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The Compact Plan ProcessThe Compact Plan Process“Voices from the Field”“Voices from the Field”

Bruce Ingram MalletteBruce Ingram MalletteManaging DirectorManaging Director

Statistics & EpidemiologyStatistics & EpidemiologyRTI InternationalRTI International

Adjunct Associate ProfessorAdjunct Associate ProfessorNorth Carolina State UniversityNorth Carolina State University

September 8, 2005September 8, 2005

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Find the UAlbany VoiceFind the UAlbany Voice

““In some small towns there is a rule that In some small towns there is a rule that consultants can’t serve as volunteer firemen. consultants can’t serve as volunteer firemen. The fear is that they’d drive around setting the The fear is that they’d drive around setting the fire on town.”fire on town.”

The Dilbert PrincipleThe Dilbert Principle, p. 200 (1996), p. 200 (1996)

Therefore you must make Compact Planning fit Therefore you must make Compact Planning fit your needs, for your culture, for your public your needs, for your culture, for your public politics, for your finances, for your mission, for politics, for your finances, for your mission, for your future.your future.

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Our Journey TodayOur Journey TodayPart - 1Part - 1

Why Compact PlanningWhy Compact Planning

Required ReadingRequired Reading

It’s All About AlignmentIt’s All About Alignment

Yogi Berra and ESPNYogi Berra and ESPN

Compact Planning 101Compact Planning 101

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Why Compact Planning?Why Compact Planning?

““If you don’t know where you are going, you’ll If you don’t know where you are going, you’ll

probably end up somewhere else.”probably end up somewhere else.”

David Campbell, 1974David Campbell, 1974

““If a man knows not what harbor he seeks, any If a man knows not what harbor he seeks, any

wind is the right wind.”wind is the right wind.”

Lucius Annaeus Seneca, 5BC-65ADLucius Annaeus Seneca, 5BC-65AD

55

Why Compact Planning?Why Compact Planning?

““You may not know where you came fromYou may not know where you came fromMay not know who you areMay not know who you areMay not have even wonderedMay not have even wonderedHow you got this farHow you got this far

And if you don't know where you're goingAnd if you don't know where you're goingAny road will take you there.”Any road will take you there.”

George Harrison, “Any Road” (2002)George Harrison, “Any Road” (2002)

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Required ReadingRequired ReadingSpring Faculty Address and SlidesSpring Faculty Address and Slides

President Kermit L. HallPresident Kermit L. HallApril 27, 2005April 27, 2005

http://www.albany.edu/president/speeches/http://www.albany.edu/president/speeches/2005_spring/2005_spring_speech.html2005_spring/2005_spring_speech.html

http://www.albany.edu/president/speeches/http://www.albany.edu/president/speeches/2005_spring/2005_spring_speech_pp_files/2005_spring/2005_spring_speech_pp_files/frame.htmframe.htm

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Settle on goals associated with a great public university.

Develop and hone our story.

Know who we are, what we want, and what matters most.

Develop a compelling case.

Develop a rational budget process.

The Way ForwardThe Way ForwardWhat We Need to DoWhat We Need to Do

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The Way ForwardThe Way ForwardUAlbany Planning DocumentsUAlbany Planning Documents

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Compact PlanningCompact PlanningPurposePurpose

Provides a

framework for

campus decisions

and actions

Compact Planning guides:

Who we are now

Who we want to be in the future

How we get there

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Compact PlanningCompact PlanningOutcomeOutcome

Alignment across individuals, groups, structuresAlignment across individuals, groups, structures

Maximizes contributions to the UAlbany missionMaximizes contributions to the UAlbany mission

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But you are asking,But you are asking,“Is Yogi Berra right?”“Is Yogi Berra right?”It’s deja vu all over again.It’s deja vu all over again.

Don’t have time to do this.Don’t have time to do this.

Won’t be treated the same as other colleges, Won’t be treated the same as other colleges,

schools, and offices.schools, and offices.

My faculty/staff won’t like this.My faculty/staff won’t like this.

These plans will have no results, collect dust.These plans will have no results, collect dust.

No room left on my bookshelf for another one. No room left on my bookshelf for another one.

And, if this is Compact Planning 101,And, if this is Compact Planning 101,

when is the drop date to get out of this!when is the drop date to get out of this!

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This is This is NOTNOT the theESPN World Series of PokerESPN World Series of Poker

Cards are dealt from Cards are dealt from youryour deck. deck.

YouYou are the dealer. are the dealer.

YouYou can talk to others first as to what cards you can talk to others first as to what cards you

want in want in youryour deck. deck.

YouYou will place your cards (i.e., initiatives and will place your cards (i.e., initiatives and

finances) face up… finances) face up… allall of them. of them.

AllAll players will do the same. players will do the same.

The cards are The cards are youryour best ideas, best ideas, youryour vision, vision, youryour

priorities, priorities, youryour choices. choices.

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It is NOT a Game of ChanceIt is NOT a Game of ChanceIt is a collegial processIt is a collegial process

CommunicationCommunication

CollaborationCollaboration

CommunicationCommunication

CandorCandor

CommunicationCommunication

and CHOICES.and CHOICES.

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Core PrinciplesCore PrinciplesTransparency & The Total EconomyTransparency & The Total Economy

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TransparencyTransparency& The Total Economy& The Total Economy

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Compact Planning 101Compact Planning 101Welcome to ClassWelcome to Class

Big classroom with 180 studentsBig classroom with 180 students

A syllabus and handbookA syllabus and handbook

Regular assignmentsRegular assignments

Timelines & deadlinesTimelines & deadlines

Fast-paced & very demandingFast-paced & very demanding

High expectationsHigh expectations

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Compact Planning 101Compact Planning 101NOT Your Typical ClassNOT Your Typical Class

You are You are not on your ownnot on your own in this class, in this class,

AND, you AND, you have everyonehave everyone in your department, in your department, division, unit, college, school, and office to division, unit, college, school, and office to assist you,assist you,

AND, it is AND, it is open bookopen book,,

AND, you will get AND, you will get regular feedbackregular feedback throughout throughout the class,the class,

AND, you can AND, you can talk to anyonetalk to anyone outside class to outside class to help you on any aspect of your assignments.help you on any aspect of your assignments.

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Compact Planning 101Compact Planning 101One GoalOne Goal

This is a class where its full design is aimed This is a class where its full design is aimed at one outcome … at one outcome … successsuccess

… … success for UAlbany success for UAlbany is being the best it is being the best it can be.can be.

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Our Journey TodayOur Journey TodayPart - 2Part - 2

““Voices from the Field”Voices from the Field”

Deans, former Deans, Vice Provosts, and Deans, former Deans, Vice Provosts, and former Vice Provosts… all of whom lived former Vice Provosts… all of whom lived to talk about it and are doing very well!to talk about it and are doing very well!

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Compact Planning Compact Planning vs. Past Planning Effortsvs. Past Planning EffortsPart - 1Part - 1

Old Planning = then nothingOld Planning = then nothing

vs. Compact Plan = pathways and priorities.vs. Compact Plan = pathways and priorities.

This This isis real, it is not like past efforts. This will real, it is not like past efforts. This will notnot collect dust. collect dust.

““Oh boy, another exercise that will go Oh boy, another exercise that will go nowhere” but… this is a living document, not nowhere” but… this is a living document, not a make work job, it is a guide to our collective a make work job, it is a guide to our collective future.future.

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Compact Planning Compact Planning vs. Past Planning Effortsvs. Past Planning EffortsPart - 2Part - 2

Felt my area was considered fringe before but Felt my area was considered fringe before but learned I got as much respect as others, learned I got as much respect as others, including the College Deans.including the College Deans.

This is more than your own compact plan – it This is more than your own compact plan – it is a culture changing experience.is a culture changing experience.

Core principles: Transparency and the total Core principles: Transparency and the total economy.economy.

2222

The BasicsThe BasicsPart - 1Part - 1

President and the Provost = investment President and the Provost = investment bankers; develop business plans for your bankers; develop business plans for your products = initiatives and intended outcomes.products = initiatives and intended outcomes.

Don’t be afraid to think big… then layer the Don’t be afraid to think big… then layer the realities and challenges.realities and challenges.

Must work your Compact Plan toward the Must work your Compact Plan toward the overarching campus goals and needs.overarching campus goals and needs.

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The BasicsThe BasicsPart - 2Part - 2

The “sweat equity” of 20 years ago doesn’t The “sweat equity” of 20 years ago doesn’t make it true now; it’s time to sweat again, make it true now; it’s time to sweat again, together.together.

It It willwill take time. This is not a Cliff’s Notes take time. This is not a Cliff’s Notes exercise nor an all nighter write-up nor a exercise nor an all nighter write-up nor a simple weekend drafting activity.simple weekend drafting activity.

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CommunicationCommunicationPart - 1Part - 1

Would have had more meetings with all staff, Would have had more meetings with all staff, not just unit heads.not just unit heads.

You cannot do this by yourself, use your staff You cannot do this by yourself, use your staff at all levels.at all levels.

Engage faculty one on one, plus department Engage faculty one on one, plus department heads, plus senior players at all times.heads, plus senior players at all times.

Keep staff fully informed of what you are Keep staff fully informed of what you are passing forward and what feedback and passing forward and what feedback and revisions you have been asked to provide.revisions you have been asked to provide.

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CommunicationCommunicationPart - 2Part - 2

I didn’t do enough with my faculty, I relied too I didn’t do enough with my faculty, I relied too much on Associate Deans.much on Associate Deans.

You want to include staff and faculty now, You want to include staff and faculty now, else you will have no internal advocates when else you will have no internal advocates when the process is done.the process is done.

Incorporate staff involvement in the Compact Incorporate staff involvement in the Compact Plan design and discussions since they must Plan design and discussions since they must carry it out; make it part of their job carry it out; make it part of their job descriptions and evaluation where applicable.descriptions and evaluation where applicable.

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Getting StartedGetting StartedPart - 1Part - 1

Dump a list, then refine it.Dump a list, then refine it.

Fling the mud and let it stick, then question it. Fling the mud and let it stick, then question it.

Balance what you need to achieve in the short Balance what you need to achieve in the short term with what you must achieve in the long term with what you must achieve in the long term, and never lose sight of the larger term, and never lose sight of the larger realities that face your area.realities that face your area.

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Getting StartedGetting StartedPart - 2Part - 2

Be realistic but stretch to reach your vision.Be realistic but stretch to reach your vision.

Deputize your #2 as a significant player in the Deputize your #2 as a significant player in the collection of information and ideas, you will collection of information and ideas, you will need a sounding board (more than one and need a sounding board (more than one and often).often).

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Getting StartedGetting StartedPart - 3Part - 3

Write a clear and simple statement of who and what Write a clear and simple statement of who and what you are.you are.

Why are you there?Why are you there?

Who do you serve?Who do you serve?

What is your “Statement of Significance”?What is your “Statement of Significance”?

What can you do to shape your college without What can you do to shape your college without money or help from anyone else.money or help from anyone else.

Develop a “strategy to be a center of influence.”Develop a “strategy to be a center of influence.”

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Various ApproachesVarious ApproachesPart - 1Part - 1

Consider what is high leverage vs. just new to Consider what is high leverage vs. just new to be new. We chose to “boldly drive straight up be new. We chose to “boldly drive straight up the mountain” to where we need to be.the mountain” to where we need to be.

““Skate to where the puck is going to be, not Skate to where the puck is going to be, not where it has been.” where it has been.” Wayne GretzkyWayne Gretzky

Used it to make our College a “Center of Used it to make our College a “Center of Influence” in our discipline and challenged Influence” in our discipline and challenged the faculty to identify what those should be. the faculty to identify what those should be.

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Various ApproachesVarious ApproachesPart - 2Part - 2

Used it to get:Used it to get:– the organizational structure correct,the organizational structure correct,– the attitude correct, andthe attitude correct, and– the vision well understoodthe vision well understood

Faculty drove it, I tweaked it, they made the Faculty drove it, I tweaked it, they made the right decisions. We moved from an overly right decisions. We moved from an overly steep hierarchical pyramid to a matrix that steep hierarchical pyramid to a matrix that generated more avenues for ideas, creativity, generated more avenues for ideas, creativity, and synergies.and synergies.

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TipsTipsPart - 1Part - 1

Provoke the big questions, the Provoke the big questions, the realreal big big questions:questions:– state funds = seed money, other sources of state funds = seed money, other sources of

funds really make initiatives gofunds really make initiatives go– understand that disciplines are changingunderstand that disciplines are changing– identify who (e.g., people, institutions, identify who (e.g., people, institutions,

businesses) is responding best to new businesses) is responding best to new issues in field.issues in field.

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TipsTipsPart - 2Part - 2

Focus on science and the disciplines, not just Focus on science and the disciplines, not just management issues.management issues.

It will feel compressed, but you must keep It will feel compressed, but you must keep moving forward, the iterative process permits moving forward, the iterative process permits revisions and on-going development of your revisions and on-going development of your core ideas.core ideas.

Every college and office is a network of social Every college and office is a network of social networks; be highly interactive, intersect with networks; be highly interactive, intersect with all of them.all of them.

3333

Developing Your InitiativesDeveloping Your Initiatives

Find the “exemplars” in your college/office Find the “exemplars” in your college/office and put them in front of others; find and put them in front of others; find champions for the cause. champions for the cause.

Leadership is about taking the 60 initiatives Leadership is about taking the 60 initiatives that surfaced and narrowing to 5 core that surfaced and narrowing to 5 core requests… with your faculty in support.requests… with your faculty in support.

If you can’t talk about your department within If you can’t talk about your department within the context of the college… you will fail.the context of the college… you will fail.

3434

The Iterative ProcessThe Iterative Process3 Rounds: Dialogue, Prioritization, & Choices3 Rounds: Dialogue, Prioritization, & Choices

Provides a chance to assess feedback and Provides a chance to assess feedback and reconsider.reconsider.

Makes it a living and breathing document.Makes it a living and breathing document.

Transparency! Vice Provosts and Deans had Transparency! Vice Provosts and Deans had the opportunity to read all draft Compact the opportunity to read all draft Compact Plans and comment thus finding areas of Plans and comment thus finding areas of intersection; might see codicils where the intersection; might see codicils where the authors did not and have insights to authors did not and have insights to streamline or make the initiative more streamline or make the initiative more effective.effective.

3535

Compact Plans & ResourcesCompact Plans & ResourcesPeople, $$, SpacePeople, $$, Space

Colleges/units must consider internal Colleges/units must consider internal reallocations of existing resources to reallocations of existing resources to leverage new ideas and new resources to leverage new ideas and new resources to equal the “Big Bang” impact.equal the “Big Bang” impact.

Budget spreadsheetsBudget spreadsheets– master themmaster them– be realisticbe realistic– be completebe complete

3636

CodicilsCodicilsCross Discipline & Cross Office InitiativesCross Discipline & Cross Office Initiatives

Fostering internal and external partnerships.Fostering internal and external partnerships.– think honestly about outside resourcesthink honestly about outside resources– think creativity who can help you that you think creativity who can help you that you

have not used in pasthave not used in past– think outside of the box of comfortthink outside of the box of comfort

Understand the mutual financing options.Understand the mutual financing options.

3737

Collaboration MattersCollaboration MattersThe sum of the parts is greater than the wholeThe sum of the parts is greater than the whole

3838

Assessment Assessment Part - 1Part - 1

Assessment = accountability both internally to Assessment = accountability both internally to campus and externally to your public campus and externally to your public constituents.constituents.

Provides trend data comparisons over time and Provides trend data comparisons over time and further priority setting.further priority setting.

Any assessment variables must be understood Any assessment variables must be understood as to:as to:– why they matterwhy they matter– how they will be collectedhow they will be collected– what will be done with the data.what will be done with the data.

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AssessmentAssessmentPart - 2: Peer Comparison Variables (Sept 2005) Part - 2: Peer Comparison Variables (Sept 2005) Know ThyselfKnow Thyself

– Total Enrollment: Campus, FallTotal Enrollment: Campus, Fall– Student FTE: Campus, FallStudent FTE: Campus, Fall– % of Matriculated Out-of-State % of Matriculated Out-of-State

UndergraduatesUndergraduates– % of Matriculated Multicultural % of Matriculated Multicultural

UndergraduatesUndergraduates– % Full-Time Matriculated % Full-Time Matriculated

Undergraduates Undergraduates – Receiving Financial AidReceiving Financial Aid– Graduation Rate of Student-AthletesGraduation Rate of Student-Athletes– NCAA Academic Progress RateNCAA Academic Progress Rate– First-Year Retention Rate %First-Year Retention Rate %– First-Year Retention Rate %First-Year Retention Rate %– Graduate Students: % of Total Graduate Students: % of Total

Enrollment, FallEnrollment, Fall– % of Multicultural Graduate Students% of Multicultural Graduate Students– New Freshman Applications, FallNew Freshman Applications, Fall– New Freshman Enrollment, FallNew Freshman Enrollment, Fall– New Traditional Freshman Mean SATNew Traditional Freshman Mean SAT– New Freshman Median SATNew Freshman Median SAT– % of Traditional Freshman in Group 1% of Traditional Freshman in Group 1– New Transfer Enrollment, FallNew Transfer Enrollment, Fall

– Faculty Headcount, Full-time, FallFaculty Headcount, Full-time, Fall– Faculty Headcount, Part-time, FallFaculty Headcount, Part-time, Fall– % of Full-time Women Faculty% of Full-time Women Faculty– % of Full-time Multicultural Faculty% of Full-time Multicultural Faculty– Student/Faculty RatioStudent/Faculty Ratio– Total Externally Funded Research (in Total Externally Funded Research (in

thousands)thousands)– Science & Engr. R&D Expenditures (in Science & Engr. R&D Expenditures (in

thousands)thousands)– Patent ApplicationsPatent Applications– License Income (in thousands)License Income (in thousands)– All Funds Revenue (in thousands)All Funds Revenue (in thousands)– State Appropriation as % of All Funds State Appropriation as % of All Funds

RevenueRevenue– Annual Full-time In-State Annual Full-time In-State

Undergraduate TuitionUndergraduate Tuition– Annual Full-time In-State Graduate Annual Full-time In-State Graduate

TuitionTuition– % of Alumni Giving% of Alumni Giving– Endowment (in thousands)Endowment (in thousands)– US News and World ReportUS News and World Report Ranking Ranking

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Assessment Assessment Part - 3: Your PeersPart - 3: Your Peers

Know the dashboard of your peers.Know the dashboard of your peers.

- Albany- Albany - UMass Amherst- UMass Amherst- FSU- FSU - Buffalo- Buffalo- Binghamton- Binghamton - Stony Brook- Stony Brook- Riverside- Riverside - Santa Barbara- Santa Barbara- Santa Cruz- Santa Cruz - Kansas- Kansas- UConn- UConn - Nebraska- Nebraska- Delaware- Delaware - Oregon- Oregon

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And Remember…And Remember…

““Sailing a ship across the Pacific is no different Sailing a ship across the Pacific is no different from organizing a college or university for from organizing a college or university for performance improvement. In both instances, it performance improvement. In both instances, it is immensely helpful if we can come to some is immensely helpful if we can come to some agreement on which way to aim the pointy end.”agreement on which way to aim the pointy end.”

Dan Seymour, “Once Upon A Campus,”Dan Seymour, “Once Upon A Campus,”

p. xix (1995)p. xix (1995)

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Enjoy Your JourneyEnjoy Your JourneyMay the Force Be With YouMay the Force Be With You

You have a choice…You have a choice…

Darth Vader Darth Vader

oror

Yoda Yoda

4343

And And SSpprriinngg Will Be Here Soon! Will Be Here Soon!

4444

Thank you!Thank you!