Using Assessment in Budgeting & Decision Making

Assessment Network of New York (ANNY) Webinar

Sean McKitrick, Ph.D. Assistant Provost & Director Office of Institutional Research & Assessment Binghamton University (SUNY) October 21, 2011

This Afternoons Presenter

Sean McKitrick, Ph.D. Assistant Provost & Director, Office of Institutional Research & Assessment Binghamton University Board Member, Assessment Network of New York (ANNY)

Linking Assessment & Budgeting

IN 1 HOURWHAT DO WE WANT TO ACCOMPLISH?

Objectives
Provide some background: Beyond mere compliance, why is this important? Discuss general expectations regarding linkages between assessment (including student learning assessment) and budgeting and resource allocation, and displaying information in meaningful ways. Present some linkage models found in the strategic planning, institutional assessment, and student learning assessment literature Stress the idea that a focus should not be upon mere assessment and compliance, but on the use of assessment in conversations which then impact resource allocation decisions

Linking Assessment & Budgeting

WHY IS THIS SO IMPORTANT?

A Caution
A review of the Middle States web page in early September 2011 revealed that 57 out of 211 institutions in New York State were under review because of issues with linking institutional and student learning assessment to budgeting, planning, and institutional effectiveness---27%, or more than 1 out of 4. Likely an underestimate because we do not count the last round of reports that took appeared on the web page on September 6th.

Standard 2: Planning, Resource Allocation, and Institutional Renewal An institution conducts ongoing planning and resource allocation based on its mission and goals, develops objectives to achieve them, and utilizes the results of its assessment activities for institutional renewal. Implementation and subsequent evaluation of the success of the strategic plan and resource allocation support the development and change necessary to improve and to maintain institutional quality. Standard 3: Institutional Resources The human, financial, technical, physical facilities, and other resources necessary to achieve an institutions mission and goals are available and accessible. In the context of the institutions mission, the effective and efficient uses of the institutions resources are analyzed as part of ongoing outcomes assessment.

Standard 7: Institutional Assessment The institution has developed and implemented an assessment process that evaluates its overall effectiveness in achieving its mission and goals and its compliance with accreditation standards.

Linking Assessment & Budgeting

WHAT ARE SOME GENERAL EXPECTATIONS?

Strategic Plan Institution, Division & Unit

Assessment/Metrics

Todays Topics Addressing Linking Resource Allocation & Assessment: Developing an effective strategic plan Institutional Assessment Student Learning Assessment

Focused, Linked Discussions (Leading to Actions)

Actions/Linkages

Linking Assessment & Budgeting

APPLYING GENERAL EXPECTATIONS I: STRATEGIC PLANNING

Participant Poll.
Please click on the green check mark if: Your institution has a strategic plan that you believe your institutions leadership uses in decision making

First Step: Have A Strategic Plan So Linkages Can Happen

First and foremost, it is important to have an institutional strategic plan that is explicitly linked to the institutions mission and vision Second, define and implement a process in which assessment information is shared with key leaders and constituents at institutional and divisional levels Third, be prepared to integrate Fourth, document the process over time

Linking Strategic Planning and Budgeting

Process Develop or Maintain Strategic Plan Assess Relationship to Budgeting Determine what budget items/initiatives take priority over others Assign metrics to evaluate how well funded priorities in strategic plan are meeting their objectives and goals University leaders regularly use budget information, metrics, and assessments to discuss how well priorities of strategic plan are meeting their objectives and goals (including student learning) Identify actions and their costs as a result of prior discussions

Discuss

Generate Recommendations and Initiatives

Act

Document actions, with specific attention to resource allocations decision made as a result of the process/re-evaluate goals and objectives found in strategic plan

Develop and Maintain Strategic Plan

Linking the Strategic Planning Process with Assessment & Budgeting

A focus should be upon reviewing strategic plan goals, objectives, and key indicators (metrics) with how the institution is achieving its mission. Conversations should focus on what assessments might reveal regarding these topics, creating action items as a result of those conversations, and then following up and documenting the progress in implementing these action items over time.
Presidents Retreat University Forum Strategic Planning Council

Linking Assessment & Budgeting

APPLYING GENERAL EXPECTATIONS II: INSTITUTIONAL ASSESSMENT

Process: Aligning Assessment with Budgeting (Resource Allocation)

Explicit linkages to the institutions mission and vision A clear process in which assessment information is shared with key leaders and constituents at various levels Integration Documentation over time, with a well-structured (periodic) schedule of when all this will be done

Integrate Strategic Plan, Assessment, Divisional Plans, and Resource Allocations

Require Vice Presidents and other executives to align their own strategic planning and budgeting with universitys strategic plan. Build in assessment strategies that help them understand progress they are making Ensure that this is part of a presidents retreat or other university-wide meeting where assessment results are discussed and linkages to action are made explicit Document

Participant Poll
On your campuses, what tools do you use (or think you might use) to compile information that contain strategic plan information in the form of graphs or tables?

Participant Poll.
Please click on the green check mark if: You have departments that undergo an external review process, where you bring in people from other campuses to review your academic or other programs, or bring in consultants?

Linking Assessment & Budgeting

APPLYING GENERAL EXPECTATIONS III: STUDENT LEARNING ASSESSMENT

Linking Student Learning Assessment with Budgeting and Resource Allocation Decisions Depends on Assessment Occurring in the First Place Educational Offerings General Education Distance Education Offerings Certificate Programs

Many times, these linkages occur in implicit form; the challenge is to make them explicit
Program review processes General education assessment conversations often lead to curriculum decisions that imply resource allocation decisions must occur in tandem Educational offerings assessment often imply faculty hiring decisions, etc.

Consider our prior chart regarding program review.

Educational Offerings
Ask (beg, require, cajole) academic departments to supply lists of actions taken as a result of their own assessment processes List these.

Assessment Report: Four Assessment/Linkage Question Areas

Question 1: What are your specific, actionable student learning outcomes? Question 2: What do your assessments say about achieving these outcomes? Question 3: What periodicallyscheduled conversations have you had about what these assessments have had to say, and what recommendations have stemmed from these conversations? Question 4: What are some of your experiences with regard to implementing these recommendations, and what do these suggest about budget allocation decisions? Can you list these, and how are these reviewed on a regular basis? How do these impact the original outcomes (as illuminated by assessment information), found in Question 1?

General Education
Document conversations Document actions taken These often imply resource allocation and budgeting decisions that have been made to get these initiatives and actions moving

Linking Assessment & Budgeting

PRACTICAL CONSIDERATIONS

Designing Strategies to Link Budgeting (Resource Allocation) with Assessment and Strategic Planning Takes Time

From establishment of system to implementation takes time to develop 3-5 years at a minimum It is always a good idea to take an environmental scan to see what is already occurring, and then building from there Work with administratorsInsist that integration and linking and documenting are good ideas for the purposes of demonstrating compliance

Achieving Buy-In
Use of information combined with a regular schedule of discussions about what such information means appears to be a positive factor Having evidence-based discussions (even when we need to suspend disbelief) appears to be essential to maintaining linkages and making them effective The pedagogical straitjacket phenomenon

Questions..

Thank You
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