Procedure Number: 10 Effective Date:
Title: Budget and Planning Revised:
Approval Date: President’s Signature: On File

 

STATEMENT:  The purpose of College Administrative Procedure No. 10 is to establish a planning and budget process that creates a culture of planning, strategic thinking and strategic management. In particular, the procedure seeks to:

  •  Align the utilization of University resources with the University’s primary objectives and strategic priorities as identified through a strategic planning process that included significant participation by all of our campus constituencies.
  •  Promote engagement, collaboration, participation, transparency and accountability.
  •  Provide faculty and staff the opportunity to develop, prioritize and propose programs and initiatives within their area of responsibility.
  •  Respect existing administrative and academic governance structures.
  •  Accommodate an effective degree of flexibility.
  •  Incorporate traditional budget assumptions that serve as a foundation for the process.
  • Establish a process that can be effectively communicated among our campus constituencies.

 

 PROVISIONS:

 1.    UNIVERSITY PLANNING

1.1.Strategic Planning. The University shall engage in a comprehensive strategic planning process in accordance with State law. Such a process shall produce a University mission statement, a recitation of our values and our vision statement. For planning purposes, the process shall also establish objectives, strategies, primary objectives and strategic priorities for the planning period.

1.1.1.   Mission Statement. For the purposes of this procedure, the University’s “mission statement” shall set forth the institution’s purpose and the major activities in which it is engaged. By incorporating our values, our mission statement shall differentiate itself from other institutions engaged in similar activity.

1.1.2.   Values. For the purposes of this procedure, our “values” shall include those core beliefs that govern the University’s behavior, communication, decision-making and leadership.

 1.1.3.   Vision Statement. For the purposes of this procedure, the University’s “vision statement” shall set forth a description of the desired future state of the University. The vision set forth therein shall be vivid, compelling and well understood and built upon the institution’s strengths and values.

1.1.4.   Objectives. For the purposes of this procedure, “objectives” shall consist of broadly defined measures of achievement from which can be determined the extent of our ability to achieve our vision.

 1.1.5.   Strategies. For the purposes of this procedure, “strategies” shall include those programs, approaches or initiatives undertaken in pursuit of a particular objective.

 1.1.6.   Goals. For the purposes of this procedure, “goals” shall include the desired outcomes or outputs to be achieved by a particular strategy.

 1.1.6.1.       For the purposes of this procedure, “annual goals” shall consist of those goals to be measured at the end of the budget’s fiscal year.

 1.1.6.2.       For the purposes of this procedure, “outputs” shall be defined as the services or products produced by the University. These measures would focus on efficiency or quantity.

1.1.6.3.       For the purposes of this procedure, “outcomes” are defined as the University’s impact on the external environment or the value it provides through its products or services. These measures would focus on effectiveness or quality.

 1.1.7.   Primary objectives. For the purposes of this procedure, “primary objectives” shall consist of those objectives identified as being of greater importance for purposes of allocating resources and accomplishing the University’s mission.

1.1.8.   Strategic priorities. For the purposes of this procedure, “strategic priorities” shall include those strategies identified as essential in achieving the University’s primary objectives.

 1.2.Implementation Plan. The strategic planning process shall produce an implementation plan that identifies the University’s primary objectives and strategic priorities for the duration of the plan; a timeline for implementation; and the resources necessary to execute the plan.

1.2.1.   The Implementation Plan shall include a Campus Development Plan as required by C.S.R. 133, Series 12, §3.1 of the Code of State Rules.

1.2.1.1.       The “Campus Development Plan” shall consist of a compilation of the University’s physical plant needs as they relate to the University’s mission as well as the Implementation Plan. These needs may include the construction of new facilities; the renovation of existing facilities; or the disposal or demolition of existing facilities.

1.2.2.   As per the Code of State Rules, each project that pertains to new and renovated facilities shall set forth: the location of the property; need addressed; size of the property or facility; estimated cost of construction or renovation; cost and proposed funding source; scheduled completion and the priority of the project established by the Board of Governors.

 2.    UNIVERSITY PLANNING COUNCIL

2.1.Establishment. The University shall establish and maintain the “University Planning Council” which shall serve as an advisory body for the strategic management of institutional resources.

2.1.1.   For the purposes of this procedure, “strategic management” is defined as a process of assurance that the University is maintaining the optimal alignment between the use of its resources and its environment, mission, values, vision, Primary Objectives and Strategic Priorities.

2.2.Duties and Responsibilities. In particular, the duties and responsibilities of the University Planning Council shall include:

2.2.1.   Review annual environmental scans that provide information regarding the internal and external environment in which the University resides and operates.

2.2.2.   Receive and review proposed annual budgets and provide advice and consultation that promotes greater alignment between the University’s resources and its mission, values, vision, Primary Objectives and Strategic Priorities.

 2.2.3.   Assist in the communication and implementation of the University’s Primary Objectives and Strategic Priorities.

 2.2.4.   Conduct an annual review of the University’s mission, values, vision, Primary Objectives and Strategic Priorities and, through consultation and advice, participate in the development of a report on the institution’s progress in maintaining optimal alignment.

 2.2.5.   Assist the campus in responding to initiatives and directives promulgated by the Higher Education Policy Commission and the State Legislature.

2.3. Composition. The University Planning Council shall consist of the following members: President, Provost, Chief Financial Officer, Vice President of Human Resources, Vice President of Community Engagement, Dean of Students, deans of two academic colleges, three faculty members, Dean of Professional Studies, President of the Faculty Senate, Chair of the Classified Staff Council, a representative of a graduate program and a student representative.

 2.3.1.   The President shall serve as the Chair of the University Planning Council.

2.3.2.   The following members of the University Planning Council shall serve their terms as a result of their position: President, Provost, Chief Financial Officer, Vice President of Human Resources, Vice President of Civic Engagement, Dean of Students, Dean of Professional Studies, President of the Faculty Senate and Chair of the Classified Staff Council.

 2.3.3.   The Provost shall appoint the deans who shall serve staggered two-year terms.

 2.3.3.1.       The dean of a college may not serve a second term until such time as the dean of each college has served on the Council.

 2.3.3.2.       For the purposes of this procedure, “dean” refers to the position, not the person serving as such.

2.3.4.   The Provost shall appoint the faculty members who shall serve staggered three-year terms.

2.3.4.1.       The Provost shall select the faculty members from a list of three faculty members nominated by the dean of the college from which the faculty member is assigned.

2.3.5.   In regard to members appointed pursuant to sections 2.3.3 and 2.3.4 of this procedure, no college shall have more than one representative.

2.3.6.   The Provost shall appoint a graduate program representative from candidates nominated by the deans of the academic colleges.

 2.3.6.1.       The representative of the graduate program shall serve a term of two years.

 2.3.7.   The President of the Student Government Association shall appoint a person to serve as the student representative on the University Planning Council.

2.3.7.1.       A student appointed under Section 2.3.7 of this procedure shall serve a one year term commencing on July 1 and ending on June 30 of the next year.

2.3.7.2.       No student appointed under Section 2.3.7 of this procedure shall serve more than two terms.

2.4.Meetings. The University Planning Council shall conduct regular meetings on the second Wednesday of the months of October, February and June.

2.4.1.   The agenda for the October meeting shall include a review of University’s mission, values, vision and Implementation Plan; an environmental scan of the internal and external factors influencing the University; a budget estimate for the next fiscal year; and other such matters as deemed necessary and appropriate.

2.4.2.   The agenda for the February meeting shall include a mid-year status report on the current year’s Implementation Plan; an updated environmental scan of the internal and external factors influencing the University; a presentation of the proposed budget for the next fiscal year; an analysis of the alignment of the proposed budget with the University’s Implementation Plan and, in particular, its Primary Objectives and Strategic Priorities; consultation and advice regarding the proposed budget; and other such matters as deemed necessary and appropriate.

 2.4.3.   The agenda for the June meeting shall include the presentation of a proposed report on the progress of the Implementation Plan during the current fiscal year; consultation and advice on the proposed report; and other such matters as deemed necessary and appropriate.

 2.5.Annual Report.  In August of each year, the Administrative Planning Team shall present to the Board of Governors a report of the University’s progress as it relates to the alignment of the University’s resources with the Implementation Plan and, in particular, its Primary Objectives and Strategic Priorities.

2.5.1.   The report presented pursuant to Section 2.5 of this procedure shall incorporate the pertinent comments provided by members of the University Planning Council.

2.5.2.   The Administrative Planning Team shall distribute the annual report in a manner that will permit the campus community to review and understand the University’s progress in aligning its resources with the its Primary Objectives and Strategic Priorities.

 3.    OFFICE OF UNIVERSITY PLANNING

3.1.Establishment. The University shall establish and maintain the Office of University Planning.

3.2.Duties and Responsibilities. The duties and responsibilities of the Office of University Planning shall be as follows:

 3.2.1.   To provide administrative and operational support and assistance for the University’s annual and long-term planning efforts including the work of the University Planning Council and the Administrative Planning Team.

3.2.2.   To monitor the University’s progress in maintaining its annual planning schedule.

 3.2.3.   To monitor the University’s performance and progress in aligning its resources with the University’s mission, values, vision, Primary Objectives and Strategic Priorities.

 3.3.Executive Director. The University may employ an Executive Director for the Office of University Planning who shall perform all the duties and responsibilities necessary for the conduct of the office.

4.    DEFINITIONS

4.1.“Academic Enhancement Fund.” A discretionary fund established within the University’s budget in which the Provost serves as the budget manager.

4.2.“Academic year.” For planning and budget purposes, the year commencing on July 1 and ending on June 30 of the subsequent year.

4.3.“Administrative Department or Program.” An administrative unit or athletic program whose chair, program director, coach or other chief administrative officer reports to a department head.

4.4.“Administrative Enhancement Fund.” A discretionary fund established within the University’s budget in which the President serves as the budget manager.

 4.5.“Administrative Planning Team.” A group of personnel charged with the responsibility of planning and producing a budget for the fiscal year. The group includes the President, Provost, Chief Financial Officer, Vice President of Finance, Dean of Students, Vice President of Institutional Advancement, Vice President of Human Resources, General Counsel  and other such individuals as appointed by the President.

 4.6.“Advisory Committee.” A committee consisting of representatives from various campus constituencies and community members, as applicable, whose duties and responsibilities include providing advice, comment and observations regarding the department or program’s proposed budget and plan.

4.7.“Adjusted Baseline Budget.”  The adjusted baseline budget shall consist of the baseline budget modified by any adjustments made by the Provost or the President.

 4.8.“Baseline Budget.” The budgeted expenses of the institutional unit for the year preceding the fiscal year budget under preparation.

 4.9.“Campus Committee.” Committees consisting of representatives of multiple campus constituencies that provide advice, consultation and proposed initiatives on specific areas of intra-campus activity.

 4.10.   “Committee Chair.” Those administrative officers who chair a Campus Committee.

 4.11.   “Department head.” All administrators who report to the Provost or the President.

 4.12.Direct report.” All administrative department heads that report directly to the President including the Provost, Chief Financial Officer, Vice President of Human Resources, Vice President of Institutional Advancement, General Counsel, Director of Athletics and Vice President of Community Engagement.

 4.13.  “Fiscal Year.” For planning and budget purposes, the year commencing on July 1 and ending on June 30 of the subsequent year.

 4.14.             “Major equipment.” For planning and budget purposes, equipment priced at $500 or more.

 4.15.             “Spending Unit.” An administrative department, academic unit, program or campus committee organized and assigned a budget for operational purposes.

 5.    PLANNING AND BUDGET PREPARATION

5.1.Annual Review of Planning Elements.  On or before October 1st of each year, the Administrative Planning Team shall meet to review the University’s Implementation Plan and determine any proposed changes to the plan’s Primary Objectives or Strategic Priorities for the next fiscal year.

5.2.Revenue estimate. On or before October 1st of the current year, the Chief Financial Officer and the Dean of Students shall present to the Administrative Planning Team a preliminary estimate of projected revenues for the next fiscal year.

5.2.1.   The projections shall include proposed estimates of revenue from tuition and fees, auxiliary enterprises, State appropriation and all other sources.

5.2.2.   In their projections, the Chief Financial Officer and the Dean of Students shall include the method employed to determine their revenue estimates including projected enrollment.

 5.2.3.   The projections required under Section 5.2 of this procedure will require a determination of proposed tuition and fees, institutional scholarships and waivers, prices for auxiliary services and enrollment estimates as per-student category (i.e. resident, metro, out-of-state and program differentials).

 5.3.Adjusted Baseline Expense Budget. On or before October 1st of the current year, the Administrative Planning Team shall meet to establish an adjusted baseline budget for each department and program for the next fiscal year.

5.3.1.   Any amounts attributable to a reduction in the baseline budget of an academic department shall be placed in the Academic Enhancement Fund.

5.3.2.   Any amounts attributable to a reduction in the baseline budget of an administrative department or a campus committee shall be placed in the Administrative Enhancement Fund.

5.3.3.   On or before October 15th of the current year, the Administrative Planning Team shall notify the appropriate spending unit of the adjusted baseline budget for the next year.

 6.    PLANNING AND BUDGET PROCESS – ACADEMIC UNITS

6.1.Department and Program Meetings.  On or before November 1st of each year, each academic department and program shall meet, plan, prepare and submit to the appropriate dean a proposed budget for the next fiscal year. At its meeting, each academic department and program shall be required to:

6.1.1.   Review the University’s mission, values, vision, Primary Objectives and Strategic Priorities.

6.1.2.   Review the department or program’s adjusted baseline budget as determined under Section 5.3 of this procedure and provided by the Administrative Planning Team.

 6.1.3.   Prepare a proposed program plan and budget request for the next fiscal year that includes the following information:

 6.1.3.1.       Program and/or department name;

6.1.3.2.       The name of the person responsible for the development and submission of the department or program’s budget;

6.1.3.3.       A list of major accomplishments achieved by the program or department during the last academic year or anticipated at the end of the current academic year;

 6.1.3.4.       The major strengths of the program or department; the opportunities created by these strengths; and the external factors that contribute to these strengths and opportunities;

 6.1.3.5.       The factors that limit the progress of the program or department; the barriers to future growth and development; and any weaknesses that should be addressed in future planning;

 6.1.3.6.       The long-term objectives of the department for the next five years including projected enrollment;

 6.1.3.7.       The strategies and goals for the next academic year and the part of the University’s vision or the specific Primary Objective or objective that is addressed by the department or program’s strategies.

 6.1.3.8.       The proposed curriculum or program changes for the next academic year.

 6.1.3.9.       The projected enrollment in the program or the department for the next academic year.

 6.1.3.10.    A list of the three highest budget priorities, if any, which may include requests for:

 6.1.3.10.1.        New faculty or staff;

 6.1.3.10.2.        Major equipment;  

 6.1.3.10.3.        New facilities or modifications to existing facilities.

 6.1.3.11.    A list of external sources of funding that currently support the department or program and any additional external support that is anticipated in the next academic year;

 6.1.3.12.    A list of any proposed budget deletions or reallocation of current funds included in the department’s adjusted baseline budget.

 6.1.4.   Any request for additional funding shall include a fiscal note detailing the proposed increases and the source that was utilized in estimating the additional amounts requested.

6.2.College/School Meetings. On or before December 1st of each fiscal year, the dean, chairs and program directors of each college or school shall meet, plan, prepare and submit to the Provost a proposed budget for the next fiscal year. At their meeting, the deans, chairs and program directors shall:

6.2.1.   Review the University’s mission, values, vision, Primary Objectives and Strategic Priorities.

6.2.2.   Review the college or school’s adjusted baseline budget as determined under Section 5.3 of this procedure and provided by the Administrative Planning Team.

 6.2.3.   Prepare a proposed budget for the next fiscal year that includes a list of the college or school’s three highest priorities in terms of proposed strategies or budget modifications.

 6.3.Deans Council Meeting.  On or before January 15th of each fiscal year, the Provost and deans of the colleges and schools shall meet, plan, prepare and submit to the Administrative Planning Team a proposed budget for the next fiscal year. At their meeting, the Provost and deans shall:

6.3.1.   Review the University’s mission, values, vision, Primary Objectives and Strategic Priorities.

6.3.2.   Review the adjusted baseline budgets for all the colleges and schools as determined under Section 5.3 of this procedure and provided by the Administrative Planning Team.

 6.3.3.   Prepare a proposed budget for the next fiscal year for submission to the Administrative Planning Team that includes a list of the five highest priorities in terms of proposed strategies or budget modifications.

 7.    PLANNING AND BUDGET PROCESS – ADMINISTRATIVE DEPARTMENTS

7.1.Department and Program Meetings.  On or before November 1st of each year, each administrative department and program shall meet, plan and prepare a proposed budget for the next fiscal year. At its meeting, each administrative department and program shall be required to:

7.1.1.   Review the University’s mission, values, vision, Primary Objectives and Strategic Priorities.

7.1.2.   Review the administrative department or program’s adjusted baseline budget as determined under Section 5.3 of this procedure and provided by the Administrative Planning Team.

 7.1.3.   Prepare a proposed program plan and budget request for the next fiscal year that includes the following information:

 7.1.3.1.       Program and/or department name;

7.1.3.2.       The name of the person responsible for the development and submission of the administrative department or program’s budget;

7.1.3.3.       A list of major accomplishments achieved by the administrative department or program during the last fiscal year or anticipated at the end of the current fiscal year;

 7.1.3.4.       The major strengths of the administrative department or program; the opportunities created by these strengths; and the external factors that contribute to these strengths and opportunities;

 7.1.3.5.       The factors that limit the progress of the administrative department or program; the barriers to future growth and development; and any weaknesses that should be addressed in future planning;

 7.1.3.6.       The long-term objectives of the administrative department or program for the next five years including its anticipated impact on enrollment.

 7.1.3.7.       The strategies and goals for the next fiscal year and the part of the University’s vision or the specific Primary Objective or objective that is addressed by the administrative department or program’s strategies.

 7.1.3.8.       The proposed departmental or program changes for the next fiscal year.

 7.1.3.9.       The administrative department or program’s projected impact on enrollment for the next fiscal year.

 7.1.3.10.    A list of the three highest budget priorities, if any, which may include requests for:

 7.1.3.10.1.        New faculty or staff;

 7.1.3.10.2.        Major equipment; 

 7.1.3.10.3.        New facilities or modifications to existing facilities.

 7.1.3.11.    A list of external sources of funding that currently support the administrative department or program and any additional external support that is anticipated in the next academic year;

 7.1.4.   Any request for additional funding shall include a fiscal note detailing the proposed increases and the source that was utilized in estimating the additional amounts requested.

7.2.Advisory Committees.  On or before December 1st of each fiscal year, each department head or chair, program director, coach or other chief administrative officer, as applicable, shall meet with its respective Advisory Committee to present, discuss and receive input regarding the the department or program’s plan for the next fiscal year.

7.3.Department Head Meetings. On or before January 15th of each fiscal year, each department head and their chairs, program directors, coaches or other chief administrative officers shall meet, plan, prepare and submit to the Administrative Planning Team a proposed budget for the next fiscal year. At their meeting, the department heads and their chairs, program directors, coaches or other chief administrative officers shall:

7.3.1.   Review the University’s mission, values, vision, Primary Objectives and Strategic Priorities.

7.3.2.   Review the adjusted baseline budgets for all the departments as determined under Section 5.3 of this procedure and provided by the Administrative Planning Team.

 7.3.3.   Prepare for submission a proposed budget for the next fiscal year that includes a list of the five highest priorities in terms of proposed strategies or budget modifications.

 8.    PLANNING AND BUDGET PROCESS – CAMPUS COMMITTEES

8.1.Campus Committee Meetings. On or before January 15th of each fiscal year, each campus committee shall meet, plan, prepare and submit to the Administrative Planning Team a proposed budget for the next fiscal year. At their meeting, each campus committee shall:

8.1.1.   Review the University’s mission, values, vision, Primary Objectives and Strategic Priorities.

8.1.2.   Review the campus committee’s adjusted baseline budget as determined under Section 5.3 of this procedure and provided by the Administrative Planning Team.

 8.1.3.   Prepare a proposed program plan and budget request for the next fiscal year that includes the following information:

 8.1.3.1.       Name of the campus committee;

8.1.3.2.       The name of the person responsible for the development and submission of the campus committee’s budget;

8.1.3.3.       A list of major accomplishments achieved by the campus committee during the last fiscal year or anticipated at the end of the current fiscal year;

 8.1.3.4.       The major strengths of the campus committee; the opportunities created by these strengths; and the external factors that contribute to these strengths and opportunities;

 8.1.3.5.       The factors that limit the progress of the campus committee; the barriers to future growth and development; and any weaknesses that should be addressed in future planning;

 8.1.3.6.       The long-term objectives of the campus committee for the next five years including its anticipated impact on enrollment.

 8.1.3.7.       The strategies and goals for the next fiscal year and the part of the University’s vision or the specific Primary Objective or objective that is addressed by the campus committee’s strategies.

 8.1.3.8.       The proposed changes in the campus committee for the next fiscal year.

 8.1.3.9.       The campus committee’s projected impact on enrollment for the next fiscal year.

 8.1.3.10.    A list of the three highest budget priorities, if any, which may include requests for:

 8.1.3.10.1.        New staff;

 8.1.3.10.2.        Major equipment; 

 8.1.3.10.3.        New facilities or modifications to existing facilities.

 8.1.3.11.    A list of external sources of funding that currently support the campus committee and any additional external support that is anticipated in the next academic year;

 8.1.4.   Any request for additional funding shall include a fiscal note detailing the proposed increases and the source that was utilized in estimating the additional amounts requested.

 

9.    BUDGET PREPARATION

9.1.Proposed Budget. On or before February 1st of each fiscal year, the Administrative Planning Team shall meet and prepare a proposed budget for the next fiscal year. At this meeting, the Administrative Planning Team shall:

9.1.1.   Review the University’s mission, values, vision, Primary Objectives and Strategic Priorities.

9.1.2.   Review the University’s adjusted baseline budget as determined under Section 5.3 of this procedure.

 9.1.3.   Receive an updated environmental scan of the internal and external factors that the University may confront in the next fiscal year;

9.1.4.   Receive the proposed budgets from the Provost, department heads and campus committee chairs for the next fiscal year that include a list of their priorities in terms of proposed strategies or budget modifications

 9.1.5.   Propose, discuss and adopt changes in the University’s Primary Objectives and Strategic Priorities, as deemed necessary.

 9.1.6.   Prepare a proposed budget for the next fiscal year for review by the University Planning Council.

 9.2.University Planning Council. On or before February 15th of each fiscal year, the University Planning Council shall meet to review, discuss and advise the Administrative Planning Team regarding the proposed budget for the next fiscal year. In particular, the University Planning Council shall at such meeting:

9.2.1.   Receive from the Administrative Planning Team a presentation of the proposed budget for the next fiscal year;

9.2.2.   Receive from the Administrative Planning Team an analysis of the alignment of the proposed budget with the University’s Implementation Plan and, in particular, its Primary Objectives and Strategic Priorities;

 9.2.3.   Discuss and provide consultation and advice regarding the proposed budget; and

 9.2.4.   Undertake other such matters as deemed necessary and appropriate to create an effective collaboration between the University Planning Council and the Administrative Planning Team.

 9.3.Final Budget. Subject to the consent of the Board of Governors, at the April meeting of the West Liberty University Board of Governors, the Administrative Planning Team shall submit to the Board of Governors for their approval a final budget for the next fiscal year.

9.3.1.   Prior to the April meeting of the Board of Governors, the Administrative Planning Team shall, if requested, submit the final budget for the next fiscal year to the Finance Committee of the Board of Governors or any other committee of the Board of Governors, as directed.

9.3.2.   The Administrative Planning Team shall make any changes or other modifications to the final budget as directed by the Board of Governors or the Finance Committee or any other duly authorized committee of the Board of Governors.

 9.4.Campus Presentation. On or before the conclusion of the University’s spring semester, the Administrative Planning Team shall present to the campus in an open meeting the budget for the next fiscal year as approved by the Board of Governors. In its presentation, the Administrative Planning shall:

9.4.1.   Set forth the manner in which the proposed budget is in alignment with the mission, values, vision, Primary Objectives and Strategic Priorities of the University.

9.4.2.   Identify any changes or modifications made to the Implementation Plan in terms of the plan’s Primary Objectives and Strategic Priorities.

10.TRANSITIONAL RULES

10.1.             Alternative dates. During the year of implementation, the Administrative Planning Team may develop and provide alternative dates for actions required under this procedure.