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Strategic Planning Handbook

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  • 1. Strategic Planning Handbook February 2009
  • 2. FORWARD The strategic plans for both Central Ohio Technical College and The Ohio State University at Newark (draft) support the University System of Ohio (USO) strategic goals for improving Ohio’s educational attainment. These goals are complemented by institutional visions of being the number one technical college in the state of Ohio and improving Ohio’s future by extending the Ohio State experience beyond the Columbus campus and having the best retention and graduating rates of all of Ohio’s regional campuses for Central Ohio Technical College and The Ohio State University, respectively. The strategic directions for both institutions are paramount for achieving the potential and the promise of each institution. The strategic plans were facilitated by committees made up of representatives of many college/campus departments along with input from the entire college/campus community, including community representatives. The implementation of the strategic plans will ensure that Central Ohio Technical College and Ohio State Newark will continue to provide quality education, service to our communities, and contributions to the economic development of our area. Copies of the strategic plans are available on the web at: Central Ohio Technical College http://www.cotc.edu/cotc/ResearchandPlanning/Attachments/SecuringtheFuture2008.pdf The Ohio State University at Newark http://www.newark.osu.edu/OSUNDean/Attachments/OSUNStrategicPlan2008.pdf 2|Page
  • 3. What is the Purpose of the Strategic Planning Handbook? The Strategic Planning Handbook is a guide to help coordinate institution-wide strategic planning. The action plans identify efforts common to COTC and Ohio State Newark and highlight activities unique to each institution. The collection of plans demonstrates the efforts to better serve our students and the community. The compilation of these plans provides us with our own Best Practice examples and the opportunity for collaboration. COTC and Ohio State Newark are committed to strategic and quality planning and managing the future of education in our community. Our strategic planning processes provide a basis for the effective and efficient use of our resources to serve our constituents. It enables us to make critical decisions regarding the implementation of activities and resource allocations in a challenging and dynamic environment. It also establishes a participative process that ensures decisions are consistent with the goals, objectives, and strategies to meet the missions and visions of our two institutions. The purpose of this handbook is to document the processes, guidelines, and responsibilities for strategic and quality planning. Specifically, it delineates the following: Using quality improvement processes; Integrating strategic planning and the academic plan, budget process, institutional effectiveness, human resources, grants, and facilities and technology planning; Developing linkages from strategic planning to operational planning; Evaluating and improving performance of the planning process; and Delineating and linking the roles and responsibilities of planning among the cabinets, committees, and individual employees. Effective planning is occurring at all levels of the institutions and this handbook provides a framework to align unit/department activities with the visions, missions, values, and goals of Central Ohio Technical College and The Ohio State University at Newark. This handbook serves as a guide and is meant to be reviewed and improved as needed. 3|Page
  • 4. Our Institutions— Central Ohio Technical College The Vision - To be the number one technical college in the state of Ohio—both quantitatively (enrollment & low tuition rates) and qualitatively (academic excellence). The Mission - To meet the technical education and training needs of students and employers in the area. The Goals - 1. Maximize student access, learning, and success 2. Strengthen COTC’s institutional identity as a leader in technical education and technological innovation 3. Strengthen a culture that embraces the value of diversity 4. Foster an environment of stewardship 5. Continue to cultivate positive constituent relationships 6. Foster and advance mutually-beneficial, unique relationship with The Ohio State University and its Newark campus 7. Sustain and strengthen a talented, high-performance workforce The Ohio State University at Newark The Vision - To improve Ohio’s future by extending the Ohio State experience beyond the Columbus campus and having the best retention and graduating rates of all of Ohio’s regional campuses. The Mission - To advance the well-being of the people of Ohio and the global community through the creation and dissemination of knowledge. In helping the university fulfill its mission, Ohio State Newark serves as a point of access to the university for students who are place-bound or who desire a more personal environment in which the primary mission of teaching is informed by research, scholarly, and creative activity. We provide access by offering a broad array of lower-level courses and by offering undergraduate and graduate degree programs—typically in the liberal arts, the sciences, and the professions—that meet community, regional, and state needs. The Priorities - 1. Providing Access to the University 2. Enhancing Student Success 3. Engaging the Community 4. Building Faculty and Staff Talent 5. Creating a Diverse University Community 4|Page
  • 5. What is Strategic Planning? “Strategic planning is a formal process designed to help an organization maintain an optimal alignment with the most important elements of its environment” (Rowley, Lujan, & Dolence, 1997, p. 15). The strategic planning process supplies the organization with tools that promote future thinking, applies the systems approach, allows for setting goals and strategies, provides a common framework for decisions and communications, and relies on measuring performance (Steiner, 1979). The central value of planning is to provide guidance for an institution. Continuous planning that is future-oriented, fosters dynamic programming and is based on sound financial and operational strategies is the key to maximizing the institution’s strengths and is a basis for ensuring that the institution can continue to meet the needs of its constituency. What is COTC and Ohio State Newark Planning? The purpose of strategic planning is contained in the definition of planning. Planning is anticipating trends and determining the best strategies to achieve organizational goals and objectives. For COTC and Ohio State Newark, the strategic planning process provides the framework to advance each institution’s mission, vision, and goals; this is accomplished by each of the institutions taking action to better meet the needs of students and the internal and external communities and thereby advancing their individual missions, visions, and goals to serve students and the internal and external communities. Three traditional types of planning used at COTC and Ohio State Newark are strategic, operational, and action planning. Strategic planning – a visionary process that results in major, long-range and far-reaching strategic directions or goals for the future to advance the institutions’ goals for service to students and the community. Strategic plans provide the foundation for operational planning in the form of policies, procedures, and strategies for obtaining and using resources to achieve those directions. As a result of our strategic planning efforts, seven strategic goals were developed for COTC and six strategic priorities were identified for Ohio State Newark for use in college/campus and unit/department planning. Each department determines their own strategic priorities (goals) that advance institution-wide strategic directions. Operational planning – These plans are developed by each unit/department and incorporated in one, unified, institutional operational plan. The operational plan translates the longer term strategic plan into a one-year timeframe and thus to the annual resource allocation. These are plans that specify one year objectives in all areas of the institution set to achieve the strategic goals. Action planning – developing detailed, short-term statements about what is to be done, who is to do it, and how it is to be done. These are plans to implement the outcomes of strategic planning. This process often involves setting work standards and schedules necessary to implement the objectives. Whereas strategic planning looks at the organization as a whole, 5|Page
  • 6. action plans focus on action carried out by specific supervisors and department managers in the implementation of daily and weekly operations. Important to action plans are specificity and time frames for completion for the action in the plan. Action planning involves both the development of plans to improve and change daily operations as well as the development of capital projects that will ultimately be used in daily operations. Note that capital planning activities often span a longer period of time than plans around day-to-day operations. After the approval of the budget, all of the funded action plans are reviewed and divided into two categories—strategic and routine. Strategic action plans are directly related to the institution(s) strategic plan goals and objectives. Examples of approved strategic action plans included items to pursue a new initiative, new directions for the institution, or were of an innovative/strategic nature to move the institution(s) forward. As a result of funding these initiatives, we expect results in quality improvement, growth of the unit, or gain towards the outlined strategic directions. One of the ways in which we hope to sustain our strategic plans is to monitor our progress on these strategic action plans. Therefore, individuals whose action plans were identified as strategic are asked to provide brief progress reports on each plan at two points during the fiscal year: mid-year and year end. In addition, COTC and Ohio State Newark also engage in Capital/Master planning. Capital/Master planning – long-term capital planning based on master planning efforts that support strategic directions of COTC/Ohio State Newark units and departments. There are two levels in the decision-making hierarchy in COTC and Ohio State Newark (Institution-wide, including cost-shared and Units/Departments). Strategic planning occurs on both levels but development of action plans tends to be focused at the unit and departmental levels. The two levels are shown in the following table and examples of specific responsibilities are identified: General Examples of Strategy Job Titles Responsibilities Responsibilities Institution-wide & COTC - President, COTC Financial performance Recommendations on Cost-Shared Board of Trustees, cabinet and achievement of institution-wide budget, Ohio State Newark – non-financial goals. recommendations on Dean/Director, Advisory They set objectives and institution-wide Board, cabinet formulate strategies. strategic direction and Cost-Shared – priorities COTC President, Ohio State Newark Dean/Director, Campus Council Units/Departments Vice Presidents, Directors, Translate institution- Operational/action plan Supervisors, Managers wide and cost-shared development, directions into development of budget concrete objectives requests, unit/department budget development 6|Page
  • 7. What are the Steps in Planning? The graphic below shows the steps in the planning cycle. Environmental scanning and developing strategic thinking about this data and trends lead to the development of overall institution-wide strategic direction and priorities. For COTC, environmental scanning and developing strategic thinking led to the adoption of seven strategic goals that are used to focus action planning. Ohio State Newark adopted five strategic priorities for this purpose. Action planning occurs in the planning and implementation phase: Action Plans are developed and implemented. Data on the outcomes of implementation (accountability) are used to support planning activities. Environmental Developing Strategic Planning and Accountability Scanning Strategic Thinking Directions and Implementation Assess & Issues Facing Identifying Key Priorities Developing Implement COTC and Ohio Issues Approve and Directions & strategic and State Newark Gap Analysis Adopt Action Plans Financial Data Trends Identifying the Communicate Link Strategic Planning SWOT Analyses Initiatives and Financial Assess & Planning Improve Allocate to Initiatives Priorities Review Planning Processes What is Integrated Planning? Integrated planning is the process whereby all planning and resource allocation activities throughout every level of the organization are effectively linked and coordinated, and driven by the institution’s vision, mission, and academic priorities. How are the Strategic Planning Process and the Budget Process Integrated? Planning drives budget development. The resources of the college/campus advance strategic planning decisions but also are required to support operational planning such as covering utility costs, salary and benefit increases, funding system implementation, capital development program operating costs, and enrollment growth. A typical term used to apply to all of these items is “operational commitments”. Part of the annual budget process is determining the cost of these operational commitments and whether or not they still exist as priorities and determining how these needs balance against needs coming from strategic planning efforts. Not all planning requires additional funding. Some plans require a reallocation of resources, new processes or procedures. In some cases, strategic planning efforts may result in a recommendation to allocate fewer resources to particular efforts. Effective planning looks at all possibilities in attempting to achieve desired outcomes. 7|Page
  • 8. General Overview—The Budget Office will develop funding projections for college-wide/campus-wide costs for review by the COTC President and the Ohio State Newark Dean/Director, respectively, and these projects will include the following: Initial or continued implementation of a college-/campus-wide computer system. Inflationary and business needs such as supplies and utilities, fixed charges, software and hardware maintenance, and/or liability insurance. Enrollment growth funding at current/projected rate, as well as potential increase at the rate equal to tuition increase (if applicable). The Budget Office will provide the estimates of the General fund resources available for the fiscal year allocations to fund various programmatic needs at COTC and Ohio State Newark. These resources consist of the balance of available funds remaining after estimates for mandates and both prior and on- going commitments. The central administration of each institution asks Unit Budget Managers (UBMs) to submit their cost- to-continue budgets and any new Action Plans in March of each year. Action Plan requests must be submitted on the forms in use for budget development for the year in question. The appropriate member of the COTC President’s or Ohio State Newark Dean/Director’s cabinets must approve Action Plan submissions prior to submission to the Budget Office. Evaluation of College-wide/Campus-wide Requests—Cabinet members will review all Action Plans, prioritize, and make recommendations to the COTC President and the Ohio State Newark Dean/Director in May. Cabinet members will evaluate the Action Plans in terms of how well each plan advances each institutions strategic plan. Annual Planning Calendar Environmental Scan Autumn Conduct PEST/SWOT analysis Dec – Units/departments submit mid-year progress report of prior year action plan Winter Units/departments review College/campus goals, objectives, & KPIs and develop strategies Next action plan/decision cycle begins Deadline for unit action plan requests for budget consideration Spring May/June Units submit Annual Progress Report of prior year action plans Annual Strategic Planning Evaluation Summer 8|Page
  • 9. How do I submit an Action Plan? All new initiatives must be submitted via the Action Plan form. Operating budget files are used to submit inflationary increases or cost to continue increases, as well as capital requests less than $1,000. All other capital requests and all Personnel Action Requests (regardless of the type of request) should be submitted through the Action Plan form. A sample completed Action Plan is included in Appendix A. Locating the Action Plan Form: Find the Action Request form (in Microsoft Access) on the L drive in the “Budget” folder and within the “Action Plan” folder. Upon opening the Action Plan database, the Action Plan switchboard will appear; click on the “UBM” button and then on the “Add Submissions” button to open a blank submission form. Note that the submission number defaults as (NEW). Once you begin typing within the form a submission number will be assigned. It is important to note your assigned submission number; it is required when submitting the Operating Budget, Facilities Request, Technology Request, and Personnel Request (and later editing a previously submitted Action Plan). Directions for completing the Action Plan Form: *Be considerate of others…please do not leave an Action Plan form open for long periods of time (unless of course, you are actively working on the plan). This will free up a session for other Budget Managers. 1. Lead Person: enter the first and last names of the requesting individual. 2. Action Plan Title: enter a short identifiable title. 3. Fiscal Year: enter the fiscal year for budget consideration (default value is FY09-10). Please note: If an Action Plan spans multiple fiscal years, please fully submit the Action Plan for the first phase (or for the first fiscal year). Within the Description of Action Plan section, estimate the costs for future fiscal years. Future phases of the plan will need to be submitted in applicable fiscal years (for example, Phase I of a plan is submitted for FY09-10 budget consideration, Phase II would be submitted in FY10-11 and Phase III in FY11-12). 4. Date of Initial Proposal: enter date proposal submitted. 5. Department Number: enter department number. COTC and cost shared departments should enter fund, location, cost share, and department. Ohio State Newark departments should enter org and fund number. If a new department will be assigned, please enter “New Dept”. 6. Cabinet Member: from drop down box select applicable Cabinet Member. 9|Page
  • 10. 7. Affiliation: from drop down box select Ohio State Newark, COTC, or cost-shared. 8. Planning Initiative: from the drop down box select the Planning Initiative Code(s) that the Action Plan most directly addresses. For a complete list of Planning Initiatives please see Appendix B. Please do not leave the drop down box for this field open for long periods of time – the database will freeze up for EVERYONE. Please note: Requests must be aligned with one or more of the Planning Initiative Codes established by each institution. Financial resources will not be allocated to requests that are not aligned with the institutions' missions and goals. Ohio State Newark and COTC non-cost shared requests should include one or more planning initiative codes for the applicable institution; cost shared departments must include a Planning Initiative code for each institution. 9. Description of Action Plan: provide a complete description of Action Plan including timeline and activities. **Note that for especially long Action Plan descriptions it may be easier to type this section in a Word document and then copy and paste it into this section of the form. 10. Justification: provide justification as to how the Action Plan helps meet Planning Initiative Code identified above. Also, include explanation as to why current resources cannot fulfill Action Plan goals, as well as the impact if not approved. **Note that for especially long Action Plan justifications it may be easier to type this section in a Word document and then copy and paste it into this section of the form. 11. Funding Sources: from drop down box select most appropriate funding source – general funds, grants, other, or combination. 12. Funding Source Explanation: provide brief overview of funding sources if expected to be grants, other, or a combination of funds (not necessary for general fund submissions). Each Action Plan must include a complete budget. Action Plans that rely on pending funding from other sources will not receive consideration. 13. Additional Supporting Evidence: attach any additional supporting evidence to be included in Action Plan. To attach a file with the Action Plan submission, simply click in the box next to Additional Supporting Evidence. A menu will appear with two arrows and a paperclip; click on the paperclip and from the attachment menu, select “Add”. Select the file you wish to attach (any type of file may be attached including pdf). 14. The next section will be used to detail specific costs associated with the Action Plan. Costs are separated into Operating Budget Requests, Facilities Requests, Technology Requests and Personnel Requests. Operating Requests should be used to budget additional funds for an existing operating budget or to request a new 'on-going' operating budget (expected to be needed year after year). Facilities and Technology Requests are one time requests (not 10 | P a g e
  • 11. expected to be needed year after year). To enter detailed estimates for Operating, Facilities, Technology, or Personnel items, click on the applicable button. The Facilities and ITS Offices can assist in obtaining estimates. *Note that the submission number assigned on the Action Plan form will be required to enter detailed requests (you will receive an error if, either no value is entered or an incorrect value is entered for the submission number). Operating Budget: Enter submission number (automatically assigned on the Action Plan Form), enter any relevant information for object code requested (may be details on expected expenditures), enter requested object code (may enter any object code or select from the list of popular object codes in drop down box), and enter requested amount. Repeat process for all desired object codes. When finished click on the “Exit Door” button on the bottom left corner to return to the Action Plan form. Facilities Requests: Enter submission number (automatically assigned on the Action Plan Form), enter item description, unit cost, and quantity desired (the total cost will calculate automatically). Repeat process for each item requested. When finished click on the “Exit Door” button on the bottom left corner to return to the Action Plan form. Technology Requests: Enter submission number (automatically assigned on the Action Plan Form), enter item description, enter unit cost, quantity desired, and associated annual maintenance costs (the total cost will calculate automatically). Repeat process for each item requested. When finished click on the “Exit Door” button on the bottom left corner to return to the Action Plan form. Personnel Requests: Enter submission number (automatically assigned on the Action Plan Form), section type of action requested from drop down box, select position type from drop down box and enter current and proposed FTE%. Check applicable box if Personnel Request will require office space, furniture and/or technology (facility and technology requests associated with a new position will not need to be further documented within the Facilities and Technology Request forms; marking what is required here is sufficient). If the position request is a reclassification, enter the name of incumbent. Next, enter requested title and affiliation. If temporary, enter the start date and end date needed. Lastly, enter the position description for the request (this may be pasted in from a Word document). Enter additional requests by hitting the tab key from the position description section to open a new form. When finished click on the “Exit Door” button on the bottom left corner to return to the Action Plan form. 15. Printing Report – to print a copy of your submission select the button in the bottom left corner with the green notebook. Hitting this button will generate a Submission Report that can be printed. In order to print you may need to add the print preview and/or quick print option to the Quick Access Toolbar. To do so, select the drop down arrow on the Quick Access Toolbar and select Quick Print and Print Preview. 11 | P a g e
  • 12. Quick Access Toolbar *Close the submission report to return to Action Plan form 16. Exiting – click on the button with a red circle with a white “x” to close the form and exit the database. Editing a Previously Submitted Action Plan: Find the Action Plan form (in Microsoft Access) on the L drive in the “Budget” folder and within the “Action Plan” folder. Upon opening the Action Plan database, the Action Plan switchboard will appear; click on the “UBM” button and then on the “Edit Submissions” button. A dialog box will appear prompting you to enter the assigned submission number and after correctly entering your submission number, your form will appear. Adjustments can then be entered into the form. Approval Process for Action Plans: All submitted action plans will be considered in the normal budgetary approval processes of COTC and Ohio State Newark and will be based on prioritization and the availability of funds. 12 | P a g e
  • 13. APPENDIX A Sample Completed Action Plan 13 | P a g e
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  • 17. APPENDIX B Planning Initiative Codes 17 | P a g e
  • 18. Planning Initiative Codes Central O Technical C hio ollege Fiscal Year 2009 – 2010 In order for personnel action requests or requests for new initiative(s) to be considered, the requests must be aligned with one or more of the College’s identified goals and objectives. Please include the planning code(s) for each personnel action/new initiative request to link your request to one or more of the strategic priorities. Financial resources will not be allocated to requests that are not in line with the College’s mission. Mission - To meet the technical education and training needs of students and employers in the area. Planning Codes/Institutional Goals & Objectives: COTC1.0 Maximize student access, learning, and success COTC1.1 Increase transfer opportunities for students to continue education COTC1.2 Strengthen program offerings to meet workforce needs COTC1.3 Strengthen the delivery of student services college-wide COTC1.4 Provide a learning environment that supports the achievement of student learning outcomes COTC1.5 Optimize points of access to the College COTC1.6 Increase enrollment of non-traditional students COTC1.7 Expand enrollment of traditional-age students COTC2.0 Strengthen COTC’s institutional identity as a leader in technical education and technological innovation COTC2.1 Increase public awareness of value and role of two-year educational system COTC2.2 Increase public awareness of the COTC brand and the College’s identity as a high quality institution COTC2.3 Continue to build an environment that supports technological innovation COTC3.0 Strengthen a culture that embraces the value of diversity COTC3.1 Increase and retain a diverse population of faculty, staff, and students COTC3.2 Increase number of students pursuing nontraditional careers COTC3.3 Increase awareness of and sensitivity to cultural diversity COTC4.0 Foster an environment of stewardship COTC4.1 Maintain financial stability through a variety of methods, including enrollment growth COTC4.2 Increase efficiency of operations COTC4.3 Maintain the aesthetic beauty and supporting infrastructure of our physical campuses COTC4.4 Increase activities to achieve environmental sustainability COTC4.5 Cultivate donor relationships by safeguarding assets and honoring commitments COTC5.0 Continue to cultivate positive constituent relationships COTC5.1 Provide opportunities for alumni engagement COTC5.2 Increase local, state, and federal support COTC5.3 Leverage local business and industry partnerships for market-driven curriculum and program development COTC5.4 Enhance our leadership position in economic and workforce development COTC5.5 Increase collaborative partnerships with educational institutions COTC5.6 Identify and stimulate new development opportunities COTC6.0 Foster and advance mutually-beneficial, unique relationship with The Ohio State University and its Newark campus COTC7.0 Sustain and strengthen a talented, high-performance workforce COTC7.1 Increase the participation in professional development activities aligned with personal/professional COTC7.2 development plans Improve performance-based compensation plans for both faculty and staff COTC7.3 Improve our ability to attract and hire high quality employees 19 | P a g e
  • 19. Planning Initiative Codes The O State University at Newark hio Fiscal Year 2008 – 2009 In order for personnel action requests or requests for additional funding in support of new initiative(s) to be considered, the requests must be aligned with one or more of the strategic priorities identified by the campus. Please include the planning code(s) for each personnel action/new initiative request to link your request to one or more of the strategic priorities/objectives. Financial resources will not be allocated to requests that are not in line with the campus’s mission. Mission - To advance the well-being of the people of Ohio and the global community through the creation and dissemination of knowledge. In helping the university fulfill its mission, Ohio State Newark serves as a point of access to the university for students who are place-bound or who desire a personal environment in which the primary mission of teaching is informed by research, scholarly, and creative activity. We provide access by offering a broad array of lower- level courses and by offering selected undergraduate and graduate degree programs in the liberal arts, the sciences, and the professions. Community, regional, and state needs guide us in selecting degree programs. Vision - Our vision is to improve Ohio’s future by extending the Ohio State experience beyond the Columbus campus and having the best retention and graduating rates of all of Ohio’s regional campuses. Planning Codes/Strategic Priorities & Objectives: OSU1.0 Providing Access to the University OSU1.1 Establish additional pathways for degree completion OSU1.2 Make Ohio State Newark affordable to all students OSU1.3 Increase enrollment OSU1.4 Raise funds to increase the campus’s enrollment capacity OSU1.5 Address our classroom shortage OSU2.0 Enhancing Student Success OSU2.1 Assess and enhance learning outcomes OSU2.2 Construct additional residence halls OSU3.0 Engaging the Community OSU3.1 Increase the number of collaborations with external partners OSU3.2 Increase the proportion of local high-school students who go to college OSU3.3 Strengthen the Newark Earthworks Center’s role in the community OSU4.0 Building Faculty and Staff Talent OSU4.1 Maximize research and teaching performance OSU4.2 Create more space for research OSU4.3 Improve compensation for productive members of the faculty and staff OSU5.0 Creating a Diverse University Community OSU5.1 Establish a visiting scholar program to increase the presence of faculty of color OSU5.2 Develop programs for GLBT faculty and staff OSU5.3 Continue to support diversity programming and assessment 19 | P a g e

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