03.01.99.R0.01 Strategic Planning and Institutional Effectiveness
Effective September 1, 2002
Supplements System Policies 03.01
1. This is an official statement of University Procedure relating to institutional effectiveness, planning and evaluation.
2. Purpose: The University is committed to strategic planning and institutional effectiveness at all levels of operation and the use of the results associated with the evaluation of effectiveness for broad-based, continuous institutional improvement. Planning and evaluation at Texas A&M University-Commerce will be systematic, broad based, interrelated, and in line with the University’s purpose, vision, and mission. Under the direction of the President, the University will organize its human, physical and fiscal resources to carry out its mission through annual, formal planning and evaluation processes. Planning will be a continuous activity, which occurs at all levels of the University and is guided and shaped by the institution’s statement of purpose.
3. Strategic Planning: Under the direction of the President, the University
will annually review its strategic plans, including the University Strategic
Plan consisting of University-wide goals; Divisional and Unit Annual Plans including
division and unit goals and objectives; outcomes assessment measures and performance
standards; assessment procedures; and processes for analyzing assessment results
and using the results for program quality enhancement, as well as Unit Institutional
Effectiveness Reports.
The overall University Strategic Plan will link program, division, and University
goals and strategies, and provide direction for the coordination of activities
at all levels. It will also provide for participation of faculty and staff University-wide
in determining program directions, establishing objectives, and shaping institutional
goals.
The University Strategic Planning Committee, appointed by the President and
co-chaired by the Assistant to the President for Planning and Institutional
Effectiveness and a tenured faculty member appointed by the President, will
review and analyze available national and regional higher education trends,
institutional reports of program outcomes assessment, reported progress toward
goal and objective achievement, and other related data and factors that are
likely to affect the institution’s goals and their achievement over the
next four years. The University’s planning cycle will be based upon two
biennia in order to coincide with the State legislative and budget cycle. Each
University Strategic Plan will be developed for a four-year period, with provisions
for major adjustments at each two-year midpoint, and outcome assessment driven
adjustments every year. Thus a new strategic plan will be developed every four
years, based upon continuous assessment and evaluation.
Every year, after thorough analysis of the material, the Strategic Planning
Committee will recommend changes in the University Strategic Plan and strategies
to the Institutional Effectiveness Committee, chaired by the President. The
Institutional Effectiveness Committee will consist of the President, the Vice
Presidents, the Assistant to the President for Planning and Institutional Effectiveness,
the President of the Faculty Senate, President of the Student Government, and
the tenured faculty member who is appointed by the President to co-chair of
the Strategic Planning Committee. Based on the recommendations of the Strategic
Planning Committee, the President, along with the members of the Institutional
Effectiveness Committee, will annually review and update the mission-related
goals and objectives for University-wide planning. The President, with consultation
from the Assistant to the President for Planning and Institutional Effectiveness,
will ensure the University Strategic Plan is aligned with any existing Texas
A&M University System plan(s), as well as any Texas Higher Educational Coordinating
Board, or other state-wide plan(s). The overall guide for the planning/assessment
process is shown in Appendix A: Planning and Assessment Schematic.
Committee Structure:
Strategic Planning Committee
1. Committee Members:
a) Two co-chairs (Assistant to the President for Planning and
Institutional Effectiveness and one tenured faculty member).
b) Fourteen members appointed by the President, for staggered four-year
terms
2. Operating Guidelines:
a) The President will provide the planning charge to the Committee.
b) Committee meetings will be scheduled on a regular basis.
c) Committee members will serve indefinite terms.
d) The Committee will conduct an annual self-assessment of processes,
procedures and outcomes.
Institutional Effectiveness Committee
1. Committee Members:
a) President of the University, Chair
b) Assistant to the President for Planning and Institutional Effectiveness
c) Vice Presidents
d) President of the Faculty Senate
e) President of Student Government
f) Tenured Faculty Member Co-chair of the Strategic Planning Committee
2. Operating Guidelines:
a) The President will provide the charge to the committee based on
the recommendations of the Strategic Planning Committee.
b) Committee meetings will be scheduled as necessary.
c) Committee members serve indefinite terms.
d) The Committee will conduct an annual self-assessment of processes,
procedures and outcomes.
4. Institutional Effectiveness Evaluation: On an annual basis, all University organizational units, as designated by each Vice-President, will prepare Unit Annual Plans, including unit goals, objectives, and strategies, as well as outcome assessment measures and assessment procedures (academic units, including continuing education, will also include learning outcome assessment measures and assessment procedures for all programs) in support of the current University Strategic Plan. These annual plans will be assessed by each unit and each unit will then report progress toward accomplishment of goals and objectives in accordance with the strategic plan in an annual Unit Institutional Effectiveness Report. These annual Unit Institutional Effectiveness Reports will also show how assessment has led to documented changes, and how these assessments affect budgetary needs for the next fiscal year. Each Vice President and the President’s office will then summarize the findings, which will be compiled by the Office of Institutional Effectiveness into an annual University Institutional Effectiveness Report.
5. Administrative Responsibility: The President, in consultation with the Texas A&M University System Chancellors Office and Board of Regents, is responsible for the institutional effectiveness process in the context of existing System policies and University procedures.
References: New; System Policies 03.01; Procedure IE03.01.01
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CONTACT FOR INTERPRETATION: Assistant to the President for Planning & Institutional
Effectiveness
Texas A&M University-Commerce
Planning Procedures and Guidelines
Introduction
Under the direction of the President and in consultation with the Texas A&M
University System Chancellor’s Office and Board of Regents, the institutional
effectiveness process organizes the University’s human, physical, and
fiscal resources to carry out its mission through an annual formal planning
process. Planning is a continuous activity, which occurs at all levels of the
University and is guided and shaped by the institutional vision and mission.
The University Strategic Plan links unit, program, and University objectives
and coordinates activities at all levels. The University planning process also
provides for participation of faculty, administration, and staff in determining
program directions, establishing objectives, and shaping institutional goals.
Last, the planning process encompasses and is an integral part of the budgeting
cycle.
______________________________________________________________________University
Strategic Plan
Through the planning process, the Institutional Effectiveness Committee, with
advice from the University’s Strategic Planning Committee, will annually
review and adjust the University’s annual goals and strategies contained
in the University Strategic Plan to guide the planning and budgeting efforts
of the three administrative divisions (Academic, Business & Administration,
Marketing and Resource Development) within the University.
The annual planning process will be directed by the President in the context
of existing A&M System policies and University procedures. On a day-to-day
basis, the functional authority for the institutional effectiveness, planning,
and evaluation process is vested to the Assistant to the President for Planning
and Institutional Effectiveness, and in these matters, the Assistant to the
President acts in the President’s behalf.
The Assistant to the President for Planning and Institutional Effectiveness
is responsible for the coordination and direction of institutional research,
outcomes assessment, and institutional effectiveness evaluation activities.
In this capacity, the Assistant to the President is responsible for establishing,
maintaining, and monitoring the coordination of appropriate evaluation procedures
for the institution’s planning process, outcomes assessment, and its progress
toward mission and goal accomplishment.
The University Strategic Planning Committee will operate on a four-year cycle
to coincide with the biennial cycle of the Texas Legislature. Figure A shows
three four-year cycles through Academic Year 2012. The cycle is based upon continuous
improvement processes. For example, a new Strategic Plan was implemented in
Fiscal Year 2001; revision for Fiscal Years 2003 and 2004 will be done during
spring and fall, 2002, progress will be monitored during Fiscal Year 2003, which
will lead to the creation of a new University Strategic Plan in Fiscal Year
2004.
______________________________________________________________________
Figure A: Four Year University Strategic Plan Cycle
Fiscal Year
2001 2002 2003 2004
(Fall 00 - Sum 01) (Fall 01 – Sum 02) (Fall 02 – Sum 03) (Fall 03
– Sum 04)
Implement Strategic Revise for Continue Revision Create New Strategic
Plan in Fall 00 FY 03 and 04 Monitor Progress Plan FY 05- FY 08
in Spring 02, Fall 02
2005 2006 2007 2008
(Fall 04 - Sum 05) (Fall 05 – Sum 06) (Fall 06 – Sum 07) (Fall 07
– Sum 08)
Implement Strategic Revise for Continue Revision Create New Strategic
Plan in Fall 04 FY 07 and 08 Monitor Progress Plan FY 09- FY 12
in Spring 06, Fall 06
2009 2010 2011 2012
(Fall 08 - Sum 09) (Fall 09 – Sum 10) (Fall 10 – Sum 11) (Fall 11
– Sum 12)
Implement Strategic Revise for Continue Revision Create New Strategic
Plan in Fall 08 FY 11 and 12 Monitor Progress Plan FY 13- FY 16
in Spring 10, Fall 10
______________________________________________________________________
Unit Annual Plans
Academic Units
The Provost/Vice-President for Academic and Student Affairs, along with the
Associate Vice President for Academic Affairs and the Academic Deans will guide
planning for academic units. The Provost/Vice-President for Academic and Student
Affairs annual plans and goals as well as individual College and Graduate School
annual plans and goals should be updated before September 1 of each year, in
line with the current University Strategic Plan. Academic units will begin developing
Unit Annual Plans in October of each year – these plans should be aligned
with and in support of the current University Strategic Plan, as well as the
current Academic Affairs and College plans and goals. Unit Annual Plans should
be completed and submitted to the appropriate dean for approval by December
1, along with the Unit Institutional Effective Report on the previous year’s
Unit Annual Plan (discussed in the next section).
The Unit Annual Plan should include unit goals and objectives for the next academic
year, as well as faculty needs, operating and equipment budget for the next
year (Unit Annual Plan Guidelines will be issued each year by the Office of
Institutional Effectiveness). According to institutional effectiveness standards
of good practice and most accreditation requirements, these plans must also
evaluate educational effectiveness, including the quality of student learning
and of research and service. Therefore, academic Unit Annual Plans will also
address learning outcomes, research and service, as determined by the academic
unit in consultation with the appropriate Dean. The evaluation of academic programs
should involve gathering and analyzing both quantitative and qualitative data
that demonstrate student achievement. These measures and metrics will vary by
unit and program, and should be determined by the unit during the development
of the Unit Annual Plan. The recommended format for student learning assessment
is the one developed by the American Association for Higher Education (http://www.aahe.org/Assessment/assessmentplan.htm).
The deans should review the Unit Annual Plans and Unit Institutional Effectiveness
Reports, and forward them, along with budgetary recommendations, to the Provost/Vice
President for Academic and Student Affairs by January 1, who will review them
and forward them to the Strategic Planning Committee and the Institutional Effectiveness
Committee by February 1. The Provost/Vice President for Academic and Student
Affairs will evaluate the Unit Annual Plans in light of the Institutional Effectiveness
Reports, assess budgetary requests from this evaluation, and approve, reject
or modify unit budgetary requests based upon this evaluation and assessment.
These budgetary requests will be incorporated in the University budgeting process
for the next fiscal year. After the University budget projections are prepared,
the Unit Annual Plans will be amended to reflect these projections, and the
amended Unit Annual Plans, along with any facilities or capital requests will
be resubmitted. After final budgetary and Provost/Vice President of Academic
Affairs approval, the final Unit Annual Plan will be filed with the office of
Planning and Institutional Effectiveness (the Office of Institutional Effectiveness
will publish annually a Planning and Institutional Effectiveness Timeline).
Administrative and Educational Support Services Units
The Provost/Vice President for Academic and Student Affairs, the Vice President
for Business and Administration, and the Vice President for Marketing and Development,
along with the appropriate Associate and Assistant Vice Presidents and deans
and the Athletic Director, will guide planning for University Administrative
and Educational Support Services units as defined by the appropriate Vice President.
Division annual plans and goals should be updated before September 1 of each
year, in line with the current University Strategic Plan. The Vice Presidents
of these divisions, along with the Athletic Director, should also develop an
overall four-year Division Strategic Plan in alignment with the University Strategic
Plan. These Division Strategic Plans should be on the same cycle as the University
Strategic Plan and updated annually to reflect changes in the University Strategic
Plan as well as any changes in the Division’s role. These updated plans
constitute the Annual Plans for the Divisions.
Administrative and Educational Support Services units, as defined by the appropriate
Vice President, will begin developing Unit Annual Plans in September –
these plans should be aligned with and in support of the current University
Strategic Plan, as well as the Division plans. Unit Annual Plans should be completed
and submitted to the appropriate Vice President, Associate or Assistant Vice
President, or Dean, as designated by the Vice Presidents, by December 1, along
with the Unit Institutional Effectiveness Report on the previous year’s
Unit Annual Plan. The Athletic Director and the Office of Planning and Institutional
Effectiveness will forward their Unit Annual Plans and Institutional Effectiveness
Reports to the President by December 1.
The Unit Annual Plan should include unit goals and objectives for the next academic
year, as well as personnel needs, operating and equipment budget needs for the
next year (Unit Annual Plan Guidelines will be issued each year by the Office
of Institutional Effectiveness). Institutional effectiveness standards agree
that each administrative and educational support unit must establish a clearly
defined purpose which supports the institution’s purpose and goals, formulate
goals which support the purpose of each unit, develop and implement procedures
to evaluate the extent to which these goals are being achieved in each unit,
and use the results of the evaluations to improve administrative and educational
support services. Each unit, in its planning and evaluation processes, should
consider internal and external factors and develop evaluation methods that will
yield information useful to the planning processes of that unit. It is recognized
that measures and methods may vary widely from unit to unit, but they must be
appropriate to the unit’s purpose and mission.
The Associate/Assistant Vice Presidents and Deans will review the Unit Annual
Plans and Unit Institutional Effectiveness Reports and forward them, along with
budgetary recommendations, to the appropriate Vice President by January 1, who
will review and assess them and forward them to the Strategic Planning Committee
and the Institutional Effectiveness Committee by February 1. The Vice Presidents
will evaluate the Unit Annual Plans in light of the Institutional Effectiveness
Reports, assess budgetary requests from this evaluation, and approve, reject
or modify unit budgetary requests based upon this evaluation and assessment.
These budgetary requests will be incorporated in the University budgeting process
for the next fiscal year. The President will also forward the Plans and Reports,
along with evaluation and assessment of budgetary requests, from the Athletic
Director and the Office of Planning and Institutional Effectiveness to these
committees and the University budgeting process. After the University budget
projections are prepared, the Unit Annual Plans will be amended to reflect these
projections, and the amended Unit Annual Plans, along with any facilities or
capital requests will be resubmitted. After final budgetary and appropriate
Vice Presidential approval, the final Unit Annual Plan will be filed with the
office of Planning and Institutional Effectiveness (the Office of Institutional
Effectiveness will publish annually a Planning and Institutional Effectiveness
Timeline).
______________________________________________________________________Unit Institutional
Effectiveness Reports
Academic Units
At the beginning of each fall semester, all academic units will assess the previous
year’s planning goals, as well as summarize the ongoing learning outcomes
assessments for the previous year. These assessments will be reported in the
Unit Institutional Effectiveness Report (UIER). This report should include a
summary of the previous year’s goal achievement and how the results of
assessments have been used to improve unit and program effectiveness. The Unit
Institutional Effectiveness Reports should indicate how these assessments and
subsequent changes support the budget requests contained in the Unit Annual
Plan. Academic units should also include a summary of how learning outcomes
assessments were used to enhance the quality of academic programs. These reports
should follow a guideline published annually by the Office of Institutional
Effectiveness, and are submitted along with the Unit Annual Plan to the designated
dean or Assistant/Associate Vice President by December 1.
Administrative and Educational Support Services Units
All administrative and educational support services units will also submit an
annual Unit Institutional Effectiveness Report (UIER). These reports should
include a summary of the previous year’s goal achievement and how the
results of assessments have been used to improve unit and program effectiveness.
The Unit Institutional Effectiveness Reports should indicate how these assessments
and subsequent changes support the budget requests contained in the Unit Annual
Plan. These reports should follow a guideline published annually by the Office
of Institutional Effectiveness, and are submitted along with the Unit Annual
Plan to the designated dean or Assistant/Associate Vice President by December
1.
______________________________________________________________________
Mid-Year Progress Assessment
Each academic, administrative and educational support service unit will assess
progress toward the current Unit Annual Plan in January. The assessment will
be for internal unit use, and may be in any format. These reports should be
kept on file in the unit, along with any documentation of modifications made
as a result of these assessments. Division and Dean-Associate/Assistant Vice
President level annual plans should also be assessed in February. Again, these
assessments are for internal use, but should be kept on file, along with any
modifications made as a result of these assessments. ______________________________________________________________________
Committee Goals and Committee Annual Reports
By October 1, each standing University Council or Committee will develop goals
for the academic year. These annual goals will be submitted to the President’s
office, where they will be complied by the office of Planning and Institutional
Effectiveness, and then submitted to the University Strategic Planning Committee
and the Institutional Effectiveness Committee by January. These goals may vary
widely in nature and number depending upon the purpose and scope of the committee
or council, but every standing committee or council should have at least one
major goal. By September 1 of the following year, a Committee Annual Report,
incorporating the pervious year’s goal assessment, and how that assessment
has led to any changes in the committee structure, procedure or function, should
be completed by the committee or council chair and forwarded to the President’s
office. These reports will be compiled and published by the office of Planning
and Institutional Effectiveness, and submitted to the University Strategic Planning
Committee and the Institutional Effectiveness Committee.
________________________________________________________________________
University Institutional Effectiveness Report
Each fall, the office of Planning and Institutional Effectiveness will produce
an annual University Institutional Effectiveness Report. This Report will be
based upon all Unit Institutional Effectiveness Reports and will assess how
well the University has addressed the previous year’s University Strategic
Plan. The University Institutional Effectiveness Report will be reviewed, revised
as necessary, and approved by the University Institutional Effectiveness Committee
and the President. This final Report will be published by the office of Planning
and Institutional Effectiveness in January of each year.
________________________________________________________________________
Linking Planning, Institutional Effectiveness and Budgeting
Planning, institutional effectiveness, accreditation and higher education management
standards of best practices all place an emphasis on linking planning, assessment
and budgeting. Texas A&M University-Commerce is committed to this philosophy
of integrating planning and outcomes assessment into its budgetary processes.
In January, the Vice Presidents will evaluate the Unit Annual Plans in light
of the Institutional Effectiveness Reports, assess budgetary requests from this
evaluation, and approve, reject or modify unit budgetary requests based upon
this evaluation and assessment. These budgetary requests will be incorporated
in the University budgeting cycle. These Unit Annual Plans will be amended through
the budgeting process and returned to the units for any facilities and/or capital
requests. These Amended Unit Annual Plans will again be reviewed by the appropriate
Dean, or Assistant/Associate Vice President and forwarded to the appropriate
Vice President for final approval. These amended Unit Annual Plans, along with
facilities requests as approved by the appropriate Vice President, should be
submitted to the Associate Vice President for Facilities by July 1. Facilities
requests should be finalized in August and the final Unit Annual Plans will
be filed with the office of Planning and Institutional Effectiveness. All dates
dealing with budget issues are subject to change due to the changing requirements
of the A&M System, the Legislature and the Legislative Budget Board.
________________________________________________________________________
Revision and Modification of the Planning and Institutional Effectiveness Procedure
The procedures and process contained in this document shall be evaluated annually
(in September and October) by the Institutional Effectiveness Committee and
the Assistant to the President for Planning and Institutional Effectiveness.
Any modifications and/or changes resulting from this assessment shall be subject
to University procedures and A&M System policies dealing with changes to
University procedures.