a practical guide to strategic enrollment management planning in higher education

www.educationalpolicy.

A Practical Guide to Strategic Enrollment

Management Planning

R.B. WilkinsonPitt sburg State University

James S. TaylorUniversity of Aveiro

& Center for Research in Higher Educati on Policies, Portugal

Ang Peterson, University of Central Florida

Maria de Lourdes Machado-TaylorCenter for Research in Higher Educati on Policies, Portugal

APracticalGuidetoStrategicEnrollmentManagementPlanning

inHigherEducation

By

R.B.WilkinsonDirectorofAnalysis,PlanningandAssessment

PittsburgStateUniversityandSeniorResearchScholarEducationalPolicyInstitute

VirginiaBeach,VA

JamesS.TaylorProfessorofHigherEducationManagement

UniversityofAveiro,andSeniorResearchAssociate

CenterforResearchinHigherEducationPoliciesPortugal

AngPeterson,

AssistantVicePresidentTransferAdmission,EnrollmentServicesandMarketing

UCFRegionalCampusesUniversityofCentralFlorida

MariadeLourdesMachadoTaylorSeniorResearchAssociate

CenterforResearchinHigherEducationPoliciesPortugal

November2007

StrategicEnrollmentManagementAGuidebook

EducationalPolicyInstitute 2

TABLEOFCONTENTS

Preface....................................................................................................................................4

ChapterI..................................................................................................................................6Introduction...............................................................................................................................6PurposeofthisGuide...............................................................................................................10Background..............................................................................................................................11WhyStrategicPlanning?..........................................................................................................12OrganizationofWhatFollows.................................................................................................14

ChapterII...............................................................................................................................15AnAppliedPlanningModel.....................................................................................................15SomeGeneralConcepts...........................................................................................................15AStrategicPlanningModel......................................................................................................16

CriticalComponents.........................................................................................................16TheModel................................................................................................................................19

ChapterIII..............................................................................................................................24ThePlantoPlan.......................................................................................................................24

Step1:GainingInstitutionalSupport...............................................................................24Step2:InvolvementandFormingthePlanningCommittee............................................24Step3:DesigningthePlanningProcess............................................................................25Step4:SettingTimeframes..............................................................................................26Step5:ResourceCommitment........................................................................................26

ChapterIV.............................................................................................................................28TheInstitutionalFramework....................................................................................................28

Step6:IdentifyingAllFormalRequirements...................................................................28Step7:InformalExpectations..........................................................................................29Step8:PhilosophicalUnderpinnings................................................................................30Step9:InstitutionalMissionStatement...........................................................................34

ChapterV..............................................................................................................................38WhoWeAreandWhatOurEnvironmentIs............................................................................38

Step10:StrengthsandWeaknesses................................................................................39Step11:OpportunitiesandThreats................................................................................44

ChapterVI.............................................................................................................................48WhereWeWanttoGo............................................................................................................48



Step12:DevelopingaVisionStatement..........................................................................48Step13:StrategicGoals....................................................................................................50Step14:CampusConsensusofthePlan..........................................................................61Step15:PlanningCommitteeRevisitsthePlan...............................................................61

ChapterVII............................................................................................................................62IntegratingStrategicPlanning,BudgetingandDecisionMaking............................................62

Step16:OperationalPlanning..........................................................................................62

References.............................................................................................................................65

Worksheets...........................................................................................................................67



AbouttheEducationalPolicyInstituteTheEducationalPolicyInstitute(EPI)isaninternational,nonprofitthinktankdedicatedto the studyofeducationalopportunity.Ourmission is toprovidehighlevel researchand analysis to support policymakers and practitioners and expand educationalopportunity toallstudents.EPIwas incorporatedasanonprofitorganization in2002andhasoperatedas such for thepast fiveyears.EPIwascreated to fulfillaneed formorerigorouseducationalresearchandtocreatebetterlinkagesbetweenresearchandpublicpolicycommunities.EPIisheadquarteredinVirginiaBeach,Virginia,withsatelliteofficesinToronto,Ontario,andMelbourne,Australia.

www.educationalpolicy.org



PrefaceOver the past decade, strategic enrollment management (SEM) has become a majorforce in the organization and practice of higher education. With limited financialresources for financialaid, institutionsmustbalance theneed to attract andadmit afreshmanclassthatfitswellwiththeinstitutionandalsoprovidethenecessaryfinancialsupporttoallowfordiversityinstudentbody.Thisisnotasimpletask.

Becauseof thiscomplexmission, institutionshavebecomevery focusedon improvingenrollmentmanagement strategies tomaximize the resourcesof the institution.NewsoftwareprogramshavehelpedmakeSEMmoreofasciencethaneverbefore,butourexperience is also suggesting that learning to know the institution in a strategicmanner is perhaps themost important factor in balancing the various forces on theinstitution.

As theauthorsof thisguidestate in theopeningparagraph,SEM focusesonwhat isbest for studentsandhow toensure their successwhileaddressingallaspectsof theinstitutionsmission.Thisisacriticalpoint.ManyinstitutionsareperhapsusingSEMforthe wrong reasons; to maximize their ability to bring in the best students, withoutconsiderationofdiversityandotherimportantissuesthatmakeacampusgreat.Itisourhope,throughthisguide,that institutionswilltakethetimetounderstandthegreatergoodofhighereducationandunderstandthattheycan,withcarefulstudy,haveitallwithrespect tostrategicenrollmentpractices.Theycandobothgoodandwellatthesametime.

BobWilkinson,aseniorscholarof theEducationalPolicy Institute,alongwith the lateJimTaylor,AngPeterson,andMariadeLourdesMachadoTaylorhavepulledtogetheranexceptionalguidebook for institutionalpractitionersandenrollmentmanagers.Wehopethatthereadersofthisguidewillputittogooduse.

Regards,

Dr.WatsonScottSwailPresident,EducationalPolicyInstitute



ChapterIIntroductionStrategic enrollment management (SEM) is an institutionwide responsibility and thecentralfocusofthe institutionsoverallstrategicplan.SEMfocusesonwhat isbestforstudentsandhowtoensuretheirsuccesswhileaddressingallaspectsoftheinstitutionsmission. Just like overall strategic planning, strategic enrollment management startswiththe institutionsmission.Thiswillserveasthebeginningandendofthefocusforthisstrategicenrollmentmanagementplanningguide.

AccordingtoBlack(2001)andHenderson(2005)SEMhasmovedthroughseveralstagesofdevelopment.Theperiodbetweenthe1970sandmid1980scanbelabeledtheAgeofRecruitment.ThiswasthebeginningofSEM.Thefocuswasonincreasingenrollmentthrough thedevelopmentofenhanced recruitingmodels and theuseof financial aidpackagingandleveraging.

TheAgeofStructurestartedinthemid1980sandcontinuedthrough2005(actually,the Age of Structure is still alive and well). The focus of this age was on increasingenrollmentthroughenhancedrecruitingmodelsandtheuseoffinancialaidpackagingandleveraging.However,theSEMorganizationalstructurebecomesthefocalpointforimplementation. It is during this age that we see the evolution of the enrollmentmanagement division and all the various organizational structures that basicallyredefinedthedivisionofstudentaffairsbycarvingoutselectedfunctionsandgroupingthemtogetherinthisnewSEMdivision.

The Age of the Academic Context started in 2005 with Stan Hendersons articleRefocusing Enrollment Management: Losing Structure and Finding the AcademicContext. It is in thisage thatSEMbranchedout to include theacademicsideoftheinstitution. So far, this age has focused on developing and refining the SEMorganizationalstructureand integratingSEMmodelswhilebeingencouraged to reachouttotheacademicdivisionasSEMpartners.Thefocusisstillonincreasingenrollmentthrough enhanced recruiting models and the use of financial aid packaging andleveraging coupled with establishing a SEM organizational structure within theinstitution but there is now recognition that academics are important to the overallviabilityoftheprocess.

BasedonthisevolutionandthecurrentstateofSEM,thereappearstobeasetofcoreSEMprinciplesthatguideallcurrentSEMactivity:

Establishingclearenrollmentgoals; Promotingstudentsuccess;



Determining,achievingandmaintainingoptimumenrollment; Enablingthedeliveryofeffectiveacademicprograms; Generatingtuition; Enablingfinancialplanning; Increasingorganizationalefficiencyand; Improvingservicelevels.

However, there are some major institutional gaps caused by the core concepts. Ascurrentlypracticed,theredoesnotseemtoaanoverridingdefinitionofSEMnordoesthereseemtobeanywaytobreachthedivisionaldivideortobringfocustothebroaderconceptofstudentsuccess.Theprimaryfocushasbeenonsimplyincreasingenrollmentsoasto increaseandstabilize institutionalrevenues.Studentsuccess isdefinedastheinstitutionsretentionandgraduationrate,whichdoesnotaddressmanyofthereasonsstudentsattendpostsecondaryeducation.Thismeansthatstudentsarerecruitedbasedontheirprobabilityofgraduatingthestudentprofile.Utilizingextensive institutionalspecificresearch, institutionsdevelopaprofileofthesuccessfulstudent(theacademicandnonacademiccharacteristicsof the successful student)and then recruit studentsthatfitthatprofile.Whilethismaybeacceptableforprivateselectiveinstitutions,mostpublic institutions,especiallycommunitycolleges,donot recruitbasedonastudentsprobabilityofgraduating.

There isanoverlyheavy focusondeveloping theSEMorganizationalstructure.Whilethismightdemonstratethe institutionscommitmenttoaconcept, itdoesnotchangethe institutionsculture.Finally,mostSEMplanssitoutsideof theoverall institutionalstrategic plan thereby being both marginalized and not included in the overallinstitutionalpriorities.

WhatisneededisaclearSEMdefinitionandasetofcoreconceptsthatflowfromthisdefinition.SEMcanbecharacterizedasacomprehensiveprocessdesignedtohelpaninstitution achieve andmaintain the optimum recruitment, retention and graduationratesofstudents,whereoptimumisdefinedintheacademiccontextoftheinstitution(Dolence, 1993). Using this definition provides a fundamental shift in the wayinstitutionslookatandimplementSEM.

According to Henderson (2005) the major focus of SEM has been for institutions toestablish enrollment management organizational structures within the institution,usually realignment within the division of student affairs, to address issues ofrecruitmentandretention.Thefocusofthesestructureswastoprovidemoreefficientandeffectiveservicetostudentswhileallowingthefacultytofocusonacademics.Theconcept of more effective and efficient service to students was correct but thedevelopmentoftheSEMstructuresmadeenrollmentmanagementtheresponsibilityofonedivision,andusuallyonlyacoupleofofficeswithinthatdivision.Theseinstitutions



alsodevelopedcommittees toaddress issuesofenrollmentplanningand retentionaswellasotherstudentsuccesstopics.However,theenrollmentmanagementstaffusuallychaired these committeesandmembershipwasprimarilydrawn from theenrollmentmanagementareas. Inall,SEMorganizationalstructures thatwere formed toaddresscriticalenrollmentissuesbuteventuallythisapproachperpetuatedthesilocultureofaninstitutionandfurtherremovedSEMfromthecorefunctionsoftheinstitution.

The academic context and institutional culture were not incorporated into SEMactivity.Howdoesan institution fundamentally change its recruitment, retentionandgraduationrates ifthefacultymembersarenot intimately involved?Howarebusinesspracticesmadetobemorestudentfriendlyiftheindividualsworkinginthoseofficesdonotseetheirsignificancetostudentsuccess?Andhowdoyouchangeacampuscultureifallconstituentsarenotinvolved?

This structural approach to SEM ignored the idea that SEM is an institutionalresponsibility and it has to be grounded in the academic context and culture of theinstitution.EstablishingSEMwithintheacademiccontextandcultureofthe institutionistomakeenrollmentmanagementtheresponsibilityofeveryoneespeciallythefaculty.Viewed as an institution wide responsibility and part of the academic context andcultureoftheinstitution,SEMbecomesoneof,ifnotthefocusofinstitutionalplanning.This focusalsomeansstructuresupportstheprocessesandproceduresasopposedtoprocessesandproceduresbeingdrivenbyastaticSEMstructure.ItisallabouthowweorganizetheinstitutiontoachieveourSEMvision,goalsandobjectives.

InordertostartadialogweadvancethefollowingdefinitionasstatedintheMoreheadStateUniversityStrategicEnrollmentManagementPlan20062010.

StrategicEnrollmentManagementisacomprehensiveapproachtointegratingalloftheUniversitysprograms,practices,policies,andplanningrelatedtoachievingtheoptimalrecruitment,retention,andgraduationofstudentswithoptimaldefinedbythemission,academicvision,andstrategicplanoftheinstitution.EnrollmentmanagementbecomesStrategicEnrollmentManagementwhenitactivelyintegratesplanning,strategiesandstructuresintheformalenrollmentmanagementunitswiththeinstitutionsevolvingstrategicplanning,itsacademicvisionanditsfundamentalmission.

StrategicEnrollmentManagementdoesnotignoreshorttermactivities.

Instead,itintegratesshorttermadministrativeeffortswithlongtermplanningprocesses.Theseadministrativeeffortsincludeafocusonmanagementofthosefunctionalareasresponsibleforachievingenrollmentgoals.Asaplanningprocess,StrategicEnrollmentManagementfocusesontheoutwardandforwardlookingactivitiesthatguidetheinstitutionspursuitofitspreferred



futureinaconstantlychangingandcompetitiveenvironmentandincludeslongrangeplanningandinstitutionwidestrategydevelopment.

Using this definition, the following core concepts then support all institutional SEMactivities:

AllSEMactivitiesaremissiondriven. SEMdevelopsaninstitutionalcultureofstudentsuccess. SEMissynonymouswithstudentsuccessandisintegratedintotheinstitutions

strategicplan. SEMinvolvesallinternalandexternalconstituents. Externalpartnershipsarecritical. Everythingisassessedandmeasuredsodecisionsaredatadriven. Clearenrollmentgoalsareestablishedbasedoninstitutionalcapacityandthe

institutionsstrategicplan,andnotsimplyonthestudentprofileorrevenuegeneration.

Appropriateacademicprogramsaremaintainedthatpreparestudentsforthecareersofthefuturewhilesustainingmissionappropriateofferings.

Creativethinkingandlookingoutsideofhighereducationforbestpracticesisnecessary.

Focusontheappropriateutilizationoftechnologytoenhanceservicetostudentsisencouraged.

Colleges and universities need to develop a planning model that not only works forthembutisinclusiveandviableenoughtobecomeabreathing,lifesustaining,evolvingprocess.Thisplanningprocessbeginswithownershipandresponsibilitygroundedintheacademicmissionofthecollegeoruniversity.

The core of SEM planning requires knowledge of institutional budgets, funding,communications,marketing,admissionprocesses,practicesandstandards,recruitment,retention, student services, financialassistanceand leveraging,academicpreparation,institutionalfit,externaldemographics, institutionalprofile,studenttransitions,alumnirelations, communication, campus environment, career development, learning stylesand methods, institutional research, assessment, data collection, constituencyconnectionstocampus,towngownrelationships,anduniversitydevelopmentto listafew.

As an institutionmoves through a SEMplanningprocess, issueswill continually arisethat reinforce the institutionwide responsibility for student successand theneed forexternalpartnerships.Forexample,ifyourinstitutionhasspacelimitations,planningforcontinued oncampus enrollment growth may jeopardize the planning outcomes.



However,knowing thatspace isan issue, the institutionsSEMplanmaywelladdressgoals for additional delivery methods, outreach centers, regional campuses andpartnershipswithothercollegesoruniversities,and/orvirtualstudentsupportservices.

PurposeofthisGuideThepurposeofthisguide isto facilitatestrategicenrollmentmanagementplanning inall typesofpostsecondaryeducational institutions. Itdrawsheavily from thepracticalexperiencesof theauthors, the literaturebaseon strategicplanningaswellasactualinstitutionalstrategicplanningexperiences.

There are many models of strategic planning. No one model fits all situations. Eachorganization isdifferent and theplanningmodelusedneeds tobe tailored to fit theenvironment for which it is intended. There is also a significant number of theoriesabout strategic planning ranging from the traditional longrange planning of the 60sand 70s to the current concept of scenariobased planning and student centeredplanning.

On an applied level, allplanningmodels and theorieshavenumerous components incommon: mission, vision, strengths, weaknesses, opportunities, threats, goals andobjectives.Eachmodelalsohasanevaluation loop that connects itsendpoint in themodel to the startingpoint thereby indicatinga cyclicalprocess.Another similarity isthatalmostallmodelsand theoriesareactually sequentialand linear innature.Eachstep inthemodel isaprerequisitetothenext,butonceastep iscompleted, it isnotrevisiteduntiltheprocesscyclesthroughtheothersteps.Rarelydoesonefindamodelwith builtin evaluation/feedback loops each step of the way thereby allowing forchangesandadjustmentsas theplan isevolving.Finally,allmodels strugglewith theissuesofwhichconstituentgroupsshouldbeinvolvedandhowappropriateinputshouldbesought.

The planning model presented here was guided by several tenants that make itinnovative and somewhat unique. First, commitment to a planning process and theeventual plan that results is gained through a sense of ownership and broadbasedinvolvement. Second, nothing is viewed as sequential or compartmentalized. Theinternalandexternalenvironmentsare interlockedandthesignificanceofonecannotbeunderstoodinisolation.Third,congruenceisessential.Astheprocessunfolds,thereneedtobeformalizedmechanismstochangeandadjustallaspectsoftheplanasnewinsights are gained. Fourth, planning is an exercise in thinking creatively about thefuture.Creativityistheheartandsoulofaneffectiveplan.Fifth,thefinalplanisalwayssubject to change.Planninghasno realendpoint.Planning is a livingprocesswhichneeds constantmonitoring and adjustment. Sixth, a truly successfulplanningprocessshould significantly impact the assumptive world of the institution and change thedecisionmaking paradigm. The planning process should bring a proactive focus to



everythingthe institutiondoes.Decisionmakingshouldbecomemoreanticipatoryandconsistent.

BackgroundThecomplexities inherent inhighereducationmanagementareenormous.Acoherentunderstanding of these issues and a congruent means of orchestrating proactiveinstitutional management are critical to effective policy development and decisionmaking.Highereducationisatapivotalcrossroadsasitentersthenextmillennium.Thefuture of the enterprise as we know it will see significant transformation. Funding,accountability,integrityandleadershipwillbeattheforefrontinredefiningacademeinthe 21st century. Higher education and the institutions that represent it cannotmaintain the status quo and expect to survive, let alone prosper. Momentum isinevitable;itsdirectionisinthehandsoftheleaderswhohavetheabilitytocontrolit.

The key to successful institutional leadership, management and advancement is thedesignand implementationofa functional long rangeand strategicplanningprocess.Therearemanymodelsofstrategicplanningthathavebeendesigned,developedandimplemented by higher education institutions. For campuses seeking to enter theplanningarenaforthefirsttime,existingmodelsareoftengivenseriousconsideration.Forthemajorityofcampusesthatarealreadyinvolvedinplanning,thesemodelsserveascatalystsforimprovementandforexpansionoftheircurrentmodel.

Asfarbackasthe1970's,highereducationinstitutionsintheUnitedStateswerelayingclaim to visionary leadership through planning. Unfortunately, the reality was not asimpressiveas theproclamations.Atbest,averysmallpercentageof institutionswereflirtingwiththeedgesofplanningbutrealizingnogains.Plansweredevelopedonlytobe ignored, and in some cases, done merely to appease outside groups. Often, theexerciseofplanningwasasymbolicactivitydesignedsimplyasapromotional tool fortheuniversity,butwithnorealsubstance.

Over the past 30 to 40 years, strategic planning, which gives rise to strategicmanagement, has found different degrees of acceptance. Planning and managementfirst received serious attention in the business sector. As successes were realized,support grew. Eventually, there was great excitement, and the notforprofit sectorbegantodelveintotheplanningarena.Highereducationinstitutionswereamongthosefledglingefforts.Unfortunately inhighereducation,thetrackrecordwasanythingbutsuccessful. There are a number of things that can be attributed to this failure. Ofimmediate note is the fact that the governing structure in postsecondary educationdiffers markedly from that in business. Institutions are not ruled by the singulardecisionmakingfoundatthetopoftheorganizationalhierarchy.Therearemanylevelsofparticipatorygovernancethatmustbedealtwith,listenedtoandmassaged.Anotherobstacletostrategicplanning inhighereducation isthefactthatthewheelsofchange



grind slowly. The process of creating proactive movement in higher education isdeliberateandmeasured.Thebudgetcyclesareslowinturning,thesharedgovernancemodel requires input and study from many constituent groups before final action ischosen and the bureaucracies of government impede rapid progress and change. Tofurther complicate progress, the tenure of presidents continues to get shorter.Successfulplanningprocessesmustbe championed in a verypublicwayby the chiefexecutiveofficer.Unfortunately,longrangeplanningstimeframecaneasilyexceedthetime apresident is inoffice.The transferofpresidentialpower is typically thedeathknellfortheexistingplanningmodel.

Still, visionary leaders persisted in the belief that planning was possible and wouldbenefithighereducationinstitutions.Theirsteadfastcommitmenttomakingitworkhasproven fruitful. However, the number of colleges and universities that have createdeffectiveplanningmodels is few.Manywhowould like to join the ranksofsuccessfulplanning institutions have chosen to reinvent the wheel rather than model theirefforts after proven successes. There are successful planning models available foradoption.However, it is important to note that an institution cannot simply take anexisting planning model and implement it and expect to be successful. The planningmodelandprocesshastobetailoredtotheinstitutioninordertobesuccessful.

WhyStrategicPlanning?Perhapsoneof themost importantaxioms thatcanbe identified is this there isnostatusquoforacampus.Despitethebesteffortsofmanycampus leaders, it issimplynot possible to remain exactly as you are forever. There is a fundamental choice allcampus leaders must make: they can either proactively advance their institutionforwardbydesignandthroughplanningorsit idlybyandallownaturalmomentumtolettheir institutionslipbackwards.IntheUnitedStates,thereareapproximately4,000institutionsofhigher learning.The vastmajorityof these campusesarequite similar.Thereareonlyaveryfewthatcanhonestlylayclaimtodistinctiveness.Acloseranalysiswillshowthatmostofthecampusesthatareleadingthewayaresuccessfullyengagedinlongrangestrategicplanningthroughvisionaryleadership.

Society ischangingandevolvingveryrapidlytoday. Infact,change isexponential.Thetechnologies we marvel at today are obsolete three years hence. The environmentcreatedonaglobalscalebypoliticalandeconomicinstabilityiscausingleaderstomakesignificant and sometimes desperate decisions in an effort to adjust and adapt.Organizationsthathavearticulatedawellthoughtoutstrategicplanareinapositiontomake informeddecisions.Strategicplanningputseveryoneonthesamepage,workinginunison.

Mostpostsecondary institutionsare to somedegreeunderfunded.This isa longtermtrend that is not likely to reverse itself. Institutions that recognize this fact can plan



accordingly.Unfortunately, the vastmajority of campuses keep hoping that the nextbudget cycle will show marked improvement. Their renewed disappointment is seenwith the comingofeachnew cycle.When fundsare limited,decisionsbecomemoredifficultandprioritiesbecomemoreimportant.Thetoughdecisionsaremostprevalentwhen one is forced to choose between several desirable outcomes due to limitedresources.This ispreciselythetimewhenplanning ismost importanttoan institution.Whenprioritieshavebeenestablishedthroughtheplanningprocess, itbecomesmucheasiertoallocatesparse fundsappropriately.Toomany institutionssaythatwhenthefundingcrisis isoverand theyhaveunlimited resources, then theycanengage in theexciting world of planning and dreaming. They, of course, have failed to realize thefundamentalpointthatitiswhenresourcesarescarcethatplanningismostneeded.Aplanwithfocusdefinesyourchoices.

It is also important to note that a welldesigned planning process inspires pride,motivationandcommitmentamongthepeople ittouches.Leaderswhoaresuccessfulhaveavision forabetter future,and theyareable toenthusiasticallyarticulate it totheirconstituencies.Peoplefollowaleaderwithvision.Leadersdonotsinglehandedlyadvanceaninstitution,butrathertheyinspirethemanyotherpeoplewhomustworktokeepitvitalandproactive.Theleaderwhocanmotivatethroughvisionwillinstillamongthepeopleonhisorhercampusasenseofpersonalownership in thevision thathasbeen laidout.Peoplewill show their loyalty and support in the achievementof thatvision.

Institutions that have an effective planning process are telling others they have acommitmenttothedirectiontheirinstitutionistakingandthefutureitwillrealize.Thegoverningbodieswhichoftendetermine institutional fundingarequick to realize thatthecampuswithaplanofactioninplaceismuchmorelikelytorealizesuccessthanonewithout such a plan. Governing boards are wise enough to realize funding is bestallocatedtothosewhohaveaplanforhowtouseiteffectively.

Finally, strategic planning provides a clear direction for an institution and allows itsleaders to chart the proper course. It gives you the courage to challenge. If you areafraidtolosesightoftheshoreline,youwilldiscovernothing.Planningisthemeanstotheend. Itmustbepointedout,however,thattoooften institutionsmerelyplanwithnofollowup.Planningaloneismerelydreaming.Planningcombinedwithactioncreatesresults.Employeeswhowork inan institutionwithaplanhaveaheightenedsenseofsecurityandstability.Stayingthecourseiseasiestwhenthepeopleknowthecoursetheyare to follow.Finally,strategicplanningsets thepriorities in thedecisionmakingprocess.Itmakesdiscretionaryjudgmentseasiertoformulate.



OrganizationofWhatFollowsThisbook isapractical,handson,guidetostrategicenrollmentmanagementplanningbased on a very simple planning model. It provides, in a stepbystep format,worksheetsand instructions,aswellasmultipleexamplesdrawn fromactualstrategicenrollmentmanagementplansforeachstepinthemodel.Ataverybasiclevelbyusingtheworksheetsprovided,aninstitutioncandevelopanenrollmentmanagementplaninshortorderoruse theworksheetsasguides for thedevelopmentofamoredetailedplan. Remember, this is a howto guide to facilitate the development of a strategicenrollmentmanagementplan.Themodel isdesignedtobeflexibleyetcomprehensiveinnatureandadaptableforanysetting.

Chapter II startswith a discussion of themore common strategic planning concepts.Withthisunderstanding,thechapterthenproceedstooutlinetheplanningprocessandhowitworks.Donotbeconfusedbythebroaderdiscussionofstrategicplanning.Thisisonly the groundwork for moving into strategic enrollment management planning aspresentedinthefollowingchapters.

Chapters IIIthroughVIIeachfocusesonadifferentphaseoftheplanningmodel.Eachchapter takes one phase of the model and reduces it into action steps. There aresuggested procedures andworksheets to complete, aswell as examples drawn fromactualstrategicenrollmentmanagementplanningdocuments.



ChapterIIAnAppliedPlanningModelThefocusofthischapter istwofold.Thefirstpartdiscussesseveralconceptsthatarecommontoalmostallplanningmodels.Thesecondpartoutlinesaproposedplanningmodel andpresents flow chartsofhow themodelworks. Following this,Chapters IIIthroughVIIoperationalize theplanningmodel.Eachchapter focusesononephaseofthe model reducing it into a series of action steps with suggested procedures and,whereappropriate,sampleoutcomes.

SomeGeneralConceptsThemissionstatementisthekeytoinstitutionalidentity.Itisoftenheraldedasthekeytostrategicplanning.Thisisfundamentallywrong.Themissionstatementdefineswhatyour institution is. It isameasureofthestatusquo.Whilethemissionestablishestheorganizational frameworkunderwhichyouoperate, itdoesnotprovidedirection.Themissiondefinesthepresent;thevisionspeakstothefuture.

Goals,objectivesand strategiesare terms frequentlyheard indiscussionsof strategicplanning.These termsareessentially irrelevant.Developing theactionplan to realizethestrategicplaniswhatmatters.Terminologyisnotthefocalpoint.Inplanning,thereare also several other terms which are frequently confused. There is operational,tactical,longrangeandstrategicplanning,amongothers.Eachcanhavearoleandplayapartintheoverallprocess;however,eachisdistinctivelydifferent.Operationalplanningis of a very short duration perhaps only days in length. Tactical planning typicallyrevolves around the budget cycle, which is frequently one to two years in length.Longrange planning can have a life cycle of up to five years. Some would say thatlongrange plans should span as many as ten or perhaps twenty years. This is folly.Planning is dynamic and ever evolving. A fiveyear plan is as far out as one can



realisticallyanticipatefuturetrendsandevents.Beyondthisistheneedfortheprocesstobedynamicandconstantlysubject toadjustments.This then leadsone tostrategicplanning,whichistotallydifferentinitsconceptualization.Ithasnotimeframe.Itisfluidandopportunistic. Longrangeand strategicgoalsareclosely relatedand intertwined.Longrange goals reflect the institutions commitment to growth and prosperity.Strategicgoals reflect theplan toachieve thoseobjectives.Theyare inseparable,onefollowingtheother.

Adilemmathatcompromisesstrategicplanningisthefactthatpresidentstypicallyhavea short tenure inoffice. Longrangeplanning requires stability so that the leadershipteamhas time to realize its longtermplans.Longrangeplanningexceeds thebudgetcyclebytypicallyonetotwoyearsandoftenexceedstheperiodoftimethepresidentisinoffice.Thefundingformajorinitiativesmustbeplannedoveranextendedperiodoftime.Whenthe leadershipchangesgoalsandobjectiveschange.This isan instabilitythatunderminesstrategicplanningonmanycampuses.

Strategic planning focuses on the awareness of the present and the future; it isanticipatorydecisionmaking.Thethrustofstrategicplanningisfortheinstitutiontobeopportunistic and prepared to seize the moment as events present themselves. Anunderstanding of futures research and environmental scanning, and the ability toanticipate events prior to their occurrence are important elements of strategicpositioning.

AStrategicPlanningModelWhat are the components so often found in successful planning models? While notevery component is in eachmodelonemight see,oneormore canbe found in theplanninginitiativesthathavesucceededand,moreimportantly,havemadeaproactivedifference on their campuses. The model described below is one that has beensuccessfullyinplacelongenoughtohavesurvivedthetestoftime.Themodelcontainswhatisbelievedtobethecriticalcomponentstosuccessfulplanning.

CriticalComponentsSuccessfulplanningmusthavefocusanddirection.There isacompellingargumentforthe case that the institutional mission is not necessarily the starting point for theplanning process. This statement of the hereandnow does not drive the futureoriented planning process. It is a statement about the future that is the critical firstcomponent of planning. The vision statement is the roadmap to the future. While amissiontellsaninstitutionwhatitis,avisiontellsitwhatitcouldandshouldbecome.

Dr.TheodoreHesburgh,thePresidentEmeritusofNotreDameUniversityintheUnitedStates,wasonceselectedasthemosteffectivecollegepresidentinthecountry.Hewasaskedwhyhehadbeenbestowedthishonor.Hissimpleanswerwas,Vision.Visionisthecenteroftheplanninguniverse.It is,quitesimply,theroadmaptoabetterfuture.



One need not look far to find examples of successful visions that reached fruition.Toyota Motors created the Lexus automobile, Bill Gates established the enormouslysuccessfulMicrosoft,WaltDisneyestablishedworldfamousamusementparks,andthelistcouldgoon.Theprocessofdevelopingastrongandeffectivevisionisnotaltogethersimple. There are steps that must be taken and understandings that must beappreciated.However,withguidanceanddirection,an institutioncanbesuccessful inestablishing a vision that will inspire, motivate and move its people and its goalsforward.

Visionaryleadershipispivotaltoinstitutionalhealthandvitality.Nothingofanyimportwill occur in the planning arena without strong leadership from the top of theinstitution. The presidentmust champion the cause for planning and provide a bullypulpit fromwhich this vision is shared.An enthusiastic andwidely shared vision hasgreatappealtoemployeesandothersoutsidethe institution.Itgeneratesenthusiasm,loyalty,dedicationandaccomplishment.Itisthedrivingforcebehindeveryonesefforts.Asananalogytostrategicplanning,considerthesubmarinecommander.Heleavesportwithawelldefinedplanandmission.Throughhisvantagepoint from thebridgeandthroughtheperiscope,heisabletoscanthehorizonandtheexternalenvironmentforafull 360 degrees. With this view of the outside world, he is able to monitor theenvironment foropportunitiesandthreats.Withinthevessel,thecrewalsomaintainsconstantknowledgeofitsstatusandquicklynotesallstrengthsandweaknessesithas.Fromthisinternalandexternalscanningprocess,thecaptainispositionedtoactswiftlyanddecisivelywithhisplanandmissionfullyunderconsideration.

Sharedgovernanceandaparticipatoryprocess isanothercriticalcomponent. It is thesecondprongalongwithpresidentialleadershipthatcreatesthesenseofownershipbythecampusconstituencies. Insomeway,themodelshould involvethevariousgroupson campus.Theplanning committee itself should reflect the spectrumof constituentgroupsoncampus.

Institutionalassessmentprovidesavitalsupportroletotheplanningprocess.Planningisdataintensive.Atthesametime,planninggroupsmustguardagainstgettingboggeddown in data gathering activities at the expense of strategic thinking. A supportcommitteeshouldprovideassessmenttotheplanningprocess.

Key performance indicators must be a part of the model. There must be tangibleevidencethattheprocess isproducingresults inatimelyandefficientmanner.Actionplansneed tobemonitoredandprogressevaluated.However,an institutionmustdomorethanmerelymeasurethatwhichiseasilymeasurable.Aproblemthatoftenariseswith the use of key performance indicators is the tendency to emphasize easilyidentifiable quantitative measures at the expense of more meaningful, but elusive,qualitativeindices.Theresult,frequently,ismeasuresthatlackcredibilityandvalidity.



Effectiveplanninginvolvesaninternalfocusonthecampusandanexternalfocusontheenvironment. The latter process is dealt with through environmental scanning. Acampus cannot be strategically positioned to take advantage of future opportunitieswithoutanticipatingtheiroccurrence.

Withregardtoenvironmentalscanningand futuresresearch, itshouldbepointedoutthateveryone is, in fact,a scanner.Everyone reads,everyoneabsorbs,andeveryonegains knowledge. If these casual and informal individual efforts are formalized anddocumented,a scanningprocess is, in fact, inplace.Scanning involves lookingatandstudying many different environments. The common acronym for environmentalscanning is STEPP. This stands for the scanningof sociological/cultural, technological,economic,politicalandpostsecondaryenvironments.Thebreadthofscanningisalsoallencompassing.Scannersmustlookinternallyatthecampus,intotheimmediateareaofthe community and region, broadly across the country they represent, and finallythroughout the world. The acronym for what one scans is SWOT. This representsstrengths, weaknesses, opportunities and threats within the internal and externalenvironments. In all cases, one is looking for trends and events that could haveimmediateorfuture impactonthe institutionand itspotential.Strengthsareanalyzedbylookingatinternalpotentialeventsonthecampusofapositivenaturethatcouldbebeneficial to the institutions future. Weaknesses are those internal factors that willhampertheinstitutionsabilitytogrowandprosper.Opportunitiesandthreatsarethepositiveandnegativeexternalpotentialeventsandtrendsthatcouldalsohave impactonthecampus.Ingeneral,eventsaresingular,shorttermoccurrencesthatcanimpacttheinstitutionandchangeitsfuture.Trends,ontheotherhand,areongoing,longtermpatternsthatalsocanchangeacampus,asociety,acountry,oreventheworld.

Planningwithoutactionaccomplishesnothing.Visionarygoalsandaspirationsmustbeoperationallydefined intermsofhowtheycanbeaccomplished.This istheprocessofdeveloping action plans. They specify what must be done when, by whom and withwhatnecessaryresources.

These then may be the cornerstones of effective planning the vision statement,presidential leadership, shared governance and a participatory process, institutionalassessment,keyperformanceindicators,environmentalscanningandactionplans.

Always view the mission statement as the starting point for strategic planning.Rememberalso,ifyouclingtoastaticmissionfortoolongaperiodoftime,youwillbetryingtoachievenothingmorethanwhatyouhavealreadyaccomplished.Themissionstatementisyourdeparturepoint,notyourdestination.

The goals,objectives and strategies you articulatewithin theplanningmodel are thedefining featuresof the road to success.These conceptsdescribe ingreatdetailhowyouwillreachyouraspirations.Planningmustresultinactions,andthegoals,objectivesandstrategiessetfortharethedefinitionoftheactionplans.



Institutionsofhigherlearningsimplycannotaffordtoneglectplanning.Thosecampusesattheforefrontwilltaketheleadanddevelopplanningmodelsthatsupporttheirgoals.Theseare thecampuses thatwillbeadvantaged for increased funding.Theseare thecampusesthatwillbethemodelforotherinstitutionsandevenentirecountries.Thesewillbethecampusesthatdefinethepathfollowersmusttake.

Eachpresidentcanchooseto leadorfollow;toprosperor languish;tosucceedorfail.Youcanbewhatyoudreamoryoucanremainwhatyouareuntilyouslidebackward.Pleaserememberthatthereisnostatusquo.

TheModelTheplanningmodelpresentedbelow isa fivephaseplanningprocessoperationalizedintosixteensteps(seeflowchartattheendofthisChapter).

PhaseIisthePlantoPlanwherecommitmenttoplanningisestablishedandtheactualplanningprocessisdeveloped.

PhaseII,TheInstitutionalFramework,bringsintofocusimportantorganizationalparameters.Thisiswhereformalandinformalexpectationsplacedontheinstitution,coreorganizationalvaluesandbeliefs,andtheinstitutionalmissionarebroughtintofocus.

PhaseIII,SWOTAnalysis,identifiesanddeterminestheinstitutionsinternalandexternalstrengths,weaknesses,opportunitiesandthreats.Inshort,thisisacouplingofinternalselfassessmentwithenvironmentalscanningtogainaclearerpictureoftheinstitutionandtheimpactoftheexternalenvironmentinordertoidentifythreatsandopportunities.

PhaseIV,Vision,bringsPhasesIIandIIItogetherbyprovidingtheinsightnecessarytodevelopanorganizationalvisionofwhatitwillbecomeinthefuture.Thisphaseestablishestheinstitutionscourseforthefuture

PhaseV,Goals,arethebroadinitiativesthatneedtobepursuedtoachievethevision.

PhaseVI,Operationalizing,setsintomotiontheprocessesnecessarytoachievethestrategicgoalsandrealizetheinstitutionalvision.

Asthereaderprogressesthroughtheremainderofthisguide,therearethreeconceptsthatneed tobe reinforced.First, thismodel isonlyaguide.Each institutionneeds todevelop a planning process that best fits its unique needs. No one model fits allinstitutionsorallsituations.Second,broadbasedinvolvementandinputiscriticaltothesuccessofanyplanningprocess.Again,howtheplanisdevelopedandhowinvolvementand input is considered is institutionspecific. Finally, congruence of mission, vision,goalsand implementation ismandatory.Continualevaluationandadjustmentneedto



be built into each step of the planning process. This continual looping back throughprevious steps ensures not only congruence but also flexibility and change as newinsightsareuncovered.

Attheendoftheguideareworksheetstohelpthereaderconceptualizeaprocedurefordevelopingvariouscomponentstotheoverallmodel.Theworksheetsare intentionallysimple and generic. The reader is encouraged to expand their formats and createdetailedworksheetsthatbestmeettheiruniqueneeds.Rememberhowever,theyaremeant to be tools for greater efficiency, not ends in themselves.Do not get boggeddownincumbersomeprocessesthatultimatelyserveonlytoslowtheprocess.



Step1:InstitutionalSupportforPlanning

Step5:CommitteeResourcesto

Planning

Step2:FormPlanningCommittee

Step3:DesignPlanningProcess

Step4:SetTimeFrames

Committedto

Planning?

Phase I The Plan to Plan

Step9: MissionStatement

Step8:PhilosophicalUnderpinnings

Step7: InformalExpectations

Step6: FormalRequirements

AgreementonMission?

Phase II Institutional Framework

EstablishInstitutionalFramework

NO

YESGOTOPHASEII

NO

YES GOTOPHASEIII

THE SIX-PHASE STRATEGIC PLANNING PROCESS



Phase III Strengths, Weaknesses, Opportunities and Threats

Phase IV

Strategic Vision

ForesightAnalysis

Step10:InstitutionalStrengths

Step10: InstitutionalWeaknesses

Step11: ExternalOpportunities

Step11: ExternalThreats

Step12: VisionStatement

AgreementonVision?

GOTOPHASEIV

NO

YES GOTOPHASEV



Phase V Consensus Building

Step13: StrategicGoals

Step14: Shareplanwithcampus

Step15: Makeappropriate

modifications

Agreementon

Goals?

Phase VI

Action

OperationalPlans

Step16: OperationalPlanforStrategic

Goal1


Goal2


Goal3

Implementation

Assessment

NO

YESGOTOPHASEVI

GOTOPHASE I



ChapterIIIThePlantoPlanBefore the actual strategic enrollment management planning activity begins, severalstepshavetobetaken.Thisisoftenreferredtoastheplantoplan.Withoutsufficientpreplanning, the entire processwill flounder and likely fail. Therefore, the followingactivities (see Worksheet 1) usually lead to a successful beginning to the strategicenrollmentmanagementplanningprocess.

Step1:GainingInstitutionalSupportIt is up to the president to be the initiator and leader of the strategic enrollmentmanagementplanningprocess.Thisisvitaltothesuccessoftheprocess..Whatisoftenoverlooked in thehighereducation literatureonplanning is that theplanningprocesshas tobe fervently supportedby theothermembersof the senior administration aswell.Thevicepresidentsanddeanshavetobeasfirmlycommittedasthepresidentorthisweaklinkwillcausetheprocesstofail.

Somemodelscallforthesigningofagreementstosupportplanningwhileothersfocuson simplegroup consensus.Eitherway, it is important that the senioradministrationagrees that strategic enrollment management planning is important and that theywholeheartedlysupporttheprocess.

Step2:InvolvementandFormingthePlanningCommitteeInorder for the strategicenrollmentmanagementplanningprocessand the resultingactiontobeeffective,broad institutional involvement iscritical.Astrictlytopdownor



bottomup plan will not get very far due to a lack of broadbased ownership. It isessential thatastrategicenrollmentmanagementplanningcommitteebe formedandthatitbecomprisedofindividualsfromallsegmentsofthecampus.Thismeansexactlywhat it implies.Membership should include representatives fromall segmentsof thecampus from senior management to students as well as representatives of the noninstructionalsupportstaff.Itisalsoagoodideatohaveaseniorfacultymemberwhoiswidely respectedon campus chairor cochair the committee.This isnot intended tounderminetheauthorityofsenioradministrators,howeveriftheyleadthegroup,onlythatonevoicewillbeheard.Intheinterestsofopencommunicationanddialogue,itisessentialthatafacultymemberorchestratethecommitteesdeliberations.It isfurtherrecommended that members of external constituent groups be included on thestrategic enrollment management planning committee. External members will bringsignificant input to theprocessandwillmore than likelybringdifferentperspectives.Thedownsidetoexternalconstituentmembershipisthedemandstheplanningprocesswillplaceontheirtime.Worksheet2canbeusedtohelpidentifythecriticalconstituentgroups that need representation on the planning committee. The assignment ofindividuals to the strategic enrollment management planning committee should bebasedonselectingthemostrespectedleadersoftheidentifiedconstituentgroups.Itisimportant to recognize the difference between being respected and being popular.Membershipon the committee isnot apopularity contest.Membershipneeds tobebasedonleadershipthoseindividualsthateveryonesaystheycantrust.Itisallaboutcreatingacriticalmassofrespectedindividualsthatcaninfluencedecisionmaking;itisnotaboutestablishingamajorityoftheacademiccommunity.

Step3:DesigningthePlanningProcessOnce the institution has set strategic enrollment management as a priority and aplanning committee is formed, the committee needs to lay out the process andcommunicate it to the campus. Therewill probably be several iterations of this stepbefore widespread support for the process is established. While the institution maysupportstrategicenrollmentmanagementplanningasanimportantconcept,therealsohastobeagreementonthedesignofthemodelandacommitmenttocontribute.

Thisisthepointwheretheinstitutiongetsitsfirstinput.Thiscanbedoneinnumerousways.Open forums,oftencalled townmeetings,canbeheldwhere the initialdraft ispresentedandattendeesaregiventheopportunity toaskquestions,makecommentsandoffersuggestions.Anotherformatisthefocusgroupapproachutilizingasampleofpeopledrawnfromeachconstituentgroup.Whiletheseareonlytwopossibilities,themethodutilizedwilldependonthe individualcampusandtheformofcommunicationand feedback thatworksbest for the institution.After twoor three iterationsof thisprocess,ifnecessary,theplanningmodelshouldbefairlywelldefinedwithamajorityoftheinstitutionagreeingtoit.



Step4:SettingTimeframesThenext logicalstep flows fromStep2and refers to the timeframes for theplanningprocess.This is thepointwhere theprocessbecomesoperationalized.At thispoint inthe plantoplan, responsibilities are assigned, goals for the process are set andtimeframesformeetingthegoalsareestablished.Worksheet3isonesuggestedwayofoperationalizingtheplanningprocess.Ifthestrategicenrollmentmanagementplanningcommittee cannot set goals and timeframes for itself, it cannot possibly develop astrategic plan for an entire institution. Setting goals, timeframes and specificresponsibilitiesfortheplanningprocesskeepstheprocessontrack,createsasenseofownership,andletsthebroaderinstitutionknowwhattoexpectandwhen.

Step5:ResourceCommitmentOncetheinstitutionhassetstrategicenrollmentmanagementasapriority,establishedthe planning committee and designed the planning process, the campus needs tocommittheresourcesnecessarytomaketheprocesswork.Hopefully,thisstepactuallystartedwiththedecisiontoengage instrategicenrollmentmanagementplanning.Theplanning committee members should be supported through recognition for theirinvolvement. They should be released from some normal work duties to serve andgenerallybetreatedasablueribboncommittee.Thismeanssimplethingslikeprovidinganicemeetingareawith refreshments.Staff support shouldneverbeaquestionandtheinstitutionalresearchfunctionshouldbeespeciallyattheirdisposal.

The committee should reportdirectly to the institutionspresidentand thepresidentshouldalwaysbeavailabletothecommittee.Thereshouldalsobeasignificantresourcecommitment. This resource commitment should also include staff support. It is notrealistic to expect all of the organizing and clerical work of the committee to beconductedbythemembersthemselves.Clericalsupportwillbenecessaryaswellastheservicesof institutional researchor some comparabledataanalysis function.Withoutthissupport,theplanningprocesscannotfunctionandaclearmessageissentregardingthe lack of priority given to strategic enrollment management planning. Strategicenrollmentmanagementplanning isnotanactivity tobe conductedona shoestring.Worksheet4isonewayofidentifyingthenecessaryresourcesandoperationalizingtheinstitutionalcommitmenttotheplanningprocess.

Steps 1 through 5 represent the actions necessary for the strategic enrollmentmanagementplanningprocesstobegin.Ifsuccessfullycompleted,thesestepsbringtheinstitution to the point where formal strategic enrollment management planningcommences. The institution is committed to the process; there is institutionwide



ownership;thereisaprocesstofollowwithresponsibilities;goalsandtimeframes;andsufficientresourceshavebeencommittedtoensureitssuccessfulcompletion.



ChapterIVTheInstitutionalFrameworkOncetheplantoplanstagehasbeensuccessfullycompleted,the institution isreadytobegintheactualprocessofstrategicenrollmentmanagementplanning.Followingthemodeldiscussedintheopeningsectionoftheguide,thefirstthingthecommitteeneedstodo isoutline thecurrentorganizationalparametersanddraftapreliminarymissionstatement.Organizationalparametersaretheformal legalobligationsunderwhichtheinstitution has to operate as well as the more informal expectations placed on theinstitution.Organizationalparametersalso focusonorganizational valuesandbeliefs.These are the defining characteristics within which all activity occurs. Thesecharacteristicsdefinethe institutionspersonality.Theendresultofworkingthroughthe organizational parameters is that the strategic enrollment management planningcommittee isnow inapositiontorevisitthe institutionsmissionstatementandeitherreaffirmorredefineit.Thislaststepofmissionreviewisacriticalactivitythatwillrecurthroughouttheplanningprocess.Astheprocessunfolds,onequestionwhichhastobecontinually asked is: Given what we have learned, does the current mission of theinstitutionstillholdordoweneedtochangeit?

Step6:IdentifyingAllFormalRequirementsInstitutionsofhighereducationhavetofollowthelawsofthecountry,regionandlocalewithinwhichtheyresideaswellasformalinstitutionalpolicies.Inessence,thesearethelegal constraints within which the institution must function the have tos andcannotsofgovernance.Butwhatarethehavetoswhichhavesignificantimpactonthe institution and can dramatically influence strategic enrollment managementplanning?Iftheinstitutionwascreatedbylegislativeaction,ithastohonorthataction



andservethepurposesasspelledout intheenabling legislationand/orcharter,orgoaboutgettingtheenablinglegislationorcharterchanged.Thesameistrueforaprivateinstitution,exceptthatinthiscase,articlesofincorporationareaddressed.

What does an institution have to do if it wants to participate in financial assistanceprogramsor receive aid?What laws apply andwhatmust the institutiondowhen itapplies for and/or receives government funds? How does the institution go aboutterminatingadegreeprogram?Whatarethepersonnelpolicieswithregardto facultyand staff when eliminating programs or reorganizing? What control does the Stateand/orgoverningboardhaveoverthefuturedirectionoftheinstitution?Whatarethelocal ordinances regarding developing property, offcampus housing or parking onpublicstreets?Therearemanyrequirementsthatinstitutionsmustadheretoandmanyothers that come into play when the institution starts or stops some activity. It isimportantforthestrategicenrollmentmanagementplanningcommitteetobefamiliarwith these requirements because they shape part of the environment in which theinstitutionmustoperate.

Worksheet 5 is one possible way to collect this information. Keep in mind thatcommittee members should not be expected to be fully knowledgeable about theserequirementsand it istheresponsibilityoftheappropriateadministrativefunctionstobring these requirements to the attentionof the committeeas itdevelops theplan..However,committeemembersdoneed tobecome familiarwith theses requirementsandhaveeasyaccesstothoseindividualswhohaveamoredetailedknowledgebase.

Step7:InformalExpectationsWhat are the social and cultural expectations placed on the institution? Does thecampusencouragevisitors?Is itseenasakeyplayer ineconomicdevelopment?Istheinstitutionexpectedtoparticipateincommunityaffairs?Istheinstitutionknownforitssmallclasssize? Is itan institutionwherestudentsofcolorand internationalstudentsare welcomed or are they simply tolerated? These types of expectations, while notlegally binding, have a significant impact on an institution. The strategic enrollmentmanagementplanningcommitteeneedstoclearlyarticulateandunderstandwhatnonlegal expectations are imposed by external and internal constituents, and how theseexpectationsinfluencethecampus.

Worksheet6isdesignedforcollectingtheinformationdiscussedinStep6andStep7insummary form. It will also be important for the committee to meet with the senioradministration to discuss these issues so there is a common understanding of andagreementonthemandatesandinformalexpectations.



Step8:PhilosophicalUnderpinningsConsciously or unconsciously, everyone makes decisions utilizing a philosophicalframeworkbaseduponasetofcorebeliefsandvalues.Personalconflictariseswhenwemakedecisionsthatare incongruentwithourbasicbeliefsystem.Thesame istrueforan organization. Incongruence, chaos and confusion result when organizationaldecisionsaremadethatarenot inkeepingwiththecoretenetsoftheorganization. Ifthe institutionsmissionstatementprofesses that teaching is theprimary focusof theinstitution and members of the institution believe that teaching is of primaryimportance,apolicythatstatesfundedresearch ismore importantforpromotionandtenurewillcauseconfusion.Similarly,iftheinstitutionisanopendoorinstitutionbutindividualprogramsestablishstrictadmissioncriteria,conflictoccurswiththestudents.

Organizationalbeliefschangeovertime.However, it isvery likelythatwhilethebeliefstructuremayhavechanged,themissionandcollectiveconsciousnessoftheinstitutionprobably have not. When this occurs, the institution can often seem lost andfloundering.Withoutaclearunderstandingofthe institutionscorebeliefsandvalues,decisionmakinghasnounderpinningorconsistency.

The best way to approach this step is to use the blank paper approach and workthrough an extensive brainstorming session with one overriding question: As anorganization,whatdowebelieveandwhatareourcorevalues?Worksheet7showstheprocess. The followup activity then is to operationally define each belief and value.BelowareexamplestakenfromuniversitiesintheUnitedStates.

PittsburgStateUniversityGuidingprinciples:

Studentsarecentraltotheacademicenterpriseandshouldbethefocusofuniversityaction.

Theuniversitywantstochangeandimproveboththeundergraduateandgraduatelearningexperience.

Resourceswillbereallocatedtosupportthegoalsandobjectivesoftheplan. Qualityacademicadvisementisapriority. Coursesequencingwithinthemajortopromoteafouryearcompletioniscrucial

tostudentsuccess. Adequateavailabilityonlineandthroughoutthedayandeveningofgeneral

educationcourses,writingtolearncoursesandotherdegreerequirementsiscrucialtostudentsuccess.

Assessmentofstudentlearningiscriticaltostudentsuccess.



UniversityofArizonaGuidingPrinciplesRetentionPlan

Underpinning the work that has been done thus far is a set of guiding principles statementsrepresentingthephilosophyuponwhichallthegoals,strategies,andactionplansrest.TheseguidingprinciplesmustbeevidentintheactualimplementationoftheretentionplanifitistorepresenttheheartofthecommitmentwemaketostudentsattheUniversityofArizona.

Studentretentionisanoutcomeofaqualitystudentexperienceandincludesstudentsatisfactionandstudentsuccess.

Studentsuccessisacriticalpartoftheacademicworkofeverycollegeandisbasedonlearningstrategiesforsuccessbuiltintothedisciplinesofeachcollege.

Connectednesstofacultyandstaff,bothwithinandoutsideoftheclassroom,iscriticaltostudentsuccess;thusallareasoftheuniversitysharetheresponsibilityforfacilitatingtheseconnectionsandeliminatingbarrierstothem.

StudentsuccessisacorevalueattheUniversityofArizona,theresultofaculturethatengagesdiversityandvaluesstudentparticipation.Itistobecelebratedandrewarded.

Optimalstudentretentioncanonlybefullyachievedwhenallstudentsincludingstudentsofcolor,firstgenerationstudents,transferstudents,andstudentswithdisabilitiesexperiencesuccessindegreecompletionatthesamerateasthemajoritypopulation.

Interactionsatalllevelsandamongallparticipantsinuniversitylifecanbeenhancedbyaweboftechnologythatconnectsstudents,faculty,andstaff.

ChesapeakeCollegeInorderto implementourmissionandpursueourvision,theCollegefacultyandstaffdedicatethemselvestobeingguidedbythefollowingcorevalues.

Quality.TheCollegeiscommittedtohighstandardsofexcellenceineducationandsupportservices.Withafocusonteachingandlearning,wearededicatedtomeetingtheneedsofourstudentsandtoimplementingavarietyofeffectiveandinnovativeinstructionalstrategies.Webelievethatthekeystomaintainingourexcellencearecontinualselfassessment,improvementandprofessionaldevelopment.

SelfCenteredness.Thecollegefocusesonmeetingtheindividualneedsofeachstudentandencourageseachtotakeadvantageofopportunitiestomaximizehis/herpotential.Bycreatinganopen,friendlyenvironmentwithacomprehensivelearningsupportnetwork,theCollegeprovidesopportunitiesforeachstudenttobesuccessful.Becauseofthevariededucationalbackgrounds



withinourstudentbody,weprovidecounselingandpersonalattentionasmuchaspossible.Wemeasureoursuccessbythesuccessofourstudents.

Community.Tobenefittheregionanditscitizens,theCollegepromotescommunitydevelopmentinitiativesandservicesasacatalystinshapingprogramsandservices.PartnershipsandalliancesallowtheCollegetoprovideleadershipincommunityactivitiesandeconomicdevelopment.Atthesametimeweviewcooperation,collaboration,socialresponsibilityandconcernforothersascrucialelementsinbuildingasenseofcommunitybothwithintheinstitutionandinitsdealingswithothers.TheCollegealsocelebratestherichculturalheritageoftheEasternShoreandcommitstoitspreservation.

DiversityandRespect.TheCollegevaluesindividualdifferencesandthecontributionstheybringtothelearningprocess.Diversityintheeducationalsettinginallformswillberespectedasameansofenhancingtheoverallvitalityoftheinstitution.Webelievethatourstudentsareenrichedthroughadiverseintellectualandsocialenvironmentwherelearningoccursthroughexposuretodifferentculturesandthroughexchangesamongadiversityofexperiences,beliefsandperspectives.TheCollegefostersanenvironmentofmutualrespectandteamworkwhereattitudesoffairnessandintegrityareencouraged.

Flexibility.TheCollegewillprovideanenvironmentthatencouragesandisrespectfulofcontinualreexaminationofprograms,policiesandpractices.Itadoptsbeneficialchallengesandeliminatespracticesthatareobstaclesornolongerapplicableduetochangedconditions.Throughongoingselfevaluation,theCollegepreparesitselfforthechallengesandnecessitiesofthefuture.Ourgreateststrengthisinstrategicresponsetothechangingneedsofourstudents,faculty,staffandcommunitypartners.

TeamworkandInclusiveness.TheCollegefosterscollaborationandcooperationbetweenandamongstudents,facultyandstaff.Listeningtoothersandsharingouttalentsinfindingcreativesolutionstoproblemsstrengthensus.Bybeinginclusive,andbringingpeopletogethertoparticipatein,andshareknowledgeof,decisionmaking,theCollegegainsininstitutionaleffectiveness.

Responsibility.TheCollegeusesitscollectiveresourcesefficientlytofulfillitsmissionandtomeetitsobligationstobefiscallyresponsible.Weencouragestudents,facultyandstafftoperformtothebestoftheirability,toembodyahealthyworkethicandtotakepersonalresponsibilityasmembersoftheCollegecommunityandalsoascitizens.

UniversityofCentralFloridaRegionalCampuses Values.UCFRegionalCampusesembraceandutilizetheUniversityscorevalues

ofintegrity,scholarship,community,creativity,andexcellence.ThisCreedismanifestedinthevaluesthatguideourwork.

TrustedPartner.Wewillfostertrustworthinessineveryrelationshipwithstudents,ourpartners,andthecommunitiesweserve.



InclusiveandDiverse.Wewillfosteranenvironmentthatisinclusiveanddiversebyactivelyreachingouttopopulationsthatareunderservedandunderrepresented.

QualityService.Wearededicatedtoprovidingcomprehensivestudentcenteredservicesthatareexceptionalinscope,reachandquality.

AccountabilityandStewardship.Weareaccountabletoourstudents,thecommunitiesweserve,andthepublicatlargeandarecommittedtodeployingpublicresourcesinafiscallyresponsiblemanner.

Creativity.Wearecommittedtodevelopinginnovativeeducationalprograms,servicesanddeliverysystemstoaddresscurrentandfuturestudentneeds.Weencouragecreativity,cultivateandsupportideas,andrecognizeandrewardaccomplishment.

Community.Wenurture,serveandareinspiredbyourcommunities. Pride.Wetakepersonalresponsibilityindeliveringthehigheststandardof

excellenceintheservicesweprovide. Leadership.Weembraceboldideasandanentrepreneurialspirit.

SlipperyRockUniversityofPennsylvaniaThe core values of the Enrollment Services Division provide the conceptualunderpinningsforourdaytodayoperationsaswellasourinteractionswithpeople.Ourcorevaluesareasfollows:

PutSTUDENTSfirst.Thisphilosophymeansthatwheneverpossible,decisionswillbemadeandactionstakenthatareinthebestinterestofstudentsandwhatmattersmostinachievingstudentsuccessandlearninginthecontextofahigherinstitutionalenvironment.Studentlearningandsuccesswilldrivepolicies,practices,systemproceduresandthemessagesofeachcommunication.Wewillstriveinourprogrammingandservicestoconsiderwhatmattersmostinachievingstudentlearningandsuccess.

Putalllevelsofourstaffnext.Studentswillneverbefirstifalllevelsofourstaffarenotcloselybehind.EachuniversitystaffmemberneedstobevaluedforthediversecontributionstheymaketoEnrollmentServices,SlipperyRockUniversity,andespeciallyinthelivesofourstudents.

UnderpromiseandalwaysstrivetoOVERdeliver.WeshouldlookforeveryopportunitytoEXCEEDtheexpectationsofthoseweserve,alwaysstrivingtodelivermorethanwepromise.Itisimportantforustobecertainthatwearedeliveringwhatwepromise.Quantitativeandqualitativeassessmentswillleadustoimproveourefforts.

Haveapurposeforeverythingwedoandexecutewell.Clearlydefinethepurposeofeverythingweundertakeaswellasthedesiredoutcome.Assessandmeasuretheeffectivenessofallinitiativesandeliminate,refine,orreplaceless



effectivestrategies.Doonlythosethingsthatwecandoatanexemplarylevelofquality.

Leadbyexample.DemonstrateconcernforstudentsandallUniversitystaffthroughourdailyactions.Learnfrommomentsoftruthwithstudentsandstaffandtreateveryonewithdignityandrespect.

Addpersonalvaluetothevisionandmissionoftheinstitution.EachmemberoftheEnrollmentServicesteamwillworktofullyrealizeandadvancethevision,mission,andgoalsofSlipperyRockUniversitytotheadvantageofallconstituentgroupsweserveindividually,andaspartoftheStateSystemofHigherEducationinPennsylvania.

Step9:InstitutionalMissionStatementBy Step 9, the strategic enrollment management planning committee has a clearunderstanding of the formal and informal mandates of the institution, its legalobligations,theinformalexpectationsofthecampusandcanarticulatetheinstitutionalbeliefs and values. It is at this point that a draft mission statement needs to beprepared. It is assumed an existingmission statement already exists. The committeemayelecttousetheexistinginstitutionalmissionstatementoritmaydecidetodraftastrategicenrollmentmanagementmissionstatement.Eitherisfinebutifyouchoosethelatter,rememberthateverythingflowsfromtheinstitutionalmission.

Thisprocessstartswithareview(seeWorksheet8)oftheexistingmission,asdiscussedearlier.Aquestionisthenposed:Isthecurrentmissionstatementstillappropriate?Iftheanswertothisquestion isyes,thenyoumoveontothenextstep.Iftheanswer isno, then two followup questions are pursued: Why not? How should the missionchange?

Using these two questions as a guide, an open discussion of changes to themissionstatementwillleadtoarevisedorcompletelynewmission.Oncethisiscompleted,thestrategic enrollment management planning committee needs to communicate theirprogresstodateandgetinputandfeedback.Thiscanbedoneinseveraldifferentways.Planningmemberscan interactwiththeirappropriateconstituentgroup(s),presentingtheworkaccomplishedandrecordingall input.Anotherapproachcouldbeaseriesofcampusmeetingsor focusgroups,orevenaSEMplanningwebsitewhere individualscansubmitinput.Thekeyistocommunicatewiththevariousconstituentgroupsandletthemhaveanopportunityformeaningfulinput.Thisbuildssupportfortheprocessandletseveryoneknowthattheirinputiswantedandnecessaryforsuccess.

Oncethis inputhasbeencollectedthecommitteeneedstoreviewallsuggestionsandcomments, assess all work to this point and make any adjustments that seemwarranted. Once done, the strategic enrollment management planning committeeneeds to have a working session with the senior administration (president, vice



presidents and deans) to receive their input and agreement on the draft missionstatement.Followingareexamplesofmissionstatementstakenfromcampusesaroundthecountry.

ExamplesofInstitutionalMissionStatements:

CaliforniaPolytechnicStateUniversityMissionStatementAs a predominantly undergraduate, comprehensive, polytechnic university servingCalifornia, the mission of Cal Poly is to discover, integrate, articulate, and applyknowledge.Thisitdoesbyemphasizingteaching;engaginginresearch;participatinginthevariouscommunities, local,state,national,and international,withwhich itpursuescommon interests; and where appropriate, providing students with the uniqueexperience of direct involvementwith the actual challenges of their disciplines in theUnitedStatesandabroad.

CalPoly isdedicatedtocompleterespectforhumanrightsandthedevelopmentofthefullpotentialofeachof its individualmembers.CalPoly iscommitted toprovidinganenvironmentwhere all share in the common responsibility to safeguard each other'srights,encourageamutualconcernforindividualgrowthandappreciatethebenefitsofadiversecampuscommunity.

TheUniversityofNorthernIowaMissionStatementMissionStatement

TheUniversityofNorthernIowaisacomprehensiveinstitutiondedicatedtoprovidingapersonalized learning environment, founded on a strong liberal arts curriculum. It iscommitted tobeingan intellectuallyand culturallydiverse community. TheUniversityfocusesbothonundergraduateeducation,andonselectedmasters,doctoralandothergraduate programs. It is characterized by excellence in three areas: teaching andlearning; research, scholarship, and creative work; and service. Through its variedendeavors, UNI shares its expertise with, and provides service to, individuals,communitiesandorganizationsthroughoutthestate,thenationandtheworld.

FocusedMissionStatement

The University of Northern Iowa offers a worldclass university education, providingpersonalizedexperiencesandcreatingalifetimeofopportunities.

ChesapeakeCollegeThe Colleges mission is to provide a learnercentered environment that providesaffordable, quality, educational experiences and support services, a focus on studentachievement, choice in instructional delivery, and innovative use of instructionaltechnology.Thisenvironmentmaximizesstudentspotentialforintellectualandpersonalgrowth



ExamplesofStrategicEnrollmentManagementMissionStatements:

OklahomaStateUniversityStillwaterEnrollment Management ensures student and institutional success by providingexemplary leadership in strategic enrollment planning and integrated programs andservices.

TexasTechUniversityTheDivisionofEnrollmentManagementprovidesthehigheststandardsofexcellenceinenrollmentplanning;activelyidentifies,counsels,recruits,andenrollsqualifiedstudents;andoffersservicesthatpromotestudentretentionandsuccess.

ThePennsylvaniaStateUniversityThe office of Enrollment Management and Administration coordinates enrollmentservices for the University, working collaboratively with the academic colleges,campuses,andadministrativeunits to identifyand implementprocesses tomeet,andwhereverpossible,exceedexpectationsandUniversitygoals.

DePaulUniversityEnrollment Managements mission is to improve and enhance DePauls competitivemarketpositionandprominenceinChicago,thenationandtheinternationalcommunityinorderto increaseDePaulscapacitytoachievethegoalsofourVision2006plan inamannerconsistentwithDePaulsCatholic,urbanandVincentiancharacter.TheclarityofDePaulsstrategicplanmakes iteasier for thedivision tosetcleargoalsandmeasureourprogresstowardsthem.

To this point, the committee has been preparing for the actual process of strategicplanning.Thepurposesofarhasbeentosetthestageforplanning.Itisdifficult,ifnotimpossible,forplanningtooccur ifyoudonotknowyour legalresponsibilitiesandtheconstraints imposedon you. The sameholds true if youdonotunderstand the coreinstitutional beliefs and values. There could be little worse then proposing strategicinitiativesthatareillegalorcountertothecorevalues.Anotherimportantfactoristhatthecommitteehasnowdemonstrated input is importantandwelcome.Thiscreatesasense of personal ownership among members of the campus community. Assumingclearagreementonadraftmissionstatementhasbeen reached,strategicenrollmentmanagementplanningcancommence.

Specialnoteshouldbetakenatthispoint.Thisisthefirstofmanytimesthecommitteewillloopbackthroughtheworkthathasalreadybeencompleted.Asthestrategicplanunfolds, itwillbecritical todo this tomake surenochangesarenecessitatedby theoutcomesofthecurrentactivities.Italsoensuresthatallactivitiesaretrackingbackto



theearlierstages.Consistencyofthoughtaswellasconsistencyfrommissiontovisiontogoalshastobeensured.



ChapterV

WhoWeAreandWhatOurEnvironmentIsBefore an institution can determine where it wants to go, there must be a sharedunderstandingaboutwhatthe institution is,what itsstrengthsandweaknessare,andhow it is unique. There also has to be an understanding of the institutions externalenvironment and how that arena could change over time. This idea is not new ordifficulttoaddress.Byutilizinganenvironmentalscanningprocess(SeeFigure1below)coupledwithcontinualselfassessmentand theuseofkeyperformance indicators,aninstitution can be proactive and strategically positioned to take advantage ofopportunitieswhentheypresentthemselves.

Figure1.InternalandExternalEnvironmentalScanningthroughSWOTAnalysis.

Internal

External

Comprehensive

Environmental

Scan

Strengths

Weaknesses

Opportunities

Threats



Thestepspresentedinthissectionneedtobethoroughlythoughtout.Itisatthispointthat activity can become confusing and seem overwhelming. Trying to identifyinstitutional strengths and weaknesses while also attempting to identify the majortrendsandeventswhichwillimpacttheinstitutionoverthenextseveraldecadescanbeadauntingundertaking.However, thereare several simple steps to followwhichwillhelporganizetheprocesseswhileallowingforsomenecessaryambiguity.Thefollowingstepsshouldalsoidentifyseveralprocessesandinformationalneedsthataninstitutionmightwanttoformalizetokeepitstrategicallypositioned.Establishingkeyperformanceindicators is the method for identifying internal strengths and weaknesses.Environmentalscanningprovidesthemethodforidentifyingexternalopportunitiesandthreats.

Step10:StrengthsandWeaknessesThe best method for beginning the process of identifying institutional strengths andweakness is to review the institutions last major accreditation selfstudy or relateddocumentandthe followupresponsetothatselfstudy.Thereport,coupledwiththeresponse from the visitation team, reflects the same typeof feedback the institutionwould get if they had hired a consultant. An important difference is that a team asopposed to one person conducts this review. There are also other sources ofinstitutional information which focus on identifying strengths and weaknesses. Mostinstitutions are involved in assessment of student academic achievement, the use ofopinionsurveysand/orcomprehensiveprogramreviews.Theseactivitiesareoftendonefor thegoverningboard,amajoraccreditingassociationorsomegovernmentagency.Institutional accreditation is universally practiced in the United States. Technically,universitiesvolunteer toseekaccreditation. Inreality, theyhave littlechoice.Withoutaccreditation,auniversityisviewedasinferiorandcanbedeniedgovernmentfunding.

Therearemanyspecificaccreditationsforprogramsofstudy,departmentsandcollegeswithinauniversity.Themost importantone isoverall institutionalaccreditation.Thisprocess is conducted every 10 years. There is also a wealth of data available toinstitutionsthroughtheprofessionalassociationsandpeer institutions.Finally,there isthecollectivewisdomofthecampus.Whenallissaidanddone,itmustberememberedthatmembersof thecampuscommunityhaveenormousknowledgeabout themajorinternal strengths and weaknesses of the institution. The challenge is often gettingindividuals to openly discuss weaknesses. There are basically three ways to identifymajorstrengthsandweaknesses:1)bringallavailabledatatobear;2)usethecollectivewisdomofthecampus;or3)useacombinationofthetwo.Thefirstapproachisamoresterile and confrontational approach (facts are facts), while the second one is oftenbiasedbyindividualagendas,personalinteractionsandfriendships.Thethirdapproachismorebalancedandbringsabroaderperspectivetotheprocess.



Itissuggestedthatcurrentinstitutionalreportsandstudiesberefinedandsharedwiththe strategic enrollment management planning committee with ample time forquestions and reflection on what the information is actually revealing. It is best toprovide any data analyses or reports in advance so everyone has time to becomefamiliar with the information. This is also an excellent way to build momentum forbrainstorming.

Step 10 should begin with a brief overview of the material provided earlier in anattempttotieallthe informationtogether. Oncethis isaccomplished,shiftthe focusfrom the data and information to the groups collective wisdom via a brainstormingsessionutilizinga strategy like theoneprovidedonWorksheet9. It isalso suggestedthattheprocessstartwithweaknesses(thebadnews)andthenmovetostrengths(thegood news). Because of the delicate nature of the process of illuminating campusweaknesses,youmayprefertorefertothemasinstitutionalconcerns.Inthiswaytheprocess can hopefully end on a positive note. The end result of this step will be arealisticappraisalofinstitutionalstrengthsandweaknesses.

Allow enough time for thorough discussion and reflection. It is critical that allperspectivesarepresentedandthatthefinallistisagreedupon.Thisisnotthetimetobe bashful or politically correct. Only through honesty and openness will this stepprovideusefulinformation.Followingareexamplesfromseveralinstitutions.

UniversityofAlaskaFairbanksInstitutionalStrengthsandWeaknessesthatAffectEnrollmentManagement

Strengths/Opportunities

Uniquemissioninthestate Locationwithunequalednaturalresourcesandrecreational/research

opportunities Dependableanddedicatedenrollmentmanagementandstudentaffairs

personnelopentochangeandnewinitiatives Diversestudentpopulationandexcellentsupportsystemforruralstudents

comingtoUAF(RSS) Longhistoryofacademicexcellenceparticularlyinsciencesandengineering Commitmenttospecificresearchandculturalagendas Smallfacultytostudentratioandintimatescholarlycommunity IncreasingMAUawarenessof,andattentionto,studentserviceandacademic

supportneeds,includingfinancialaid Multipleacademicservicecentersandcampusesthatextendthroughoutthe

state Excellentcommunication,publicationanddesignstaffinUniversityRelations SupportandinvolvementofUAstatewideoffices



Weaknesses/Threats

MissionCreepatotherMAUs Geographicisolation,communitysizeandsubarcticclimate Insufficientstaffinglevelsinstudentserviceunits Inadequatesupportforsomeunderrepresentedpopulationsparticularlyfirst

generationcollegestudents Insufficientphysicalspaceforacademicsupportandservices Insufficienttechnologicalsupportforbasicinfrastructureneeds Lowalumniinvolvementorcommitmenttotheuniversity Unfocusedapproachtofinancialaidpackaging:privatelyfundedscholarships,

tuitionwaivers,discounting,etc. Multipleacademicservicecentersandcampusesthatextendthroughoutthe

state LackofunifiedUAFidentitythroughoutallacademic,researchand

administrativedepartments SupportandinvolvementofUAstatewideoffices

CentralConnecticutStateUniversity

OurStrengthsEC/CE

EstablishedtrackrecordasaconsistentprofitcenterfortheUniversity Cohesivemanagementteam Positive,collaborativeEC/CErelationshipswithCCSUacademicand

administrativeunits Highlyskilled,culturallydiverseandknowledgeableadministrativeandsupport

staff. CE/ECasanacademicunitgeneratesinternalandexternalcredibility. Highlyskilled,responsiveandrefinedsupportinfrastructurethatallowsfor

seamlessserviceforallstudents:graduate,undergraduate,fulltime,parttime,degreeseekingandnonmatriculated.

Alongestablishedphilosophyandcommitmenttoqualitystudentservice. Flexibleandresponsivetochangingneedsofuniversityandcommunity.

OurChallenges(WeaknessesCE/EC)

StateandCCSUbudgetchallengesandcurrentcontractualconstraintshavedramaticeffectsonCE/EC.

NoincentivesfordepartmentsandschoolstoworkwithCE/EConprogramdevelopment.

Noclearinstitutionalphilosophy,mandate,resources,staffingorsupportfordevelopingandinstitutingaviableanddynamicSchoolofContinuingEducation.



CCSUunitsdonotuniformlyplanforanentireyearscurriculum,includingSummerandWinterSessions.CE/ECisnotanintegralpartnerinplanningfortheneedsofparttimestudents.

Absenceofarevenuesharingplanlimitsfinancialresourcesfornewprogramdevelopmentandprovidesnoreturnoneffortsexpended.

Continual,ongoingdiscussionsaboutthemissionandpositioningofCE/ECwithintheinstitutioncauseuncertaintyandconfusionanddamagesstaffmorale.

Lackofstaffingresourcesandappropriatetrainingtorespondtoincreasingdemandsoffacultyforacademicinformationandhistoricaldatarelatedtoschedulingandstudents.

NocurrentcomprehensiveregionalassessmentofeducationalandprogramneedsexiststoguidetheUniversityinitsstrategicoutreachresponsetothecommunityandtheestablishmentofitsnicheinacompetitivemarketplace.

GuilfordCollege

Strengths

GuilfordhasaclearanduniquemissionamonginstitutionsofhigherlearningintheU.S.

Guilfordisrecognizedasagoodacademicschool.ThisisparticularlytrueamongCCEstudentsenrollingatGuilford.

TheappearanceofGuilfordsbuildingsandfacilitieshasgreatlyimprovedinthelastthreeyears.SpecificallytheDukeMemerialBuildingandtheconstructionoftheFrankFamilyScienceCenterhavegiventhestudentsandfacultyofGuilfordfirstclassspace.

Guilfordsfacultyiswellrespectedbystudents. Newapartmentsandcommunitycenterhavebeenamajorhitwithstudents. TheimprovementstoArmfieldAthleticCenterwillbeamajorsteptoimproving

Guilford'simagewithformerathletesandcreateamuchimprovedsiteforathleticcompetition.ItwillmoveGuilfordawayfromthebottomoffootballgamefacilitiesintheconference.

GuilfordisactingonaStrategicLongRangePlanthrough2010. Withamazinggrowthinitsadultpopulationandmorerecentlywithits

traditionalstudentpopulation,GuilfordisthefastestgrowingcollegeinNorthCarolina.

Thirdpartyendorsements(likeNewsweeksTop25collegesandCollegesThatChangeLives,continuetoraiseawarenessofGuilfordwithprospectivestudents,parentsandcounselors.



Weaknesses

Guilfordsclearanduniquemissionissomewhatdifficulttocommunicateandveryidealistic.Whileanarrownichemayfocusrecruitingefforts,toonarrowanichelimitsopportunitiesforrecruitment.Manystudentsaremorecomfortablewithapreprofessionalcurriculum/approachthanGuilfordsmission.

Guilfordshippie,liberalimageisaturnofftosomestudents. GuilfordsCIRPdataindicateastudentbodythatismoredepressed,involvedin

substanceabuseandismorelearningdisabledthanitspeers. Guilfordhasaverylowendowmentasopposedtoitsprimaryprivatecollege

competitors(specificallyEarlhamandGoucher).. Guilfordislocatedinastatewherethepublicuniversitytuitionisamongthe

lowestinthecountryandisregardedashighquality. Guilfordhasextremelyweakfacilitiesforitscocurricularprograms,specifically

FoundersHallandathletic/recreationalopportunities. GuilfordsCampusLifeareahashadagreatdealofturnoverinrecentyears.

Morestabilityisneededtoachieveourretentiongoals. RetentionatGuilfordisslightlybelowtheratesexpectedforourentering

academicprofile. Whileimproving,lowsalaries(ascomparedtopeerinstitutions)forpersonnel,

especiallyfaculty,continuetocreatealackofconfidenceinGuilford. Arelativelylowgivingrateamongalumnimakesitdifficulttogeneratemore

enthusiasmforGuilfordandanewcapitalcampaign. Guilfordsacademicreputationiscitedasnotasstrongasotherschoolstowhich

ourprospectivetraditionalstudentsapply.Only34.7%ofentering2004firstyeartraditionalstudentssayGuilfordhasaverygoodacademicreputation.

StudentswhovisitedGuilfordrankedtheircampusvisitsexperiencebelowtheothercollegesthestudentvisited.

Guilfordstudentscontinuetoexpressfrustrationwiththefood.

LincolnUniversity

Strengths

Affordability Diversity Smallclasssize Openadmissions Location Qualityoffaculty Registration



Weakness

Humanresources Curriculum Racialsegregation Timelysubmissionoffinancialaidmaterials

Step11:OpportunitiesandThreatsHere the focus shifts froman internal toanexternalanalysis.This isalso the cruxofstrategic enrollment management planning understanding emerging trends andaccuratelyprojecting them into the future.Byestablishinganenvironmentalscanningprocess, institutions develop an early warning system to identify and monitoropportunities and threats that need to be anticipated as the campus strategicallypositions itself in the planning process. Such a process is structured to identify andevaluate trends, events and emerging issues that will impact the institution in someway,therebyremovingtheelementofsurprisefromtheplanningprocess.

Atrend isanongoingpattern.Theconstant increase inthenumberofHispanics intheUnitedStatesisanexample.Aneventisanoccurrencethathappensatagivenmomentin time. A massive earthquake somewhere in the world would be an example. Anemergingissueresultsfromtrendsandrepresentsaconflictofvaluesorinterests.

Whatarethethreatsandopportunitiesintheexternalenvironmentthattheinstitutionneedstobeawareofandeithermanage,takeadvantageoforbepreparedtorespondto?Themorecurrentnamesforthisareenvironmentalscanning,futuresresearchandissuesmanagement.Environmentalscanningidentifiestheemergingtrendsandfuturesresearch projects them. Issues management de

a practical guide to strategic enrollment management planning in higher education

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