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Senior Leadership Retreat July 14, 2004

Welcome!

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Today’s Objectives

•  Actively engage campus leadership in on-going planning

•  Share information about various planning activities that have occurred during the past 3 months

•  Explore root causes to some of our internal weaknesses

•  Present and review a structure that will guide our next phase of planning

•  Engage in meaningful discussion, debate and dialogue

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Today’s Agenda Topic Discussion Leader Start End

Refreshments All 8:00 8:30

Welcome and Overview Scott Nostaja 8:30 8:45

Presidential Overview John Simpson 8:45 9:30

Question and Answer All 9:30 9:50

Strategic Strengths Nils Olsen 9:50 10:45

Break All 10:45 11:00

Goals Dennis Black 11:00 11:30

Review of SWOT’s Kevin Seitz, Sean Sullivan, Mark Karwan 11:30 12:15

Lunch All 12:15 1:00

Current Planning Process John Thomas 1:00 1:45

The 5 Why’s Break-out Session - All 1:45 2:45

Break All 2:45 3:00

Strategic Planning Satish Tripathi and Beau Willis 3:00 4:15

Conclusion John Simpson 4:15 4:30

Reception All 4:30 6:00

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Presidential Overview

John Simpson

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Our 8 Guiding Principles

2. Understand and preserve our core values and our purpose

3. Have a culture of discipline

4. Understand the reality of our current enterprise

5. Have the right people in the right roles

6. Engage in continuous dialogue and debate

7. Understand what we can be the best at, not necessarily what we want to be the best at

8. Move beyond good and competent to great and excellent

Led by our drive for academic excellence

Commitment to do what we say, a culture of accountability measured by outcomes and supported by an effective reward structure Being honest about our weaknesses and threats and continuously seeking to turn them into strengths and opportunities

Realizing our potential Committed to longer term goals and objectives

Guided by a Performance Management culture and supported by recruitments that yield the best and brightest candidates

Supported by collaborative and transparent processes – seeking diverse points of view

If we strive to be great at everything, we won’t be good at anything Focused on Strategic Strengths

1. Have a single unifying vision for the University

Providing clarity of purpose towards achievement of a common goal

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Strategic Strengths

Nils Olsen

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Our Charge and Approach •  The President requested the Deans to identify 5 to 15

Foci of Excellence upon which an Academic Plan could be built

•  The Deans engaged various members of their faculty and identified potential Foci opportunities

•  The Foci were collated and ultimately resulted in 90 independent opportunities

•  A sub-group of the Deans were deployed to develop a process by which the 90 opportunities could be reduced into the targeted 5 to 15 Foci of Excellence

•  The Deans developed a draft set of criteria by which the Foci could be evaluated

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Our Charge and Approach •  The sub-group of Deans developed a list of the 22

leading Foci •  In order to reach the 5 to 15 targeted Foci, the sub-

group consolidated and grouped the 22 leading Foci into 10 Strategic Strengths

•  The Draft of 10 Strategic Strengths were presented to the full group of Deans –  Initial discussion and review has taken place –  A more rigorous evaluation of the draft of 10 Strategic Strengths

needs to occur –  Evaluation criteria needs to be applied in earnest

•  A broader scoped Academic Planning Committee will develop a process for finalizing the identification of Strategic Strengths

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Strategic Strength Development Process

10 Strategic Strengths

22 Foci

90 Preliminary Foci Center of Excellence in` Pediatric Psychology Consortium for Child Health, Education, and Development Center in Molecular Signaling Center for the Biobehavioral Study of Obesity A Clinical Pharmacotherapy and Pharmacogenomics Program Center for Cellular and Systems Electrophysiology Center for Biodefense, Bioinformatics and Emerging Infectious Diseases Center of Excellence for Women’s Mental Health and Well Being Western New York Muscle Disease Center Center of Excellence in Medical/Health Informatics and Telehealth Center for Research and Education in Special Environments (CRESE) Center for Digestive Diseases and Nutrition Center for Microbial Pathogenesis and Immunology Center for Developmental Genomics Area Health Education Center (AHEC) System Diabetes-Endocrinology Center of WNY Family Medicine Research Institute (FMRI) Center of Excellence in Clinical Competence for Assessment, Research and Education (CECCARE) The Neuroscience Center

UB-Toshiba Stroke Research Center Health and Transportation Buffalo Center for DNA Replication and Repair (BCDRR) Center for Excellence in Translational Cardiovascular Medicine Center for Stability & Mobility UB Multidisciplinary Sleep Center Pharmacometrics Nutritional Supplements (Botanicals) and Women’s Health Pharmacotherapy Research Center Translational Pharmacogenomics Protein Pharmacokinetics and Pharmacodynamics Computational Pharmacogenomics Consortium for Child Health, Education, and Development Center of Excellence in Augmentative Communication (CEAC) Geographic Information Science Humanities Center Human Capital and Economic Development The Institute for Jewish Thought Center for Biomedical Ontology Geohazard Studies Visual Studies Center Center for 21st Century Music Center for Spin Effects and Quantum Information inNanostructures (CSEQuIN)

Signature Center in Molecular Diversity Center for Research on College Student Wellness Study of Law and Urban Justice The Center for Stability & Mobility Center for the Psychoanalysis and Culture (CSPC) High-Field NMR Center Center for Health Promotion and Disease Management Center for Research in Oral Sciences Oral Health Informatics Center of Excellence Buffalo Center for Clinical Oral Health Research Oral and Maxillofacial Imaging Center Center for Advanced Oral Health Care (CAOHC) Center on Healthy Aging Niagara Regional Consortium on Disability & Aging (NRCDA) The Population Health Observatory of Western New York Advanced Technologies for Biomedical Engineering Center on Hybrid Nanomaterials for Multifunctional Structures and Devices (CoHN) Multi-Hazard Engineering Research for Disaster-Resilient Communities Trusted and Pervasive Computing Multi-scale Simulation of Complex Systems and Materials (SEAS) Technology Entrepreneurship Information Assurance International Leadership Global Supply Chain Management

Relationship Marketing Corporate Governance Financial Engineering The Center for Inclusive Design and Environmental Access (IDEA) Center for Virtual Architecture City Design Center for New Literacies, Cultures & Technologies Center for Evaluation and Testing The Baldy Center for Law and Social Policy Center of Excellence in Niagara Water Center of Excellence in Human Rights and International Law Center of Excellence in Criminal Law Center of Excellence in Technology, Culture, and Intellectual Property Center of Excellence in Finance Transactions Center of Excellence in Public Interest Law and Policy Center of Excellence in Family Law Center of Excellence in State and Local Government Focus of Excellence on Law, Medicine, and Public Health Substance Abuse Institute for Nonprofit Agencies Undergraduate Excellence in the Comprehensive Research University Graduate and Professional Education

•  Public Policy •  Vascular Medicine •  Prevention •  Neuroscience and Vision •  Medical Health and Informatics •  Children and Families •  Environment •  Biomedical Engineering

•  Geographic Information Systems •  Bio-defense and World Health •  Population Genetics •  Bioinformatics •  Pharmacokintects •  Material Science and Engineering •  Cellular and Molecular Research

•  Technology Management and Law •  Trusted and pervasive computing •  Education •  Simulation and Visualization •  International / Globalization •  Humanities and the Arts •  Hearing and Balance

•  Public Policy •  Chronic Disease and Aging •  Children and Families •  Humanities and the Arts

•  Material Science and Biomedical Engineering

•  Bioinformatics •  Environment

•  Information Technology Applications

•  Education •  International / Globalization

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Draft Strategic Strengths Public Policy

•  Health and Transportation; School of Medicine

•  Study of Law and Urban Justice, College of Art and Sciences

•  City Design, School of Architecture & Planning

•  Center of Excellence in Criminal Law, Law School

•  Center of Excellence in Public Interest Law and Policy, Law School

•  Center of Excellence in State and Local Government, Law School

•  Focus of Excellence on Law, Medicine, and Public Health, Law School

•  Institute for Nonprofit Agencies, School of Social Work

Chronic Disease and Aging

•  Center of Excellence in Pediatric Psychology, Medicine

•  Center for the Biobehavioral Study of Obesity, Medicine

•  Center for Cellular and Systems Electrophysiology, Medicine

•  Western New York Muscle Disease Center, Medicine

•  Center for Digestive Diseases and Nutrition, Medicine

•  Diabetes-Endocrinology Center of WNY, Medicine

•  The Neuroscience Center, Medicine

•  UB-Toshiba Stroke Research Center, Medicine

•  Center for Excellence in Translational Cardiovascular Medicine, Medicine

•  Center for Stability & Mobility, Medicine and also College of Art and Sciences

•  UB Multidisciplinary Sleep Center, Medicine

•  Consortium for Child Health, Education, and Development, Medicine

•  Center of Excellence for Women’s Mental Health and Well Being, Medicine

•  Family Medicine Research Institute (FMRI), Medicine

•  Nutritional Supplements (Botanicals) and Women’s Health, Pharmacy School

•  Consortium for Child Health, Education, and Development, College of Art and Sciences Center of Excellence in Family Law, Law School

Children and Families

•  Health and Transportation, Medicine

•  Humanities Center, College of Art and Sciences

•  The Institute for Jewish Thought, College of Art and Sciences

•  Visual Studies Center, College of Art and Sciences

•  Center for 21st Century Music, College of Art and Sciences

•  Center for the Psychoanalysis and Culture (CSPC), College of Art and Sciences

Humanities and Arts

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Draft Strategic Strengths (continued) Environment Material Science and

Bioengineering Bioengineering

•  Center for Biodefense, Bioinformatics and Emerging Infectious Diseases, Medicine

•  Center for Microbial Pathogenesis and Immunology, Medicine

•  Geographic Information Science, College of Art and Sciences

•  Geohazard Studies, College of Art and Sciences

•  Niagara Regional Consortium on Disability & Aging (NRCDA), School of Public Health and Health Professions

•  Multi-Hazard Engineering Research for Disaster-Resilient Communities, School of Engineering

•  The Center for Inclusive Design and Environmental Access (IDEA), School of Architecture & Planning

•  Center of Excellence in Niagara Water, Law School

•  Center for Spin Effects and Quantum Information in Nanostructures (CSEQuIN), College of Art and Sciences

•  High-Field NMR Center, College of Art and Sciences

•  Buffalo Center for Clinical Oral Health Research, School of Dental Medicine

•  Advanced Technologies for Biomedical Engineering, School of Engineering

•  Center on Hybrid Nanomaterials for Multifunctional Structures and Devices (CoHN), School of Engineering

•  Center for Biodefense, Bioinformatics and Emerging Infectious Diseases, Medicine

•  Pharmacometrics, Pharmacy School

•  Pharmacotherapy Research Center, Pharmacy School

•  Translational Pharmacogenomics, Pharmacy School

•  Protein Pharmacokinetics and Pharmacodynamics, Pharmacy School

•  Computational Pharmacogenomics, Pharmacy School

•  Center for Biomedical Ontology, College of Art and Sciences

•  High-Field NMR Center, College of Art and Sciences

•  Center for Research in Oral Sciences, School of Dental Medicine

•  Oral and Maxillofacial Imaging Center, School of Dental Medicine

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Draft Strategic Strengths (continued) Information Technology

Applications Education International

•  Center of Excellence in Medical/Health Informatics and Telehealth, Medicine (SMBS) and School of Informatics

•  Geographic Information Science, College of Art and Sciences

•  Center for Biomedical Ontology, College of Art and Sciences

•  Oral Health Informatics Center of Excellence, School of Dental Medicine

•  The Population Health Observatory of Western New York, School of Public Health and Health Professions

•  Trusted and Pervasive Computing, School of Engineering

•  Multi-scale Simulation of Complex Systems and Materials (SEAS), School of Engineering

•  Information Assurance, School of Management

•  Center for Virtual Architecture, School of Architecture & Planning

•  Center of Excellence for Internet Studies, School of Informatics

•  Center of Excellence in Visual and Literary Arts Through Digital Technology

•  Area Health Education Center (AHEC) System, Medicine

•  Center of Excellence in Clinical Competence for Assessment, Research and Education (CECCARE), Medicine

•  Center of Excellence in Augmentative Communication (CEAC), College of Art and Sciences

•  Human Capital and Economic Development, College of Art and Sciences

•  The Institute for Jewish Thought, College of Art and Sciences

•  Center for New Literacies, Cultures & Technologies, Graduate School of Education

•  Center for Evaluation and Testing, Graduate School of Education

•  International Leadership, School of Management

•  Global Supply Chain Management, School of Management

•  Center of Excellence in Human Rights and International Law, Law School

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Strategic Strengths Discussion

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Development of Goals and Vision

Dennis Black

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Charge from President •  Draft for consideration

–  Overarching Vision –  Statement of Goals –  Page or less –  What could we be?

•  10 years out?

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Assessment •  Can the Vision be achieved? •  Can we be passionate/committed? •  Major obstacles/challenges? •  Modify by goals?

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Participants •  Interim Provost •  Vice Presidents •  Government Affairs •  Chief of Staff

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Process •  Facilitated by Interim Provost •  Weekly meeting (Jan-Feb) •  Draft statements by participants •  Extended document shared (mid-Feb) •  Set aside for SWOT (March-May) •  One page version (July)

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Draft Vision

To advance and promote the University at Buffalo as a premier public research university - recognized nationally and internationally for its research, scholarly, teaching and creative endeavors.

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Goals •  Outstanding Faculty •  Excellence of Program and Graduates •  Leadership in Public Service

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•  To aggressively promote, sustain and enhance a vibrant intellectual, research and teaching environment that attracts and supports outstanding faculty.

•  To recruit and retain a faculty that conducts

pioneering and stellar research, seminal scholarship, exceptional and unique artistic creation, and is committed to teaching excellence at the undergraduate, graduate, and professional levels.

Goal 1 – Outstanding Faculty

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•  To be regarded nationally as a locus for the highest quality in academic programs. To be renowned for the productivity of our multidisciplinary environment and for the proactive, integrated approach we take institutionally to the breadth of our programming, research and teaching assets.

•  To be recognized for the academic excellence and

scholarly accomplishments of our graduates, as well as their professional acumen, achievements and civic leadership.

Goal 2 – Excellence of Programs & Graduates

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•  To accelerate the creation, transmission, and application of knowledge to address critical problems in society which represent regional, national and international challenges.

•  To be a recognized major asset to society by setting

standards for public service and partnerships through the dissemination and application of knowledge.

Goal 3- Leadership in Public Service

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•  What do we need to develop and maintain to continue the vision and goals?

•  What conditions must be met?

Preconditions for Success

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•  The academic environment is the core of the university. The academic enterprise is the foundation for planning and decision-making.

•  A university reflecting the socioeconomic, cultural, geographic, ethnic, and gender diversity of our society, as evidenced in its populations, programmatic emphasis, community values and ideals.

•  A sustainable and growing resource base from institutional, public, and private resources in support of the academic programs. Effective and efficient use of institutional resources to include responsible stewardship and accountability on outcomes.

Preconditions for Success

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•  A supportive and adaptive campus environment and infrastructure for our students, faculty, and staff distinguished by a capacity to assess, change and innovate in a timely and entrepreneurial fashion utilizing best practices.

•  A wide network of supportive and loyal alumni, and other external constituents and partners, to position the university as a source of leadership and influence, through strategic outreach and communication.

•  The ability to strategically and effectively publicize and promote the university’s values, strengths, identity and culture, priorities, and initiatives from a coordinated institutional position.

Preconditions for Success

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Goals and Vision Discussion

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Strengths, Weaknesses, Opportunities and Threats

Mark Karwan, Kevin Seitz,

Sean Sullivan

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Deans SWOT Summary Strengths •  Competitive strength / national and international leadership in selected

programmatic and research areas. –  Most every school or college cited examples of particular programs in their

discipline that are leaders either regionally or nationally. •  Faculty

–  Similarly, most respondents (75%) cited the accomplishments, loyalty, research focus and productivity of senior and mid-career / junior faculty.

•  Multidisciplinary and collaborative research and education –  Over half of the respondents noted the percentage of faculty engaged in

multidisciplinary work, the number of alliances with other UB departments, and willingness and comfort of faculty in crossing disciplinary boundaries.

•  Alumni –  Again, half of the respondents mentioned the success of graduates, the large pool

of satisfied graduates, and the relationship their school or college has with alumni. Most commonly cited were the demand for UB graduates, their success competing for advanced education programs, and their success in the corporate world nationally and internationally

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Deans SWOT Summary Additional Strengths •  Work and service contributions in the State, city and the Buffalo-

Niagara Region (38%) •  Breadth and depth of curriculum (graduate and advanced education

programs and innovative new medical school curriculum) and high demand degree programs (38%)

•  Partnerships and collaboration with industry and other academic institutions (31%)

•  Success in securing research and funding grants (some on a per faculty basis) (25%)

•  Research efforts / accomplishments of the school (19%) •  Development / fund raising activities (19%) •  Selectivity of undergraduate students and graduate students (19%) •  Faculty, staff, and student diversity (19%) •  Selected facilities/laboratories (19%)

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Deans SWOT Summary Weaknesses •  Lack of capital funds for faculty start-up, equipment, new / shared research

facilities and modernization and rehabilitation of classroom and laboratories. –  Most every school or college (75%) cited the lack of resource to make necessary and needed

improvements to their programs. Commonly cited were a lack of / need for space, including special use space, equipment, and modernization and rehabilitation of classroom and laboratories.

•  Small faculty size –  Similarly, most respondents (63%) cited the need for additional full-time, tenure-track faculty.

There were many comments in this area, including: •  Lack of critical mass for research or teaching in many core and emerging

(multidisciplinary) areas •  High student/faculty ratio at both undergraduate and graduate levels •  Too dependent on (or) lack of adjunct faculty •  Advisement loads are too large

•  Inadequate graduate student / postdoctoral fellow support / stipends make it difficult to recruit the best students

•  Research support –  Almost 1/3 of the respondents noted a lack of research support, including no clear lines of

communication and support for the research enterprise, lack of an Associate Dean for Research, lack of flexible funds to seed research, provide matching funds, and invest in new opportunities, and an inadequate infrastructure for supporting research..

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Deans SWOT Summary Additional Weaknesses •  Lean staffing / administrative infrastructure and support (31%) •  Low minority representation among the overall student body (19%) •  Inability to attract highly qualified students (19%) •  Lack of in-house recruitment assistance (19%) •  School leadership (lack of sustained leadership for several years /

uncertainty and instability in key leadership positions) (19%) •  Graying of faculty (13%) •  Faculty demographics in some areas/departments (13%) •  Lack of a focused development initiative(s) in the past (13%) •  Too many / lack of focus / no systematic evaluation of research centers

(13%)

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Deans SWOT Summary Opportunities •  Potential new / expanded interdisciplinary research and educational programs

–  Consistent with the noted strength of multidisciplinary and collaborative research and education, over half of the schools and colleges mentioned the possibility of new or expanded programs.

•  Establishing / renegotiating contracts and programmatic relationships with community partners

–  Again consistent with a strength (work and service contributions), almost half of the respondents suggested leveraging the success of current projects to expand relationship with community partners in order to strengthen the connections between the university, the city and the region and help the university to play a more significant role in the community.

•  Federal funding initiatives and research trends –  Over a third of the schools and colleges noted that faculty generating proposals and exhibiting

research interests in fundable areas, including a NIH roadmap with a clinical research emphasis and funding priorities that are problem focused and encourage university-community partnerships.

•  Alumni giving / development –  Another strength, the success of graduates and large pool of satisfied alumni, was deemed an

opportunity by 25% of the respondents. Of particular note was the potential of overseas alumni chapters, particularly in Asia, and the increasing willingness of Medical Alumni Association to assist the school in fund raising.

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Deans SWOT Summary Opportunities •  Recruiting new faculty and chairs as faculty grays

–  Other (25%) saw the weakness of a graying faculty and an opportunity to hire faculty with research interest’s confluent with / that can benefit from interdisciplinary programs, and to increase faculty recruitment at the margins.

•  Communicate what we do well –  Capitalize on opportunities to publicize our efforts and furthermore to coordinate our efforts

with the University and those in the community so that there isn’t overlap and we fill the appropriate niche for an academic public research university.

•  Utilization of technology for learning, and to develop educational programs. –  Distance learning for niches such as continuing education and Telemedicine. We need to be

at the cutting edge of application of information and other technologies for learning. •  To fully utilize our educational resources

–  Development of summer programs, accelerated degrees, adult education and other innovative ways of utilizing our educational resources all year, represent an opportunity for UB.

•  Optimize our International University Programs especially our degree granting programs expanded beyond existing programs

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Deans SWOT Summary Additional Opportunities •  Targeted marketing to enhance reputation and visibility of

School (19%) •  Capitalize on employment / labor trends (education, nursing,

clinical scientists in the pharmaceutical industry) (19%) •  Enhanced pursuit / increased support of grant opportunities

(19%) •  Electronic curriculum innovations and providing distance-

learning opportunities (13%) •  More intensive support for dual degree options (13%)

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Deans SWOT Summary Threats •  The stability of New York State base funding for the University is at

risk. Furthermore we have become over reliant on this base funding. –  Over 60% cited the continued decline of New York State base funding and the

Western New York economy. Also noted was the lack of a major corporate presence can negatively impact recruiting and placement of students.

•  We have a University culture that doesn’t always recognize the value of entrepreneurship and self-reliance.

–  We need to acknowledge dwindling of the New York State base funding •  We have legal and other restrictions on our faculty to fully participate in

community services, especially in health services and health education •  We have a lack of a unifying planning process for facility management

including lack of a capital plan integrated with an academic plan, lack of efficient facilities renovation process and lack of space utilization analysis

•  Lack of Institutional planning overall is a threat to our ability to become a great University

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Deans SWOT Summary Additional Threats •  Diminishing federal support available for new research (19%) •  Local schools offering competing programs (19%) •  Inability to charge / increase student fees (19%) •  Current immigration policies may continue to negatively impact

ability to attract new faculty and students (13%) •  Totally online degree programs could drain students now

choosing the more traditional classroom environment or the mixture of online and classroom approach we now offer (13%)

•  No systematic university support/policy for interdisciplinary programs / centers (13%)

•  Ever increasing regulations (HIPAA, storage and disposal of chemicals) generate costly unfunded mandates (13%).

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Vice Presidents SWOTS Summary Strengths •  Internal and External Partnerships

–  The vice presidents cited the good relationships and solid partnerships their units have both on campus (with other units) as well as with external constituencies, including hospitals and health insurers, as a significant strength.

•  Strong, Knowledgeable Staff And Collaborative Teams –  The vice presidents cited the strength of their faculty and staff, the collegiality of

their units, and the attentiveness/responsiveness of their organizations to the needs of their respective “customer”. Also cited was the strong values and commitment to the vision and mission of the University.

•  Reliable, secure, and robust technology infrastructure –  Our robust, high-bandwidth network infrastructure supports the research and other

critical mission goals of the University. •  Multiple funding sources

–  The university is fortunate to have strong funding sources in addition to state tax support to finance its operations. These funding sources include tuition, fees, federal research grants and contracts, gifts, grants and endowment income, special legislative appropriations, corporate partnerships and sponsorships, medical and dental school dean’s tax, salary support to clinical faculty from practice plans, and auxiliary enterprises.

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Vice Presidents SWOTS Summary Weaknesses •  Lack of Institutional Planning

–  The vice presidents identified the lack of campus wide planning (integration of academic and academic support plans) as a weakness and as a necessary foundation for the following components of an academic support plan:

•  A facilities master plan including off campus facilities for health care, education and research

•  A financial plan •  A diversity plan •  A student services plan •  A legislative agenda •  A comprehensive plan for institutional information technology governance and

planning •  An enrollment plan •  A comprehensive marketing plan to guide coordination and/or linkages with

other units on campus, including programs to improve town-gown relations and linkages between communications (marketing and public relations programs), development and research

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Vice Presidents SWOTS Summary Weaknesses •  Resource Challenges in Meeting Expanding Campus Needs

–  There is a lack of resources to meet the needs of campus constituents. Examples include needed resources for:

•  Staff •  Facilities •  Space •  General capital equipment replacement •  Technology hardware replacement •  Storage •  Faculty to provide critical mass in emerging areas •  GFT clinical faculty •  Administrative systems replacement •  Programmatic and service improvements

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Vice Provosts SWOT Summary Strengths •  Internal and External Partnerships

–  A majority of the respondents (5 of 6) cited the good relationships and solid partnerships their unit has both on campus (with other units) as well as with external constituencies.

•  Strong, Knowledgeable Qualified Staff –  Four of the six respondents cited the strength of their staffs,

quality, commitment and dedication of their staff.

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Vice Provosts SWOT Summary Weaknesses •  Lack of Sufficient Staff

–  Four of the respondents noted the relative small size and highly specialized nature of their staff, as well as excessive dependence on student and graduate assistants.

•  Lack of Institutional Planning –  Half of the respondents noted a lack of planning as a weakness, either

within their organization or campus wide. Specific examples included lack of:

•  Academic planning •  Enrollment planning •  The undergraduate experience •  Facilities planning

•  Balancing Expectations with Existing Resources •  Lack of space or fragmentation of facilities

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Vice President and Vice Provost External SWOT Summary

Opportunities •  Improve Resource Acquisition and Application

–  Additional Revenue Generation Opportunities •  Increase Emphasis on Planning and Assessment •  Improve Coordination and Collaboration Between Units •  Optimize an Undergraduate Program •  Optimize the Graduate / Professional Programs •  Consider Opportunity to Further Increase Enrollments •  Improve Relations with the Community and the Alumni •  Enhance Diversity at all Levels •  Increase Control over University Profile and External Image •  Increase Overseas Campus Development •  Increase Efforts to Develop a Greater Sense of Community •  Improve and Enhance the Technology Infrastructure •  Increase Efficiency and Effectiveness •  Capitalize on Research Strengths

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Vice President and Vice Provost External SWOT Summary

Threats •  Lack of Resources

–  Prospect of Reduced State Funding •  Detrimental SUNY / State Directed Policies •  Concern that Financial Support will not Keep Pace with Pricing •  Instability in World Events and National Policies Related to

Students/ Faculty •  Increasingly bifurcated admissions – high opportunity and high

achieving students •  Un-funded Mandates •  Inability of the Campus to Meet Rising Expectations •  Lack of Flexibility •  Competition – (not keeping pace with leading institutions)

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Planning at UB – A Case Study

Government, University and Industry Task Force

John Thomas

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Planning at UB – A Case Study

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Our Charge

•  To create a comprehensive, coordinated and integrated plan that will allow UB to realize its government and industry objectives

•  Develop a campus wide strategy for integrating all government and industry efforts and programs

•  Develop processes, organizational structures and other support elements required to achieve the strategy

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Our Approach

•  Identified a multi-disciplinary cross functional project team

•  Met weekly for 3 hours for 3 months –  Supported and facilitated by an external consultant

•  Started out by examining our current environment •  Assessed the current strategies, organizational

structures, processes and technology used to support our legislative and industry efforts –  Identified key issues – turned them into a problem statement –  Identified areas we could improve – turned them into an

opportunity statement

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Our Approach •  Examined external best practices

–  UC San Diego –  Georgia Tech –  University of Arizona –  Others

•  We used our assessment of the problems and opportunities and our best practices learning's to develop a solution –  Crafted a series of design principles

•  We designed a new model •  We developed an organizational structure to support

the new model •  We designed key processes to support the model

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Task Force Membership •  Janet Penksa Associate Vice President Government Affairs •  John Thomas Dean, School of Management •  Mark Karwan Dean, School of Engineering and Applied Science •  Bruce Holm Senior Vice Provost, Director Center of Excellence in

Bio-informatics •  Norma Nowack Director of Scientific Planning, Center of Excellence in

Bio-informatics •  Ken Tramposh Research •  Anne Dunford Assistant Vice President for Corporate and Foundation

Relations •  Woody Maggard Associate Vice Provost Science Technology Transfer

and Economic Outreach •  Colin Drury Professor and Chair, Industrial Engineering •  John Sheffer Director Institute for Local Governance and Regional

Growth •  John Wood Senior Staff Assistant, Assistant Vice Provost for

International Education

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A Sample of The Strategic Issues

•  The UB legislative agenda is not presently informed by an overarching campus strategy

•  UB does not have a meaningful strategy for developing corporate partners

•  UB is not getting full credit for its successes –  Within community, government, industry, academia

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A Sample of The Organizational Issues •  The campus operates in decanal and operational

silo’s preventing synergistic opportunities to build stronger industry and government relationships from materializing

•  Organizational incentives to increase corporate revenues are not sufficient

•  University capitalizes on the strength of individual relationships but has not established broader ‘institutional’ relationships with government

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A Sample of The Process Issues

•  There are a limited number of processes in place to coordinate cross campus industry and / or government efforts –  UB lacks a comprehensive, unified and coordinated

communication and marketing process for developing industry relationships

–  UB lacks a formal process for developing federal requests

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A Sample of The Technology Issues

•  The campus lacks the systems necessary to collect and share information needed to expand industry and government efforts

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A Sample of the Conceptual Design Principles • Government and industry strategies (and efforts) need

to be closely linked with the Academic Plan • Government and industry strategies and efforts need

appropriate coordination • Government and industry strategies and efforts can

not weaken individual relationships • Government and industry strategies need to be aligned

with University vision, mission, values •  There needs to be comprehensive knowledge of all

campus Government and Industry efforts • Government and industry efforts require the support of

a shared and searchable database

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Conceptual Model

Academic Plan

Government Plan Integrated Government / Industry Plan

Industry Plan

Government / Industry Leadership Oversight

Committee

Clear and Transparent Processes

Leveraged Individual

Relationships

Industry Stewards /

Owners Supporting Technology

Supporting Communications

Leveraged

Competencies

UB Vision, Mission, Values

External Stakeholders and

Constituents

Internal Stakeholders and

Constituents

–  Program coordination (people, processes, technology)

–  Strategy and plan execution –  Information collection and sharing

–  Champion the effort

–  Measure progress

–  Responsive to internal stakeholders

–  Government –  Industry –  Community –  Alumni

–  Faculty –  Administration –  Staff –  Students

–  Goals and Objectives –  Policy

– Strategies – Priorities

President’s Industry Council

–  Advisory to UB president –  National and

international presence –  Strong personal

relationships

Execution alignment

Strategic alignment

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Sample Benefits of New Model •  Provides coordination, oversight and accountability

for the development and execution of government and industry plans and strategies

•  Provides for coordinated implementation of Academic Plan—both individual decanal programs an interdisciplinary foci of excellence;

•  Provides an organization model that can break down decanal and operational silos

•  Allows for coordinated UB communications strategy

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Proposed Organization Structure External Affairs

Government Affairs Public Service

Research / Industry Development Communications

•  Federal Government Relations

•  State Government Relations

•  Community Relations

•  Public Service •  Internal and

External Policy •  CATE •  ILGRG

•  Sponsored Programs

•  STOR •  Industry

Coordination •  Other

•  Philanthropy •  Alumni

•  Marketing •  PR

Significant Design Attributes •  Integration and alignment of externally facing organizations and

processes under an External Affairs executive •  Integration and alignment of Government and Public Relations •  Integration of Research and Industry •  Realignment of STOR within Research •  Addition of Industry Coordination under STOR •  Common communication and messages (one voice to external

constituents)

Subject to Community Engagement Review

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Sample Process Map - Legislative Agenda Development Process

Government Affairs arranges Legislative

Criteria meeting with Sr. leadership

President and Provost

Legislative Criteria is established

Legislative Criteria along with

Presidential message is sent to Principal Officers

Organize / prioritize ideas / opportunities Principal Officers should inform and encourage

Faculty to offer ideas

Government Affairs arranges meetings with each Principal

Officer and Provost to review ideas

Comprehensive list of opportunities

is developed

External Affairs performs initial evaluation of opportunities

against criteria

Government Affairs and Principal

Officers prioritize Opportunities

President, Provost and Government

Affairs set legislative agenda

Preliminary advocacy

strategy presented by External Affairs

Strategy

circulated to Principal Officers

for comment

Advocacy plan

finalized by President, provost

and External Affairs

Advocacy plan implementation coordinated by Government

Affairs

June 1

September 30

Government Affairs presents prioritized

opportunities to Pres. Provost & Sr. leadership

July 1 By August 15

By September 15

By September 22

Government Affairs prompts Principal Officers to begin informal discussions within

units / schools to explore potential opportunities

April 1

Provost and Ext. Affairs / Government Affairs

review and discuss list of opportunities with

Deans

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The Planning Process: What We Have Learned

Ø  IMPORTANCE OF DIVERSE PERSPECTIVES

Ø  IMPLICATIONS FOR MEMBERSHIP

Ø  COMMUNICATION NEEDS TO BE CONSTANT AND COMPREHENSIVE

Ø  BENCHMARKING IS CRITICAL

Ø  IMPLEMENTATION DEPENDS ON INCENTIVES

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THE PLANNING PROCESS

“NOW THAT WE HAVE LOST SIGHT OF OUR OBJECTIVES, IT IS TIME TO REDOUBLE OUR

EFFORTS”

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Planning Case Study Discussion

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Root Cause Analysis ‘The Five Whys’

Break-out Groups

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Sample 5 Why Exercise

Problem – We’re not hiring the best and brightest candidates

1.  Why? – Because our recruiting and hiring processes take too long

2.  Why? – Because there are too many rules to follow and too many people involved

3.  Why? - Because we’ve created structures and processes to protect people from making mistakes

4.  Why? – Because people fear making mistakes 5.  Why? – Because we have an unforgiving culture

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Sample 5 Why Exercise

Problem – We are not helping to shape the Governor’s annual budget

•  Why – Because we develop our annual legislative agenda too late in the legislative cycle

•  Why – Because we have competing demands for our time

•  Why – Because our priorities are not clear •  Why – Because goals, which allow us to set priorities,

are not understood •  Why – Because goals have not been developed

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Weaknesses at UB

1.  We have significant resource challenges in meeting expanding campus needs

2.  There is a lack of institutional planning 3.  We are not attracting highly qualified students 4.  Minority representation among the overall student body is low 5.  There is a lack of research support 6.  There are too many research centers with a lack of focus and no

systematic evaluation 7.  There is uncertainty and instability in key leadership positions 8.  We are not adequately preparing for the retirement of existing

faculty

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Breakout Group Assignments

Breakout Group 1

• We have significant resource challenges in meeting expanding campus needs

•  There is a lack of institutional planning

Breakout Group 2

•  We are not attracting highly qualified students •  Minority representation among the overall student

body is low

Breakout Group 3

•  There is a lack of research support •  There are too many research centers with a lack of

focus and no systematic evaluation

Breakout Group 4

•  There is uncertainty and instability in key leadership positions

•  We are not adequately preparing for the retirement of existing faculty

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Strategic Planning

Satish Tripathi Beau Willis

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Strategic Planning Blueprint January – June 2004 July 14

Planning Infrastructure – Resources, Governance, Decision Making, Implementation

•  Address SWOT’s •  Prioritize initiatives •  Create Task

Force’s

Vice Presidents

Deans

Institutional Goals SWOT Analysis

Academic SWOT Analysis SUNY Mission II Review Draft Strategic Strengths

President Provost

Iterative Integrated Inclusive

Vision Principles

Institutional Planning

Academic Planning

Academic Support Planning

Institutional Master

Plan

•  Programmatic (Within Schools)

•  Institutional (Development of Strategic Strengths)

On-Going

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Strategic Planning- Critical Success Factors

•  Broad based buy-in and support for the effort –  Shared acceptance that strategic planning is essential to the University’s

long term success

•  Clearly defined structures, roles, responsibilities and processes –  Governance

–  Committees and Project Teams

–  Decision Making

•  Executive level sponsorship and involvement •  Commitment to a single process and methodology •  Regular measurement of our progress against stated objectives •  Overcome resistance and fear of change •  Continuous communication about the project’s vision, purpose

and progress

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Institutional, Planning and Implementation Infrastructure

Executive Committee

Academic Planning Committee

Academic Support Planning

Committee

•  Advisory to President and Provost •  Debate / Consider Alternatives •  Develop Recommendations for

President / Provost •  Develop Fiscal Strategies to support

planning and related initiatives

President Provost

•  Establish Vision •  Set Planning Principles •  Concextualize the Need for Change •  Make Final Decisions

Operational Environment

Long Term Facility and

Space Planning

Fundraising Campaign

Strategic Strength

Development

Academic Infrastructure

•  Provide guidance to Planning Teams •  Remove barriers •  Provide thought leadership •  Provide Executive Planning Committee

with recommendations

•  Development of multi-disciplinary strategic strengths •  Development of programmatic elements within schools •  Alignment of academic infrastructure (undergraduate,

graduate, research, etc) •  Facilitated and supported project teams

Communication Support

Programmatic Development

•  Operational and organizational enhancements •  Longer term facility and space planning •  Capital campaign development •  Facilitated and supported project teams

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•  Guiding Principle –  Sustained and integrated engagement of the faculty

•  Primary focus will be to: –  Develop and refine the Strategic Strengths –  Create plans to make the Strategic Strengths actionable

•  Plans will result in the following: –  Clear definition and scope of each Strategic Strength

•  An articulation of the competitive advantage that UB can gain by successfully developing the Strategic Strength

–  Articulated set of goals and objectives for each Strategic Strength –  A strategy for realizing those goals –  A timeline for achieving those goals –  A plan to operationalize the Strategic Strengths including;

•  Required organizational support •  Required funding support •  Actions required at the decanal and school level to support the development

of the Strategic Strength –  An assessment of the current capabilities for achieving the Strategic Strength and

an identification of existing capability gaps

Academic Planning Process

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Academic Planning Process •  The Academic Planning Committee will be charged

with creating a process for integrating programmatic planning activities conducted at decanal and school levels

•  The Academic Planning Committee will be charged with examining and integrating Academic organizational structures and support systems –  Graduate education –  Undergraduate education –  Centers –  Etc.

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Planning Process •  Multidisciplinary, cross functional teams will be

deployed to develop the Strategic Strengths and Operational Initiatives

•  Planning Committees will develop recommendations for Project Team membership

•  Project Teams will receive facilitation and project management support

•  Project Teams will provide regular updates to the Planning Committees on a schedule TBD

•  Planning Committees will provide regular updates to the Executive Committee

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Academic Support Planning •  Guiding Principle

–  Enable the academic goals of the institution by aligning our operations with our strategic direction

•  Primarily focused in three areas:

Operational Environment

Long Term Facility and

Space Planning

Fundraising Campaign

•  Business processes •  Enterprise technology

support and systems •  Campus policies •  Organizational

structures •  Delivery systems and

models

•  Transformation Initiatives will be identified, prioritized and sequenced by the Academic Support Planning Committee –  Initiatives will be aligned to Academic Planning

•  Comprehensive framework for capital construction, infrastructure and land-use programs

•  10-15 year time horizon •  Aligned to academic

plan

•  Build an aggressive plan aligned to academic plan

•  Leverage traditional sources and create new sources to support growth and enrichment of strategic strengths

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Communications Support •  Dedicated resource •  Responsible for keeping campus population informed

about the status of planning activities •  Will develop appropriate communication vehicles

–  Website –  Newsletter –  Forum’s –  Briefings –  Etc.

•  Will support and help facilitate communication between multiple, simultaneous planning activities

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Suggested Composition of Executive Committee

•  President •  Provost •  Executive Vice President Finance and Operations •  Faculty Senate Chair (ex-officio) •  Faculty At-Large Representative •  A Dean •  A Vice President •  Director Affirmative Action •  President’s Chief of Staff

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Suggested Composition of Academic and Academic Support Committees

•  Provost – Leader of Academic Planning Committee •  EVP Finance and Operations – Leader of Academic

Support Committee •  Each Committee to consist of the following:

–  Deans –  Vice President’s –  Faculty Representatives –  Student Representatives –  Other Subject Matter Experts as appropriate

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Activities Currently Underway

Academic Planning Committee

Academic Support Planning

Committee

Operational Environment

Long Term Facility and

Space Planning

Fundraising Campaign

Foci Development

Academic Infrastructure

Programmatic Development

SUNY Mission II

Review

Government, University, Industry

Task Force

Community Engagement Task Force

Bioinformatics Business Planning

Task Force

= Current Activities

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High Level Planning Calendar

Government, University, Industry Task Force

Community Engagement Task Force

Bioinformatics Business Planning Task Force

SUNY Mission II Review

July August September October November December Initiatives

Academic Planning

Assessment / Prioritization of Operational Initiatives

Development of Campus Budget Process

Space and Capital Planning

Graduate, Undergraduate and Research Centers

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Strategic Planning Discussion

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Concluding Remarks

John Simpson

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Guiding Principles

2. Understand and preserve our core values and our purpose

3. Have a culture of discipline

4. Understand the reality of our current enterprise

5. Have the right people in the right roles

6. Engage in continuous dialogue and debate

7. Understand what we can be the best at, not necessarily what we want to be the best at

8. Move beyond good and competent to great and excellent

1. Have a single unifying vision for the University