. T. 1982. Community Goal Setting. should be defined and enunciated clearly at the J. Jr., Stroudsburg: Hutchison Press Publishing Co. outset. Attempts to impose limits during the process will result in mistrust and disinterest. The more open and inclusive the process, the ELECTRONIC SAMPLER larger the number ofstakeholders. http://www.appa.org Feedback and responsiveness are impor­ APPA (The Association of Higher Education Facilities Officers). tant, as is meeting deadlines when surveys are http://www.eefpi.eom/eefpi/ completed. Drafts should be delivered to deans Council ofEducational Facility Planners, International. and department chairs according to schedule. Includes options for searching the abstracts of their journal. Similarly issues should garner prompt re­ sponses and, depending on their relevance to http://www.elark.net/pub/peter/leleetr.htm WorkSpace Resources: Design information, FAQs, Links and Product the entire process, should be widely distributed. Resources for Ergonomic Computer Furniture, Casegoods, Seating and Participants should be notified when delays Accessories designed for the Modern Office and the Electronic Classroom. occur as quickly as possible, with an explana­ http://www.eonway.eom/index.htm tion and notification of a new time frame. http://www.eonway.eom/webtools.htm: Participation should be encouraged at SiteNet. Site Selection Magazine. every academic and administrative level to fos­ A variety of online resources for facilities planners though not ter an open, inclusive and responsive process. necessarily in higher education. Chairpersons, for example, should rank the new program initiatives and then participate http://www.fmdata.eom/egi-shl/dbml.exe?template=/serviees/ in ranking programs at the next level. home.dbm FM Datacom, The Internet Home ofFacilities Planning and Management Data. Schedules should be carefully managed to http://www.itp.berkeley.edu/PlanningForTeehlnEdu.htmI ensure adequate time for input and feedback. Repertoire of Strategies for Instructional Technology in Higher Education. Instruc­ Delays are, in most instances, unavoidable; but tional Technology Program, University ofCalifornia, Berkeley. Mama C. Lmn. minimizing them will enhance the process. A http://www.nehems.eom/ serious staffcommitment can make the differ­ NCHEMS: (National Center for Higher Education Management Systems). ence. At least one (and preferably two) staff http://www.westgov.org/smart/ members should be assigned exclusively to Smart States Initiative. Western Governors Association. planning tasks. No extraneous duties and re­ Includes information on their Virtual University. sponsibilities should add to their workload. [128 • Doing Academic Planning

Adequate flexibility must be built into can survive administrative personnel changes. the schedule, particularly at the initial inter­ Within these amendments, statements should view/data gathering phase. Time frames should require that both plans receive periodic review. include opportunities for rescheduling and/or Thus, the two plans are "living" documents. substituting interviewees. Schedule periodic Progress toward implementation of the plan meetings (bi-weekly or monthly) with the should be tracked through continuous, regu­ director and key decision makers to evaluate lar updates of the documents. Once studies progress. Anticipated delays must be commu­ are completed and plans adopted, there is a nicated to all parties. Keeping participants tendency to reduce planning resources or re­ informed is vital to the process and ensures direct them to other projects or needs. To their continued interest. A newsletter is useful ensure that plans are maintained, updated and to disseminate information, either as printed tracked for progress, a commitment to contin­ text or through an electronic medium. ued financial support is imperative. Otherwise, Adequate, appropriate policies, procedures the relevance and validity ofplanning docu­ and committee structures must be established ments will be questioned. to ensure compliance with the plan and sub­ A staff person should be assigned as sequent review and revision as a "living" "keeper" ofthe studies, responsible for tracking document. To ensure that the plans are "liv­ progress, amendments or revisions, and pro­ ing" documents, campus policies, procedures, viding staffsupport to committees and central and committees are essential. Most institutions administration as required. Additional funding follow such procedures (for the approval of should be available to introduce technological new academic programs and buildings) and, improvements and to monitor, gather and in most cases, a modest revision of existing evaluate data as they are collected. On-going bylaws and standing orders will accommodate commitment will ensure the usefulness of the review and approval ofprograms to ensure planning documents and their relevance to compliance with the plans. annual and long term planning and budget­ Modifying the bylaws ofthe trustees/re­ ing processes on campus. • gents will ensure that plans are followed, and t£is chapter defines why and how academic plans and processes should be con ... nected with budget development and funding allocation. Examples are offered of successful practices that benefit planners at any level of the organization. Connecting Academic Plans To Budgeting: Key Conditions For Success Thomas K. Anderes

CORE PLANNING QUESTIONS is thatdecisions are administratively expedient In anera of increased demands for accountability under the pressure ofbudget requirements, but and "return on investment," planners and aca­ not necessarily cognizant of priorities estab­ demic leaders are faced with three core issues: lished by institutional planning. • What does it mean to connect plans There are a number ofvery good reasons with budgets? why viable linkages between planning and bud­ geting should be developed and maintained. • Why is it important to connect planning and budgeting? Legitimize planning. The measure ofa success­ ful plan is frequently tied to whether or not its • Under what conditions can planning objectives and priorities were included in the and budgeting be connected in such a budget development process, and whether or way to improve both processes? not it received funding. For example, increasing Budget terminology that commonly sub- concern for a leamer-centered environment stitutes for "connecting" includes integrating demands attention throughout the various or linking. It refers to a formalization ofthe re­ phases of planning. The degree to which lationship between planning and budgeting leamer-centered initiatives are adopted and, ul­ processes that establishes visions, goals, objec­ timately, planning processes are successful, de­ tives, priorities, and indicators as the founda­ pends on their acceptance as budget priorities. tion upon which budgets are constructed and Legitimize budgeting. The long implemented. Budgets are extensions of term reliability ofa budget should planned priorities, implemented within the be determined by its continuity in general boundaries and intent ofthe plan(s). seeking funding support for priori­ The degree to which planned priorities and ties (old or new) not yet fully re­ objectives are achieved is an important con­ alized. Further, the credibility ofa sideration in determining the effectiveness of budget request should be judged on resource deployment. how well it represents institutional Higher education leaders, while embrac­ planning priorities. Thomas K. ing the basic concept ofconnecting planning Anderes and budget, frequently do not adequately struc­ Follow through on expectations raised in planning. Internal and is Vice Chancellor for Finance and Administration for the Unf ture the relationship between the two in such versity and Community College System of Nevada, Reno, a way that priorities and processes are shared external constituents must feel Nevada. Anderes is the Associate Convenor of SCUP's Instf and coordinated. The outcome, often enough, that their ideas and participation tutional Decision Making and Resource Planning Academy. [130 • Doing Academic Planning

have value. Identification ofplanning priori­ key actions, and, ideally, including an overlap ties in the budget, and evidence of progress ofparticipants. The preferred approach, it is also toward achieving them, will help satisfy indi­ the most difficult to build and maintain. vidual and group expectations. A second, less integrated approach is to Secure institutional support. There will be maintain separate planning and budget devel­ greater confidence in institutional direction opment processes and then translate the major when a coherent plan underpins the budget. planning priorities into the budget. This The acceptance and support ofa plan requires method limits interaction between the plan­ active coordination ofoutcomes with repre­ ning and budget phases, and can create tim­ sentatives offaculty, staff, and students. ing problems. Budgets always have a fixed time cycle, imposed by external funding agencies, Provide continuity over time in the achieve­ whereas planning schedules tend to be more ment of goals. It is essential to understand flexible and open-ended. what has been accomplished if there is to be A third approach entails a more random an assessment of future goals and the likeli­ selection ofobjectives and priorities from plans hood ofachieving them. When priorities are generated through separate division or college notfunded, future planning processes must re­ planning processes. This approach is often seen assess their relative value and determine their where the chiefexecutive permits planning at potential for success in future budget exercises. the unit level to continue, but seldom feels Track performance. Specific objectives should constrained to operate within the larger plan­ be developed and tracked throughout the pro­ ning context. Under these conditions planning cess-from planning to budget development, and is more symbolic and ritualistic than purposeful from budget development through funding al­ and connected to effective resource allocation location. The ultimate test of for the long-run good ofthe institution. It is the performance lies in measuring least desirable alternative when more time and 1he connection of expectations against outcomes. resources make a better choice possible. planning to budgeting It also helps when budget success Specific conditions for effective imple­ criteria move from tracking of mentation ofa planning-budgeting process are can generally be accom ... inputs to demonstration of ac­ listed below. They will be explored further in tual goal achievement. two "real life" examples. Key conditions for plished in a number of Reduce decisions made outside effective implementation include: ways. One alternative is of program priorities. Although • Active leadership from top institutional priorities that were not consid­ and/or system representatives; to construct a compre ... ered in the planning phase will • Broad participation by key internal and, arise later, they should be mini­ where appropriate, external constituen­ hensive process that mized. The success ofplanning cies and stakeholders; is related, in part, to how well •A clear intention to integrate planning weaves the two together, priorities are anticipated. Fre­ outcomes into budget development and quent revisions ofplanning pri­ linking schedules to funding allocations; orities in the budget process key actions, and, ideally, signal insufficient depth ofinfor­ • Forums to provide sufficient background mation for adequately predict­ information to interested participants; including an overlap of ing change, or limited interest in • Feedback to constituencies when deci­ the planning outcomes. sions are made, particularly when deci­ participants. The Constructing connections sions create commitments; and preferred approach, it is between processes entails a •A mechanism to assess progress on number ofcommitments which planned objectives and feed findings back also the most difficult should be understood at the ear­ into ensuing planning budget processes. liest stages of planning. The The examples of how planning and to build and maintain. connection ofplanning to bud- budgeting have been connected, one at the geting can generally be accom­ institutional level and one at the system level, plished in a number of ways. One alternative are representative ofthe comprehensive alter­ is to construct a comprehensive process that native. A comparative review of key factors weaves the two together, linking schedules to or conditions highlights the reason for success. Connecting Academic Plans to Budgeting: Key Conditions for Success • 131 [

PLANNING AND BUDGETING ­ The president provided a vision statement AN INSTITUTIONAL PERSPECTIVE that helped the oversight committee and other The University ofWyoming, a state land grant campus groups understand his basic directions for university, decided to develop a comprehen­ the future. His expressed goals acted as a point sive planning and budget review process to ofreference and assessment in both T coincide with a change in institutional lead­ planning and budgeting phases. 1he link between ership. The institution had no long term plans The educational/informa- or planning process in place; consequently, it tional sessions helped to connect plans and budget did not link planning with budget develop­ people with process in a manner h' d b ment. There was also a significant lack ofin­ that had not occurred in many was ac Ieve ecause formation regarding how funding allocation/ yea:s.. ~ubst~tial,ba~k~oundand of the continuity of decisions were made, and how different fund defmltlon rmsed mdlvlduallevels sources could be used. of aware.ne,s~ on funding, p:o- people involved and At the direction ofthe new president, the grams, pnontles, external reqUIre- academic and finance divisions built a shared ments and other issues that had the continuity of process and created key conditions which pur­ previously been avoided. Wide- .. l f posely incorporated the following key elements: ranging discussion asked why vari- movIng dIrect y rom •A presidential vision established the foun­ ous processes were in place and a planning mode to dation for the processes. how change could be effected. • Educational work sessions provided cur­ These, sessions were, ultimat,ely budget development. rent status reports on programs, budgets, most mstrumental m openmg projected future funding and other back­ communication among all constituencies and ground information. establishing a foundation for cooperation. The link between plans and budget was • Distinct planning and priority setting ses­ achieved because ofthe continuity ofpeople sions were linked into budget development. involved and the continuity ofmoving directly • Follow-up sessions during the planning from a planning mode to budget development. and budget phases provided status up­ Everyone had a vested interest in ensuring that dates to the university community and planning priorities would be incorporated into sought input from them. They also pro­ the budget development phase. vided feedback regarding decisions in­ Follow-up meetings, to communicate cluded in the budget. decisions and seek further input, were sporadi­ • The process was broadly representative of cally useful. Though not always well attended, key institutional constituencies and was they achieved the objective of maintaining focused through a core decision making open avenues for dialogue. committee; the committee linked discus­ The oversight committee acted as the sions on academic and administrative core reviewing body on both program plan­ programs with funding decisions. ning and budget allocation. There was specific The overall success ofthe eight-month focus on translating significant findings and process was tied to the attention placed on outcomes generated through planning into the implementing the key conditions, and to the budget development phase. The planning-to­ cooperative efforts of finance and academic budget connection was achieved because of divisions in creating and committing them­ the continuing involvement of committee selves to a comprehensive assessment ofinsti­ members-held accountable for inclusion or tutional goals and funding outcomes. Specific exclusion of planning outcomes throughout strengths (as reflected through key conditions) the budget development process. led to the general success of the process. Finally, there were follow-up sessions, open to faculty and staff, to discuss planning progress Strengths. The process was broadly participa­ and seek further advice. A final summary review tive, including over 50 individuals represent­ of decisions carried forward in the budget was ing all major campus constituencies on an discussed with the university community. institution-wide oversight committee. Indi­ viduals were engaged in all aspects ofplanning Weaknesses. The process also had weaknesses and budget development. that compomised the outcomes. The length and intensity ofthe process (eight months) put a sig- [ 132 • Doing Academic Planning

nificant strain on participants who were en­ ber ofvariables influenced the success ofeach gaged in regular job tasks during the planning phase of planning (Sell, 1993). process. The need for regular input from most System "vision" and leadership. The most committee members, in both the planning and urgent system concern and catalyst for change budget phases, was demanding. was the demand to improve support for under­ The core committee graduate education. Following an analysis of J;; provide both membership exceeded 50 rep­ academic programs, and in response to declining resentatives offaculty and staff, state funding, the system decided it would be consistent and deans and directors. Although unrealistic, ifnot unfair to students, to continue the participation rate was quite policies that assumed simultaneous achieve­ flexible support to all good in key decision-making ment of quality and access. They opted for meetings, the administrative institutions, the system quality. That strategic decision drove a number effort required was immense of plans and policies, ultimately incorporated must establish directions (coordinate drafts, schedule into the budget(s)-in particular, an enrollment meetings, disseminate materi­ management policy linked to tuition revenues. and priorities that als, build agendas, and so on). Forums established to Participation by key constituencies. A variety address the most press-­ hear university reactions and ofpublic forums on policy alternatives included feedback on evolving plans and gubernatorial and legislative task forces, pub­ ing issues of the state. priorities were poorly attended lic hearings, and cross-institutional working by the wider university commu­ groups, thereby insuring group participation and The thrust of system nity. Historical precedent had input from interested constituencies. Planning planning and budgeting suggested that the administra­ continued at the institutional level in response tion would not seek broader to system enrollment and curriculum strategies. is to create a useful and sources of input. Planning to budget connections. A pervasive Nevertheless, strengths goal of the system was to use academic plan­ extended vehicle that greatly outweighed weaknesses, ning and policies as the basis for budget devel­ and the university was pleased opment and funding allocations. The budget will highlight solutions with the process and outcomes. was the vehicle for offering incentives to insti­ to state--wide problems. tutions in achieving system goals and, in tum, PLANNING AND BUDGETING­ to institutions in achieving institutional goals. ASYSTEM PERSPECTIVE The stated strategic initiative-to improve Planning and budgeting for a state system undergraduate education-would succeed only represents a challenge different from that if the state appropriated additional funds, and posed at the institutional level. To provide only if institutions and the system identified both consistent and flexible support to all base funding to supplement state sources. The institutions, the system must establish direc­ integration ofpolicy and budget was continuous tions and priorities that address the most press­ through management of system-wide enroll­ ing issues of the state. The thrust of system ment policies and maintenance of a central planning and budgeting is to create a useful reserve to balance sector growth and decline. and extended vehicle that will highlight so­ The system implemented a number of lutions to state-wide problems. However, the additional policies to help achieve the ultimate key conditions for a successful connection goal of improving undergraduate education, between planning and budgeting are much the thus creating an extended and meaningful same as at the institutional level. interaction between plans and funding. The A recent example of system planning eight-year period implied a substantial commit­ and budgeting strategy at the University of ment by a number ofconstituencies to support Wisconsin encompasses a number of condi­ system policies. When the goals had to change tions that are applicable to all planning situ­ because offiscal constraints and shifts in enroll­ ations. Over an eight-year period, the ment, the plan adapted and survived. Wisconsin system guided its two- and four-year institutions through a series ofbudget devel­ COMPARISON OF INSTITUTIONAL opment and allocation approaches, built on AND SYSTEM PLANNING planned policy initiatives and focused on The general success of the Wisconsin and improving the quality ofinstruction. A num- Wyoming experiences can be tied to a number Connecting Academic Plans to Budgeting: Key Conditions for Success •

ofconditions. Though not mentioned explicitly interested in their input, their efforts will not in either case, it is obvious that leadership must match leadership's enthusiasm and expecta­ be truly persistent and flexible (and, at key tions. Outputs will be ofrelatively limited value junctures, firm) if the processes are to succeed. and have little impact on budget decisions. Contemporary management theory Broad participation. There is significant ben­ makes it clear that leadership, whether insti­ efit in including a representative cross section tutional president or board, must offer and ofall groups affected by planning and budget­ actively support a "vision" (Norris and Poulton, ing outcomes. Realistic objectives, capable of 1991). The successes ofWisconsin and Wyo­ being implemented successfully, are more ming can be traced, in part, to initial efforts of likely to be selected. Buy-in is also increased. leadership to validate the importance ofbuild­ Conversely, there is significant risk in exclud­ ing a plan that addressed an identified agenda. ing groups that may hinder a process which Both examples recognized the need to seems not to recognize them. It is important build plans around the input ofinterested and to construct a means of participation that affected constituencies. Broad participation of­ balances maximization ofinput with efficiency, fered avenues for input and afforded opportu­ timing, and cost. nities to show all constituencies the strengths and weaknesses ofvarious alternatives. Partici­ Intention to connect planning and budget­ pation also increased a sense of individual ing. The simplicity of connecting planning ownership and greater understanding ofpro­ priorities with the budget at the onset of a cess, plans, funding, and timing. As the Wis­ process should not be overlooked. An inten­ consin plan suggests, "buy-in" by external tion to do so must be declared at all stages and parties was significant for long term support. to all participants. Interest on the part ofsome The objective ofboth the system and the participants will lessen if the link between institution-to integrate planning and budget­ planning priorities and budget priorities does ing-was a critical and necessary condition for not match their expectations. success. Early recognition of the integration Informational forums. Most participants in of the two processes was important to Wyo­ comprehensive planning and budgeting exer­ ming because it emphasized to institutional cises are not familiar with the process, nor do representatives their active engagement in they have experience with issues, funding struc­ decisions affecting their budgets. The Wiscon­ ture, or external exigencies that cut across an sin experience may have been even more sig­ institution or a system. They participate as ex­ nificant because the potential for failure was perts in a particular discipline or administra­ greater, given the changes at both institutional tive field. Thus, informational and state levels. Wisconsin's ability to con­ forums that bring participants to Contemporary struct a process that acknowledged the needs a common understanding ofthe of the governor and legislative offices, while more important factors they will management theory making higher education programs a priority, use in drawing conclusions are resulted in a formidable accomplishment. extremely useful. makes it clear that RECOMMENDATIONS Feedback on decisions. Partici­ leadership, whether Wisconsin and Wyoming offer two instances pants in the planning processes ofa meaningful connection between planning should be apprised of decisions institutional president and budgeting. Such integration demands sub­ reached at key junctures. The stantial commitment from the earliest stages need to communicate progress is or board, must through budget allocation. Adherence to key highlighted when earlier outcomes offer and actively conditions greatly enhances opportunities for have not been shared and indi­ positive processes and useful outcomes. In any viduals feel their roles were not support a "VlSlOn.. " planning and budgeting process, the following valued. To truly involve people key conditions should be recognized: can greatly increase acceptance ofplanning out­ comes and budgets built on those outcomes. Active leadership. Whether a process is imple­ The ultimate test in detennining whether mented at the department, institution, or sys­ planning and budgeting are connected is the tem level, active and informed leadership is a degree to which planning outcomes are funded. must (Drummond, Vinzant, and Praeder, Planning is a strong component ofinstitutional 1991). Ifparticipants feel that leadership is not decision making when priorities evolve through [134 • Doing Academic Planning

budget development and are legitimized by al­ • Translates planning priorities into budget location of resources. The continuing viabil­ development; ity of priorities must be based on their ability • Provides informational support to to achieve the success projected for them in the participants; planning process. • Provides feedback on decisions to the FINAL THOUGHTS community served; and If an institution or system structures a plan­ • Measures performance, ning and budgeting process that: then the potential for successful integration • Has active leadership; of planning and budgeting will be high. • Is broadly participative; In this era ofheightened concern for ac­ countability and quality, the process oftrans­ PRINT REFERENCES lating priorities into budget development should be carefully reviewed to guard against Drummond, M.; Vinzant, D.; and Praeder, W. 1991. "Paying for your Vision-Integrating the Planning and Budgeting Process." CAUSE/ it serving to reinforce incremental decision EFFECT 14(3): 21-27. making and a narrow vision for the future of Nedwek, B. 1996. Memorandum on linking strategic planning and budget­ the institution. An effective plan linked to the ing. Saint Louis University. budget (Nedwek, 1996) should: Norris, D. M. and Poulton, N. L. 1991. A Guide for New Planners. Ann • Be simple and readily understandable to Arbor: Society for College and University Planning. multiple constituencies. Sell, K. R. 1993. "Coordinating Budgeting and Academic Planning to • Encourage entrepreneurial approaches Affect Institutional Commitment to Teaching and Learning." A paper presented at the State Higher Education Finance Officers and thoughtful risk-taking that are tied Conference, Denver, 1993. directly to the mission and objectives of the whole institution as well as those of ELECTRONIC SAMPLER individual planning units. • Provide planning units, e.g., schools and http://daps.arizona.edu/ departments, and senior management Decision and Planning Support. University of Arizona. adequate flexibility to modify operating On this site you will find the University of Arizona's Factbook, decisions within a fiscal year. Standard Survey Response, and Public Records pages, as well as links to key planning and budgeting documents. • Provide a means for establishing and measuring progress against stated plan­ http://tikkun.ed.asu.edu/aera/home.html ning unit objectives and strategies. AERA (American Educational Research Association) . AERA is concerned with improving the educational process by • Promote collaboration and partnership encouraging scholarly inquiry related to education and by development among planning units to promoting the dissemination and practical application of undertake new initiatives and to reeng­ research results. The site has a list of searchable resources, ineer existing products and services. including papers from conferences and articles in AERA publications, at http://tikkun.ed.asu.edu/aera/resour.html. • Seek an alternative to traditional line­ item budget development that aligns http://www.cause .org/information-resources/i r-library/html / costs in support ofunspecified or loosely cem9622.html coupled sets ofactivities. Current Issues for Higher Education: Information Resources Management. Incremental budgeting can undermine http://www.library.utoronto.ca/www/budget.htm strategic thinking and priority-setting. Remod­ Concerning the University Budget. University of Toronto. eling the budget building process to improve link­ Canada has been experiencing severe higher education financial stress. This site has a message about this issue from ages with strategic planning requires a thoughtful, the President of the University of Toronto. open dialogue among all stakeholders. The ra­ http://www.nacubo.org/ tionale in support ofchanges to the policies and procedures must be compelling to planning unit NACUBO (National Association for College and University Business Officers). Includes the online version of their publication Business Officer heads. The specific implementation processes with articles such as: "Little to Gain, Much to Lose: The must be reasonable and understandable. Every Potential Impact of Income Tax Restructuring Proposals" effort should be made to streamline budget de­ which can be reached directly at http://www.nacubo.org/ velopment procedures and make use ofonline in­ website/bomag/ltg1096.html. formation technology tools. • Linking Quality and Accountability Linking Quality Assurance and Accountability: Using Process and Perfonnance Indicators Brian P. N edwek

~iS chapter examines both the risks and the benefits ofusing performance indicators (PIs) to link quality assurance and accountability. As a control tool, PIs run the risk ofcreating disincentives for meaningful reform. On the positive side, when PI systems have an instrumental use in agenda building, monitoring, and in forecasting-they make educational delivery problems more analytically tractable. Linking Quality Assurance and Accountability: Using Process and Performance Indicators Brian P. Nedwek

CORE PLANNING QUESTIONS aging institutions, and was preoccupied with aca­ A variety offorces are altering the way higher demic input measures (number ofbooks in the education will govern itself as it enters the next library, proportion offaculty with tenninal de­ century. Burgeoning short-term enrollment grees). Now academic leaders are under pressure blips are creating political tradeoffs; legislators to emphasize instead the factors and results of scramble to redistribute general revenue from learning. Focus is no longer on accountability one underfunded program to another. Two- and through access to the academy; rather, return on four-year colleges and universities are chal­ investment has redefined accountability. State lenged by inflationary spikes in the cost ofgoods legislatures and governing boards, impatient with and services necessary for their mission. Infor­ slow progress on quality enhancement, are be­ mation technology is restructuring delivery ginning to demand that the academy restructure strategies as place-bound learning loses its grip its modus operandi. Performance Indicator (PI) on facilities and planning. Faculties continue systems are now fully implemented in at least 18 in their apparent indifference toward a system­ states, halfofwhich are already experimenting atic search for more effective and efficient peda­ with ways to make perfonnance a criterion for gogy. The consuming public questions the cost resource allocation. of education, even as policy makers demand Management practices are greater returns on their investment ofmeager beginning to change as well. In the public resources. Higher education has, in short, past, facilities and academic plan­ fallen from grace. No longer insulated by a ning, institutional research, policy presumption of inherent goodness and worth, analysis, and budgeting all per­ the academy finds itselfexposed to a cacophony formed independently. An unwill­ ofdemands for quality and accountability. ingness to integrate functions Brian P. The net result ofchange within and be­ created a managerial environment Nedwek yond the academy has been a variety of initia­ marked by duplication of effort, is Associate Provost for Saint Louis University, tives to link quality to accountability. Core issues absence ofmutual understanding, St. Louis, Missouri, SCUP's 1996-97 President. and faculty have forced the academy to examine ways to even ofcore tenns, and a preoccu­ for SCUP's Workshop, "Making Transformation Work on account for perfonnance directly. In the past, pation with turf. The result: sym­ your Campus." He has also served as the Convener of emphasis lay on factors ofproduction in man- bolic rather than substantive SCUP's Academic Planning Academy. [138 • Doing Academic Planning

planning. However, some signs ofchange are bases for comparisons within and among insti­ appearing. Administrative activities are moving tutions. PIs serve symbolic functions as well, es­ from independence to interdependence. Effec­ pecially when resources are unavailable to tive institutions are striving to become "learn­ remedy a problem (Nedwek, 1996). ing organizations" capable of transforming Although potential indicators are avail­ knowledge about their processes, able to stakeholders in vast array, most can be programs, and products into new grouped under a taxonomy reflecting a mecha­ Quality viewed insights (Garvin, 1993). nistic view of organizations. Input, process, as fidelity to What is quality? Who output, and outcome form a typical scheme, should define it? How can ac­ creating a robust list of indicators, but generating design is simply countability be balanced with problems as welL First, such an approach fails quality assurance to renew mu­ to view measures in interrelated ways. Second, conformance to tual trust among ourselves and indicators are sometimes inversely related to with our publics? Whose priori­ each other, thus creating a Catch-22 situation mission specification ties are central? This chapter in which realization ofone measure undennines and goal achievement­ addresses these core planning realization ofanother. For example, an effort to questions, describing ways to increase ACT scores in a four-year period may within publicly manage for quality through the run counter to a PI calling for greater socioeco­ use ofprocess and performance nomic diversity in the undergraduate popula­ accepted standards indicators. Simply, we show how tion. Third, discerning the relationship between linking accountability to quality input characteristics and outcomes involves a ofaccountability enhancement represents a ma­ leap of faith. The assessment movement has and integrity jor shift in the academic leader's alerted academic leaders not to overlook pro­ task of managing for quality. cess variables. Fortunately, there is an emerg­ ing literature that deals with process factors and BASIC CONCEPTS their contribution to enhanced learning envi­ Quality. Regardless ofone's notion ofquality­ ronments (Banta, eta!', 1996a; Ruppert, 1994). as a state ofaffairs or a philosophy ofmanage­ In addition to types ofindicators, PI lev­ ment-its essential component is fidelity to a els are equally important and just as varied. program design through mission specification Indicator construction is a relatively straight­ and goal achievement. The degree of "fit" forward process ofoperationalizing goals and between articulated goals and expected edu­ objectives at appropriate levels: nations, sys­ cational results is the key idea, as calibrated tems, institutions, programs, or individuals. through management tools or traditional peer Goals and objectives are usually deduced from reviews. Quality viewed as fidelity to design mission statements, which may have only a is simply "conformance to mission specifica­ tenuous connection to perfonnance indicators. tion and goal achievement-within publicly At the broadest geopolitical level, indicators accepted standards ofaccountability and in­ for nations tend to be expressed as bold objec­ tegrity" (Bogue and Saunders, 1992, p. 20). In tives or goals to be attained. Consider how the this age ofconsumerism, quality means deliv­ Congressional Goals 2000: Educate America ering to our key stakeholders what was prom­ Act calls for the adult knowledge and skills ised by us and is valued by them. necessary for competing in a global economy. Indicators. Performance indicators are data Systems within states or provinces fre­ about conditions, processes, or results associ­ quently apply a combination of input and ated with core organizational functions at a par­ outcome measures, the latter directed toward ticular level ofaggregation. Once gathered and accomplishing various goals (minimized time publicly disseminated, they become the nonna­ to graduation, economic revitalization through tive link to the policy process and serve several targeted jobs training, social equity for pro­ substantive purposes: (1) to monitor environ­ tected classes of citizens). Several states are mental conditions or resource usage, (2) to moving to assess specific domains (the out­ measure performance against stated policy or comes ofgeneral education or those associated program goals, (3) to forecast problems, (4) to with majors, incidence ofremediation). These build policy agendas, (5) to support resource al­ measures can be unpacked into indicators to location decision making, and (6) to create compare institutions within systems. Process Linking Quality Assurance and Accountability: Using Process and Performance Indicators •

measures used in state systems tend to be prox­ • When should an outcome be present ies (the percentage of lower division courses (which skills should be manifest after a taught by tenured or tenure-track faculty, for core curricular experience): At gradua­ example, or class size by student level). tion? One year out? Five years? When? At the institutional level, emphasis is on Table 1 displays an array ofapplications outcomes and outputs and, to a lesser extent, on at each level. input or resource characteristics. Common as­ sessment domains include retention and gradu­ APPROACHES AND PRACTICES ation rates, licensure passage rates ofgraduates, System applications. The State University of extent ofsponsored research, and number ofbac­ New York (SUNY) represents a hybrid ap­ calaureate degrees awarded by type of student. proach to control through its use offive gen­ Process measures are frequently conceptualized eral areas forming the basic framework of as administrative efficiencies (for example, fac­ institutionally developed goals and indicators. ulty workload indicators). It is useful to apply the The core goal areas: (1) access to undergraduate level typology when building process indicators. education, (2) excellence in undergraduate pro­ At the individual level, for example, indicators grams and services, (3) nationwide competition could include "time-on-task" measures; program in graduate study and research, (4) meeting indicators could include some standard inci­ state needs in economic development, environ­ dence or occurrences ofprinciples ofgood prac­ ment conservation, health care, public educa­ tice in instruction; and system process indicators tion, and social services, and (5) management could include a variety ofratio conversions fre­ efficiency and effectiveness (State University quently found in bond rating measures. ofNew York, 1993). The SUNY approach is Program level performance indicators especially instructive in its attempt to combine can take the form of disaggregations of the accountability with institutional autonomy us­ same indicators used as institutional measures, ing system and campus perfonnance indicators. or they can be tailored exclusively to specific Each goal area includes traditional outcome and degree programs. Nichols (1991) provides an process measures (time-to-degree, graduation excellent way to construct linkages between rates, and so forth), set against comparative time statements ofinstitutional purpose and depart­ series or national nonns. mental or program outcomes, as well as rel­ The State ofTexas illus­ evant assessment criteria and procedures-an trates a common approach us­ Common indicator level especially rich in systematic ing output and outcome data for altering basic design, delivery strate­ measures. It includes rates on assessment domains gies, or other program facets. student retention, program and At the individual level, the focus is prima­ degree completers, licensure include retention and rily on student outcomes, often expressed as exam passage, sponsored re­ graduation rates, competencies to be demonstrated or skills to be search productivity, as well as mastered. This level provides the most likely output measures on number of licensure passage rates opportunity to connect performance data to degrees awarded by type ofstu­ academic process and thereby increase the for­ dent. Like other states, Texas ofgraduates, extent of mative utility of PI information. Applications offers some proxy process mea­ at the individual level are often designed without sures, such as percentage of sponsored research, systematic attention to several basic questions: lower division courses taught by and number of • What knowledge must be demonstrated tenure or tenure-track faculty. that is deducible eitherfrom the program The performance measures in baccalaureate degrees or the institutional mission statement? Texas were assessed to deter­ • Which skills are conditions of gradua­ mine whether a measure can be awarded by tion; which are merely desirable? certified. A measure is certified "ifreported performance is ac­ type ofstudent. • Should PIs be limited to cognitive skills, curate within plus or minus five or can affective and citizenship skills be percent and if it appears that controls are in included as well? place over the collection and reporting ofper­ • At what levels of proficiency, and by formance data to ensure accuracy" (Office of what means, should essential skills be the State Auditor, 1995, p. 98). demonstrated? [140 • Doing Academic Planning

TABLE 1 SAmple PerformAnce IndicAtors Across Levels

Nation System Institution Program Individual

Every school in Percent of Percent of fiscal Number of merit Percent of targeted America will be qualified resident resources spent on scholars admitted courses providing Input linked to the students accepted instruction to program individualized World Wide Web and enrolled modules

Proportion of Incidence of Proportion of Percent of first- Availability of eligible students faculty awards by library and media year MBA competency-based receiving financial national expenditures to students with self-assessment aid foundations or total education GMAT scores services academies and general above 80th expenditures percentile

Institutional applications. Two of the more lar to the University of Miami model. Their elaborate institutional methods in four-year approach proves especially useful to decision institutional settings were introduced by the makers by numerically posting the current University of Miami, using 114 key perfor­ value, the five-year goal, and the ten-year goal mance indicators, and Winona State Univer­ ofeach measure. For an excellent discussion sity which links quality assurance and ofthe application ofkey performance indica­ assessment planning through 18 goal areas. tors to strategic decision making, see Dolence Following the critical success factors model, and Norris (1994). Miami officials developed PIs about important Winona State University's PIs are inter­ revenue generators and other significant char­ esting, given the degree ofdetail in their de­ acteristics ofthe university's position at a given velopment of a host of process performance point in time, and reported them as year-to­ indicators in curriculum, general education, date snapshots along with comparisons against instruction, the teaching/learning climate, the previous year. student development, faculty development, The University of Northern Colorado administrative practices, and continuous pro­ developed 20 prioritized key performance cess improvement activity. The process mea­ indicators ofefficiency and effectiveness, simi- sures alone include more than 140 specific Linking Quality Assurance and Accountability: Using Process and Performance Indicators • 141 [

process indicators-for example, the proportion can be expressed as performance indicators. ofdepartments that make provisions for new See, for example, Statement of Fundamental student orientation to the major department Lauryering Skills and Professiorwl Values (Ameri­ (Winona State University, 1994). can Bar Association, 1992). Two-year community colleges have a Individual applications. Performance indica­ solid conceptual framework in the Core Indi­ tors at the individual level can be developed cators of Effectiveness initiative (American with either the student or the classroom as the Association ofCommunity Colleges, 1994). unit ofobservation. The student development Their indicators are divided into three broad literature contains a wide array ofapproaches domains: internally directed, to enhance de­ toward designing developmental goals at the velopmental education, general education, or individual leveL See Chapter 10 by Sharp and transfer preparation; student process directed, Grace on student development, and Warner to promote student goal attainment, persis­ Kearney and McLaughlin's (Chapter 11) on tence, and degree completion; and externally planning the co-curricular component. Per­ directed, to enhance career preparation, tai­ formance indicators within classrooms can be lored services, and community development. constructed using complementary "principles Community colleges, at either system or ofgood practice," instructional standards, and institutional levels, face the problem oftrying to measures of instructional effectiveness. build indicators using four-year models rather than designing measures tied to the culture of their ANALYZING AND DISPLAYING clientele. Measures involving degree attaimnent, PI INFORMATION for example, run counter to outcome measures Data display. Leaders ofpublic academic insti­ better suited to community college students pur­ tutions interact with key stakeholders, especially suing individualized educational plans. Thus, in­ legislators, in highly structured ways. Public hear­ dicators of partnerships between sectors are ings on appropriations and annual state reports typically expressed as ttansfer rates trom COlmnu­ form the most common arenas of interaction. nity colleges to baccalaureate programs. Reports of performance data must be easily Program applications. The development of grasped and understood by busy indicators at the program level should be a legislators and bureaucrats. The Community colleges, deductive process using the institution's mission lCAR Technical Conventions or purpose statement. The Southern Associa­ Manual sponsored by the Ameri­ at either system or tion ofColleges and Schools (SACS) provides can Association ofState Colleges a useful approach to building measures consis­ and Universities, the American institutional levels , tent with statement of purpose. A program Association ofCommunity Col­ indicator is judged against such criteria as fit leges, and the National Associa­ face the problem of when it embraces institutional purpose, reason­ tion of State Universities and trying to build ableness, measurability, level ofspecificity, and Land GrantColleges (1995) is an congruity with program goals and objectives. excellent source of data display indicators using This approach produces PIs as expected results. models. Across a variety ofpolicy Another approach is found among pro­ areas, the manual describes cal­ four--year models fessional program applications. Across a wide culation protocols and communi­ range of health science programs (from the cation recommendations. rather than allied health professions and nursing to medi­ Whether data display is cine), the specialized accrediting bodies make tabular, graphic, or textual, it is designing measures use ofperformance indicator methodologies. essential that the producer ofPI tied to the culture of Similar applications can be found in schools systems know: (1) what infor­ oflaw and business. Whether one is relying on mation is required, (2) by their clientele. accreditation bodies or professional standards whom it is needed, (3) when within fields of study, the work of Nichols various decision cycles occur, and (4) in what (1991), provides an excellent source of ex­ format the data is most accessible. The most amples linking institutional purposes with pro­ frequently recommended characteristics of gram intended outcomes and indicators. effective data display include: National professional associations provide a • Match the information to the sophistica­ fertile source ofstudent outcome measures that tion ofthe receiver. Actively listen to in- [ 142 • Doing Academic Planning

formation consumers and ascertain their and clientele. If the goal is to engage the policy needs before settling on a particularformat. process, especially funding, then comparative • Keep in mind that reports written for PIs will more likely be controlled by state or one audience often find their way to district agencies. Under the latter conditions, other, unintended receivers. Information academic leaders should make every effort to builders have more control over sub­ be involved in the initial process of indicator stance than dissemination. construction. Once the rules are set, it is dif­ ficult to alter their basic architecture. • Keep the language clean, direct and simple. Growing interest in the recent introduc­ • Integrate effective graphics with appro­ tion ofmedia published "league tables" repre­ priate text. sents a special challenge for academic leaders. • Use graphics selectively to convey cen­ Despite their serious methodological shortcom­ tral points to the intended audience. ings, popular press rankings appear to be influ­ • Use presentation software (such as encing the legislative process, if not the choice Microsoft's PowerPoint TM) to enhance an process ofparents and prospective students. Use oral presentation. ofthese rankings as comparative PIs is a double­ edged sword. On one hand, rankings provide The University ofMiami's key success in­ bragging rights. On the other, a surge ofrising dicator (KSI) system relies onsimple spreadsheets expectations in the legislature, board oftrustees, dividing the monitored measures in four time se­ faculty senate, or other stakeholders may result quences (year-to-date, current month, prior year's from their discovery that competitive institu­ ITO, and prior year's monthly data). To avoid an tions within the market area are ranked higher. inundation ofdata, the KSI report is circulated An institution's inability to control numerous with only significant deviations noted and high­ factors in the ranking process (reputation lighted. Substantial deviations or apparent pat­ among peers, for example) may leave academic terns form the agenda ofsenior management's leaders in a highly vulnerable political position. monthly meetings. As the system matures, senior For a solid discussion ofthe problems associated managers change their style ofin­ with college guidebooks and ranking systems, volvement at staff meetings, be­ see Walleri and Moss (1995). Each comparative coming more committed and approach creates better prepared (Sapp, 1994). ACTIONABILITY ISSUES Making comparisons public. Producing usable knowledge. The translation opportunities The drive to compare institu­ of PI information into actionable options that tions is increasingly common. drive program improvements is an essential step and risks At system levels, interinstitu­ in producing usable knowledge. To enhance the for a chancellor, tional comparisons are central actionability of PI data, several impediments to resource allocation decisions. must be overcome. First, we need better under­ dean or other At the institutional or program standing of higher education from a learner­ levels, academic leaders need to centered perspective, a view that will enable us senlOr manager. articulate a defensible compari­ to develop richer and more usable process in­ son group methodology. Typical dicators. PI systems should incorporate process comparative criteria include historical relation­ measures useful to faculty and academic man­ ships, Carnegie classification, political jurisdic­ agers, and thereby correct or eliminate what­ tions, market competition, and aspirations. ever undermines quality. More work needs to Each comparative approach creates op­ be done on the "uncertain connection" between portunities and risks for a chancellor, dean or performance indicators and educational im­ other senior manager. Establishing compari­ provement (NCHEMS, 1993; Chickering, son groups will drive data collection and in­ Gamson, and Barsi, 1989; Angelo, 1993). terpretation as well as policy agenda in the Second, academic leaders must insist on state house. The selection ofgroups is a func­ capturing and reporting data that demonstrate tion ofsenior management's intended accom­ how variations in academic processes explain plishment. If the goal is internal improvement, differences in student results. The academy is comparative PIs will be fitted to institutions sustained by a host ofmyths about what works or programs with similar missions, resources, best for whom. Many performance indicators are Linking Quality Assurance and Accountability: Using Process and Performance Indicators •

constructed on the basis ofa "broadcast" method ofpedagogy (a tenured, full-time faculty member PRINT REFERENCES holds forth for a given period oflecture time). American Association ofCommunity Colleges. 1994. Community Col­ Whether full-time faculty are truly more effec­ leges: Core Indicators ofEffectiveness. AACC Special Reports No.4. tive than adjunctfaculty in enhancing the learn­ Washington, DC. ing environment remains unanswered. Whether American Association ofState Colleges and Universities, American As­ student learning is improved through collabo­ sociation ofCommunity Colleges, and the National Association of rative experiences is unexplored. The folk wis­ State Universities and Land-Grant Colleges. 1995. JCAR Techni­ cal Conventions Manual. Washington, DC. dom provides a lens through which PI systems American Bar Association. 1992. Statement ofFundamental Lawyerinp; Skills are often designed and implemented. and Professional Values. Task Force on Law Schools and the Profession: Third, PI systems are not a substitute for Narrowing the Gap. Chicago. peer review methodologies. On the contrary, Angelo, T. 1993. "ATeacher's Dozen: Fourteen General, Research-Based peer reviews provide a rich source ofprocess as­ Principles For Improving Higher Learning in our Classrooms." sessment information that can help explain AAHE Bulletin, 45(8): 3-7. variability in student outcomes and can produce Banta, T.; Lund,J.; Black, K.; and Oblander, E 1996a. Assessment in Prac­ usable knowledge to improve existing practice. tice: Putting Principles to Work on College Campuses. San Francisco: Fourth, in private higher education as Jossey-Bass Publishers. well as in the public sector, the policy process Banta, T.; Rudolph, L.; Van Dyke, J.; and Fisher, H. 1996b. "Performance creates potential impediments to effective uses Funding Comes of Age in Tennessee." Journal ofHigher Education of PI data. When PI systems are serving ac­ 67(1): 23-45. countability goals linked to performance fund­ Bogue, E. and Saunders, R. 1992. The Evidence for Quality. San Francisco: ing, the danger will be the replacement of Jossey-Bass Publishers. decision making by formula rather than in­ Bottani, N. and Tuijnman, A 1994. "The Design ofIndicator Systems." In Monitoring the Standards ofEducation, edited by AC. Tuijnman and T. formed debate. The policy agenda reflects the N. Postlethwaite, pp. 47-78. New York: Elsevier Sciences, Inc. changing priorities ofthe politically elite, who Chickering, A W; Gamson, Z.; and Barsi, L. 1989. Faculty Inventory: themselves are highly mobile. Thus, the foci 7 Principles for Good Practice in Undergraduate Education. Racine: The of agenda continue to shift as well. What is Johnson Foundation, Inc. important today may be irrelevant to the next Darling-Hammond, L. 1992. "Educational Indicators and Enlightened legislative assembly or board of governors. Policy." Educational Policy 6(3): 235-265. Thus, systems must be regularly monitored for Dolence, M. and Norris, D. 1994. "Using Key Performance Indicators to content and construct validity and reliability. Drive Strategic Decision Making." In Using Performance Indicators to Fifth, academic leaders are challenged by Guide Strategic Decision Making, edited by V. Borden and T. Banta, pp. the need to move beyond simple cognitive 63-80. New Directions for Institutional Research No. 82. San Francisco: outcome measures toward affective outcome Jossey-Bass Publishers. indicators at the individual level (citizenship Gaither, G.; Nedwek, B.; and Neal, J. 1994. Measuring Up: The Prom­ skills, value-clarification competency), or com­ ises and Pitfalls ofPerformance Indicators in Higher Education. ASHE­ ERIC Higher Education Reports, Report Five. Washington, DC: munity development measures at the program George Washington University. or system level. Some promising work that ap­ Garvin, D. 1993. "Building a Learning Organization." Harvard Business plies across levels ofsystems within community Review. July-August, 1993: 78-91. colleges is beginning to emerge (American NCHEMS (National Center for Higher Education Management Systems). Association ofCommunity Colleges, 1994). 1993. A Preliminary Study of the Feasibility and Utility for National Policy Sixth, to engage in useful systematic com­ ofInstructional 'Good Practice' Indicators in Undergraduate Education. Pre­ parisons we need to develop and use key perfor­ pared for the National Center for Educational Statistics. Boulder. mance indicators that have a direct bearing on the Nedwek, B. 1996. "Public Policy and Public Trust: The Use and Misuse strategic success ofthe system, institution, orpro­ ofPerformance Indicators in Higher Education." In Higher Education: gram (Taylor, et al., 1991). The lack ofconnec­ Handbook ofTheory and Research, edited by John Smart, volume XI: tion between indicator and consequences can be 47-89. New York: Agathon Press. magnified whenbudgeting is linked to PI systems. Nichols, J. 1991. A Practitioner's Handbook for Institutional Effectiveness and Student Outcomes Assessment Implementation. New York: Agathon Press. Performance budgeting systems focus primarily on reporting rather than producing datafor internal Office ofthe State Auditor. 1995. An Audit Report on Performance Mea­ sures at 20 Universities, Health-Related Institutions, and State Agen­ improvement. (See Tennessee's THEC model for cies. State ofTexas. Report Number 95-141. an exception. Banta, et aI., 1996b). Ruppert, S., ed. 1994. Charting Higher Education Accountability: A Performance funding models are finding Sourcebook on State-Level Performance Indicators. Denver: Education their way into state systems at an increasing Commission of the States. [144 • Doing Academic Planning

enhanced ACT tests, and $1,000 for gradu­ PRINT REFERENCES ates in selected disciplines (foreign language, Sapp, M. 1994. "Setting Up a Key Success Index Report: A How-to health, targeted sciences). Manual." AIR Professional File No 51. Tallahassee: Association for Making PI systems useful. The basic char­ Institutional Research. acteristics ofuseful PI systems depend ofcourse State University ofNew York. 1993. "Quality Academics; Quality Pro­ ductivity." Address at the Chancellor's Forum at the Sagamore Hotel on who are the users and what ends they in­ in Bolton Landing, New York on April 6, 1992. tend to achieve. Nevertheless, it is reasonable Taylor, B.; Meyerson, ].; Morrell, L.; and Park, D. 1991. Strategic Analysis: to suggest several essential characteristics re­ Using Comparative Data to Understand Your Institution. Washington, gardless of application. Academic leaders DC: Association ofGoverning Boards ofUniversities and Colleges. should expect PI systems to be: Walleri, R. and Moss. M. 1995. Evaluating and Responding to College • Easily understood by all stakeholders Guidebooks and Rankings. New Directions for Institutional Research No. (facuIty, students, managers, trustees, 88. San Francisco: ]ossey-Bass Publishers. legislators), yet sufficiently complex to Winona State University. 1994. Academic Quality Assurance and Assess­ build an accurate picture ofthe situation ment Plan. (Darling-Hammond, 1992); • Fueled by available data that are easy to ELECTRONIC SAMPLER capture and maintain; go phe r: j jvmsgo pher.cu a. ed ujOogop he r_rooteric_ae%3a%5b_ed ir%5 • Designed with standards and compari­ dprogstan.txt sons appropriate to those units expected Educational Measurement Page. The Joint Committee on Standards for to achieve them; Educational Evaluation. James R. Sanders. • Sensitive to the diversity of missions Contains]CSEE PR-1994 which was approved by the American National Standards Institute as an American National Standard. within and among higher education systems, institutions, or programs; http://128.250.89. 9j andrewfjEdMeas. html Internet Resources in the Field ofHigher Education. Andrew Stephanou (Curator). • Complementary to other quality assur­ ance methodologies (institutional peer http://info.tei.uq.oz.au/TEI/announcement.html review, self-study accreditation, bond Eighth International Conference on Assessing Quality in Higher Education, 1996, Queensland, Australia. rating studies); http://rrpubs.com/heproc/index.shtml • Valid and reliable direct linkages to stra­ HEPROC: Higher Education Processes. tegic planning, decision-making, budget­ http://www.col.org/cretrans.htm ing, and funding; The Commonwealth ofLearning Task Force Report on Credit Transfer, • Sensitive to political cultures within Accreditation and Quality Assurance. states and the political geography among http://www.cua.edu/www/eric_ae/ states; and, ERIC Clearinghouse on Assessment and Evaluation. • Robust, to include resource, process, and http://www.educom.edu/program/nlii/keydocs/massy.html outcome measures that foster an inte­ Using Information Technology to Enhance Academic Productivity. grated approach to problem-solving and EDUCOM. William F. Massy and Robert Zernsky. quality assurance enhancement. http://www.ed.gov/legislation/GOALS2000/TheActj H.R. 1804 Goals 2000:Educate America Act. I03rd Congress, 2nd Session. SUMMARY US Congress. The instrumental use ofperformance indica­ tors as administrative mechanisms ofcontrol rate. Most reflect a degree ofgovernment in­ runs the risk ofcreating unintended negative volvement in academic affairs unknown just consequences. As a control tool, PIs run the a few decades ago. Under the umbrella ofsocial risk of creating disincentives for meaningful equity goals, systems are beginning to create reform. Ifreform does not capture the imagi­ bounties as incentives to state institutions. nation and agenda of higher education, the Missouri, for example, provides incentive likelihood ofdiminished public support for the funding to four-year state institutions that in­ academy will increase. On the positive side, clude $1,000 for each African-American when PI systems have an instrumental use in awarded a baccalaureate degree, $500 for agenda building, monitoring, and forecasting, newly admitted teacher education students they make educational delivery problems more who score at or above the 66th percentile on analytically tractable. • Index • 145 [

roles 29-31 American Council on strategic planning 32 Education (ACE) 101 University of Washington 28 American Council on Index uses 28 Education Series 104 Academic Quality Assurance American Demographics 19 and Assessment Plan 144 American Educational Research Academic Technologies Association (AERA) 134 for Learning 45 A American National Standards accrediting bodies 41 Institute (ANSI) 144 A Case Study of the ED QUEST ACE (American Council on Amey, M. J 75 Strategic Planning Model in a Education) 101 Public Two-year College 23 An Audit Report on Performance Achieving Educational Excellence: Measures at 20 Universities, A Guide for New A Critical Assessment of Health-Related Institutions, Planners 15,114,127,134 Priorities and Practices in and State Agencies 143 A Model for Assessing Develop­ Higher Education 104 Analysis for Public Decisions 15 mental Outcomes Related to ACPA (See American Analyzing Faculty Workload 75 Student Affairs Programs and College Personnel Services 105, 114 Association) 104, 106, 114 Anandam, K 93 A Practitioner's Handbook for ACT (American Anderes, Thomas K 129 Institutional Effectiveness and College Testing) 56 Angelo, T. 143 Student Outcomes Assessment Implementation 143 ACT Scores 138 Anketell, Dilip M 117 A Preliminary Study of the ad hoc model 18 Anticipatory Management: Feasibility and Utility for admissions 51 Ten Power Tools for Achieving Excellence Into National Policy of Instructional Admitted Student the 21st Century 23 'Good Practice' Indicators in Questionnaire 53,56 Higher Education 143 APPA (Association of AERA (American Educational Higher Education A Primer for Policy Analysis 15 Research Association) 134 Facilities Officers) 127 A Teacher's Dozen: Fourteen affirmative action 70 General, Research-Based Applied Social Research Methods Aguilar, F. J 23 Principles for Improving Series. Volume 3 15 Higher Learning in our AIR (Association for articulation agreements Classrooms 143 Institutional Research) 56 See cooperative agreements AACC (American Association AIR Professional File 144 ASHE (Association for the Study ofCommunity Colleges) 143 Allen, D 84 of Higher Education) 127 AACC Special Reports 143 alternative delivery strategies ASHE-ERIC Higher Education AACRAO (American Associa­ See cooperative agreements Reports 75, 104, 114, 143 tion ofCollegiate Registrars Alvino, Kathleen M 75 Ashley, W. C 23 and Admissions Officers) 53 American Association for Higher Asking the Users: AAHE (American Association for Education (AAHE) ... 71, 74, 75 How Are We Doing? 84 Higher Education) 71, 74, 75 See also AAHE Bulletin ASQ (Admitted Student AAHE Bulletin 45,75,143 American Association of Questionnaire) 53, 56 AAUP (American Association of Collegiate Registrars and Assessing Faculty Work: University Professors) 76,84 Admissions Officers Enhancing Individual and (AACRAO) 53 Academe 19 Institutional Performance 75 American Association of academic planning 125, 129 Assessment and Program Community Colleges See also budgeting; academic Evaluation 45 (AACC) 143 program review Assessment in Practice: American Association of academic program Putting Principles to Work .. 143 State Colleges and review 27-34, 73 Assessment Workbook 45 Universities 141, 143 application 34 Association of Governing American Association of benchmarks 31 Boards of Universities University Professors costs and productivity 28 and Colleges 144 (AAUP) 76, 84 criteria 29,32 Association for Institutional American Bar Association curriculum 73 Research (AIR) 56 (ABA) 143 external panel 29 See also Air Professional File facuIty 73 American College Association for the Study of indicators 31 Personnel Association Higher Education (ASHE) .. 127 outcome orientation 27 (ACPA) 104, 106, 114 See also ASHE-ERIC Higher planning 27 American College Testing Education Reports process 28-29 (ACT) 56 Astin, A. W. 104 See also ACT Scores [ 146 • Doing Academic Planning

Atlantic Community College Business Officer 134 co-curricular planning 107-114 Articulation Agreements 45 ByTE 19 assessment 110-114 Atlantic Monthly...... 19 commuters 109 c data 110-113 B goals 110 Cabrera, A. 66 institutional support 109 Badagliacco,]. 93 models 109-111 Campus Computing 1994: obstacles 108-109 Baltzer, 93 The Fifth National Survey of J recommendations 113-114 Desktop Computing in Higher Banning,]. 104, 105 scheduling 109 Education...... 84 Banta, T 143 student performance 107-108 Campus Ecology: A Perspective trends 108 Barr, M. J 104 for Student Affairs ...... 104, 105 Barsi, L. 143 co-curriculum Campus Planning and Facility See student affairs; student Bauer K 56 Development: A Selected development Bibliography 127 Be Your Own Consultant: cohort survival analysis ...... 53-54 Review Computer Services 84 Campus Planning: Redesign- Redevelopment-Rethinking .. 127 College and University Personnel Beck, C. M 105 Association (CUPA) 75, 76 Canada 134 Beeler, K. J 104 College Board 53, 56, 66 capital improvements plan 122 benchmark 31, 84, 89, 90 College Choices ofthe Benjamin, M 104 Carnegie Classification 142 Academically Able Students 66 Benveniste, G 15 Carnegie Foundation for the college costs 57 Advancement of Teaching 75 Bergquist, W. H 104 College Entrance Case Currents...... 19 Bibliography on Student Examination Board 66 Financial Aid 66 Castaneda, M 66 College Level Assessment and Black, K 143 CAUSE (the association for Survey Services 102 managing and using information Bogue, E 143 College Peer Groups: Problems and resources in higher education) Prospects for Research 105 Borden, V. 143 ...... 15,84,90,91,93,94 College Student Affairs Journal .. 114 Borland, D. T. 104 CAUSE Professional Paper .. 84, 93 College Student Experiences Bottani, N 143 CAUSE/EFFECT ..... 84, 93, 134 Questionnaire 54, 56 Boucher, W. 1. 127 Centre for Lifelong Learning College Student Personnel Bowling Green University 104 ofSouthern Africa 45 Development Administration Boyer, E. L. 75 Chait R 75 and Counseling 104 Braskamp, L. A. 75 Chan, Susy. S 87,93 Commission on Institutions of Higher Education of the North BraveNewWorkWorld & Change 19 NewWork News 23 Central Association ofColleges Chapman R. G 66 and Schools 45 Bromley, M. L. 84 Charting Higher Education Account- Commonwealth of Learning Task Brown, R. D 104 ability: A Sourcebook...... 143 Force Report on Credit Transfer, Brubaker, W. C. 127 Cheatham, H. E 114 Accreditation and Quality budgeting links to Check the Quality of Your Assurance 144 academic planning 129-134 Information Support 84 community college 92, 141 case studies 131-133 Chickering, A. W. 105, 143 Community College Week 19 conditions for success 130, 134 Christian Science Monitor 19 Community Colleges: Core evaluating 133 Chronicle of Higher Education. .. 19 Indicators of Effectiveness 143 leadership 132 participation 13 2 CI0 Magazine 84 Community Goal Setting 127 planning 129 CIRP (Cooperative Institutional competitor analysis 53 rationale 129-134 Research Program) 101 Computerworld 84 University of city beautiful Computing across the Curriculum: Wisconsin 132-133 See master plans Academic Perspectives ...... 93 University of Wyoming 131-133 Claremont Graduate School .... 41 Computing Strategies in Liberal Arts Colleges 93 Building a Learning Clearinghouse for Higher Organization 143 Education Assessment conditioned viewing 18 Instruments 104 Building Blocks of Conference of Philosophy and a New Society 15 Clearinghouse list of environmen­ Development ofStudent tal and student development Personnel Work 104 Buros Institute of Mental assessment tools 104 Measurements 104 Conoley,]. C. 104 Index • 147 [ cooperative agreements 35-44 Delphi 21 Enhancing the Multicultural approval 41 departmental level 73 Campus Environment 114 as contracts 36 Departmental Self-Study: Enhancing the Productivity checklist 36-39 A Guide for Campus Law of Learning 75 control issues 40-41 Enforcement 84 enrollment management coordination requirements 43 DePaul University 87 See admissions planning, curriculum 41 financial aid, recruitment defined 35 DeVellis, R. F. 104 analysis, retention analysis facilities 40, 42 Developing Effective Policy Analysis environmental scanning 17-24, 125 faculty 43 in Higher Education 15 abstracting 20 motivations 39 differential packaging 58 components 18 nontraditional delivery 36 dilip m. anketell & associates 117 defining environment 17 outcomes 39, 44 degree offormality 18 planning model 36 Dimensions of Intervention for dissemination 20 quality control. 42 Student Development ... 104, 105 formal systems 18-19 revenue 36, 42 Distance Education: The Options futuring techniques 21-22 stakeholders 36,40 Follow Mission 45 inside-out vs. outside-in 18 SWOT analysis 40 Diverse Methods for Research issue management model 22 timelines 40 and Assessment ofCollege online resources 24 tuition 42 Students 114 practical problems 23-24 Cooperative Institutional Dolence, M. G.. 15,56,93, 127, 143 print materials 19-20 Research Program (CIRP) ... 101 Dooris, M. J 75 rationale...... 17 Coordinating Budgeting and Dorn, W. S 84 reader guidelines 20 Academic Planning to Affect staffing...... 19 Doxiadis, C. A. 127 Institutional Commitment to synthesis 20 Teaching and Learning 134 Drum, D 104 Environmental Scanning in Corak, Kathleen A. 35 Drummond, M 134 U. S. Corporations 23 Core indicators of Effectiveness.. 141 EPN (Electronic Policy Network: cost-benefit analysis 11 E Idea Central) 15 Council of Educational Facility ERIC (Educational Resources Eaton, Gertrude M 27 Planners, International ...... 127 Information Directory) ...... 23 ED QUEST strategic See also ASHE/ERIC CPC (Curriculum Publications planning model 22 Clearinghouse) 106 ERIC Clearinghouse on Eddy, J 104 Assessment and Evaluation 144 Creamer, C. G 104 Edgerton, R 75 Erikson, E. H. .. 104 Creighton, J. L. 127 Educate America Act, Ernst, D. 93 Crittenden, B. S 105 J. Goals 2000 138, 144 Evaluating and Responding Crookston, B 104 Education and Identity 104 to College Guidebooks and cross-impact analysis 21 Education Week...... 19 Rankings 144 Croonquist, James L. 35 Educational Indicators and Evaluating Educational Cultural Pluralism on Campus .. 114 Enlightened Policy 143 Environments 105 CUPA (College and University Educational Policy 143 Evaluation Guidelines for Personnel Association) ..... 75,76 Institutional Information Educational Resources Informa- Resources 84,93 Current Issues for tion Directory (ERIC) 23 Higher Education: Information See also ASHE/ERIC Evolving Theoretical Perspectives Resources Management 134 on Students 105 Educational Testing curriculum 41,73 Service 102, 104 external panel 29 See also academic program Educom 93, 94, 144 extracurriculum review; co-curricular planning See co-curricular planning Educom Review 15, 94 Curriculum Publications Clearinghouse 106 EDUCOM Strategy Series on Information Technology 93 F customer service See IT planning, customer service Edutech International 84 Facilitating Distance Education ... 45 EDUTECH Report 84 faculty 69-76 D Ekistics: An Introduction to the Science accountability 71 of Human Settlements ...... 127 departmental level 73 Dameron, J. D 104 electronic reference citations i development 73 Dandekar, H. C. 127 Enhancing Promotion, Tenure and evaluation 73-74 Darling-Hammond, L. 143 Beyond: Faculty Socialization as a female 70,76 Cultural Process 75 human resource planning 69,76 Datamation...... 19 institutional mission 73 [ 148 • Doing Academic Planning

minorities 70,76 From Comparative Advantage HEIRA (Higher Education part-time 70-71, 76 to Damage Control: Information Resources productivity 76 Clarifying Issues Using Alliance) 84, 90, 93 recruitment 69-70 'SWOT' Analysis 45 HEPROC (Higher Education retention 69-70 From Tenure to New Pathways: Processes) 23 roles 71,74 Reframing the Debate 75 Hester Jr., R. T. 127 salaries 71,74,76 Fullan, M 15 Heydinger, R. G 23 scholarship 72 Futures Research and The Strategic teaching 76 Higher Education Data Planning Process 127 tenure 76 Sharing Consortium 75 Futures Research Quarterly. .. 19 Faculty Inventory: 7 Principles for Higher Education Good Practice in Undergraduate Futurics 19 Information Resources Education 143 Futurists 19 Alliance (HEIRA) ..... 84, 90, 93 See also HEIR Alliance Executive Faculty Job Satisfaction: Women Strategies Report and Minorities in Peril 75 G Higher Education Processes ... 144 Faculty Workload and Productivity 75 Gaither, G 143 Higher Education: Handbook of Theory and Research .. 23, 143 Faculty Workload Report 75 Gamson, Z. 143 Holland, J 105 Fardet, N 127 Gappa, J 75 How Administrators Can female 76 Garland, P. 104 Improve Teaching 114 FinAid: The Financial Aid Garland, P. H. 114 How College Affects Students .. 114 Information Page 66 Garvin, D 143 How College Effects Students: financial aid 57-66 George Washington University 75 Findings and Insight 105 admissions 60-65 GI Bill 98 assessment 57, 65 How Much Is Enough?: basic concepts 58 Giles-Gee, Helen F. 27 The Strategic Use of data 58-66, Gill, J 15 Institutional Aid 66 effect on enrollment 58 Gilligan, C. 104 How to Write and Use Instructional Objectives 45 flow chart 61 Goals 2000: Educate America government support 57 Act, H. R. 1804 138,144 Howard, R. D 84 key issues 65 governing boards 41 human resources planning management information See faculty systems 58-66 Grace, G. Gary 97 Hunter, D. E 104 strategic planning 57 Grace, T. W 114 Hurst, J. C. 104, 105 student major 64 grade index 51 surveys 65 Graduate 19 year in school 64-65 I financial planning graduation data 54 See IT planning: financial Graves, W. H 93 IACLEA (International Associa­ tion ofCampus Law Enforce- Fink, 1. 127 Green, K. C. 84 ment Administrators) 84 Fisher, H 143 Gronlund, N. E 45 Identity: Youth and Crisis 104 Fleit, Linda H. 79, 84, 93 Guide to EDP Performance IEEE Spectrum 19 Floyd, Carol Everly 69 Management 84 Illinois State Board FM Datacom: The Internet Home of Education 106 of Facilities Planning and H Improving Higher Education Management Data 127 Hammon, L. H 75 Environments for Adults 105 Focus Group Interviews: A Practical In Search of Excellence 84 Guide for Applied Research 105 Hanson, G 104 Indiana University 56 forecasting 18 hardware See IT (information technology) indicators formal search 18 Harper's 19 See performance indicators Forms of Intellectual and informal search 18 Ethical Development in Hartman, M 75 the College Years 105 Harvard Business Review 23 information technology See IT Forum on Faculty Roles and Hawkins, B. L. 84, 93 Information Technology and Responsibilities 74, 75 Hearn, C 23 J. the Remaking of the Foundation News 19 HEDS (Higher Education Data University Library 93 Fowler, J. W. 104 Sharing Consortium) 75 inside-out approach 18 Freshman Daily Experience 104 HEIR Alliance Executive Strategies Institutional Effectiveness Report 93 Assessment Instruments 104 Index •

institutional mission 73 Kearns, K. P. 45 Mastering the Politics of Planning: intellectual development Kearney, Gretchen Warner 107 Crafting Credible Plans and Policies that Make a Difference 15 theory 100 key performance indicators (KPls) International Association of See performance indicators McClendon, B. W. 127 Campus Law Enforcement Kohlberg, L. 105 McGuigan, D. G 104 Administrators 84 Kramer, J. J. 104 McLaughlin, G. W 84 Interviewing as Qualitative McLaughlin, Stephen P. 107 Research 84 Krueger, R. A. 105 Measuring Up: The Promises and IPEDS (Integrated Post Secondary Pitfalls of Performance Indicators Data System) 59 L in Higher Education 143 IS Gets a Physical 84 leadership 13 2 Mecca, Thomas. V 17, 23 issue Leaving College: Rethinking the Meeting the Challenge of Student context 7, 15 Causes and Cures ofStudent Financial Aid 57 crafting 6-10 Attrition 105,114 Memorandum on linking strategic defined 4 Leslie, D 75 planning and budgeting ...... 134 in policy cycle 7 management model 22 Let Us Light Candles 107 Mental Measurements Yearbook .. 104 Issues in Student Development: Linn, M. C 127 Metcalf, Barbara 75 From Models to Reality ...... 104 Little to Gain, Much to Lose: The Methods for Policy Research 15 IT (information technology) .79-94 Potential Impact of Income Tax Meyer, N. D 84 Restructuring Proposals 134 assessment 79-81,83-84 Meyerson, J 144 benchmarking 84, 89, 90 Logan, Ralph H 45 Middaugh, Michael E 49, 56, 57 community college 92 Long Distance Education Links Miller, S. C. 114 cost 79 to the Web 45 Miller, T. K 105, 114 customer service 90 long range development data collection 90 plan 118-128 minorities 76 end-user tools 83 Lookouts: The Newsletter of Minot State University 35 governance 81-82 Environmental Scanning 23 hardware 82-83 Mitchell, J. V. 105 network 82 Lozier, G. G 75 monitoring 18 partnership 85 LRDP (long range Monitoring the Standards planning 82,87-94 development plan) 118-128 of Education 143 private liberal arts colleges 92 Lunch, A. Q 105 Moore, K. M 75 quality criteria 81 Lund, J 143 Moore, L. U 105 research universities 92 software 82 Lynch, B. P. 93 Moos, R. H 105 staffing 82 moral development theory 100 stakeholders 92-93 M Moral Education 105 standards 82 Morrell, L. 144 strategic planning 88 MacKinnon-Slaney, E 114 support 83 Majchrak, A. 15 Morrill, W. H 104, 105 training 83 Making Sense of the Dollars: Morrison, J. L. 23, 127 The Costs and Uses of Faculty Moss. M 144 J Compensation ...... 75 Mother jones 19 Managing Faculty Resources. Jackson, R 66 New Directions for Higher Jain, S. C. 23 Education...... 75 N JCAR Technical Managing Uncertainty: Environ­ NACUBO (National Association Conventions Manual 143 mental Analysis/Forecasting in of College and University Johnstone, D. B 75 Academic Planning 23 Business Officers) ...... 84,91, 134 Joint Committee on Standards Manning, K 114 NACUBO Benchmarking for Educational Evaluation .. 144 Maryland Higher Education Project 91 Joint Doctoral Program, San Commission 28 Nanus, B 15 Diego State University ...... 41 Massa, R 66 NASFAA (National Association journal of Higher Education .. 23, 143 Massy, W. E 84,93,94, 144 of Student Financial Aid Administrators) 57,65 journal ofStudent Financial Aid .. .. 66 master plans 118 NASPA (Association of Mastering Change: Winning Student Personnel Strategies for Effective City K Administrators) 104, 105, 106 Planning 127 NASPAjoumal 105,114 Kantrowitz, Mark ???? Katz, R. N 93 [ 150 • Doing Academic Planning

National Association of College Northern Arizona University 3 Person/Environment and University Business Officers Norton, D. P. 84 Interaction 105 (NACUBO) 84,91,134 Peters, T. J 84 See also NACUBO Benchmarking Project o Pew Higher Education Research Program 71, 75 National Association of State Oblander, E 143 Universities and Land Grant Piedmont Technical College .... 17 Colleges 141, 143 Oetting, E. R 105 PIs National Association of Student Office of Postsecondary See performance indicators Financial Aid Administrators Education, United States planning .... 31,104-106,118-133 NASFAA) 57,65 Department of Education 56 See also budgeting National Association of Student Ohio Articulation and academic 118-119, 124, 125 Personnel Administrators Transfer Policy 45 alternative plans 122 (NASPA) 104, 105, 106 Ohio Board of Regents 45 capital improvements 122-123 comprehensive 118, 123 See also NASPAjournal Oregon State University 28 data 119-122 National Center for Higher Organizational Technological Education Management environmental scanning 125 Strategies for Higher Education evaluating 133 Systems 71,75,127,143 in the Information Age 93 facilities 123-124 National Center for Research Organizing and Managing leadership 132 in Vocational Education Information Resources motivating 118 (NCRVE) 106 on Campus 84, 93 needs assessment 119 National Learning Infrastructure Orly, J. c. 75 participation 13 2 Initiative (NUl) 84, 94 outside-in approach 18 process 121 National Library of Education 66 rationale 117-118 National Merit Scholarship 59 p recommendations 126-128 National Postsecondary Student staffing 118-120, 124 stages 120, 123 Aid Study 60 Pace, Robert C. 54 student development 104-106 Nations Business 19 Park, D 144 Planning for Faculty Development NCA Briefing 45 participation 132 at a Comprehensive State NCHEMS (National Center for partnerships University 75 Higher Education Management See cooperative agreements Planning for Higher Systems) 71, 75, 127, 143 Pascarella, E. T. 105, 114 Education 19, 75, 94 NCRVE (National Center PASS (policy analysis planning for information technology for Research in Vocational simulation system) 21 See IT planning Education) 106 Patitu, C. L. 75 Planning for Information Neal, J 143 Paying for your Vision­ Technology Resources 93 Nedwek, Brian P. 3, 134, 137, 143 Integrating the Planning Planning Programs in Recreation . 114 New Age 19 and Budgeting 134 players New Directions for Higher Pennsylvania state system 114 See stakeholders Education...... 93 Pennsylvania State Points of View 105 New Directions for Institutional University 89, 90, 91, 93 policy analysis 3-16 Research 75,143,144 Performance Anxiety 84 See also issue New Directions for Performance Funding Comes access 14 StudentServices .... 104, 105, 114 of Age in Tennessee 143 actionability 6, 11, 14 context 9 New Pathway Project 76 performance indicators 31,137-144 cost benefit 11 New Perspectives for Student accrediting bodies 141 cycle 6-7 Affairs Professionals 114 applicability 142-143 design 14 New York Times 19 budgeting 143 feasibility 9-10 case studies 139-141 Newcomb, T. M 105 feedback 14 community colleges 141 Newsweek...... 19 issue 14 costs and productivity 31 issue crafting 6-7 Nichols, J 143 criteria for success 144 methodology 15 NUl (National Learning Infrastruc- data 141-142 model 9 ture Initiative) 84,94 government 138-139 objectives 8 policy 138 Noetic Review 19 options 8 quality 138 Nonprofit Management policy making 16 rationale 137-138 and Leadership 45 political judgement 5-6, 15 typologies 138-139, 140 Nora, A 66 presentation 12-13,14 Perry, W. G 105 Norris, D. M. process 5 ... 15,56,93,114,127,134,143 persistence rates 54 scope 4, 16 Index • 151 [

selection 11, 12 Report to the Leaders of America's SCUP's Planning Pages 94 stakeholders 4-5,10, 15 Colleges and Universities: Seidman, 1. E 105 Meeting the Challenge of policy analysis simulation system Seldin, P. 114 (PASS) 21 Student Financial Aid ...... 57, 66 Self Assessment for Campus Research in Higher Education 66 policy analyst 3, 4 Information Technology policy crafting 8 research universities 92 Services 84, 93 Policy Perspectives 75 Resources for Learning about Self-Evaluation Guide for Institu­ Distance Education 45 policy selection 10 tional Evaluation in Title IV and Responding to the Needs ofToday's Other Federal Programs 66 Postlethwaite, T. N 143 Minority Students 114 Sell, K. R 134 Poulton, N. L. 15, 114, 127, 134 retention 49, 53-56 Serving More Than Students: A Praeder, W 134 Rhoads, R. A. 75 Critical Need for College Student preferential packaging 58 Rice, R. E 75 Personnel Services 104 Price Response in Enrollment Ringle, M 93 Setting Up a Key Success Decisions 66 Index Report 144 Robbins, M. D 84 primitive model 18 Sharp, Diana L. 97 Rogers, S. M 45 Prince, J. S 105, 114 Site Selection Magazine 127 Rossman, M. E 45 Principles of Good Practice Skelton, J. E 84 Rossman, M. H 45 for Electronically Offered Skulley, J 15 Academic Degree and Rudolph, F. 105 Smallen, D 93 Certificate Programs 45 Rudolph, L. 143 Smart, J 143 private liberal arts college 92 Ruppert, S 143 Smart States Initiative 127 proactive model 18 Russell, R 114 process indicators .. Smith, F. J 127 See performance indicators Society for College and program evaluation of s University Planning (SCUP) financial aid 65 Sack, J. R 93 ..... 15,56,93,94,114,127, 134 See also SCUP's Planning Pages Providing Information Technology SACS (Southern Association Services to Higher Education 84 ofColleges and Schools) 141 Socratek 102 Psychology Today 19 St. John, E 66 software 82 See also IT (information Public Policy and Public Trust: Saint Louis University 33, 13 7 technology) The Use and Misuse of San Diego State University 41 Performance Indicators in Solnit, A. 127 Higher Education 143 San Diego State University 41 Southern Association ofColleges Puzzles and Pieces in Wonderland: Sanders, J. R 144 and Universities (SACS) 141 The Promise and Practice of Sanford, N 105 Southern Illinois University 114 Student Affair Research ...... 104 Sapp, M 144 Speaking Truth to Power: The Art SAT 51, 52 and Craft of Policy Analysis 15 Saunders, L. 15 Stafford loan 59 Stage, F. K 114 Quade, E. S 15 Saunders, R 143 Stages in Faith 104 quality 138 Scale Development: Theory and Applications 104 Stages of Moral Development.... 105 quality assurance See performance indicators Scannell, J. J 66 stakeholders ...... 4-5, 10, 15,36,85,92 quality control 42 scanning See environmental scanning Stark, S 45 Quay, R 127 J. Scanning the Business State Higher Education Finance QUEST model 22 Environment 23 Officers Conference 134 Scanning the University's State University of New York R External Environment 23 (SUNY) 139,144 Rau, K. G. A 84 scenarios 21 Statement of Fundamental Lawyering Skills and reactive model 18 Scenarios; Uncharted Waters Ahead 23 Professional Values 143 recruitment analysis 49, 51-53 Schlossberg, N. K 105 STEP 17 Renfro, W. L. 127 scholarship 72 Stephanou, A. 144 Repertoire of Strategies for Stokey, E 15 Instructional Technology in Scholarship Reconsidered: Priorities Higher Education 127 of the Professoriate 75 Strategic Analysis: Using Compara- SCUP (Society for College and tive Data to Understand Your University Planning) Ins~u~n 144 ..... 15,56,93,94,114,127,134 [ 152 • Doing Academic Planning

strategic planning 32, 57, 88 Technological Horizons in Theoretical Perspectives Strategic Planning: A Human Education Online 84, 94 on Students 104 Resource Tool for Higher Technology and Distance Theory in Student Affairs 105 Education...... 75 Education Initiatives 94 Theory to Practice in Strategies for Restructuring IT Technology Review...... 19 Co-Curricular Activities 114 Organizations 93 Ten Reasons Why Computer Thomas, A 45 Strategies for the Practice of Centers Fail 84 Tierney, W. G 75 Institutional Research 56 tenure 76 Time 19 student affairs 97-106 Terenzini, P. T 105, 114 See also co-curricular planning Tinto, V 105, 114 Testimony from the Belly of affective 104 Training. 19 the Whale 75 assessment 101 Transforming Higher Education: data 103 Tests in Microfiche 104 A Vision for Learning in the defined 97 Tests In Print 105 21st Century 15,56,93 history 98-99 Texas 143 Transforming Teaching with intellectual 104 Texas Higher Education Technology: Perspectives modes 106 Coordinating Board 45 from Two-Year Colleges 93 planning 104-106 Trusheim, Dale W 49, 56, 57 student involvement.... 105-106 Texas Higher Education Distance surveys 101 Learning Master Plan 45 Tuijnman, A. C. 143 theories 100-101 The American College 105 tuition discounting 58 Student Affairs on the Internet .... 106 The American College and University 105 student development v See co-curricular planning The American Council on U. S. News and World Report ...... 19 Student Development in Education Series 104 Higher Education 104 The Call to Assessment: What UMS (University of Role for Student Affairs ...... 104 Maryland System) 28, 31 Student Development: Yesterday, Today, and Tomorrow ...... 104 The Design of Indicator Understanding Student Systems 143 Development 104 Student Developmental Task Inventory 114 The Effect of Financial Aid Policies on undirected viewing 18 Admissions and Enrollment 66 Student Environmental United States Congress 144 Development 105 The Evidence for Quality 143 United States Department student loans 57 The Four Cultures of the of Education 56, 60, 66 Academy 104 Student Opinion Survey 54 United Way 125 The Future of Student Affairs 105 Student Personnel Point ofView 98 University and Community The Influence ofStudent Aid College System of Nevada 129 student personnel services on Persistence 66 See student affairs University of Alberta 45 The Invisible Faculty: Student Personnel: All Hail University of Arizona 134 Improving the Status of and Farewell 104 University ofCalifornia 70 Part-timers in Education ...... 75 student services Berkeley 106,127 The Job of the Practicing Planner. 127 See student affairs Davis 75 The Joint Committee on Standards Riverside 120 Student Services/Involvement Assessment Instruments, for Educational Evaluation .. .. 144 University of Delaware 49,51,57 Institutional Effectiveness The Learning Action Plan: University ofGuelph 104 A New Approach to Information Assessment Instruments 104 University of Illinois at Technology Planning in Commu- Sullivan, E. V 105 Springfield 69 nity College 93 SUNY (State University The Meaning of University of of New York) 139, 144 Maryland System 28, 31 Educational Change 15 Sweet Briar College 114 The Planner's Use University of Miami 140 SWOT 40 of Information 127 University of Montreal 28 The Primer for University of Institutional Research 23 Northern Colorado 140 The Psychology of University of Pennsylvania 71 T. H. E. Technological Horizons Vocational Choice 104 in Education online 84,94 University of Toronto 134 The Public Involvement Manual .. 127 T. H. E. Journal 84, 94 University of Washington 28 The Role of Finances in the Tack, M. W. 75 University of Wisconsin .... 13 2-133 Persistence Process 66 Parkside 97, 107, 114 Taylor, B 144 The Student Personnel Upcraft, M. L. 105 Teaching and Learning Index 94 Point ofView 104 Index •

Using Information Technology Workable Models for to Enhance Academic Institutional Research on Productivity 84, 93,144 the impact of Student Aid 66 Using Key Performance World War I 98 Indicators to Drive Strategic World War II 98 Decision Making 143 World Wide Web (citations) i Utah System of Higher Education 94 Wright, D. J 114 UTNE Reader 19 z v Zeckhauser, R 15 Van Dyke, ]. 143 Zeglen, Marie E 3 Vinzant, D 134 Zemsky, R 89,93,94,144 Virginia Commonwealth University 74 Virginia Council on Education Management 94 Visionary Leadership: Creating a Compelling Sense ofDirection for Your Organization 15 vulnerability audit 21-22 w Wack, P. 23 Wall Street]ournal 19 Walleri, R 144 Walsh, W. B 105 Warner Kearney, Gretchen 107 Waterman, R. H 84 Web (World Wide Web citations) i Wergin, J. F. 75 Western Governors Association 127 Western 1llinois University 106 What Makes A Computer Center Great? 84 What Presidents Need to Know About Evaluating Institutional Information Resources 84 What Presidents Need to Know About the Payoff on the Informa- tion Technology Investment 93 Who Runs the Computer? Strategies for the Management ofComputers in Higher Education 84 Wildavsky, A. 15 Wilson, E. K 105 Wingspread Enhancing Academic Productivity Conference 94 Winona State University 140-141, 144 Winston, R. B 105,114 Women 19