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Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITY (BOC)
NACUBO 2005 Annual Meeting
Concurrent Sessions II
James E. Morley, Jr., President
National Association of College and University Business Officers
Phillip L. Doolittle, Sr. VP & CFO University of Redlands
Mernoy Harrison, VP & Provost, Phoenix Campus
Arizona State University
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITY (BOC)THE PROJECT
The Building Organizational Capacity project is a research and development effort of the National Association of College and University Business Officers (NACUBO) supported by FIPSE
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITY (BOC)
"We can't solve problems by using the same kind of thinking we used when we created them."
- Albert Einstein
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITY THE TERM
“Building Organizational Capacity” describes the executive role of senior leaders to create and sustain organizations that perform consistently with high quality results.
Copyright 2005, NACUBO
BOC is non-linear and not prescriptive, unlike some other frameworks• It centers on interrelationships among elements which are
more of a web than a linear progression
Copyright 2005, NACUBO
PURPOSE
The fundamental mission, goals, objectives of the institution or activity• Mission and goals almost always have specific or implied
multiple objectives that must be considered and understood
Copyright 2005, NACUBO
GOVERNANCE
The exercise of authority, responsibility and control over goals, activities and results• Should be considered at each organizational level where
decisions are made and activity occurs
Copyright 2005, NACUBO
POLICIES
The core principles and practices guiding all aspects of the realization of the mission and purpose of an activity
• Forrester calls them decisions
Copyright 2005, NACUBO
PROCESSES
The means by which the purpose and goals are realized
• Many commercial companies view core processes as important corporate assets, e.g. product distribution
Copyright 2005, NACUBO
STRUCTURE
The organization of people and activities aligned and identified to accomplish mission, goals and core processes
Copyright 2005, NACUBO
INFORMATION
The supporting information and data used to promote effective communication, management and oversight
Copyright 2005, NACUBO
INFRASTRUCTURE
The human, physical, and financial support assets as well as the related information systems used to create and sustain the entire effort as defined by the purpose
Copyright 2005, NACUBO
CULTURE
The overall character, values, beliefs of the organization—its essential personality
• Will affect ability to collaborate
• Requires strong leadership to change
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITY“TOOLS”
• Project readiness test
• Implementation checklist
• Problem assessment checklist• Leadership transition assessment
Copyright 2005, NACUBO
A Project of the National Association of College and University Business Officers
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITY
Tuition Discounting Application
Phillip Doolittle
University of Redlands
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITYTUITION DISCOUNTING
• University of Redlands• Independent, coeducational, liberal arts and sciences
university
• Enrolls 4,000 students
• Governed by a 35 member board of trustees
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITYTUITION DISCOUNTING
• Tuition at Redlands is $24,000 per year with room and board an additional $8,500 per year
• Average financial aid package covers 71 percent of the total cost of attendance
• Merit and talent scholarships range from $500 to full tuition
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITYTUITION DISCOUNTING
• The University’s annual operating budget exceeds $100 million
• Endowment - $77.9 million
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITYTUITION DISCOUNTING
• Full-time faculty is comprised of 213 teaching faculty, librarians, and coaches
• Student to faculty ratio at Redlands is 12:1
Copyright 2005, NACUBO
BUILDING ORGANIZATONAL CAPACITYTUITION DISCOUNTING
• Why is managing tuition discounting /net tuition revenue important to the University of Redlands?
• How do the elements of BOC apply to this management area?
Copyright 2005, NACUBO
BUILDING ORGANIZATONAL CAPACITYTUITION DISCOUNTING
• University of Redlands is a selective independent arts & sciences institution recruiting students in a very competitive market place…competing with both strong private and public institutions.
• Financial aid is an important component of our overall enrollment strategy.
• Redlands is a “tuition dependent” institution
Copyright 2005, NACUBO
BUILDING ORGANIZATONAL CAPACITYTUITION DISCOUNTING
• It looked at from an “expenditure” prospective, internally funded financial aid is the institution’s second highest expenditure after salaries and benefits.
• Failure to properly manage financial aid and the tuition discount can have a serious adverse impact on the institution both from an enrollment and financial prospective.
• Effective management of financial aid and the tuition discount can have a powerfully positive impact on enrollment numbers, profile and net tuition revenue.
Copyright 2005, NACUBO
BUILDING ORGANIZATONAL CAPACITYTUITION DISCOUNTING
• How do the elements of BOC apply to this important institutional initiative?
• First, it is a cross-functional endeavor, involving admissions, financial aid, business & finance, institutional research and IT. It requires significant coordination as well as “buy in” by all of the key parties.
Copyright 2005, NACUBO
BUILDING ORGANIZATONAL CAPACITYTUITION DISCOUNTING
• Second, it has important policy implications….both for the institution and students and families.
• Third, it is a complicated endeavor requiring an integrated and sophisticated management approach. It also requires effective management of data and analysis. It includes the involvement of outside consultants.
Copyright 2005, NACUBO
BUILDING ORGANIZATONAL CAPACITYTUITION DISCOUNTING
All of the elements of BOC apply….purpose/mission, governance, policies, processes, structure, information, infrastructure, culture. The BOC Case Study found this to be true.
Copyright 2005, NACUBO
BUILDING ORGANIZATONAL CAPACITYTUITION DISCOUNTING
Bottom line, the University of Redlands has found its approach to managing financial aid/tuition discounting…..net tuition revenue.…. to be very successful and beneficial
Copyright 2005, NACUBO
A Project of the National Association of College and University Business Officers
Copyright 2005, NACUBO
POPULATION GROWTH
• Phoenix Metro:• 2001: 3.3 million• 2017: 5.9 million
• High School Graduates:• 2001: 46,774• 2017: 72,697
Copyright 2005, NACUBO
EXPANDING EDUCATIONAL OPPORTUNITY
• ASU enrollment:• 2001:53,900
• 2017:105,000
Copyright 2005, NACUBO
ECONOMIC BENEFITS TO PHOENIX AT FULL BUILDOUT
• Jobs 7,700
• Wages $281.1 million• Economic Output 569.5 million
• Tax Collections 18.7 million (state)
8.0 million (county)
7.2 million (Phoenix)
Copyright 2005, NACUBO
• Central Civic Space surrounded by Civic Uses and Retail
• Shade and Urban Gardens• Connection to Light Rail• Consistent with larger civic vision of
downtown Phoenix• Compact Academic and Residential
District• Strong streetscape and street life• Mix of housing and/or office above
retail • Respectful of existing residential and
arts neighborhoods
COMMON THEMES (DOWNTOWN PHOENIX CAMPUS)
Copyright 2005, NACUBO
OBJECTIVE OF THE DESIGN PROCESS
Build a comprehensive metropolitan research university with an unparalleled combination of academic excellence and commitment to its social, economic, cultural, and environmental setting.
Copyright 2005, NACUBO
SUMMARY:DOWNTOWN PHOENIX CAMPUS
• College of Nursing
• College of Public Programs
School of Public Affairs
School of Community Resources and Development
School of Social Work
• Cronkite School of Journalism and Mass Communications
Copyright 2005, NACUBO
SUMMARY:DOWNTOWN PHOENIX CAMPUS
• KAET (Channel 8)
• The School of Global Health
• University College
School of Interdisciplinary Studies
Community College Alliance
Extended Education
Education, business and communications programs
Copyright 2005, NACUBO
DOWNTOWN PHOENIX PHASING SCENARIOS
• Potential Phasing Schedule:• Fall 2006: Open campus with programs from Tempe campus
except Journalism and KAET2,750 students250 beds
• Fall 2008: Expand program enrollmentsAdd Journalism and KAET7,850 students1,800 beds
• Fall 2014: Expand program enrollments11,750 students3,360 beds
• Fall 2020: Expand program enrollments15,000 students4,500 beds
Copyright 2005, NACUBO
BUILDING THE PLAN
• Governance
• Structure
• Policies
• Processes
• Information
• Infrastructure
• Culture
Copyright 2005, NACUBO
DEVELOPING THE PLAN
• Provost’s Council• Academic Advisory Committee• Student Advisory Committee• Community Advisory Committee
Copyright 2005, NACUBO
TASK FORCE ESTABLISHED
• Academic Policies and Governance• Curriculum• Integrated Student Services• Library• Information Technology• Facilities• Marketing• Student Housing• Infrastructure
Copyright 2005, NACUBO
MISSION
To provide an academically rigorous university experience in a vibrant, urban campus environment that is integral to the success of the Phoenix community
Copyright 2005, NACUBO
DISTINQUISHING FEATURES
• Focus on student success and individual attention • Community engagement and social embeddedness• Research to improve lives and professional practice • Emphasis on health and wellness • Urban vitality
Copyright 2005, NACUBO
CAMPUS OPENS
• Recruit Students
• City of Phoenix Bond Election
• Design and Construction of Renovations
• August 21, 2006
• Relocate and move-in
Copyright 2005, NACUBO
A Project of the National Association of College and University Business Officers
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITY
Endowment Management Application
James E. Morley, Jr.
Copyright 2005, NACUBO
ELEMENT QUESTIONS• PURPOSE
• Are the mission, goals and objectives clearly stated and communicated?• Does the purpose imply more than one goal?• Does the purpose define a measurable outcome?• Are executives accountable for achieving the purpose? • Is the purpose viewed/accepted in the same way by all the key players?
• GOVERNANCE• Are all existing governance bodies known, properly charged and their role(s) understood?• Will existing governance bodies/process/policies, formal and informal, aid or impede purpose
attainment?• Are all other elements considered in support of required governance?• Are policies clearly defined for all governance activities and decision making?• Is the process of governance leadership clearly articulated for outcomes and accountability?• Are information flows adequate and timely to all participants in the governance process?
• POLICIES• Are all the decisions needed to achieve the goal clearly identified?• Are accountable individuals empowered to make appropriate decisions?• Are policies clearly established for all processes that are necessary for goal achievement? • Are potential conflicting policies identified and modified to avoid conflicts?• Are appropriate policies identified for each of the other elements: Information, Infrastructure,
Governance and Structure?• How does unit Culture impact policy development, decision making, and implementation?
Copyright 2005, NACUBO
ELEMENT QUESTIONS• PROCESSES
• Are all essential processes required for success identified and documented? • Are responsible individuals accountable for successful process operation?• Are processes supported by appropriate calibration with the other elements: Information,
Infrastructure, Governance, Structure and Policies?• How does unit/institutional Culture affect process outcomes?
• STRUCTURE• Are all aspects of the organization and other elements organized in a manner that allows the
other elements to support the purpose? • Are accountable individuals identified to make appropriate decisions?• Are staff and related leadership reporting responsibilities aligned so that accountable
executives can carry out policies and processes? • INFORMATION
• Have the information requirements for goal attainment, and as they relate to each of the other elements, been identified and documented?
• Are the appropriate institutional and departmental information systems and communication processes in place to support goal attainment?
• Are the other elements supported by adequate information flows, especially: Policies, Processes, Governance and Culture?
Copyright 2005, NACUBO
ELEMENT QUESTIONS
• INFRASTRUCTURE• Are there sufficient assets and resources planned for or provided to ensure success of
the purpose as assessed from the perspective of each of the other elements?• Are infrastructure resources in the proper form to ensure success of each element in
support of the purpose?
• CULTURE• Are all levels (e.g. university, college, departmental) of culture taken into
consideration as they might affect the purpose and the other elements?• What cultural aspects of the institution/unit will most affect, positively or negatively,
the purpose and/or other elements?• Does the purpose create conflict with existing culture(s)? Is success impaired as a
result?• How does unit culture impact policy development, decision making, and
implementation?• Does a new/altered purpose imply an intentional cultural change? If so, is this well
understood?
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITYENDOWMENT MANAGEMENT
• Purpose
• Role in support of operations
• Expected Rate of Return
• Expectations of Investment Committee
• Campus expectations
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITYENDOWMENT MANAGEMENT
• Governance
• Investment Committee• Member Skills• Terms• Use of Sub-committees
• Relations with full Board
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITYENDOWMENT MANAGEMENT
• Policies
• Appointment of Investment Committee
• Payout rate and methodology
• Expected rate of return
• Asset allocation
• Risk tolerance
• Investment Committee’s decision rules
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITYENDOWMENT MANAGEMENT
• Processes
• Manager selection
• Manager reporting and accountability
• Setting Investment Committee agendas
• Coordination with annual budget cycle
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITYENDOWMENT MANAGEMENT
• Structure
• Portfolio
• Reporting and oversight relationships
• Manager agreements
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITYENDOWMENT MANAGEMENT
• Information
• To committee members
• To administration
• Between managers, committees and administration
• Manager selection
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITYENDOWMENT MANAGEMENT
• Infrastructure
• Staff support for committee
• Oversight of managers
• Identification and selection of managers
• Performance reporting
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITYENDOWMENT MANAGEMENT
• Culture
• Overall Board risk tolerance level
• Committee history and norms
• Interaction with managers
• Campus expectations
Copyright 2005, NACUBO
BUILDING ORGANIZATIONAL CAPACITY (BOC): KNOWLEDGE NETWORK
• Go to www.nacubo.org/knowledgenetworks
• Visit NACUBO Central for a demonstration