03.01.99.R0.01 Strategic Planning and Institutional Effectiveness

Effective: September 1, 2002

Supplements System Policy: 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.
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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
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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.
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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.
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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.

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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.

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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