Request for Reaffirmation of Accreditation
Institutional Advancement Operational Plans
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- Step 1. Revenue Projection
- Step 2. Evaluate Departmental Budget Requests
- Step 3. Identification of Unavoidable Expenses.
- Step 4. Efficiency Savings
- Step 5. Forecast Additional Expenses
- Step 6. Budget Monitoring
- Core Component 5.B: The institution’s
Institutional Advancement Operational Plans The global recession had a tremendous impact on state budgets. The state of Ohio, with its significant manufacturing base, was hit harder than most states; in turn state budgets were cut and higher education was not spared. As a result, external funding was increasingly needed to bridge this significant gap. In the midst of this global crisis, of course, came the stock market collapse; as a result, endowments and giving dwindled. This presented a major challenge for many institutions in Ohio, including CSU. However, since that low point in 2009, the Institutional Advancement area has continued to provide increased financial support to the institution. Some of the major initiatives and achievements are as follows:
The Division is pursuing additional financial support from a wide range of private donors, ranging from individual alumni to major foundations. Private support has been limited in the past for a variety of reasons, but the importance of this support is obvious as states continue to limit funding for higher education. 5.A.3. The goals incorporated into mission statements or elaborations of mission statements are realistic in light of the institution’s organization, resources, and opportunities. CSU is dedicated to fulfilling its mission and to achieving mission-related goals. The University believes that its goals are realistic given the University’s organization resources, and opportunities. In early 2012, a team of consultants, secured and directed by the Chancellor of the State of Ohio, visited the University to evaluate and develop a plan for CSU. The team was tasked with collaborating with the Board of Regents, the Board of Trustees, the CSU President and administration in order to develop proposed strategies to assist in the advancement of progress at Central State. The report confirms that, as Ohio’s only public HBCU, Central State is necessary and valuable to the growth of the state of Ohio. In the 2011 report by the Chancellor of the Ohio Board of Regents (OBR) titled, "Accentuating Strengths/Accelerating Progress" , the Chancellor of Ohio’s Board of Regents states that, “As the University System of Ohio…pursues an aggressive goal of growing the number of Ohioans with baccalaureate degrees, it will require that Central State continues to graduate the distinct profile of students that it seeks to serve”, (p.3). If Ohio is to increase the number of graduates, the number of graduates from underrepresented groups, most of whom attend CSU must be increased as well. CSU is poised to play a key role in the attainment of this goal. The University had to make adjustments and changes in its budget to meet the new reality of shrinking state budgets, tuition restraint, and performance-based funding. In 2011, with direction from the new administration, a new plan or roadmap was initiated to further define the direction of the institution. In the Spring 2012, the Chancellor of the OBR unveiled a second plan called Honoring Ohio’s Historically Black Public University: A Plan for Advancing Progress at Central State University as a sequel of "Accentuating Strengths/Accelerating Progress". This report, which is defined in detail in Criterion One, provides a summary of the strategic initiatives included in the CSU Strategic Plan. Copies of this initiative is available in the evidence file. The report describes the strategic initiatives for CSU to move forward. This plan does not allocate any new resources, but it gives a more realistic goal to achieve in the next three years, The financial support currently in place allows the institution to grow toward an optimal size; however, more detailed metrics and plans must be achieved to continue to receive the level of state support CSU currently enjoys. 5.A.4. The institution’s staff in all areas is appropriately qualified and trained. CSU’s staff in all areas is appropriately qualified and trained. The University conducts credential audits every year. Background checks and investigations are conducted by the office of Human Resources as part of the hiring or employment process for all employees who submit job applications to the University. The Office of Academic Affairs also conducts faculty credential audits for every faculty hired to ensure that each is qualified to teach, conduct research and guide students within the discipline or department in which they are hired. Credentials Audit The University has a commitment to ensuring that its staff members are capable and qualified to perform the duties of the positions they hold. The University recognizes that the success of meeting its mission is directly related to the success of its employees. The University has thus conducted a credentials audit of all staff members. As a result of the credential audit, it was discovered that staff members overwhelmingly meet the minimum qualifications and required credentials for the positions they hold. The credentials audit focused on evaluating whether employees met the credentials that were advertised for the positions they hold. This included employees working in all areas across campus, including employees serving on the President’s Cabinet to employees in the service occupations, and all other staff members. The audit revealed that the majority of personnel files accurately document that the employee meets the minimum qualification for the position. This documentation primarily includes transcripts verifying the highest educational degree earned. Employees whose files do not document their credentials are required to submit the appropriate documentation. When it was discovered that a staff member has not met the required qualifications, the direct supervisor is required to justify in writing the qualifications and experience of the individual who is holding the position. This justification is added to the employees file in the department as well as Human Resource personnel file. Policy regarding University’s requirement for credentials audit of every staff is contained in the document, “Staff Credentials Audit.” The University's required qualifications for various positions are in line with qualifications for similar positions at other public Ohio Universities and Colleges. Education through degree attainment and applicable related job experience are key qualifications for many staff positions across campus. The University requires those holding positions of Director or above to hold graduate and/or professional degrees, such as a master’s, with applicable experience. Furthermore, the University requires that individuals performing in professional and specialized positions in any area to attain at least a bachelor’s degree, as well as any required certifications or licensure. Background Checks and Investigations In 2005, the University implemented background checks and investigations for all new hires. Prior to being offered a position, all candidates must undergo a background investigation. The University contracts with an investigative firm to ensure access to the most comprehensive background investigations. The magnitude of the background investigation varies depending on the position. The investigative areas may include education, employment, criminal, driving history and credit background of candidates for employment. All background investigations are performed through Human Resources. Professional Development The University recognizes the need to assist faculty in learning and using the latest teaching techniques. Thus, a faculty development program is in place, under the leadership of a full-time Director of Faculty Development. The director’s role is to identify and provide development activities specifically for faculty to help them continuously improve, both in the classroom and in service to students. The faculty development program provides training on a variety of topics that are germane to facilitating excellence in teaching. Since the 2003 Self-Study, a Training & Development program called Process College has been established for all employees, both faculty and staff. This program is designed to ensure that employees have the opportunity to enhance their career and professional skills. The training and development program is open to all employees and is supported and attended by the entire range of employees, including service workers, technical workers, professionals, support workers, supervisors, managers, and even Cabinet members. Process College is coordinated through Human Resources and includes courses and presentations offered by University employees who have acquired expertise in their given fields. In addition, community partners, vendors, and others with an interest in the growth and development of University employees also serve as presenters for the Process College. The program offers courses in the areas of process skill development, management development, individual professional development, career and technical areas, wellness, safety, and employee assistance concerns. The topics cover a wide range of varied topics, ranging from conflict resolution to budget management, customer service to injury reporting and from workplace violence to processing purchase orders. The training calendar for employees parallels the school calendar for students. In preparation for the 2013 HLC visit, the Process college also included discussions of the Self-Study process and the report resulting from the process. The CSU Presidential Leadership Institute (PLI), is the premiere employee-training program, founded in October 2010 by former president John W. Garland. The PLI is coordinated by an Advisory Team appointed by the president. This Advisory Team represents various constituencies across campus. The PLI is open to faculty and staff in leadership positions or desiring to be in leadership positions. It is designed to facilitate collaborations across campus, improve networking, and train employees for leadership positions. It is an eight-month program where 10 to 30 employees are selected based on a competitive application process where a Cabinet member recommends the most successful applicants. One of the most rewarding components of the program has been the requirement of a class project, whereby the class members, called Fellows, present a program or service that they will manage in order to enhance some program or service on behalf of the University. The PLI is a highly regarded program at the University among faculty and staff. The PLI also serves as a best practice model of employee development at many institutions of higher learning. Further information on the PLI is contained in the Self-Study Resource Room. 5. A.5: The institution has a well-developed process in place for budgeting and for monitoring expense. CSU has a prepared budget for the current year and the capacity to compare it with budgets and actual results of prior years. The University has a well-defined process for allocating its financial resources in alignment with its plans for the future. Alignment of resources with campus mission, plans, and priorities is the result of a systematic budget process. The current process has been in place for several years and the University Cabinet oversees the process. Through careful development and allocation of its resources, CSU maintains adequate financial resources to support educational quality. CSU’s operating budget is developed annually and modified as needed. The annual budgeting development process begins in January of each year and is completed by the June Board of Trustees meeting of that year. The steps used in the CSU budgeting process are described below: Step #1. Revenue Projection: Revenue is comprised primarily of three sources: state funding, tuition and fees, and other sources, including miscellaneous revenue, indirect cost, and other state funding. This step consists of projecting tuition and fee income based on enrollment projections and fee changes, and projected state appropriations. State funding is usually known in advance with minor changes or adjustments based on state budget changes. All assumptions regarding enrollment and fee increases are developed and reviewed by the Revenue Subgroup, which begins meeting at the beginning of the calendar year. The meeting is facilitated by the Budget Office, and the group is comprised of representatives from all divisions within the University structure which include the following:
Proposals are made regarding enrollment levels, fee changes and student demographics (residency, in-state versus out of state). These proposals are examined and voted on. The Budget Office runs revenue models based on several options. The outcomes are reviewed, and the committee determines the enrollment and fee information to be used in the recommendation to Cabinet. Once a final recommendation is made, the budgeted revenue is finalized. The revenue budget, with enrollment and tuition and fee rates, is submitted to the Cabinet for review and approval. Step #2. Evaluate Departmental Budget Requests: The Budget Office generates base operating expense data and headcount information to distribute to University Vice-Presidents (VPs). A budget letter, guidelines and assumptions are included in the packets. Each division must review the headcount data for accuracy and generate a base budget for the fiscal year. The base budget should be developed based on the strategic initiatives for the division. Step #3. Identification of Unavoidable Expenses. Each division's VP is charged with identifying those expenses that are categorized as "must-pays." These unavoidable items are those mandated by either internal or external forces. Expenses in this category include, but are not limited to, utilities, maintenance and repair contracts, insurance, and assessments. Step #4. Efficiency Savings: Additionally, each division may submit efficiency savings equal to a percentage as instructed by the CFO. The operating expense, other than salaries and benefits, is carried over from the previous year, and the divisions are instructed to move funds among the accounts based on projected spending needs. In cases where no additional funds are allotted, it is up to the discretion of the division VP to determine how to allocate the funds to the must-pays and strategic initiatives, and then to the remaining expenses. Efficient savings is a key component of the budget process, and the University continues to seek out new projects and opportunities that will result in expense reduction. Listed below are programs/categories where savings and improvements have resulted in cost reductions:
Step #5. Forecast Additional Expenses: Each VP may propose new funding requests based on the strategic initiatives within their reporting areas. Mission critical initiatives are brought forth for discussion and approval. Additional funding requests are reviewed by the Cabinet and prioritized. The Cabinet votes to determine which items will be funded based on the available budget. The items with the highest priority are funded first, consistent with the University's strategic priorities, until all additional funding has been allocated. The total expense information is submitted to the Budget Office where it is compiled to generate the total budget expense. If the budget is balanced, it is submitted to the Board of Trustees for approval. If expenses are higher than the revenue budget, the Cabinet must propose changes that will bring the expense in line with the revenue. In this case, the expense budget is sent back to the Cabinet and adjustments are made with all divisions providing input and prioritization. Once these changes are determined, a balanced budget is prepared for the Board of Trustees’ review and approval. In addition to the budget process, in 2008 the Cabinet initiated a couple of actions to improve the institution’s financial health and its ability to address emergency needs. A three-percent contingency fund was established as a separate line item in the budget, and a vacancy recapture process was instituted to sweep excess salaries into the contingency account to address strategic initiatives and emergency needs. These two actions provide an unrestricted funding source to hedge against state reductions and major unplanned events, and to increase cash reserves. Step #6. Budget Monitoring: The budget monitoring process at CSU is very aggressive and restrictive. The expense approval process remains at a very high level even with very low expense requests. This restrictive approval authority requires significant attention to all expenses involving the institution. Due to the level of resources, financial review and approval levels have remained quite stringent. In support of this aggressive review, the institution submits a monthly financial report to all divisions. The report contains the budget and expenditure amounts by department and account. The University uses a business indicator in order to show the rate of spending is at, below, or above the anticipated spending at a given point in time. The Key Item Indicator Report, prepared monthly, contains various schedules displaying budget and actual revenue and expenses. This data is included in the quarterly Board of Trustees report. Included is a current to prior-year comparisons that has become the primary chart for review at the quarterly board meeting. It is also being prepared monthly to be reviewed internally. The Negative Balance Report assists in the monitoring of expenses. This report captures account spending in excess of budget. This report is distributed monthly during the early part of the fiscal year; it is generated weekly toward the end of the fiscal year. Divisions are required to clear all negative balances via the budget modification process, moving funds from one account into another. Core Component 5.B: The institution’s governance and administrative structures promote effective leadership and support collaborative processes that enable the institution to fulfill its mission. 5. B.1. The institution has and employs policies and procedures to engage its internal constituencies—including its governing board, administration, faculty, staff, and students—in the institution’s governance. The University has extensive and comprehensive policies and procedures that address various issues across the University. These policies and procedures are accessible to the public, as they are published on the University’s website at www.centralstate.edu on the Policies and Procedures page. The policies and procedures are organized into ten different areas as follows:
Policies and Procedures These are written guidelines governing the process for establishing and approving policies. The University has a Policy Review Group (PRG) comprised of representatives from across campus. The Vice-President for Administration & Chief Financial Officer serves as Chair of the committee. There are also select individuals representing key department and division areas serving on the committee. These key areas include Academic Affairs, Human Resources, the Dean of Students, and Sponsored Programs and Research. Generally, for the purposes of the PRG, a policy is defined as a written statement of what needs to take place to promote the prudent management of the University’s affairs. A procedure is a written statement of how a policy will be implemented. The PRG abides by a written PRG Charge that governs the workings of the PRG. The process for establishing a policy includes announcement review by the PRG, review by the Cabinet, announcement and feedback for the campus community, and final approval by the PRG and the Cabinet. Once the Cabinet has given final approval, the policy must be approved by the Board of Trustees. Any revisions to a policy must likewise follow the approval process and be approved by the Board of Trustees. The charge to the Policy Review Group, and Review and Approval of Policies and Procedures are provided in the Self-Study evidence files.
Ohio Board of Regents The Ohio Board of Regents provides broad oversight and coordinating authority for higher education in the state, including for Central State University, via the University System of Ohio. The University System of Ohio was developed by the OBR in 2007 to better “plan for higher education in the state” as required by Ohio Revised Code 3333.04. The University System promotes and provides collaboration and sharing of services between public institutions. Despite creation of the University System of Ohio, public universities in Ohio do not function as one entity, as is the case in many states. In Ohio, each institution has autonomy with its own board of trustees, unique culture and academic mission. The OBR, however, does exercise considerable authority in its coordinating role and in its budget processes. The Regents propose the total state funding budget for all public colleges and universities, including CSU. The OBR plays a great role in the academic and budgetary standing of the University. Of great importance is that the Board of Regents facilitates the review and approval process for new academic programs to meet statewide strategic goals for educating the citizens of Ohio. In addition, the OBR submits the overall higher education budget to the Ohio legislature for final approval. Thus, CSU’s biennial funding request and its periodic capital improvement request are vetted through the OBR. Board of Trustees As previously described, CSU’s Board of Trustees is appointed by the Governor of the state of Ohio, is part of the University’s Executive Team, and works closely with the President to oversee all University operations. The Board of Trustees for CSU is created under the authority of the Ohio Revised Code (ORC), Section 3343.02 Appointment of trustees – term. The Board of Trustees is responsible for the legal conduct of University business, and sets policy for all aspects of the institution. The CSU Board of Trustees has nine members, including a Chair, a Vice-Chair, and a Secretary. Trustees serve staggered terms, thereby ensuring that experience and knowledge transfer is continual and uninterrupted. Board members come from a variety of professional and leadership backgrounds, including law, education, leadership, business, and government, and community engagement. Board members also come from diverse backgrounds and represent a cross section of geographical areas in the state of Ohio. In addition to the professional Board members, two student trustees also serve on the Board. The Board is organized into four standing committees that reflect major sectors of University operations:
The Board’s current Code of Regulations was adopted on March 17, 1997, and amended on September 7, 2001. It provides detailed formats and policies for discharging the Board’s governance responsibilities, and is on file in the Resource Room. The Board of Trustees functions autonomously from the University Administration. The staggered appointments, the fact that Board members are a required appointment by the Governor, and the vast experiences, varied background and overall diversity of the Board all assure that the Board acts impartially on behalf of the University. The Board has a strong commitment to ensuring the success of CSU. Although the Board is only required to meet twice a year by law, it holds four public meetings, occurring in February, April, June, and November, and other meetings deemed appropriate by the Board. In addition, each committee meets prior to each public meeting, ensuring that all Board members are well informed and engaged prior to any business decisions being decided at the public Board meeting. The committee meetings provide the opportunity for employees of the University to interact and present critical information on the operations of the University in a focused committee area. The Board and the President’s Executive team oversee all functions of the University. President's Executive Team - Cabinet The president’s executive team has already been described and consists of the Vice Presidents who lead the five divisions, the University Counsel, Athletic Director, and the Director of Government Relations. Cabinet serves as advisors to the President and participate in the decision-making processes and make recommendations to the president. They also have authority to approve funding for areas which do not require Board approval. The Cabinet presents proposals for projects which require major funding to the Board of Trustees. Members of the president’s Cabinet are also Vice Presidents who lead of the following seven Divisions on the CSU campus.
Responsibilities of each Vice President include leading each division and serving as the supervisor of all operations and all the staff employed within each division. Organizational charts for each of the Divisions and the various offices under each division are provided in the Self-Study report evidence files and in the Self-Study Resource Room. 5. B.3. The institution enables the involvement of its administration, faculty, staff, and students in setting academic requirements, policy, and processes through effective structures for contribution and collaborative effort. The institution's administrative structure includes a chief executive officer, chief financial officer, and chief academic officer with appropriate credentials and experience and sufficient focus on the institution to ensure appropriate leadership and oversight. The University governance and administrative structures promote effective leadership and supportive collaborative processes that enable the institution to fulfill its mission. Other Administrative Councils or Groups include the following:
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