Volkwein- Penn State The Challenges of Strategic Planning and Enrollment Management CAIR – San...
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Transcript of Volkwein- Penn State The Challenges of Strategic Planning and Enrollment Management CAIR – San...
Volkwein- Penn State
The Challenges of Strategic Planning and Enrollment ManagementCAIR – San Francisco 2015
Address by J. Fredericks Volkwein
Professor Emeritus and Founding Director of the Institutional Research ProgramPenn State University
Address by J. Fredericks VolkweinProfessor Emeritus and Founding Director of the Institutional Research Program
Penn State University
-The job market increasingly rewards higher levels of educational attainment.
-State level Public Funding is difficult.
-Institutions compete more intensely for private giving. -Students and their families bear more of the costs of college attendance. -Government funding for student loans, and consequently student debt, have increased dramatically.
The All Too Familiar Higher Education Context
- Competition for students is becoming more intense, so campuses are investing heavily in enrollment management and student services aimed at both domestic and international students.
- The Regulatory Climate has forced campuses to hire specialists to respond to a myriad of federal and state and accreditation requirements. - Consequently, the proportion of the campus FTE workforce devoted to activities other than teaching and research has increased on average from one-third to two-thirds.
The All Too Familiar Higher Education Context
Volkwein- Penn State
What is Strategic Planning ?
Planning can be defined as a conscious process by which an institution assesses its current state of affairs and the likely future condition of its environment, identifies possible futures for itself, and then develops organizational strategies, policies, and procedures for selecting and getting to one or more of them.
By Marvin Peterson
The scholarship on planning shows strong agreement about sequence of steps: mission, objectives, external analysis, internal analysis, development of strategic alternatives, strategy selection, implementation, and control of the strategy. (Ginter et al.)
Volkwein- Penn State
Strategic Planning vs. Conventional Long Range Planning
• Strategic PlanningExternal focusProcess oriented- a stream
of decisions by the CEODynamic and change
oriented Innovative, creative, riskyA Vision of the Future that
guides decision-making
• Conventional Planning Internal focus Product oriented- A Master
Plan guided by the CPOEmphasizes stabilityRelies on safe stepsBlueprint for the future that
is to be carried out
Volkwein- Penn State
The Leadership for Strategic Planning
Volkwein- Penn State
The Heart of Strategic Planning
•In business organizations, bettering one’s condition includes capturing market share and improving profits.
•In higher education, bettering one’s condition includes hiring better faculty, recruiting stronger students, upgrading facilities, strengthening academic programs and student services, and acquiring the resources needed to
accomplish these things. •The “strategic” part of strategic planning involves shaping
the institution in ways that will assure mission attainment by capturing and maintaining a market niche in the competition for resources, faculty, and students.
Volkwein- Penn State
The Janusian Nature of Strategic Planning
External Competition for Market Niche and Resources
Internal Reshaping, Self-Assessment, Evaluation and Improvement
Volkwein- Penn State
Institution Niche Building
Common Strategies for Capturing Market Share:
In BusinessHigh Quality
Low Cost
Convenient
Special Product
In Higher Education
•Top Tier/Name Brand
•Low cost or Best Buy
•Convenient/Accessible
•Specialized Institutions & Programs focused on particular vocations and careers
Volkwein- Penn State
Strategic Niches
Separate Competitive Markets Ranked by U.S. News
National Categories Top Tier Universities
Other Universities
Top Tier Liberal Arts Colleges
Other Lib. Arts Coll.
Professional Schools
On-line Programs
Regional Categories•North
•Bachelors•Masters
•South•Bachelors•Masters
•Midwest•Bachelors•Masters
•West•Bachelors•Masters
LocalMost Community Colleges
Volkwein- Penn State
Public Universities in New York State
Strategic Planning Examples
SUNY AlbanySUNY Binghamton
SUNY BuffaloSUNY Stony Brook
City University of NY
Volkwein- Penn State
Binghamton Strategy
Public Ivy Image
Examples: Public = U.C. Santa Cruz, William & MaryPrivate = Dartmouth, Princeton, Rice
Invest in Undergraduate Education & weighted more heavily toward
programs in humanities, arts, literature, languages
Fewer Students, Smaller Size More Selective
Bottom Up Approach to Quality
Volkwein- Penn State
Stony Brook Strategy
National Research University Image
Public = U. Cal. BerkeleyExamples:
Invest Heavily in STEM Research & Graduate Programs
Recruit Faculty Stars
Private = Johns Hopkins
Top Down Approach to Quality
Volkwein- Penn State
Albany Strategy
Balanced All Around Image
Examples: Public = University of Virginia, U.C. Santa BarbaraPrivate = Harvard, Stanford, Cornell University
Maintain Mission and Program Balance
Both Undergraduate & Graduate Education
Both Faculty Research & Teaching
Both Student Selectivity & Access
Low Cost & High Quality & Medium Size
Sciences/Social Sciences/Humanities/Prof Schools
Volkwein- Penn State
Buffalo Strategy
More Students, More Faculty, Larger Size
Bigger is Better
Flagship Image
More Resources
Public = Ohio State Univ., Michigan, Penn StatePrivate = New York U, Univ. Southern.California
Examples:
Volkwein- Penn State
CUNY Strategy
Urban Service University Image
Public = Temple, Wayne State, Chicago State, San Francisco StatePrivate = Boston U, Howard U, Miami U
Examples:
Open Access, Local draw
Faculty Address Urban Problems
Most Students Pursue Vocational Curricula
Political and Corporate Support
Volkwein- Penn State
Public Universities in New York State
SUNY AlbanySUNY Binghamton
SUNY BuffaloSUNY Stony Brook
City University of NY
Different within-sector Strategies
Volkwein- Penn State
The Value of Starting with a Model
• Encourages Clarity of Purpose
•Serves as a Logic Chart, Road Map, Organizer
•Assists Workload Conservation (concentrates energy and attention, streamlines the
planning process, reduces the amount of data collection, data storage, analysis, and reporting)
Volkwein- Penn State
Institutional MissionEducational PurposeRole and ScopeGoals and Objectives
Strategic SWOTMatching Process
External Constraints, Needs, Threats
& Opportunities
Internal CapacitiesStrengths & Weaknesses
Decisions on Programs, Priorities,
Policies, Budgets
Strategic Planning Model(Shirley and Volkwein, 1978)
Volkwein- Penn State
Taxonomy of Mission Statements(Volkwein, Lang & Lopers-Sweetman, 1991)
• LEGAL CHARTER: Government, corporate, or private
• MESSIANIC TABLETS: Vision articulated by the President or Trustees
• HISTORICAL: what the institution is, how it came to be
• ACTION PLAN: goals and objectives, often provoked by external situation/forces
• INSTITUTIONAL CULTURE: faculty/student common internal understanding about the educational philosophy and purpose of the institution.
• SCALE & CAPACITY: enrollments, resources, and physical requirements needed for goal attainment
• ANTHOLOGY: compilation of mission statements from administrative offices and academic departments
Volkwein- Penn State
Vision Statement
• L.L. Bean (1947)“Sell good merchandise at a reasonable price, and
treat your customers as you would your friends, and the business will take care of itself”
Volkwein- Penn State
Campus Contexts: Variable Environments
• Variable Population Growth: – No/Slow population growth and stable/declining school
enrollment (Most New England and North Central States)– Higher growth (Most Southern and Western States)
• Variable Revenue Systems:– States that rely heavily on graduated personal income taxes
versus sales & natural resources taxes
• Variable Economic Growth: – Relatively steady/predictable economic growth versus
unsteady/variable economic growth
• Variable Public/Private Balance: – Some States have a high proportion of student enrollments
in private and for-profit colleges and universities.
Volkwein- Penn State
ENVIRONMENTAL SCANNING
International & Worldwide
Regional & National
State & Local
POLITICAL &
LEGAL
ECONOMIC
SOCIAL & DEMOGRAPHIC
SCIENCE &TECHNOLOGY
Analyzing the changing environment – Needs/Constraints/Threats/Opportunities
Volkwein- Penn State
Internal Assessment of major strengths & weaknesses
Evaluative Criteria to Assess Programs & Services– Quality-
Adequacy of resources and servicesFaculty Productivity in teaching, research,
scholarship, & serviceLibrary, facilities, equipment, technologyStudent outcomes & Program goal attainment
Need-Mission CentralityComparative & locational advantageCurrent and projected demand
Cost- particularly in relation to revenues and benefits
Volkwein- Penn State
Institutional Mission& Educational Purpose
Role and ScopeGoals and Objectives
Strategic SWOTMatching Process
External Constraints, Needs, Threats
& Opportunities
Internal CapacitiesStrengths & Weaknesses
Decisions on Programs, Priorities,
Policies, Budgets
Strategic Planning Model(Shirley and Volkwein, 1978)
Volkwein- Penn State
The Key Objects of Planning Include:
• Academic and Research Programs (which to add, grow, leave unchanged, reduce, discontinue).
• The Financial Plan (revenues and expenditures).
• Human Resources Planning (Positions & Salaries).
• Buildings & grounds, Furnishings & Equipment, Facilities & Space Management, Technology & Information Systems.
• The Enrollment Plan (Three Stages: Student Admissions, Orientation & Integration, and Persistence & Success).
Volkwein- Penn State
Four Roles for Institutional Research in the Strategic Planning Process
External AnalysisDetermining Need
(scanning, monitoring,forecasting)
Internal AnalysisDetermining Quality(assessing strengths
& weaknesses)
Decision AnalysisDetermining Cost/Benefit
(The consequences of alternative choices)
Evaluation AnalysisDetermining Effectiveness(Documenting the Results, monitoring performance)
Volkwein- Penn State
Typical IR Activities Supporting the Planning Process
Peer Benchmarking
AnalyzingEconomic Forecasts
Environmental Scanning at the Beginning
Feedback at the End
Analyzing Population
Trends
Projecting Enrollments
Projecting revenues
EmployeeCompensation
AnalysisEstimating EmployeeTurnover
Developing/Tracking Key Performance Indicators
Space Use &Facilities Analysis
Evaluating Program/Policy
Impact
Strategic PlanningResearch
Tracking Rates of Admissions,
Attrition,Graduation
Volkwein- Penn State
The Importance of Enrollment Management
• The financial health of public and private institutions alike are substantially enrollment-driven.
• Student recruitment, admissions, enculturation, and education are expensive activities that become even more costly under conditions of high turnover.
• E. M. serves as an important mechanism for promoting student-institution fit.
• Good E. M. demonstrates institutional effectiveness to stakeholders.
• Thus, E. M. has become one of the most important ingredients in strategic planning.
Orientation and Integration
Persistence, Graduation,Success
Attracting, Admitting,and Enrolling Students
ENROLLMENTMANAGEMENT
MODEL
Volkwein- Penn State, CSHE
THREE-STAGE
Attracting, Admitting,and Enrolling Students
THE TRADITIONAL EM CORE • Student Choice and Fit• Admissions Marketing • Applications Management• Tuition Pricing• Financial Aid Packaging• Strategic Niche Building
Volkwein- Penn State, CSHE
Stage 1
Orientation and Integration
THE FIRST-YEAR EXPERIENCE• Orientation• Curricular Access & Advisement• Campus Climate• Remediation• Support Services•Academic and Social Integration
Stage 2
Persistence, Graduation,Success
Volkwein- Penn State, CSHE
INSTITUTIONAL EFFECTIVENESS• Student Learning and Academic Performance• Satisfaction and Institutional Commitment• Student Tracking and Retention • Alumni Studies & Career Outcomes• Improvement
Stage 3
Research on Student Choice
Tuition Pricing Analysis-
Enrollment Projections
Revenue Projections
Student Tracking
Admissions Marketing Studies
Feedback from alumni and employers
Research on Attrition/Persistence
/Graduation
Studies of Campus Climate
Evaluating Support Services
Financial Aid Packaging
Enrollment Management
Research
Admissions Yield Research
Assessing the student experience
Orientation & Integration
Admininistrative Options for Organizing Effective Enrollment Management
• Form An EM Committee
• Designate an EM Coordinator, Director, or Office
• Matrix Management Responsibilities for EM
• Create an Administrative Division or VP for EM
Volkwein- Penn State
Form An EM Committee
• Useful way to begin – quick, low cost, familiar way to addresscampus problems
• Promotes Collaboration and Systemic Thinking about student recruiting and retention
• Commonly chaired by Admissions Director or Student Affairs VP,or sometimes a Faculty Chair
• Little authority to implement change
• Can be an ineffective time sink
Volkwein- Penn State
Designate a Director/Coordinator of EM
• Assign EM responsibility to an existing mid-level manager
• More accountable than a committee but person-dependent
• Potential workload conflict between the coordinator’s responsibilities for EM and other duties
Give Matrix Management Responsibilities for EM to a Senior Administrator
• More centralized, more organized way to promote constructive change
• Direct connection to the resources and influence of top management
• Dual reporting relationships for the heads of key EM offices
• More elaborate, confusing, and difficult to implement
• It’s success is more administrative-culture dependent
Create an Administrative Division for Enrollment Management
• Requires the most Administrative Reorganization(usually with a VP title)
• Pulls together all the campus offices & operations that impact EM
• Most centralized, most effective, most disruptive, most costly
Volkwein- Penn State
“Well then, if ‘commandments’ seems too harsh to me, and ‘planning guidelines’ seems too wishy-washy to you, how about ‘The 10 Policy Statements’ ?”
In Conclusion,
Volkwein- Penn State
Volkwein Predictions for Higher Ed
1. University Enrollment will Grow & become more diverse – due to population growth,
increased participation rates, and need foreducational credentialing.
2. Higher Education Decisions and Policy will become increasingly research based.
3. Driven by Accountability, Attention to Educational Outcomes will increase.
Volkwein- Penn State
Volkwein Predictions
4. Economies of scale will favor large institutions, and small campuses will struggle. Larger colleges and universities (in general with some exceptions) are more efficient to run (have less cost per student). Larger and better supported institutions (in general with some exceptions) have higher salaries, more financial aid, more elaborate facilities and technology.
5. The most successful colleges and universities (of all sizes) will continue to be those that find a special niche and manage their enrollments effectively --
Educational and financial success will come to those that build a special identity for particular populations of students, particular areas of faculty expertise, or particular curricula.
Volkwein- Penn State
Volkwein- Penn State
Use Remaining Slides ONLY IFNeeded during Q&A
Volkwein- Penn State
The Levels of Planning Include:
Strategic/Institutional Level--Carried out by the Executive & VPs & Governing Board--Concentrates on Mission and attaining Long Range Goals--Most likely to benefit from good Institutional Research
Tactical/Middle Management Level --Carried out by the Deans and Office Directors--Concentrates on Academic Programs and Administrative Priorities--Middle Time Frame (2 or 3 years)
Operational/Implementation Level--Carried Out by the Faculty & Professional Staff--Concentrates on Taking Action Steps that Achieve Objectives--Short Time Frame (usually one year or one budget cycle)
Volkwein- Penn State
The Bureaucratic OrganizationWhere Administrators work
Executive Control
Hierarchical Lines of Authority and Communication
Authority Based on Position
Division of Labor
Delegation of Responsibility
Tightly-coupled
Rational Communication thru Channels
Resolve conflict via the Hierarchy
Rules & Regulation Guide Behavior to Ensure Equity in Treatment of Employees and Clients
Places High Value on Efficiency, and Theory X
Volkwein- Penn State
The Professional OrganizationWhere Faculty Members Work
Professional Control and Values
Authority Based on Knowledge
Shared Decisions Based on Merit and Persuasion
Resolves Conflict via Consensus
Open Communication and Mutual Trust
Places High Value on Effectiveness, and Theory Y
Loosely-coupled
Volkwein- Penn State
These Separate Value Systems Live together in Colleges and Universities with IR in the middle
Leadershipand Governance
IR
The Admin. Bureaucracy
The Faculty Professional Organiz.