volkwein- penn state the challenges of strategic planning and enrollment management cair – san...

Volkwein- Penn State

The Challenges of Strategic Planning and Enrollment ManagementCAIR – San Francisco 2015

Address by J. Fredericks Volkwein

Professor Emeritus and Founding Director of the Institutional Research ProgramPenn State University

Address by J. Fredericks VolkweinProfessor Emeritus and Founding Director of the Institutional Research Program

Penn State University

-The job market increasingly rewards higher levels of educational attainment.

-State level Public Funding is difficult.

-Institutions compete more intensely for private giving. -Students and their families bear more of the costs of college attendance. -Government funding for student loans, and consequently student debt, have increased dramatically.

The All Too Familiar Higher Education Context

- Competition for students is becoming more intense, so campuses are investing heavily in enrollment management and student services aimed at both domestic and international students.

- The Regulatory Climate has forced campuses to hire specialists to respond to a myriad of federal and state and accreditation requirements. - Consequently, the proportion of the campus FTE workforce devoted to activities other than teaching and research has increased on average from one-third to two-thirds.

The All Too Familiar Higher Education Context


What is Strategic Planning ?

Planning can be defined as a conscious process by which an institution assesses its current state of affairs and the likely future condition of its environment, identifies possible futures for itself, and then develops organizational strategies, policies, and procedures for selecting and getting to one or more of them.

By Marvin Peterson

The scholarship on planning shows strong agreement about sequence of steps: mission, objectives, external analysis, internal analysis, development of strategic alternatives, strategy selection, implementation, and control of the strategy. (Ginter et al.)


Strategic Planning vs. Conventional Long Range Planning

• Strategic PlanningExternal focusProcess oriented- a stream

of decisions by the CEODynamic and change

oriented Innovative, creative, riskyA Vision of the Future that

guides decision-making

• Conventional Planning Internal focus Product oriented- A Master

Plan guided by the CPOEmphasizes stabilityRelies on safe stepsBlueprint for the future that

is to be carried out


The Leadership for Strategic Planning


The Heart of Strategic Planning

•In business organizations, bettering one’s condition includes capturing market share and improving profits.

•In higher education, bettering one’s condition includes hiring better faculty, recruiting stronger students, upgrading facilities, strengthening academic programs and student services, and acquiring the resources needed to

accomplish these things. •The “strategic” part of strategic planning involves shaping

the institution in ways that will assure mission attainment by capturing and maintaining a market niche in the competition for resources, faculty, and students.


The Janusian Nature of Strategic Planning

External Competition for Market Niche and Resources

Internal Reshaping, Self-Assessment, Evaluation and Improvement


Institution Niche Building

Common Strategies for Capturing Market Share:

In BusinessHigh Quality

Low Cost

Convenient

Special Product

In Higher Education

•Top Tier/Name Brand

•Low cost or Best Buy

•Convenient/Accessible

•Specialized Institutions & Programs focused on particular vocations and careers


Strategic Niches

Separate Competitive Markets Ranked by U.S. News

National Categories Top Tier Universities

Other Universities

Top Tier Liberal Arts Colleges

Other Lib. Arts Coll.

Professional Schools

On-line Programs

Regional Categories•North

•Bachelors•Masters

•South•Bachelors•Masters

•Midwest•Bachelors•Masters

•West•Bachelors•Masters

LocalMost Community Colleges


Public Universities in New York State

Strategic Planning Examples

SUNY AlbanySUNY Binghamton

SUNY BuffaloSUNY Stony Brook

City University of NY


Binghamton Strategy

Public Ivy Image

Examples: Public = U.C. Santa Cruz, William & MaryPrivate = Dartmouth, Princeton, Rice

Invest in Undergraduate Education & weighted more heavily toward

programs in humanities, arts, literature, languages

Fewer Students, Smaller Size More Selective

Bottom Up Approach to Quality


Stony Brook Strategy

National Research University Image

Public = U. Cal. BerkeleyExamples:

Invest Heavily in STEM Research & Graduate Programs

Recruit Faculty Stars

Private = Johns Hopkins

Top Down Approach to Quality


Albany Strategy

Balanced All Around Image

Examples: Public = University of Virginia, U.C. Santa BarbaraPrivate = Harvard, Stanford, Cornell University

Maintain Mission and Program Balance

Both Undergraduate & Graduate Education

Both Faculty Research & Teaching

Both Student Selectivity & Access

Low Cost & High Quality & Medium Size

Sciences/Social Sciences/Humanities/Prof Schools


Buffalo Strategy

More Students, More Faculty, Larger Size

Bigger is Better

Flagship Image

More Resources

Public = Ohio State Univ., Michigan, Penn StatePrivate = New York U, Univ. Southern.California

Examples:


CUNY Strategy

Urban Service University Image

Public = Temple, Wayne State, Chicago State, San Francisco StatePrivate = Boston U, Howard U, Miami U

Examples:

Open Access, Local draw

Faculty Address Urban Problems

Most Students Pursue Vocational Curricula

Political and Corporate Support


Public Universities in New York State

SUNY AlbanySUNY Binghamton

SUNY BuffaloSUNY Stony Brook

City University of NY

Different within-sector Strategies


The Value of Starting with a Model

• Encourages Clarity of Purpose

•Serves as a Logic Chart, Road Map, Organizer

•Assists Workload Conservation (concentrates energy and attention, streamlines the

planning process, reduces the amount of data collection, data storage, analysis, and reporting)


Institutional MissionEducational PurposeRole and ScopeGoals and Objectives

Strategic SWOTMatching Process

External Constraints, Needs, Threats

& Opportunities

Internal CapacitiesStrengths & Weaknesses

Decisions on Programs, Priorities,

Policies, Budgets

Strategic Planning Model(Shirley and Volkwein, 1978)


Taxonomy of Mission Statements(Volkwein, Lang & Lopers-Sweetman, 1991)

• LEGAL CHARTER: Government, corporate, or private

• MESSIANIC TABLETS: Vision articulated by the President or Trustees

• HISTORICAL: what the institution is, how it came to be

• ACTION PLAN: goals and objectives, often provoked by external situation/forces

• INSTITUTIONAL CULTURE: faculty/student common internal understanding about the educational philosophy and purpose of the institution.

• SCALE & CAPACITY: enrollments, resources, and physical requirements needed for goal attainment

• ANTHOLOGY: compilation of mission statements from administrative offices and academic departments


Vision Statement

• L.L. Bean (1947)“Sell good merchandise at a reasonable price, and

treat your customers as you would your friends, and the business will take care of itself”


Campus Contexts: Variable Environments

• Variable Population Growth: – No/Slow population growth and stable/declining school

enrollment (Most New England and North Central States)– Higher growth (Most Southern and Western States)

• Variable Revenue Systems:– States that rely heavily on graduated personal income taxes

versus sales & natural resources taxes

• Variable Economic Growth: – Relatively steady/predictable economic growth versus

unsteady/variable economic growth

• Variable Public/Private Balance: – Some States have a high proportion of student enrollments

in private and for-profit colleges and universities.


ENVIRONMENTAL SCANNING

International & Worldwide

Regional & National

State & Local

POLITICAL &

LEGAL

ECONOMIC

SOCIAL & DEMOGRAPHIC

SCIENCE &TECHNOLOGY

Analyzing the changing environment – Needs/Constraints/Threats/Opportunities


Internal Assessment of major strengths & weaknesses

Evaluative Criteria to Assess Programs & Services– Quality-

Adequacy of resources and servicesFaculty Productivity in teaching, research,

scholarship, & serviceLibrary, facilities, equipment, technologyStudent outcomes & Program goal attainment

Need-Mission CentralityComparative & locational advantageCurrent and projected demand

Cost- particularly in relation to revenues and benefits


Institutional Mission& Educational Purpose

Role and ScopeGoals and Objectives

Strategic SWOTMatching Process

External Constraints, Needs, Threats

& Opportunities

Internal CapacitiesStrengths & Weaknesses

Decisions on Programs, Priorities,

Policies, Budgets

Strategic Planning Model(Shirley and Volkwein, 1978)


The Key Objects of Planning Include:

• Academic and Research Programs (which to add, grow, leave unchanged, reduce, discontinue).

• The Financial Plan (revenues and expenditures).

• Human Resources Planning (Positions & Salaries).

• Buildings & grounds, Furnishings & Equipment, Facilities & Space Management, Technology & Information Systems.

• The Enrollment Plan (Three Stages: Student Admissions, Orientation & Integration, and Persistence & Success).


Four Roles for Institutional Research in the Strategic Planning Process

External AnalysisDetermining Need

(scanning, monitoring,forecasting)

Internal AnalysisDetermining Quality(assessing strengths

& weaknesses)

Decision AnalysisDetermining Cost/Benefit

(The consequences of alternative choices)

Evaluation AnalysisDetermining Effectiveness(Documenting the Results, monitoring performance)


Typical IR Activities Supporting the Planning Process

Peer Benchmarking

AnalyzingEconomic Forecasts

Environmental Scanning at the Beginning

Feedback at the End

Analyzing Population

Trends

Projecting Enrollments

Projecting revenues

EmployeeCompensation

AnalysisEstimating EmployeeTurnover

Developing/Tracking Key Performance Indicators

Space Use &Facilities Analysis

Evaluating Program/Policy

Impact

Strategic PlanningResearch

Tracking Rates of Admissions,

Attrition,Graduation


The Importance of Enrollment Management

• The financial health of public and private institutions alike are substantially enrollment-driven.

• Student recruitment, admissions, enculturation, and education are expensive activities that become even more costly under conditions of high turnover.

• E. M. serves as an important mechanism for promoting student-institution fit.

• Good E. M. demonstrates institutional effectiveness to stakeholders.

• Thus, E. M. has become one of the most important ingredients in strategic planning.

Orientation and Integration

Persistence, Graduation,Success

Attracting, Admitting,and Enrolling Students

ENROLLMENTMANAGEMENT

MODEL

Volkwein- Penn State, CSHE

THREE-STAGE

Attracting, Admitting,and Enrolling Students

THE TRADITIONAL EM CORE • Student Choice and Fit• Admissions Marketing • Applications Management• Tuition Pricing• Financial Aid Packaging• Strategic Niche Building


Stage 1

Orientation and Integration

THE FIRST-YEAR EXPERIENCE• Orientation• Curricular Access & Advisement• Campus Climate• Remediation• Support Services•Academic and Social Integration

Stage 2

Persistence, Graduation,Success


INSTITUTIONAL EFFECTIVENESS• Student Learning and Academic Performance• Satisfaction and Institutional Commitment• Student Tracking and Retention • Alumni Studies & Career Outcomes• Improvement

Stage 3

Research on Student Choice

Tuition Pricing Analysis-

Enrollment Projections

Revenue Projections

Student Tracking

Admissions Marketing Studies

Feedback from alumni and employers

Research on Attrition/Persistence

/Graduation

Studies of Campus Climate

Evaluating Support Services

Financial Aid Packaging

Enrollment Management

Research

Admissions Yield Research

Assessing the student experience

Orientation & Integration

Admininistrative Options for Organizing Effective Enrollment Management

• Form An EM Committee

• Designate an EM Coordinator, Director, or Office

• Matrix Management Responsibilities for EM

• Create an Administrative Division or VP for EM


Form An EM Committee

• Useful way to begin – quick, low cost, familiar way to addresscampus problems

• Promotes Collaboration and Systemic Thinking about student recruiting and retention

• Commonly chaired by Admissions Director or Student Affairs VP,or sometimes a Faculty Chair

• Little authority to implement change

• Can be an ineffective time sink


Designate a Director/Coordinator of EM

• Assign EM responsibility to an existing mid-level manager

• More accountable than a committee but person-dependent

• Potential workload conflict between the coordinator’s responsibilities for EM and other duties

Give Matrix Management Responsibilities for EM to a Senior Administrator

• More centralized, more organized way to promote constructive change

• Direct connection to the resources and influence of top management

• Dual reporting relationships for the heads of key EM offices

• More elaborate, confusing, and difficult to implement

• It’s success is more administrative-culture dependent

Create an Administrative Division for Enrollment Management

• Requires the most Administrative Reorganization(usually with a VP title)

• Pulls together all the campus offices & operations that impact EM

• Most centralized, most effective, most disruptive, most costly


“Well then, if ‘commandments’ seems too harsh to me, and ‘planning guidelines’ seems too wishy-washy to you, how about ‘The 10 Policy Statements’ ?”

In Conclusion,


Volkwein Predictions for Higher Ed

1. University Enrollment will Grow & become more diverse – due to population growth,

increased participation rates, and need foreducational credentialing.

2. Higher Education Decisions and Policy will become increasingly research based.

3. Driven by Accountability, Attention to Educational Outcomes will increase.


Volkwein Predictions

4. Economies of scale will favor large institutions, and small campuses will struggle. Larger colleges and universities (in general with some exceptions) are more efficient to run (have less cost per student). Larger and better supported institutions (in general with some exceptions) have higher salaries, more financial aid, more elaborate facilities and technology.

5. The most successful colleges and universities (of all sizes) will continue to be those that find a special niche and manage their enrollments effectively --

Educational and financial success will come to those that build a special identity for particular populations of students, particular areas of faculty expertise, or particular curricula.


Use Remaining Slides ONLY IFNeeded during Q&A


The Levels of Planning Include:

Strategic/Institutional Level--Carried out by the Executive & VPs & Governing Board--Concentrates on Mission and attaining Long Range Goals--Most likely to benefit from good Institutional Research

Tactical/Middle Management Level --Carried out by the Deans and Office Directors--Concentrates on Academic Programs and Administrative Priorities--Middle Time Frame (2 or 3 years)

Operational/Implementation Level--Carried Out by the Faculty & Professional Staff--Concentrates on Taking Action Steps that Achieve Objectives--Short Time Frame (usually one year or one budget cycle)


The Bureaucratic OrganizationWhere Administrators work

Executive Control

Hierarchical Lines of Authority and Communication

Authority Based on Position

Division of Labor

Delegation of Responsibility

Tightly-coupled

Rational Communication thru Channels

Resolve conflict via the Hierarchy

Rules & Regulation Guide Behavior to Ensure Equity in Treatment of Employees and Clients

Places High Value on Efficiency, and Theory X


The Professional OrganizationWhere Faculty Members Work

Professional Control and Values

Authority Based on Knowledge

Shared Decisions Based on Merit and Persuasion

Resolves Conflict via Consensus

Open Communication and Mutual Trust

Places High Value on Effectiveness, and Theory Y

Loosely-coupled


These Separate Value Systems Live together in Colleges and Universities with IR in the middle

Leadershipand Governance

IR

The Admin. Bureaucracy

The Faculty Professional Organiz.

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