INTEGRATING ASSESSMENT, PLANNING & BUDGETING

Presentation to URPC August 26, 2016

Lisa Castellino, PhD Office of Institutional Effectiveness

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Campus ContextWhy integrate these activities?

ON TOPStrategic Plan Blue Print

UNDERNEATHWASC Reaffirmation & Criteria for Review

AT THE BOTTOMCSU Graduation 2025

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Workgroup Charge and Deliverables

LinkageLinks annual goal setting, assessment and review with the annual budget process.

Goodness of fit

Fits within the framework of the strategic plan and strategic budget, for both long-term and short-term purposes, and works within the context of shared governance.

Integration

Includes an integrated resource request and allocation process.

3- points by Feb 2016

1. An outline of what a process would look like (steps, timeline, etc.) that links budget, assessment and allocation;2. A list of what is needed from a software product(s) to implement the process, including the viability of Compliance Assist or the

need to explore other options3. A timeline for implementing the process, and4. A communication plan

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Process and Methods Summary

TimelineOverlaid assessment cycle on the

budget cycle.

Integration

How does each part of the model

integrate? Tested portion of the model

conceptually.

Four-year map

Foundational in 15-16 what this looks like

over the course of 4 years.

Mapped initial

process

What would a process look like

conceptually?

Reflection and

refinement

Process needed to be the same-

assessment drives the process- regardless

of whether or not you need resources.

Component processes

Shaped the process; planning process for

setting high level goals and outcomes;

outcomes assessment cycle; resources

planning processes.

Landscape analysis

Surveyed current status of assessment

processes across the university and budget

timeliness at URPC, university and state

levels.

Request status

Reviewed resource request examples

noting what information was included as

well that would need to be included.

Clarifying and

connectingClarify the task; construct a model that connects

a coordinated shorter-term budget process to

the longer term Strategic Budgeting priorities

and allocation decisions.

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5

Conceptual Design

1Section 1

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ASSESSMENT PLANNING BUDGET CHANGE

ASSESSMENT, PLANNING AND BUDGET

Priorities from SP

Priorities from DIV SP

Priorities from MBU SP

Assessment

Space

Equipment

Personnel

Information Technology

Assessment

Assessment drives evidence of need; it also is paramount indemonstrating meeting the Plan’s expectations.

Planning should be linkedthroughout all levels of the organization, starting with the Blue Print- Priorities should be communicated in 2 year cycles.

Resources requested are housed within 4 broad categories; each typed to such things as instruction, student services, research, etc.

Assessing change or impact of the resources is key to 1) determining if things were successful and 2) informs and recommends changes to next planning cycle.

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PrioritizeBased on what we learned, where do we focus our efforts/ what do we stop?

ResourcingWhat resources are needed and where can we reinvest/reallocate?

Work the Plan

Begin efforts / stop efforts Plan the Work

Outcomes and Objectives

AssessmentCurrent state and/or measuring changes

Department

MBU

Division

Resource RequestsWhat resources are needed and how will they be prioritized, used and measured?

Start here…If you have a developed set of outcomes and objectives

Connect budget to Plan here…

Integrated Assessment, Planning and Budgeting Model Concept Map

Or start here…If you need to develop a set of outcomes or objectives

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Strategic Plan

Strategic Plan

Strategic Plan

Dept.Dept.

MBU

Division

Cabinet/ SPCC

URPC

President Budget

Integrated Assessment, Planning and Budgeting Process Model

SPOC Goals

Outcomes

Objectives

TasksGoals

Outcomes

Objectives

Tasks

Dept.Dept.

Dept.

Fund?

Do?

Do funding requests adhere to budgeting

principles?

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Timetable and Activity

1Section 1

2Section 2

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STRATEGIC BUDGETING TIMETABLE

Tentative 2-year budget proposals (17-18 and 18-19)

May 2017

End Current SPJune 2020

Implementation Phase begins

Fall 2016

CSU Graduation

2025June 2025

2016

2017

2018

2019

2020

2021

2022

2023

2024

2025

Reaffirming 2018-19

Late Fall 2017

Projecting 2019-20

Late Spring 2018

Reaffirming 2019-20

Early Spring 2019

Projecting 2020-21

Late Spring 2019

Reaffirming 2020-21

Early Spring 2020

Projecting 2021-22

Late Spring 2020

Reaffirming 2021-22

Early Spring 2021

Projecting 2022-23

Late Spring 2021

Reaffirming 2022-23

Early Spring 2022

Projecting 2023-24

Late Spring 2022

Reaffirming 2023-24

Early Spring 2023

Projecting 2024-25

Late Spring 2023

Reaffirming 2024-25

Early Spring 2024

Projecting 2025-26

Late Spring 2024

Aggressive Timetable

Early spring versus late fall re-affirmation of

upcoming budget year?

WASC on site

reviewSpring 2018

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Integrated Assessment, Planning and Budget12-Month Timeline

Prioritize & DecideJanuary-March

Review the work of the previous year. What did we learn? What should we do?

Based on the review of the assessment, what

improvements/ plan do we wish to implement?

Based on the SP implementation, campus

priorities and requirements, what should happen now,

versus later?

Finalize and communicate the Plan for the following two years- reaffirming the first and out planning the

second.

Conduct assessmentDevelop/ Revise

PlansRequests Mid-year review

Collect assessment data

Analyzeassessments

Draft PlansAllocate/ Deny or Move forward

requests

Analyze Plans/ Allocate/ Deny or Move forward requests End Dec 10th or about

Communicate final request status to units

Review prior year performance

Reaffirm priorities for next year

Sept 1 Campuscommunications

Analyze assessments/ Review requestsBudget deliberations

Priorities for next two years released

Review prior year performance

Retreat/ AY begins

Review last year’s results and where we ended up budget early concerns to be

watching

Updates on enrollment & revenue projections, outcomes assessment and leading indicators.

Budget review based on strategic budgeting principles

Review budget principles for following year

Close AY activity

Review previous year’s

assessmentsReview Plans

Assess SP progress

Report of SP progress and review of plans and assessments

Outcomes assessment support

Enrollment & Revenue Projections current and following AY-revise projections as necessary + impact of change Supports work of URPCFinalized Budget

submitted to President

Retreat/ AY begins

Review last year’s results and where we ended up budget early concerns to be

watching

Updates on enrollment & revenue projections, outcomes assessment and leading indicators

Budget review based on strategic budgeting principles

Review budget principles for following year

Close AY activity

Dept./ Program

MBU

VP

Cabinet

IE

UBO

URPC

Note: This timeline assumes a fully functioning, integrated cycle.

JULY AUG SEPT OCT NOV DEC JAN FEB MAR APR MAY JUN

PlanningOct-December

Finalize and CommunicateApril-June

AssessmentJuly-Sept

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Implementation Timeline Academic Year 2016-17 Phase 1

Cabinet Approves Conceptual Model

President Communicates the Budget to Campus

Draft Two-Year Budget (time, attention, money)

Implementation Development and Testing

Implementation Team Updates the Cabinet, URPC, and Campus on Progress

Implementation Team with Stakeholders Plans Implementation

Campus Communications

URPC is Consulted on the Conceptual Model

Implementation Team Wraps-up and Debriefs on Implementation to Date

july aug sept oct nov dec jan feb mar apr may june14

Process Flow

1Section 1

3Section 3

2Section 2

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“I need time, attention or money”- Dept

Sustain/ Replacement

OperationsInnovation/ New ideas

Compliance/ Regulation/ Safety

Personnel

Facilities

EquipmentMaterials

Instruction

Student Services

Research

Public Service

Institutional Support

Current

Next Fiscal Year

Two years +

Academic Support

Operations and

Maintenance

Function?

Purpose?

Strategic

Assets?

When?

Collections

Programs

Students

Brand

FIR

MS/N

ACU

BO

codes

Cate

gori

es

from

Str

at

Budget

Docum

ent

Investment

Length?

One Year

Two to Three Years

Ongoing

Program or Unit

Student Learning Outcomes

Assessment

Assessment should drive and substantiate need.

(evidence based)

Why?

Objectives

Tasks

Outcomes

Action

Planning?

Tie

d t

o o

utc

om

es

and p

lans-

at

dept,

MBU

, Div

, and U

niv

levels

.

Continuous Improvement Loop*

Short Term- 1

to 3 yrs

Long Term- 4 to

6 yrs

Milestones?

Resources need to be contextualized within a larger continuous

improvement assessment framework- evidence of why and how the resource

is needed; how it fits into the larger strategic plan, and how it supports

continuous improvement.

Sunset

Planning?Based on

assessment what

do we stop?

Based on

assessment what

do we

change/enhance/e

xpand?

What

improvements do

we expect based

on the change?

Resources need to be categorized for priority within a

strategic budgeting framework...

Alternative Process?

Alternative Function?

Alternative Resource?

Requests could consider multiple scenarios.

Are there alternative approaches?

High- Related to core

functions

Medium- Indirectly related

to core functions

Low- No connection to

core functions

Campus

Impact?

Review by MBU

How is this

connected to the

campus mission/

function?

What

other

options?

This flow chart illustrates a high level representation of the process at the dept. level. Each level up in the decision process should consider these items.

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“Someone wants time, attention or money”- Decision maker

Review Assessment

Assessing the assessment

Why?

Objectives Tasks

OutcomesAction

Planning?

Tie

d t

o o

utc

om

es

and p

lans-

at

dept,

MBU

, Div

, and U

niv

levels

.

Closing the Loop*

Short Term- 1

to 3 yrs

Long Term- 4

to 6 yrs

Milestones?

Resources need to be contetualized within a larger continuous

improvement assessment framework- evidence of why and how the

resource is needed; how it fits into the larger strategic plan, and how it

supports continuous improvement.

Sunset

Planning?

Based on

assessment

what do they

intend to stop?

Based on what

they learned,

what’s the plan?

What

improvements do

we expect based

on the change?

Request needs to assessed through a clear, simple and

transparent mechanism.

Review by next

level

This flow chart illustrates a high level representation of the process of how a decision maker would 1) assess requests and 2) move them forward for consideration.

Does the assessment:

1. Illustrate evidence of need?

2. Illustrate changes recommended?

3. Provide milestones or expected results?

Where should we apply the time,

attention or money?

Fund?

Internally?Request

resources

Purpose FunctionStrategic

Asset Class

Investment Length

SP Alignment Milestones

Campus Impact

Whenneeded?

Costs

Should we fund this activity through

time, attention or money?

Document and

Budget

How does the evaluation occur? What are the mechanisms?

What are the criteria?

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Assessment

1Section 1

4Section 4

2Section 2

3Section 3

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Four PerspectivesTo achieve our mission

StakeholderWhat do our students expect?

FiduciaryWhat do the taxpayers of CA expect?

InternalWhich processes must we excel?

Learning & GrowthHow must we organize, learn and improve?

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EXAMPLE: Four Perspectives

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At it’s most basic, a rubric is a scoring tool that lays out the specific expectations for an assignment. Rubrics divide an assignment into its component parts and provide a detailed description of what constitutes acceptable or unacceptable levels of performance for each of those parts.” (Stevens & Levi, 2005, p.3)

1 (No Alignment)

2(Partial Alignment)

3 (Full Alignment)

4 (Integrated Alignment)

Purpose

Function

Asset Class

Campus Impact

SP Blue Print

Each of factors in the rubric need to be operationally defined and clearly articulated.21

PRINCIPLES, ASSUMPTIONS, CHALLENGES

1Section 1

5Section 5

2Section 2

3Section 3

4Section 4

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English proverb

A SMOOTH SEA NEVER MADE A SKILLFUL SAILOR.

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Guiding Principles and AssumptionsBelow the surface challenges

Focus on transformation vs addition

Data informs Decisions-transparency vs advocacy

Assessment & Planning are engrained in campus culture- part of everyday work

Appropriate body makes decisions- not individuals nor complete consensus

Communicate simply-standardized & transparent

Priorities are focused through the SPReplace justification w culture of evidence

Progress toward the SP must be measured

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ConsiderationsImplementation should address…

Existing processes such as Enrollment Planning, ITS project prioritization and Facilities Management project prioritization should be folded into this design.

Process needs should build on existing structures: PREP. Chairs will rightly be vocal about workload.

“Building the Plane while Flying It” Syndrome

Project Fatigue- Workgroup came up with design. Implementation is much more detailed and needs the right players to develop.

“What assessment is the ‘right’ assessment?”

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Tony Robbins, US author

SETTING GOALS IS THE FIRST STEP IN TURNING THE INVISIBLE INTO THE VISIBLE.

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