Sam Houston State University (SHSU) demonstrates commitment to the principles of continuous improvement by engaging in ongoing, comprehensive, and integrated research-based planning and evaluation processes. These processes are focused on improving institutional quality and effectiveness, and they allow the University to continuously review its institutional goals and outcomes consistent with the University’s mission [1]. Institutional planning processes at SHSU are integrated throughout the University structure [2], and they encourage information to flow both vertically and horizontally in order to effectively plan for, and carry out, necessary University operations.
Institutional Mission, Vision, and Goals
In 2012, approximately 70 University personnel, including faculty, staff, and administrators, attended a visioning and planning retreat to evaluate, discuss, and update the University’s mission, define vision and values for messaging, and develop University-level strategies. From this process the University mission, vision, and overarching goals were developed. Institutional planning processes and operations are ultimately guided by the University mission [1], vision, and overarching goals [3] [4]. The mission of SHSU is to provide “high quality education, scholarship and service to qualified students for the benefit of regional, state, national and international constituencies.” The vision of SHSU is to be the “Best at Educating the Texas Workforce” and to provide “Excellence in academics,” be “Effective in student success,” be “Efficient in operations,” be “Loyal to traditions,” and be “Dedicated to innovation.” The planning and operations of the University are further guided by five broad goals:
Strategies to Ensure an Ongoing and Comprehensive Institutional Planning and Effectiveness Process
There are a number of different committees and processes that help contribute to the ongoing, comprehensive, integrated research-based planning and evaluation processes at SHSU. Listed below are descriptions of some of the key committees and processes that assist with these functions.
Campus Master Plan
The Campus Master Plan is a guiding document for institutional planning and operations [5]. The original 2008-2020 Campus Master Plan for SHSU was approved by the Texas State University System Board of Regents in August 2008. However, in response to new enrollment and new academic trends, it was determined that revision was needed, and a revised Campus Plan was implemented in 2012. To develop the revised plan, several focus groups and committees were formed to provide a broad spectrum of input during each task of the Plan Update process. These groups included faculty, staff, students, administrators, regents, and community leaders. The 2012 Plan Update was conducted over a 6-month time frame and consisted of five major tasks: Discovery, Analysis, Idea Generation, Refinement, and Documentation.
The Discovery task included the establishment of planning objectives, collecting data, and conducting meetings and interviews to ascertain key campus issues. Some of these issues included academic and research programs, utility infrastructure, storm water infrastructure, athletics and recreational sports, mobility, safety, future real estate acquisitions, and community endeavors. The objective of the Analysis task was to evaluate the data collected in the Discovery task, and to uncover meaningful relationships for on- and off-campus elements. The Analysis task also assisted in identifying opportunities and constraints that would influence future planning decisions on campus. The Idea Generation phase tested three future alternative scenarios of campus development based on the results of the campus analysis. The Refinement phase combined the best of the alternatives, based on committee input, into a preliminary campus plan. The Refinement phase became a foundation for the final plan, which reflected the key concepts relating to space needs, pedestrian corridors, open space, building and land use, vehicular circulation and parking, and infrastructure corridors. The final phase, Documentation, included recording the project approach, process, and Plan Update recommendations.
The results of the physical planning process were guided by a demographic and capture rate exercise, future enrollment, a space utilization study, and an understanding of future program opportunities. Several steps were taken to evaluate existing and future demands and the pressures of capacity on campus. Additionally, an in-depth study of infrastructure needs was examined to align with the future 2012 Plan Update elements. Future campus growth also impacts storm water runoff in the SHSU community. Klotz Associates, a civil engineering firm, examined existing flow data in the sub-watersheds surrounding campus and the proposed 2012 Plan Update development opportunities to provide necessary future storm water improvements.
The updated Campus Master Plan was designed to serve as a planning tool to give the University the flexibility it needs to address the changing needs of the SHSU students, faculty, and staff, as well as the City of Huntsville. This Plan has served as a long-term guiding document for program development and for facilities planning and construction at SHSU, and will continue to guide institutional planning through 2020.
Examples of Strategic Planning Processes
Strategic planning processes represent useful tools employed by units at SHSU to help with ongoing planning and effectiveness efforts. The development of these plans helps units define and accomplish long-term visions for growth and improvement, as well as helps with operational planning and budgeting. Such plans can be developed by individual units, departments, or programs, as can be seen for units such as the Center for Community Engagement [6], the Center for Enhancing Undergraduate Research Experiences and Creative Activities (EURECA) [7], the Honors College [8], the Department of Student Activities [9], and the Greek Life Program [10].
One-Page Strategic Planning Process
Although SHSU continues to acknowledge the value of the development of the more traditional strategic plan documents, recent institutional focus has encouraged the development of one-page strategic plan documents. A one-page strategic plan can help communicate institutional goals clearly and effectively to a wide range of constituents, allowing collaborative alignment and focus of the team, which in turn can promote increased engagement and success in achieving the University’s mission and goals. SHSU’s goal for developing and implementing one-page strategic plans was to produce a repeatable and efficient planning process resulting in reliable and successful outcomes. To accomplish this goal, SHSU ties assessment, strategies, and budgeting processes into one comprehensive planning cycle by connecting assessment data to strategic goals and budget requests [25].
The one-page strategic planning initiative was implemented in August 2017, with a kick-off presentation at a mini-retreat for the President’s Cabinet [26]. Subsequent presentations were made to both the President’s Cabinet and to the Council of Academic Deans in October 2017 [27], and to the Faculty and Administrators Forum in November 2017 [28]. In April 2018, a presentation was made by a one-page strategy workgroup comprised of the following members:
This workgroup presented findings and recommendations to the President’s Cabinet [29]. Members of the group determined that they found value from the process of developing one-page strategic plans, and they recommended that all members of the Council of Academic Deans and President’s Cabinet move forward with developing plans for their areas. At this time, a number of one-page strategic plans have already been developed for different areas of the University, including SHSU as a whole [1], the College of Business Administration [30], the College of Fine Arts and Mass Communication [31], the Division of Student Affairs [32], the Division of Information Technology [24], and the Division of Finance and Operations [33].
Annual Planning and Assessment Process
Another major component of institutional planning and effectiveness efforts at SHSU is the University’s annual planning and assessment process. This annual process is ongoing and comprehensive, and it allows units (from individual programs and departments to college and division levels) to evaluate their effectiveness and to systematically evaluate the attainment of their goals and outcomes. Since the 2007 academic year, units at SHSU have engaged in annual planning and assessment processes in which units regularly identify expected goals and outcomes, assess the extent to which they achieved those outcomes, and provide evidence that they are seeking improvement based on the analysis of their results. Results from this annual planning and assessment process are used by units to develop actions for improvement, including operational and budgetary planning, when appropriate. From 2007-2015, these processes were documented within a locally developed system, the Online Assessment Tracking Database (OATDB). Starting in 2016, SHSU transitioned to the CampusLabs: Planning software [34]. The Office of Academic Planning and Assessment (OAPA) [35] oversees and facilitates this annual planning and assessment process.
The annual planning and assessment process is carried out by a wide range of units at SHSU. Many of these plans are documented in detail within the narratives for standards related to Administrative Effectiveness (7.3) and the Effectiveness of Educational Programs (8.2a) and Academic and Student Support Services (8.2c). Some examples of plans from the 2017 academic year are provided here to demonstrate the range and variety of units participating in the annual planning and assessment process. These units include the Office of the President [36], academic colleges [37] [38], non-academic divisions [39] [40], academic departments [41] [42] [43] [44], academic degree programs [45] [46] [47] [48], non-academic departments, student support units, and administrative offices [49] [50] [51] [52].
Graduate and Administrative Program Review Processes
In addition to the annual assessment processes a number of programs and departments at SHSU regularly participate in comprehensive, program reviews. These processes include Administrative Program Review (APR) for administrative departments and Graduate Program Review (GPR) for masters and doctoral degree programs.
Administrative Program Review
The purpose of Administrative Program Review (APR) [53] [54] is to support executives, managers, and employees of Sam Houston State University administrative and academic support departments in the examination of current operations. The APR process is facilitated by the Office of Institutional Effectiveness and is conducted on a five year cycle. Units engaging in the APR process are expected to complete a self-study document, undergo a peer review, and develop a long-term action plan for improvement. Example documentation for each of the three phases of administrative program review are provided below.
The self-study process [55] [56]. Under the guidance of the Assistant Director for Administrative Program Review, the administrative department completes a self-study document, which addresses the department’s mission statement, facilities, plan for staffing, stakeholder feedback, policies and procedures, and communication/outreach techniques. Supporting datasets and administrative documents are provided to the department head in advance of the self-study. These may include documentation of annual assessments, department budget and expense reports, institutional and divisional goals, guidelines issued by the Council for the Advancement of Standards in Higher Education (CAS), organizational charts, etc.
The peer review process [57] [58]. A peer review committee is identified by the administrative department head. Coordinated by the Assistant Director for APR, the committee consists of, at minimum, one internal reviewer (on-campus faculty or staff from outside the administrative department), one external reviewer (professional not employed at SHSU), and one student reviewer. The role of the Peer Review Committee is to review the department’s self-study, to meet with the department and other committee members, and to complete a rubric documenting evaluations and recommendations. Rubrics are collected by the Assistant Director for APR. Identifying information is removed, and the rubrics are given to the department head for review. The comments and recommendations given by the peer reviewers are taken into consideration as the action plan is developed.
Action plan development [59] [60]. Once the peer review process is complete, the administrative department head works with the Assistant Director for APR to create an action plan, establishing viable plans for continuous improvement. Upon completion of the action plan, APR staff compose an executive summary [61] [62] outlining the department’s review process and action plan objectives. This document is distributed to departmental and divisional
Follow-up Process
Two years following the initial APR process, the Assistant Director for APR and the department head meet to discuss progress made on action plan objectives. Any outstanding issues or barriers to improvement are discussed and addressed, and adjustments to the action plan are made as necessary.
Graduate Program Review
Graduate program review represents an additional component of SHSU’s efforts to ensure quality educational programs. In accordance with Texas Administrative Code, Rule 5.52, Review of Existing Degree Programs [63], all graduate programs at SHSU engage in an external review process. This graduate review process is governed by the Texas Higher Education Coordinating Board (THECB) and is overseen at SHSU by the Dean of Graduate Studies [64].
On a rotating 7-year cycle [65], each graduate program conducts a self-study [66] that addresses the aspects that are common to all graduate programs, as well as aspects that are unique attributes of each program. A self-study is but one tool to guide programs in their continuous planning and improvement efforts in meeting the challenge of serving the needs of students, the University, and external stakeholders. The graduate program self-studies provide overviews of the programs, as well as detailed studies of curricula, graduate faculty, program resources, assessment, student success, recruitment, and marketing. Findings from the Graduate Program Review process allow programs to develop long-term plans for improvement and growth.
The Self-Study Process
The self-study process incorporates three stages, examples of which are provided here as evidence: (a) the creation of the self-study [67] [68] [69], (b) an external review [70] [71] [72], and (c) the development of an action plan for improvement [73] [74] [75]. The program faculty and the support staff conduct a thorough program review and produce a report with appropriate support documentation. A team of external reviewers reviews the report, visits the campus, and consults with program personnel and University administrators. These reviewers subsequently provide an evaluation of the program, which includes an overview of program strengths and recommendations for improvement. University leaders, in coordination with faculty, develop an action plan in response to the results of the self-study and external review. The process is as transparent and inclusive as possible. The self-study, the external reviewers’ report, and the response are all submitted to the THECB.
Follow-Up Process
One year following the program review, the program director, chair, academic dean, graduate dean, and Provost meet to discuss the progress made on the action plan, which addresses the recommendations for improvement. Any outstanding issues or barriers to improvement are discussed and addressed.
Budget Planning and Development Process
SHSU creates an annual budget [76], working within the confines of funding appropriated by the legislature and other fund sources. The State of Texas works on a biennium-budget cycle. On an annual basis, the Budget Committee determines the amount of discretionary funds available by subtracting encumbered monies from the pool of state monies and locally-generated revenues. The budget process combines strategic planning with financial management to provide SHSU administrators with critical information for advancing institutional and student success.
Units use data and information gathered through numerous effectiveness processes, such as annual planning and assessment and program reviews, to develop resource analysis and budget plans. At the beginning of the budget process, college and division leaders analyze the base budgets for their areas and prepare requests or reallocations for the upcoming fiscal year, as well as review New Initiative Budget Requests (NIBR) and Higher Education Assistance Funds (HEAF) requests. Generally, NIBRs are for new positions; new technology, equipment, and supplies; and new contractual services to support new or expanded programs and services. Information submitted in support of all budget requests should describe how the proposal will improve or add to the quality of service of the unit. Furthermore, budget requests must be linked to the strategic/evaluation plans and data of the unit, as well as support the Strategic Plan of the University. Budget requests are reviewed and prioritized by the Division Head on an individual basis by department need [25] [77].
As part of the divisional planning and budgetary cycle, the Budget Office and the Vice President for Finance and Operations will hold meetings with each division to review the proposed budget and all requests. These division budget meetings include a discussion of the unit’s progress toward achieving the goals established in SHSU’s Strategic Plan and the Division’s Goals and Objectives established within its annual outcomes assessment process.
These meetings are followed up with a budget retreat, during which the President’s Cabinet and Council of Academic Deans present their requests to the President. A copy of the Agenda from the April 2-3, 2018, President’s Cabinet/Council of Academic Deans Strategic Planning and Budgeting meeting is provided here as evidence of this process [78]. Institutional and division-specific data are reviewed and discussed at the budget retreat. These data include, but are not limited to, longitudinal comparisons of student, personnel, and financial data [79] [80]. The aforementioned budget requests are compiled into a comprehensive document, and an estimate of available resources is prepared by the Budget Office. Considerations in the budget process include appropriations from the Texas Legislature and anticipated revenue from tuition, fees, and auxiliary enterprises. Expense budgets are established not to exceed the anticipated revenues. The President and cabinet function as the University’s budget committee and meets formally to consider all requests and approve allocations.
Committees and Groups Supporting Institutional Planning and Effectiveness Efforts
President’s Cabinet
Members of the President’s Cabinet [81] include the President, the President’s Chief of Staff, the Provost and Vice President for Academic Affairs, the Vice President for Student Affairs, the Vice President for University Advancement, The Vice President for Finance and Operations, the Vice President for Enrollment Management, the Vice President for Information Technology, and the Director of Athletics. This group meets regularly, usually 1-2 times a month, to study, review, and make recommendations on matters brought up by the committee members; to consider University-wide issues and make recommendations where appropriate; to disseminate information on University-wide activities; and to coordinate, where necessary, University-wide activities and policies. Samples of minutes from the President’s Cabinet meetings are provided here as examples of the work carried out by the President’s Cabinet to support ongoing institutional planning and effectiveness efforts at SHSU [82] [83] [84] [85] [86] [87].
Academic Affairs Council (AAC)
The AAC consists of the Provost and Vice President for Academic Affairs, the Vice Provost, the Associate Vice Provost for Student Academic Success, the Associate Vice President for Distance Learning, the Associate Vice President for Special Programs, the Associate Vice President for Academic Affairs and Academic Planning and Assessment, the Director of the Newton Gresham Library, all academic deans and associate deans, departmental chairs, program coordinators, representatives from key academic support units, and the Chair of the University Faculty Senate. This group serves in an advisory capacity to the Provost and Vice President for Academic Affairs and provides a forum for the discussion of academic matters across SHSU and plays an important role in the initial development and review of academic policies for the University.
Council of Academic Deans (CAD) [88]
CAD membership consists of the Provost, the deans of the academic colleges at SHSU, and the Dean of Graduate Studies. The purpose of this group is to meet regularly to discuss issues and concerns within their respective colleges and areas and for SHSU as a whole. Additionally, this group meets regularly to discuss changes and revisions to institutional policies impacting students at SHSU. This group provides advice and guidance to the Provost on matters related to Academic Affairs, as well as provides strategic leadership to their respective colleges and SHSU as a whole in academic-related matters. Guests from other areas of the University are often brought in to present areas of concern, institutional data, and information for CAD to make decisions regarding institutional operations and the long-term strategic vision of both Academic Affairs and the respective academic colleges. Examples of meeting minutes from recent CAD meetings are provided here as evidence. At the September 2017 meeting, CAD had discussion related to the impact of Hurricane Harvey upon University operations, as well as how to help students whose enrollment had been impacted by the hurricane. Additional discussions were held regarding institutional policies and procedures [89]. At the November 2017 meeting, CAD discussed changes to Financial Aid awarding and changes to the institutional budget process [90]. At the March 2018 meeting, CAD reviewed information presented by the Vice President of Finance and Operations regarding the University budget [91].
Council of Associate Academic Deans (CAAD)
Twenty-one associate deans from each of the academic colleges meet monthly to discuss issues related directly to the concerns of the associate deans for their respective areas and for SHSU as a whole. The purpose of these meetings is to determine areas of disconnect within and across divisions that need clarification, to strategize ways to enhance the student experience, to develop implementation plans for legislative and policy changes, and to analyze college- and University-level data for strategic planning. During the last academic year, CAAD has discussed a number of important topics impacting institutional planning, operations, and effectiveness. Such work has included developing new procedures for readmitting suspended students, making changes and improvements to the University’s writing-enhanced courses, analyzing strategic data reports, developing markers for program success, discussing the program and financial aid impacts of programs of study, developing course substitution procedures, developing workflow for late addition students, reviewing the University’s Q-drop policy, reviewing the post-tenure review process, and recommending changes to the University’s Early Alert system for students at academic risk. Examples of meeting minutes from a CAAD are provided here [92] [93] [94] [95] [96].
University Curriculum Committee (UCC) [97]
The UCC consists of one associate dean from each academic college, who serves on the college-level curriculum committee; one faculty member from each academic college, who serves on the respective departmental curriculum committee (if relevant) and college curriculum committee; one faculty member from the Newton Gresham Library; and ex officio members to include one staff member from Academic Affairs and one staff member from the Registrar's Office. This committee reviews for academic integrity curriculum reports in order to try to resolve conflicts, forwards reports to the Council of Academic Deans for certification of the adequacy of the funding of the costs of programs and administrative changes to the institution resulting from curricular changes, and presents recommendations to the Academic Affairs Council regarding actions related to proposed curriculum changes.
Faculty Senate [98]
The Faculty Senate currently consists of thirty full-time faculty members. Positions on the Faculty Senate are apportioned among the academic colleges at SHSU and the Newton Gresham Library. Each unit has a minimum of one senator, and the Senate may not exceed thirty members in total. The overarching purpose of the Faculty Senate is to examine issues of interest to the entire SHSU community, including the development of the University’s Core Curriculum, review of official University policies, and administration of an annual Campus Perception Survey. Additionally, the Faculty Senate serves as an advocate for the interests and well-being of SHSU faculty members. Faculty senate meeting minutes are available online through the Faculty Senate website going back to the 2002-2003 academic year [99]; however, as an example, minutes are provided here for the 2017-2018 academic year:
To accomplish this mission, Faculty Senate members sit on four standing subcommittees. The Academic Affairs Committee is responsible for all matters dealing with curriculum, calendar, academic policies, grading, and academic standards. The University Affairs Committee is responsible for dealing with student, traffic and safety, building and grounds maintenance, recruitment of students, and University publicity. The Faculty Affairs Committee is responsible for all matters dealing with merit policy, grievance policy, tenure, salary, leave policy, research policy, benefits and insurance, promotions, and dismissals. Finally, the Committee on Committees and Surveys is responsible for maintaining and/or reviewing the senate Charter and Bylaws, providing names for the full Senate to offer as nominees to University-wide committees as requested, and conducting surveys of faulty members’ preferences for service on University-wide committees and surveys of faculty concerns.
The Faculty Senate also conducts an annual Campus Perceptions Survey [111], which serves as a means for SHSU’s tenured and tenure-track faculty to provide anonymous feedback concerning major University leaders, as well as a variety of University policies and practices. Survey results are available online from the Faculty Senate website going back to the 2005-2006 year; however, examples are provided here for 2015-2016 [112], 2016-2017 [113], and 2017-2018 [114].
Staff Council [115]
The Staff Council advocates for, and represents the interests of, SHSU staff to the larger University administration. In particular, the Staff Council act as a liaison, voicing the interests and concerns of SHSU staff members to the administration; provides opportunities on campus and within the local community for SHSU staff to reflect the University motto of service; provides opportunities for learning and development to SHSU staff; provides recognition and promotion of SHSU staff accomplishments, and provides networking opportunities designed to enhance cooperation and camaraderie amongst SHSU staff. The Staff Council is made up of 50 different representatives from the President’s Office and Athletics and from the Divisions of Academic Affairs, Enrollment Management, Finance and Operations, Information Technology, Student Affairs, and University Advancement. Meeting minutes from 2018 [116] [117] [118] [119] [120] are provide here as examples of the work of the Staff Council.