Model and Manual for Strategic
Panning, Resource Allocafon,
and Institutiona Assessment
with Certification
Spanish acronyms used in "Manual of Institutional
Effectiveness" :
CIP
Institutional Budget Committee
DAA
Dean of Academic Affairs
DE
Dean of Students
DEGI
Department of Graduate Studies and
Research
DSMR Security and Risk Management Division
DTAA
Academic and Administrative Technology
Division
OCIU
Office of Conservation and University
Facilities
OMDC Office of Marketing} Development} and
Communications
OPEP
Office of Strategic and Budgetary Planning
OPDF
Office of Physical Planning and.
Development
University of Puerto Rico
Río Piedras Campus
Office of Strategic and Budgetary Planning
Manual for Strategic Planning, Allocation of
Resources, and Assessment of Institutional
Effectiveness
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Table of Contents
INTRODUCTION ................................................................................................................................ 4
A.
Purpose of the Manual ....................................................................................................... 5
B.
Model for Strategic Planning and Institutional Effectiveness............................................. 5
C.
Legal Basis ........................................................................................................................... 6
D.
Definition of Terms ............................................................................................................. 8
E.
Institutional Effectiveness and Accreditations ................................................................. 10
PROCESS OF PLANNING, ALLOCATION OF RESOURCES, AND ASSESSMENT AT THE CAMPUS ...... 12
F.
Formulation, Documentation, and Implementation of Plans........................................... 14
G.
Strategic Indicators and Annual Report of the Campus's Achievements ......................... 23
H.
Process of Allocation of Fiscal Resources ......................................................................... 24
I.
Calendar ............................................................................................................................ 27
J.
Follow-up to the Assessment of Institutional Effectiveness ............................................. 31
K.
Dissemination of the Assessment Report on Institutional Effectiveness ......................... 31
L.
Support for the Processes of Planning and Assessment ................................................... 31
REFERENCES ................................................................................................................................... 36
ADDITIONAL REFERENCES .............................................................................................................. 37
APPENDIX 1: Essential Concepts of Institutional Effectiveness ..................................................... 39
A.
Institutional Effectiveness Cycle ....................................................................................... 39
B.
Strategic Planning ............................................................................................................. 40
C.
Operational Planning ........................................................................................................ 41
D.
Strategic Planning Models ................................................................................................ 41
E.
Allocation of Resources .................................................................................................... 43
F.
Assessment of Institutional Effectiveness ........................................................................ 43
G.
Integration of Planning and Assessment .......................................................................... 45
H.
Implementation of the Planning and Assessment Process ............................................... 45
APPENDIX 2: Historical Background of Institutional Effectiveness at the Campus........................ 48
A.
Strategic Plan .................................................................................................................... 48
B.
Operational Plan ............................................................................................................... 49
C.
Assessment Plan for Institutional Effectiveness ............................................................... 49
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D.
Performance Management and Measuring Strategic Indicators ..................................... 50
E.
Management of the Planning and Assessment of Institutional Effectiveness ................. 50
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INTRODUCTION
The Río Piedras Campus of the University of Puerto Rico (UPR-RP), founded in 1903, is the oldest and
largest campus among the eleven units that constitute the public system of the University of Puerto
Rico. Academic offerings are wide and varied, consisting of 70 undergraduate academic programs and
19 postgraduate degrees with 71 specializations in the basic disciplines and professional fields. The Río
Piedras Campus of the University of Puerto Rico is the only institution of higher learning in Puerto Rico
classified by the Carnegie Foundation for the Advancement of Teaching as a comprehensive university
with high research activity. The Campus is accredited by the Middle States Commission on Higher
Education (MSCHE) and licensed by the Puerto Rico Council on Education (formerly known as the Puerto
Rico Council on Higher Education), and also holds 54 professional accreditations.
The academic development of the Campus rests on assertive strategic planning focused on positioning
the Campus for advancing its mission and vision. Goals and objectives for development are laid out in its
Strategic Plan, which translates into establishing priorities and implementing strategic actions (initiatives
and projects). In this way, all academic and administrative units contribute to achieving the mission and
vision, and to attaining the desired level of institutional effectiveness. Institutional effectiveness seeks to
measure the degree to which the Campus makes efficacious and efficient use of its human, physical, and
fiscal resources, among others, in support of the mission and vision of development.
It is essential that the Campus institute an integrated system of planning, allocating resources,
management, execution, and outcomes assessment, in order to obtain a better understanding of the
effectiveness, efficiency, and relevance of its academic programs, support services, administrative
structures, etc., and of how these contribute to its continuous growth and development. Such a system
helps to inform the decisions of upper management regarding prioritized strategic actions and
institutional priorities. In addition, this system serves as a guide to help management allocate resources
in the annual and multiannual planning cycle of each of its academic and administrative units, in order
to guarantee its continuous improvement and renewal.
The Model for Strategic Planning, Allocation of Resources, and Institutional Effectiveness described in
this Manual (Figure 1) was developed by the Ad-Hoc Work Group on Strategic and Financial Planning
designated by the chancellor, Dr. Ana R. Guadalupe. This work group was composed of the following
persons:
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Dr. Ana R. Guadalupe, Chancellor
Dr. Haydeé Seijo, Dean of Graduate Studies and Research
Dr. Mayra Chárriez, Dean of Student Affairs
Dr. Beatriz Rivera, Interim Dean of Academic Affairs
Alberto Feliciano, Dean of Administration
Carmen Bachier, Auxiliary Dean of External Funding
Dr. Suzanne Engman, Special Aide, Writing of Institutional Proposals
Prof. Elaine Alfonso-Cabiya, Director of Strategic and Budgetary Planning
Zulyn Rodríguez, Assistant Director of Institutional Research
José Jiménez, Assistant Director of the Office of the Budget
Basilio Rivera, Director of the Office of Finances
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Aida L. Rosario, Director of the Office of Human Resources
Melba Martínez, Director of the Division of Continuing Education and Professional Studies
Dr. Yolanda Cordero, Professor from the Graduate School of Public Administration
Dr. Edwin Maldonado, Professor from the Accounting Department of the College of Business
Administration
Dr. Javier Baella, Professor from the Department of Finance of the College of Business
Administration
The model was developed with great care and consideration of our needs, contexts, and aspirations.
Practices already established during the period of 2003-2011 and several models adopted by other
institutions of higher learning were examined for the purpose of identifying additional practices that
could add value to the Campus's planning endeavors. This Manual represents the institutionalization of
the Campus's process of strategic planning, including its correlation with the annual budget projection
and the accountability inherent in the assessment of institutional effectiveness.
The Office of Strategic and Budgetary Planning (OPEP - Spanish acronym) is the unit responsible for
implementing this Model and coordinating the previously mentioned processes: strategic planning,
annual budget projection, and assessment of institutional effectiveness. It is also responsible for
institutional investigation and the development of the execution indicators that bear witness to the
institutional growth and effectiveness achieved in comparison with that which was desired. Results of
the continuous evaluation of institutional effectiveness, with formative and summary approaches, will
enable the Campus to understand how to advance toward achieving its goals and objectives, and how to
make decisions on possible courses of action. This Office is assigned to the Chancellor's Office.
A. Purpose of the Manual
The purpose of this Manual is to provide information and guidelines for the development and
implementation of an integrated system of planning, allocation of necessary resources,
management/execution, and assessment of the institutional effectiveness of the Río Piedras Campus.
B. Model for Strategic Planning and Institutional Effectiveness
Figure 1 shows all the elements constituting the Model for Strategic Planning, Allocation of Resources,
and Institutional Effectiveness that are utilized at the Río Piedras Campus. Institutional effectiveness at
the Río Piedras Campus is obtained through two areas: academic and administrative. In the academic
area, institutional effectiveness is achieved through offerings of academic programs, general education,
intellectual activity and production, and student experience and learning; in the administrative area, it is
attained through administrative operations, services and resources, and the infrastructure supporting
academic efforts and student learning.
The Offices of the Deans of Students, Academic Affairs, and Graduate Studies and Research are the units
responsible for the implementation and coordination of the academic component of strategic planning
and its effectiveness; the Office of the Dean of Administration, the Chancellor's Office, and the Offices
assigned to the Chancellor's Office are responsible for the same in relation to the administrative area.
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OPEP is the unit responsible for gathering, evaluating, and conserving information on strategic planning
and the assessment of institutional effectiveness, and coordinating the efforts of both components at
the Campus level, in order to fully comply with the adopted Model. In addition, OPEP works together
with the Office of Marketing, Development, and Communications (OMDC) to inform the community and
other constituents (vide intra) of the outcomes and achieved progress.
C. Legal Basis
Strategic planning at the Río Piedras Campus is based on a context of law and regulations set forth in a
variety of documents:
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Mission of the Río Piedras Campus of the University of Puerto Rico (Certification No. 67, 198990, Academic Senate, UPR-RP)
Policy of the University of Puerto Rico on the Evaluation of Institutional Effectiveness
(Certification No. 136, 2003-04, Board of Trustees, UPR)
Institutional Policy on Accreditation of Academic Programs and Services Rendered by the
University of Puerto Rico (Certification No. 138, 2003-2004, Board of Trustees, UPR)
Ten for the Decade: Planning Agenda of the University of Puerto Rico (Certification No. 123,
2005-06, Board of Trustees, UPR)
Regulation for the Creation of Academic Programs of the University of Puerto Rico (Certification
No. 80, 2005-06, Board of Trustees, UPR)
Budget Regulation of the University of Puerto Rico (Certification No. 100, 2005-06, Board of
Trustees, UPR)
Strategic Plan University Vision 2016 (Certification 26, 2006-2007, Academic Senate, UPR-RP;
Certification No. 41, 2006-07, Administrative Board, UPR-RP)
Regulation for the Periodic Evaluation of Academic Programs at the University of Puerto Rico
(Certification No. 43, 2006-07, Board of Trustees, UPR)
Indicators for Assessment of the Operationalization of the Integral Development Plan of the UPR
Ten for the Decade (Certification No. 3, 2009-10, Board of Trustees, UPR)
Manual for Strategic Planning, Allocation of Resources, and Assessment of Institutional
Effectiveness: Administrative Component (Certification No. 038, 2011-2012, Administrative
Board, UPR-RP)
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Figure 1. Model for Strategic Planning, Allocation of Resources, and Institutional Effectiveness
Mission, Vision, Goals,
and Objectives
STRATEGIC PLANNING
Office of Strategic and Budgetary Planning
Administrative
Academic
Office of the Dean of Academic Affairs
Office of the Dean of Administration
Office of the Dean of Grad. Studies and Research
Offices Attached to the Chancellor's Office
Office of the Dean of Students
o Middle States Commission on Higher
Education
o Council on Higher Education
o Professional Accreditations
o Central Administration UPR
o Board of Trustees
o External Evaluators of Graduate Programs
o Advisory Boards
o Patrons
 Internal Agents:
o Deans of the Colleges and Schools
o Directors of Academic Departments
o Directors of Research Centers
o Assessment Coordinators
o Academic Senate
 Plans
o General Education Assessment Plan
o Student Learning Assessment Plan
(Undergraduate Level)
o Student Learning Assessment Plan
(Graduate Level)
o Undergraduate Programs Evaluation Plan
o Graduate Programs Evaluation Plan
o Research Center Evaluation Program
o Institutional Plan for Academic Development
o Institutional Plan for the Development of
Intellectual Activity and Production
ASSESSMENT
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 External Agents:
o Middle States Commission on Higher
Education
o Council on Higher Education
o Central Administration UPR
o Board of Trustees
 Internal Agents:
o Deans of the Colleges and Schools
o Directors of the Attached Offices
o Institutional Budget Committee
o Institutional Effectiveness Committee of the
Academic Senate
o Administrative Board
 Plans and Processes
o Strategic Plan
o Institutional Operational Plan
o Action Plans for the Initiatives and Projects
in the Operational Plan
o Development Plans of the Academic Units
o Annual Work Plans of the Academic Units
o Institutional Development Plans of the
Administrative Units
o Annual Work Plans of the Administrative
Units
o Budget Process and Allocation of Resources
o Financial and Sustainability Plan
 External Agents:
A
S
S
E
S
S
M
E
N
T
Annual Report Campus
Achievements
Assessment Report on Institutional Plan for Academic Development
Assessment Report on Institutional Plan for the Development of Intellectual
Activity and Production
Assessment Report on General Education
Assessment Report on Student Learning (Undergraduate Level)
Assessment Report on Student Learning (Graduate Level)
Report on Evaluation of Research Centers
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A
S
S
E
S
S
M
E
N
T
ASSESSMENT
Assessment Report on Strategic Indicators
Assessment Report on the Operational Plan
Assessment Report on Administrative Effectiveness (Institutional Development
Plans and Annual Work Plans of the Administrative Units)
Assessment Report on Development Plans and Work Plans of the Academic Units
Annual Achievement Report of the Academic and Administrative Units
D. Definition of Terms
In the preparation of this Manual the best practices and essential concepts of institutional effectiveness
were studied. Essential concepts of institutional effectiveness are discussed in Appendix 1.
The following is a list, in alphabetical order, of terms used throughout this Manual and in the templates
or forms utilized by the units to formulate and document the different types of plans (vide intra).
Achievement/Execution. The results that an individual or institution obtains in the progress toward the
pursuit and attainment of measurable objectives (desired/required outcomes).
Annual work plan. A document setting forth the actions (strategies, activities, projects) to be carried out
during an academic year in order to achieve the goals and objectives proposed in a unit's development
plan. (See Table 3.)
Assessment. The systematic process of gathering and interpreting information from quantitative and
qualitative data to learn and document how well an institution or unit is performing, and using that
information to modify its operations so that its execution/performance improves.
Assessment plan. A document setting forth the way in which accomplishments/outcomes of the
implementation of initiatives, projects, strategies, or activities proposed in the work plan or
development plan will be evaluated; the person responsible for the assessment; and the method to be
used in evaluating obtained accomplishments or outcomes. The assessment plan also includes a report
on the actions/decisions of the academic or administrative upper management based on analysis of
obtained outcomes to aid in the new planning cycle. (See Tables 1, 2, and 3.)
Development plan. A document setting forth realistic and measurable goals and objectives for achieving
the mission of each academic unit (colleges and schools). (See Table 2.)
Goal. The desired final result that solves, settles, or reconciles an identified gap (between what is and
what should be).
Indicators of success/performance. All the characteristics, dimensions, or quantifiable elements (on a
ratio or an interval scale) that act as a guideline to determine how well an organization is performing, as
a whole or in some aspects of its activities, and what are its strengths and challenges.
Institutional development plan. A document setting forth realistic and measurable goals and objectives
for achieving the mission of the administrative units and units of support for student learning (i.e.
Technology Plan, Plan for Development and Maintenance of the Physical Infrastructure, Academic
Development Plan, Plan for Development of Intellectual Activity and Production, Financial and
Sustainability Plan, etc.).
Institutional effectiveness. The degree to which an institution (or unit within the institution) fulfills its
mission and its goals (or succeeds in producing the proposed effect or impact).
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Institutional mission. A statement that supports an institution's raison d'être; the institutional end that
has permanent validity over the course of many years and that requires updating in time. The core
content of the Institutional Mission does not change over time, unless the educational institution has
changed its institutional philosophy, its educational offerings, or its target group of persons to be
educated.
Institutional vision. The identification and precise expression of where the educational institution wants
to go. It is a foundational statement of the direction of institutional development, and should retain its
validity for many years, but which, in time, needs updates providing enrichment, precision, or
explanation.
Learning objective (academic). An objective focused on student learning (knowledge, skills, abilities,
values, etc.).
Method of assessment/evaluation. The mode or tool that a unit utilizes to evaluate the achievement of
an objective (surveys, focus groups, etc.)
Objective. A statement of an expected partial outcome in pursuit of a goal, expressing a quantifiable
outcome (in numeric terms), a projected date (time period), and data regarding a previous outcome
(base) against which to measure or compare the expected outcome.
Operationalization. The execution of a plan with a view to achieving its objectives by means of projects,
activities, or initiatives that are specific and measurable.
Operational plan. A document setting forth the actions (strategies, projects, activities) to be carried out
in achieving the goals and objectives of the strategic plan.
Performance metric. The measurement or proportion of performance in a success indicator. For
example, if one indicator is student satisfaction with the program offerings, then the metric must say
what percentage of satisfaction we want to reach, and in how much time.
Plan of action for a prioritized initiative/project. A document setting forth the actions (strategies,
activities, projects) to be carried out to achieve the goals and objectives of the Operational Plan of the
Río Piedras Campus. (See Table 1.)
Planning objective (non-academic). An objective that focuses on the outcome obtained within the unit
of everything that is done in support of the institutional endeavor. This type of objective describes the
expected or intended quality relative to punctuality, response time, exactitude, etc. In general, it
describes how well a unit should function or how much it needs to improve the way it functions or the
services it offers.
Projects, activities, or initiatives. Events and procedures that contribute to achieving the goals and
objectives outlined in the planning documents.
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Strategic plan. A document setting forth realistic and measurable goals and objectives for achieving the
mission of the Río Piedras Campus.
Strategies. All the activities, projects, initiatives, and actions that we carry out or utilize to obtain the
desired outcome.
E. Institutional Effectiveness and Accreditations
MSCHE Accreditation
The Campus's proposals of strategic and operational planning are designed not only to verify
institutional advancement with respect to the broad goals and objectives outlined in the Strategic and
Operational Plans of the Campus, but also to be consistent with the standards used by the institutional
accrediting agency Middle States Commission on Higher Education (MSCHE). Planning should
incorporate as a criterion of quality the fulfillment of the highest standards of higher education, as
defined by MSCHE. This aids in avoiding the duplication of efforts.
MSCHE's standards for accreditation (2006) related to institutional effectiveness are as follows:

Standard 1 (Mission and Goals). The institution’s mission clearly defines its purpose within
the context of higher education and indicates whom the institution serves and what it
intends to accomplish. The institution’s stated goals, consistent with the aspirations and
expectations of higher education, clearly specify how the institution will fulfill its mission.
The mission and goals are developed and recognized by the institution with the participation
of its members and its governing body and are utilized to develop and shape its programs
and practices and to evaluate its effectiveness. Some of the fundamental elements of this
standard are:
o
o
o
10
Well documented, organized, and sustained processes for evaluating the full range
of programs and services, pursuit of the mission, and compliance with MSCHE's
accreditation standards.
Evidence that assessment results are shared and utilized in institutional planning,
allocation of resources, and institutional renewal.
Institutional and unit strategic plans that reflect that assessment results are taken
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Standard 2 (Planning, Resource Allocation, and Institutional Renewal). An institution
conducts ongoing planning and resource allocation based on its mission and goals, develops
objectives to achieve them, and utilizes the results of its assessment activities for
institutional renewal. Implementation and subsequent evaluation of the success of the
strategic plan and resource allocation support the development and change necessary to
improve and to maintain institutional quality. Some of the fundamental elements of this
standard are:
o
o
o
Goals and objectives that are clearly stated and reflect conclusions drawn from
assessment results, are linked to mission and goal achievement, and are used for
planning and resource allocation at the institutional and unit level.
Planning and improvement processes that are clearly communicated, provide for
constituent participation, and incorporate the use of assessment results (close of cycle).
Assignment of responsibility for improvements and assurance of accountability.
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Standard 7 (Institutional Evaluation). The institution has developed and implemented an
assessment process that evaluates its overall effectiveness in achieving its mission and goals
and its compliance with accreditation standards.

Standard 14 (Assessment of Student Learning). Assessment of student learning
demonstrates that, at graduation, or other appropriate points, the institution’s students
have knowledge, skills, and competencies consistent with institutional and appropriate
higher education goals.
Other Accreditations
The proposals for strategic and operational planning used by the academic units at the Campus are also
consistent with the standards of quality established by the professional accrediting agencies for the
academic programs, research centers, and other academic units of the Campus.
To date, the Campus has fifty-four professional accreditations of its academic programs, in addition to
the professional accreditation of the department of Student Guidance and Development, attached to
the Office of the Dean of Student Affairs.
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PROCESS OF PLANNING, ALLOCATION OF RESOURCES, AND ASSESSMENT
AT THE CAMPUS
The process of planning, allocation of resources, and assessment that is being followed at the Campus
permeates all academic and administrative units and units of support for academic endeavors and
student learning. Planning in all those units is coordinated with the Campus Strategic and Operational
Plans, and contributes to the advancement of its Mission and Vision for development.
Figure 2 is a representation of the coordination that exists between planning at the institutional level
and planning at the level of the academic and administrative units, to the end of reaching the goals and
objectives proposed in the current Strategic Plan, and bearing witness to the desired institutional
effectiveness.
Figure 2. Current Relationship between Planning Levels at the Campus
INSTITUTIONAL LEVEL
Goals and Objectives
• Campus Mission
• Strategic Plan University Vision
2016
INSTITUTIONAL LEVEL
Prioritized Projects and
Initiatives
Integrated Assessment Plan
• Operational Plan 2011-14: Trazos
• Plan of Action for the Prioritized
Initiatives and Projects of the
Operational Plan
UNIT LEVEL
Goals and Objectives
Projects and Initiatives
Integrated Assessment Plan
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• Devlopment Plan
• Annual Work Plan
In order to achieve institutional effectiveness, it is necessary that both the Campus and the academic
and administrative units implement effective processes of strategic planning and assessment of the
attained achievements/outcomes. The most important components of this process are as follows:

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
Formulation of goals and objectives
Identification and implementation of strategies, projects, activities, and initiatives that
operationalize (give life to) the goals and objectives
Allocation of institutional and supplementary resources (e.g. external funding)
Assessment and use of the results for making informed decisions and for continued
improvement in the following planning cycle (Figure 3)
Figure 3. Key Components of Strategic Planning and the Assessment of Effectiveness
Formulation of
goals and
objectives
Assessment of attained
achievements/results
and use of data by
academic and
administrative
management for
informed decision
making in the following
cycle of planning for
continued improvement
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Allocation of
institutional
resources
Implementation
of activities,
projects, and
initiatives
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F. Formulation, Documentation, and Implementation of Plans
There are two levels to the formulation, documentation, and implementation of the process of strategic
planning, allocation of resources, and assessment of institutional effectiveness at the Campus:
institutional and unit.
Institutional Level
At the level of institutional planning, the Campus has a Strategic Plan and an Operational Plan.
Strategic Plan (Macro Level). The Strategic Plan is the document that sets forth realistic and measurable
goals for achieving the mission of the Río Piedras Campus. The current Strategic Plan is University Vision
2016.
Operational Plan (Macro Level). This is a document that sets forth the prioritized actions (strategies,
projects, initiatives, activities) that will be conducted toward reaching the goals and objectives of the
Strategic Plan. The pursuit of the goals and objectives at the institutional level of the Campus Strategic
Plan is accomplished through the implementation of the strategically prioritized projects/initiatives
outlined in the Operational Plan and in the Development Plans of the academic and administrative units.
The development of the Campus Operational Plan is a collaborative process whose initiative is the
responsibility of the Chancellor, who in turn receives support from OPEP, the Finance Office and the
Executive Deans. The Operational Plan springs from multiple dynamics of interaction among different
authorities (Deans and Directors of Colleges and Schools, Directors of the Attached Offices, and other
units and work teams) at the Campus to discover (at the Macro level) the needs of the institution and
priorities for development.
The current Operational Plan is known as Operational Plan 2011-14: Trazos. This Plan consists of a
number of projects, initiatives, and actions of institutional impact, all coordinated with the Institutional
Strategic Plan (University Vision 2016). It is hoped that they be executed in the period from 2011
through 2014.
The execution of the projects, initiatives, and actions formulated in the Operational Plan will be the
primary responsibility of the executive deans and the attached offices. Some projects or initiatives will
be conducted from the colleges and schools, or by setting up work groups.
Plan of Action for an Initiative/Project of the Operational Plan (Table 1). For each of the projects and
initiatives of the Institutional Operational Plan, the Chancellor will designate a unit, person, or work
group responsible for formulating, documenting, and implementing a Plan of Action. The Plan of Action
for the Institutional Initiative/Project is submitted to OPEP, the unit that will see that it is carried out.
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Assessment Plan for an Initiative/Project of the Institutional Operational Plan. The person responsible
for the implementation of an initiative or project of the Operational Plan is also responsible for
formulating, documenting, and implementing an Assessment Plan integrated with the Plan of Action of
the Initiative/Project of the Operational Plan.
Financial and Sustainability Plan of the Campus. The Chancellor's Office is responsible for the
formulation, development, and implementation of a Financial and Sustainability Plan for the Campus. In
creating this Plan, the Chancellor's Office has the Support of the Finance Office and the Office of
Strategic and Budgetary Planning, and may set up a work group of internal and external resources with
expertise in financial and sustainability planning. Also assisting would be the OMDC, the Office for
Negotiating External Funding and Business Initiatives, and the Division of Continuing Education and
Professional Services.
Unit Level
All units--academic (colleges and schools), administrative, and support (executive deans' offices and
attached offices)--formulate, document, and implement the following types of plans:

Development Plan (Table 2): In the Development Plan the units establish goals and objectives for
three or five years. These goals must be coordinated with the:
o
o
o

Campus Mission
Mission and Vision of the unit itself
Strategic Plan
Annual Work Plan (Table 3). To ensure the attainment of the goals and objectives proposed in the
Development Plan, each unit formulates, documents, and implements an Annual Work Plan.
Figure 4. Elements of the Annual Work Plan
Iniciativa
Work Plano
Proyecto

Objective
Indicator of
Success and
Metric
Calendar
Person(s)
Responsible
Resources
Assessment
Plan
Assessment Plan (Tables 1, 2, and 3). To evaluate the achievement of goals and objectives outlined
in each of the plans, an integrated Assessment Plan is created within each plan.
Assessment is a key process of institutional effectiveness and of continuous improvement, in addition
to being a tool for institutional renewal. In the assessment process an evaluation and analysis is made
of the outcomes/achievements obtained by implementing concrete initiatives and projects from those
formulated during the planning stage as means of reaching the proposed objectives.
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This analysis provides the Campus's academic and administrative upper management with data they
need to make informed decisions regarding which actions need to be implemented in the following
cycle of planning and allocation of resources, in order to attain the goals and objectives proposed in
the Strategic Plan of the Campus.
Colleges and Schools
Each one of the colleges and schools contributes to the operationalization of the Strategic Plan
through executing the projects, activities, and initiatives proposed in their respective
Development Plans. The Development Plans usually cover periods of three to five years.
In the Annual Work Plan, the dean of the college or the director of the school identifies which
projects, activities, and initiatives of the unit's Development Plan are to be prioritized in each
cycle of planning and annual budget request. Those that are included in the Annual Work Plan
will be understood to be the priorities of that unit for that specific year.
In addition, each Development Plan and Annual Work Plan has an integrated Assessment Plan
to evaluate and analyze the outcomes/achievements obtained from the projects and initiatives
implemented in pursuit of the proposed goals and objectives. This analysis provides the
academic management of the colleges and schools with data they need to make informed
decisions regarding which actions need to be implemented in each cycle of planning and
allocation of resources, in order to reach the goals and objectives proposed in the unit's
Development Plan.
Executive Deans' Offices and Attached Offices
Each dean's office and attached office formulates, documents, and implements an Institutional
Development Plan for three or five years, an Annual Work Plan, and an integrated Assessment
Plan, following the same dynamic as the colleges and schools, as explained in the previous
section.
The Development Plan and the Annual Work Plan may include additional projects and initiatives
that are not part of the Operational Plan, as long as the projects and initiatives of the
Operational Plan are given priority, should any of these apply to these units.
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To summarize, the offices of the executive deans and the attached offices formulate,
document, and implement the following Institutional Development Plans:
ATTACHED OFFICES
Institutional Plan
Office
Development and Rehabilitation of Physical Spaces
OPDF
Modernization and Preventive Maintenance of Physical Structures OCIU
Modernization and Strengthening of Technological Infrastructure
DTAA
Marketing, Development, and Communications
OMDC
Security and Risk Management
DSMR
OFFICES OF EXECUTIVE DEANS
Institutional Plan
Academic Development
Development of Intellectual Activity and Production
Student Recruitment, Success, and Development
Internationalization
Reorganization, Streamlining, and Effectiveness of
Administrative Procedures
Business and Finance
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Dean's Office
DAA & DEGI
DEGI & DAA
DE
DE
D Adm.
Chancellor,
Budget &
Finance
Table 1. Template for the Plan of Action of an Initiative/Project of the Institutional Operational Plan
PLAN OF ACTION FOR PRIORITIZED PROJECT/INITIATIVE
OPERATIONAL PLAN 2011-2014: Trazos
Academic Year 20__ - 20__
NAME OF PROJECT/INITIATIVE
COORDINATION WITH STRATEGIC PLAN UNIVERSITY VISION 2016 AND OPERATIONAL PLAN 2011-14: TRAZOS
UV 2016
Indicate corresponding
Indicate corresponding
UV 2016 STRATEGIC OBJECTIVE/INDICATOR
Indicate corresponding
UV 2016 OBJECTIVE
GOAL
goal number
objective number
at http://opa.uprrp.edu/pls/opaweb/DASHUPRRP
objective/indicator number
TRAZOS STRATEGIC ROUTE OR INSTITUTIONAL PRIORITY
ACADEMIC YEAR 2011-12
Stages/Steps
Success
Indicator and
Metric for the
Stage/Step
A success indicator
is a quantifiable (on
a ratio or an interval
scale) characteristic,
dimension, or
element to be
measured for the
purpose of monitoring
changes during the
pursuit of an
expected
achievement or
outcome.
Metric:
Measurement or
proportion of
performance in a
success indicator.
18
Budget
Calendar
Start and end
dates for
executing the
proposed stages
in order to reach
the objective.
Start date for
implementation
and expected
date for
completing
achievement of
the objective.
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Administrative Board Certification No. 038, 2011-2012
Version 1
Person(s)
Responsible
General
Fund
External
Funds
Other
Person responsible
for execution of
necessary actions in
order to reach the
proposed objective.
What are his/her
roles and
responsibilities?
Evidence
Document
showing evidence
of progress in the
attained
achievement/
outcome
Fiscal resources in addition to the
operational budget (from the
prioritized list of the Campus Budget)
or other resources (physical space,
technological equipment, etc.).
Examples:
surveys,
questionnaires,
focus groups,
work agendas,
etc.
Assessment Plan
Status
%
Outcomes
Achieved
Obtained
outcomes.
Percent of
achievement
reached at
How well is the the moment
work plan being of submitting
executed?
assessment
report
(progress or
annual)
Actions
Use of assessment
results
What decisions
were made or
actions taken for
improvement
based on analysis
of the results?
ACADEMIC YEAR 2012-13
Stages/Steps
Success
Indicator and
Metric for the
Stage/Step
Budget
Calendar
Person(s)
Responsible
General
Fund
External
Funds
Assessment Plan
Status
Other
Evidence
Outcomes
%
Achieved
Actions
ACADEMIC YEAR 2013-14
Stages/Steps
19
Success
Indicator and
Metric for the
Stage/Step
Budget
Calendar
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Administrative Board Certification No. 038, 2011-2012
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Person(s)
Responsible
General
Fund
Budget
External
Funds
Assessment Plan
Status
Other
Evidence
Outcomes
%
Achieved
Actions
Table 2. Template for the Development Plan of the Academic and Administrative Units
DEVELOPMENT PLAN
Academic Year 20__ - 20__
Name of Academic or Administrative Unit
GOAL
COORDINATION WITH STRATEGIC PLAN UNIVERSITY VISION 2016 (UV 2016) AND OPERATIONAL PLAN 2011-2014: TRAZOS
UV 2016 GOAL
Indicate corresponding goal number
UV 2016 OBJECTIVE
TRAZOS STRATEGIC ROUTE OR INSTITUTIONAL PRIORITY
Indicate corresponding objective number
(If applicable)
Assessment Plan
Measurable Objective
Strategy, Project,
or Initiative
What activity,
project, or
initiative will be
conducted in order
to reach the
objective?
20
Objective
Success Indicator and
Metric
The objectives of the plan provide empirical
evidence to show to what degree the
proposed achievements, outcomes, or ends
have been attained. Objectives must be
measurable.
A success indicator is a
quantifiable (on a ratio or an
interval scale) characteristic,
dimension, or element to be
measured for the purpose of
monitoring changes during the
An objective is a statement of an outcome pursuit of an expected
toward which an action is aimed. It is the
achievement or outcome.
expected partial outcome in the pursuit of a
goal, and expresses 1) a quantifiable
A metric is a measurement or
outcome (in numerical terms), 2) a projected proportion of performance in a
date (time period), and 3) data regarding a
success indicator.
previous outcome (base) against which to
measure or compare the expected outcome. For example, if one indicator is
student satisfaction with the
Each objective states only ONE (1) outcome, program offerings, then the
end, achievement, behavior, or execution that metric must say what
it is hoped will be reached.
percentage of satisfaction we
want to reach, and in how
An action verb is utilized to denote a change much time.
in condition, instead of mentioning the
strategies (steps) to be followed.
The statement of an objective should include:
Date Approved: March 9, 2012
Administrative Board Certification No. 038, 2011-2012
Version 1
Status
Contribution to Attaining UV 2016
Strategic Objective/Indicator
To which UV 2016 strategic indicator
does this objective contribute?
For UV 2016 strategic indicators,
follow this link:
http://opa.uprrp.edu/pls/opaweb/DAS
HUPRRP
Person(s)
Responsible
Person(s)
responsible for
implementing
Assessment
Plan.
Methods
Method to
be used to
evaluate
results
(qualitative,
quantitative,
or mixed).
Evaluation
instrument
to be used
to gather
necessary
data for
measuring
results
(survey,
questionnaire,
interview,
focus group,
etc.).
Outcomes
Evidence
obtained
%
Achieved
Percent of
achievement
reached at
the moment
of submitting
assessment
report
(quarterly or
yearly)
Actions
Use of
assessment
results
What
decisions
were made or
actions taken
for
improvement
based on
analysis of the
results?

The projected outcome, end,
achievement, behavior, or execution
expressed in measurable/quantifiable
terms
 What or who (audience) will show the
outcome, end, achievement, behavior,
or execution
 The conditions under which the
outcome, end, achievement, behavior,
or execution will be observed and
measured
 The previous outcome against which
the outcome, end, achievement,
behavior, or execution will be
measured or compared
EXAMPLES:
EXAMPLES:
 Accreditation
of the
________
Program
Objective: The _________ Program will be
accredited by the ___________ agency by
December 2013.
 Professional
certification of
guidance
counselors
 Extending
service hours
of the
Guidance
Counseling
Program
21
EXAMPLES:
Indicator: accreditation
standards
Metric: 100 percent completed
Indicator: professional
accreditation
Objective: One hundred percent of guidance Metric: 100 percent of
counselors will be professionally certified by
guidance counselors certified
the end of 20__.
Indicator: student satisfaction
Metric: percent of satisfaction
to be reached in one year
Objective: Student satisfaction with the
guidance counseling program will increase
from 75% to 90% by the end of 20__.
Date Approved: March 9, 2012
Administrative Board Certification No. 038, 2011-2012
Version 1
Table 3. Template for the Annual Work Plan of the Academic and Administrative Units
ANNUAL WORK PLAN
Academic Year 20__ - 20__
Name of Academic or Administrative Unit
STRATEGY/PROJECT/INITIATIVE
COORDINATION WITH THE DEVELOPMENT PLAN
DEVELOPMENT PLAN GOAL
Stages/Steps
Indicate the stages/steps
to take to reach the
proposed objective.
Indicate corresponding goal number
Budget
Success Indicator
and Metric for the
Stages/Steps (when
applicable)
Calendar
A success indicator is a
quantifiable (on a ratio or an
interval scale) characteristic,
dimension, or element to be
measured for the purpose of
monitoring changes during
the pursuit of an expected
achievement or outcome.
Start and end
dates for
executing the
proposed
strategies in
order to
reach the
objective.
A metric is a measurement or
proportion of performance in
a success indicator.
For example, if one indicator
is student satisfaction with the
program offerings, then the
metric must say what
percentage of satisfaction we
want to reach, and in how
much time.
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DEVELOPMENT PLAN OBJECTIVE
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Person(s)
Responsible
General
Fund
External
Funds
Assessment Plan (Incremental)
Other
Person responsible
for execution of
necessary actions in
order to reach the
proposed objective.
What are his/her
roles and
responsibilities?
Indicate corresponding objective number
Person(s)
Responsible
Person(s)
responsible for
implementing the
Assessment Plan
Fiscal resources in addition to the
operational budget (from the
prioritized list of the Campus
Budget) or other resources
(physical space, technological
equipment, etc.).
Status
Methods
Method to be
used to
evaluate
results
(qualitative,
quantitative,
or mixed).
Evaluation
instrument to
be used to
gather
necessary
data for
measuring
results
(survey,
questionnaire,
interview,
focus group,
etc.).
Outcomes
Evidence
obtained
How well is
the work plan
being
executed?
%
Achieved
Percent of
achievement
reached at
the moment
of submitting
assessment
report
(quarterly or
yearly)
Actions
Use of
assessment
results
What
decisions
were made or
actions taken
for
improvement
based on
analysis of
the results?
G. Strategic Indicators and Annual Report of the Campus's
Achievements
The Campus evaluates its institutional performance using a dashboard of strategic indicators associated
with the objectives outlined for each of the goals of the current Strategic Plan. This dashboard presents
a summary of the achievements/outcomes from the implementation of the Operational Plan, the
Development Plans, and the Work Plans of the academic and administrative units of the Campus, thus
giving evidence of the institution's progress toward fulfilling its strategic and operational goals and
objectives.
The strategic indicators receive input from institutional data and, in addition, from the assessment of
the Plans of Action of the Prioritized Projects/Initiatives of the Operational Plan and of the Development
Plans and the Annual Work Plans of the academic and administrative units. These plans include goals
and objectives coordinated with those of the Campus Strategic Plan and with the strategic indicators
already established for measuring institutional effectiveness under that Plan.
Upper management utilizes the updated data from the strategic indicators to make informed decisions
in the cyclical process of strategic planning, allocation of resources, assessment of institutional
effectiveness, and continuous improvement.
The Annual Report on Campus Achievements is informed by the following reports:











Assessment of the Institutional Plan for Academic Development
Assessment of the Institutional Plan for Development of Intellectual Activity and Production
Assessment of General Education
Assessment of Student Learning (Undergraduate Level)
Assessment of Student Learning (Graduate Level)
Evaluation of the Research Centers
Assessment of the Strategic Indicators
Assessment of the Operational Plan
Assessment of Administrative Effectiveness (Institutional Development Plans and Annual
Work Plans of the Administrative Units)
Assessment of the Development Plans and Work Plans of the Academic Units
Annual Achievement Report of the Academic and Administrative Units
The academic and administrative units will submit to OPEP an Annual Achievement Report, according to
the established calendar. For this purpose they will use a template prepared by OPEP to ensure the
coordination of the report on achievements/outcomes with the goals and objectives of the current
Strategic Plan.
Once the Campus Achievements Report has been approved by the Administrative Board of the Campus,
it will be broadly disseminated among members of the university community for their information and
for discussion and input. This document contains information from the analysis of the data and
outcomes from the assessment of the Annual Work Plans and the Development Plans of the academic
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and administrative units and of the Operational Plan of the Campus. Upper management of the Campus
(meaning: Executive Deans, Deans of Colleges, and Directors of Schools and of Attached Offices) will
discuss this Report with their constituents, as indicated on the established calendar, in order to receive
their suggestions, particularly those suggestions aimed at modifying policies, procedures, and ways of
doing things, so that the changes to be introduced will lead to the continuous improvement and
transformation of the Campus in every aspect. Utilizing the outcomes in this way guarantees the
continued progress of the Campus at the close of the planning cycle.
H. Process of Allocation of Fiscal Resources
The process followed at the Campus for formulating the budget and allocating it to the academic and
administrative units is outlined in the Budget Manual. Every year the executive deans, deans of colleges,
directors of schools, and directors of the attached offices present their requests to the institutional
budget and identify sources of supplementary funds for implementing their Annual Work Plans. The
request is made to the Institutional Budget Committee, by way of the Office of Strategic and Budgetary
Planning, according to the calendar established in Section D of this Manual.
Each unit prepares its budget request for the execution of its Development Plan and Annual Work Plan
in coordination with the Strategic Plan and/or the Operational Plan of the Campus (if applicable). For
those strategies, projects, and initiatives that are not coordinated with the Strategic Plan and/or the
Operational Plan, the units supply the additional resources they need by negotiating or applying for
external funding and by raising funds by means of proposals or other strategies.
Fiscal resources granted from institutional funds for implementing the respective Work Plans come from
the item of the Annual Budget allocated for implementing the current Strategic Plan.
Criteria for the Evaluation of Annual Work Plans
Those strategies, projects, or initiatives of an Annual Work Plan (coordinated with the Strategic Plan
and/or the Institutional Operational Plan) that require additional resources for their implementation,
beyond the operational budget, are evaluated using previously established criteria. Following a careful
analysis and evaluation, the necessary resources are allocated to the units for implementing their work
plans. The budget allocation will be conditioned upon the receipt of all required documents.
Steps in the Process of Allocation of Resources
The process of request, evaluation, and approval of the budget requests is cyclical in nature (Figure 5).
The steps are as follows:

Step 1. The executive deans, deans of colleges, directors of schools, and directors of
attached offices submit their Annual Work Plans to the Office of Strategic and Budgetary
Planning (OPEP).

Step 2. OPEP evaluates the Annual Work Plan and offers input to help, if necessary, with
compliance with the established criteria for formulation and documentation of the plan.
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
Step 3. The executive deans, deans of colleges, directors of schools, and directors of
attached offices present their units' Work Plans before the Institutional Budget Committee
(CIP).

Step 4. CIP makes the final evaluation of the Work Plans and recommends to the Assistant
Budget Director and the Chancellor's Office the allocation of fiscal resources to the units,
including resources for daily operations, for additional teaching and non-teaching staff, for
technological resources, and for the projects and initiatives of the respective Work Plans.

Step 5. The executive deans, deans of colleges, directors of schools, and directors of
attached offices submit to OPEP, on the date indicated on the calendar, the Progress Report
on the Assessment of the Annual Work Plan.

Step 6. The executive deans, deans of colleges, directors of schools, and directors of
attached offices submit to OPEP, on the date indicated on the calendar, the Annual Report
on the Assessment of the Development Plan and the Annual Work Plan.

Step 7. The executive deans, deans of colleges, directors of schools, and directors of
attached offices submit to OPEP, on the date indicated on the calendar, the Annual
Achievement Reports of their units.
25
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Administrative Board Certification No. 038, 2011-2012
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Figure 5. Procedure for allocation of resources and assessment of institutional effectiveness at the
academic and administrative unit level
Step 1. Annual Work Plan
submitted to OPEP
Step 7. Annual
Achievement Report of the
unit submitted to OPEP
Step 2. OPEP evaluates
Annual Work Plan and
advises units on
compliance with
established criteria
Step 3. PowerPoint
presentation of Annual
Work Plan before the
Chancellor and the
Institutional Budget
Committee
Step 6. Annual Report on
Assessment of
Development Plan and
Annual Work Plan of the
unit submitted to OPEP
Step 5. Progress Report on
Assessment of Annual
Work Plan submitted to
OPEP
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Administrative Board Certification No. 038, 2011-2012
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Step 4. Analysis and
allocation of the
operational budget and of
other necessary resources
to implement the Annual
Work Plan
I. Calendar
The following is the generic calendar for the cycle of planning, allocation of resources, and assessment
of institutional effectiveness.
Date
Responsible
Administrative Board
January
January and
February
March
27
Institutional
Effectiveness Committee
of the Academic Senate
Deans of Colleges and
Directors of Schools
Executive Deans, Deans
of Colleges, Directors of
Schools, Directors of
Attached Offices
Planning and Assessment
Process
Send to OPEP and the
Chancellor's Office
recommendations about
the past planning and
budget process, to be
considered in the new
planning cycle
Budget Process
Send recommendations on
modifications or new
policies and procedures to
improve institutional
effectiveness based on the
assessment outcomes
Present Campus
Achievements Report and
the previous year's Report
on Assessment of the
Development Plan and
Work Plan in faculty
meeting at the college or
school, for discussion and
recommendations
Present budget request for
next fiscal year in faculty
meeting at the college or
school, for discussion and
recommendations
Submit to OPEP Development Plan 2011-2014
(Applies only to units that
do not yet have a Development Plan or need to
modify the one they have)
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Administrative Board Certification No. 038, 2011-2012
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 Prepare and send forms
on need for additional
teaching staff by service
contract or additional
compensation to the
Office of the Dean of
Date
Responsible
Coordinators of the
Projects/Initiatives of
Operational Plan 201114: Trazos
Executive Deans, Deans
of Colleges, Directors of
Schools, Directors of
Attached Offices
Executive Deans, Deans
of Colleges, Directors of
Schools, Directors of
Attached Offices
Planning and Assessment
Process
Submit to OPEP the
Progress Report on
Assessment of the Annual
Work Plan of the year in
progress
Submit to OPEP the budget
request for the following
academic year for
operational expenses and
for the Annual Work Plan
Budget Process
Academic Affairs, with
copy to the Assistant
Budget Director
(Delivery and forms to
use are described in the
Budget Manual.)
 Prepare and send forms
on need for nonteaching staff to the
Office of Human
Resources (Delivery and
forms to use are
described in the Budget
Manual.)
 Requests for projects
related to technological
development and
physical infrastructure
Executive Deans, Deans
of Colleges, Directors of
Schools, Directors of
Attached Offices
Analysis of the Annual
Work Plans
March and April
Director, Office of
Strategic and Budgetary
Planning
28
Send input to the units (if
needed) to achieve
compliance with the
established criteria for the
formulation and
documentation of the
Annual Work Plan
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Administrative Board Certification No. 038, 2011-2012
Version 1
PowerPoint presentation
before the Institutional
Budget Committee of the
budget request for
operational expenses and
for the Annual Work Plan
Date
April and May
June
July
July through
June
Responsible
Planning and Assessment
Process
Analysis and
recommendation for the
allocation of the budget to
the academic and
administrative units
Institutional Budget
Committee
Executive Deans, Deans
of Colleges, Directors of
Schools, Directors of
Attached Offices
Submit to OPEP the Annual
Assessment Report on the
Development Plan and
Annual Work Plan
Coordinators of the
Projects/Initiatives of the
Institutional Operational
Plan
Submit to OPEP the Annual
Assessment Report on the
Projects/Initiatives of the
Operational Plan
Chancellor and Associate
Budget Director
Presentation of the budget
to the Administrative
Board
Associate Budget
Director
Post budget to the units'
accounts
Executive Deans, Deans
of Colleges, Directors of
Schools, Directors of
Attached Offices
Implementation of Annual
Work Plans
Submit to the Chancellor
these Annual Assessment
Reports:
August
29
Budget Process
Director of the Office of
Strategic and Budgetary
Planning
 Strategic Indicators
 Operational Plan
 Institutional
Development Plans and
Work Plans of the
Executive Deans and
Attached Offices
 Development Plans and
Annual Work Plans of the
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Administrative Board Certification No. 038, 2011-2012
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Date
Responsible
Chancellor
September
OMDC
30
Planning and Assessment
Process
Academic Units (Colleges
and Schools)
Submit to the Chancellor
the Annual Campus
Achievements Report and a
PowerPoint presentation
for analysis and discussion
with the Administrative
Board and the Institutional
Effectiveness Committee of
the Academic Senate
Deliver and present the
Annual Campus
Achievements Report
before the Administrative
Board and the Institutional
Effectiveness Committee of
the Academic Senate
Dissemination of the
Annual Campus Report
with broad diffusion of the
achievements among
members of the university
community
Date Approved: March 9, 2012
Administrative Board Certification No. 038, 2011-2012
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Budget Process
J. Follow-Up to the Assessment of Institutional Effectiveness
Effective follow-up to planning and to the assessment of institutional effectiveness is dependent upon
the request for and receipt of correct information. This includes data and narrative to confirm the
achievements, in accordance with the plans, in greater or lesser degree, and relative to the goals and
objectives that were outlined in the plans. Follow-up is the responsibility of OPEP.
OPEP will submit to the Chancellor the following annual reports:





Assessment Report on the Strategic Indicators
Assessment Report on the Operational Plan
Assessment Report on the Institutional Development Plans and the Annual Work Plans of
the Administrative and Support Units
Assessment Report on the Development Plans and Annual Work Plans of the Academic Units
Annual Campus Achievements Report
K. Dissemination of the Assessment Report on Institutional
Effectiveness
OPEP delivers to the Chancellor's Office the Annual Campus Achievements Report and a PowerPoint
presentation for analysis and discussion with the Administrative Board and the Institutional
Effectiveness Committee of the Academic Senate. In addition, copies of the report are sent to the Office
of the President, the Vice Presidency for Academic Affairs, the Vice Presidency of Research and
Technology, and the Board of Trustees of the University of Puerto Rico.
OMDC is responsible for giving broad diffusion to the projects and initiatives of the Campus and to its
achievements. This office will gather the necessary information for preparing and publishing
promotional materials and other media, including those of mass communication. OMDC will prepare
annually a brochure highlighting achievements, as well as the projects and initiatives that are in progress
or development.
L. Support for the Processes of Planning and Assessment
The process of planning and assessment of the institutional effectiveness, at both the Campus level and
that of the units, receives support from the following units or bodies:
Office of Strategic and Budgetary Planning (OPEP)
OPEP's goal is to create and maintain a culture that is rich in evidence of institutional effectiveness.
OPEP's functions are related to three main areas: a) strategic planning and the assessment of
institutional effectiveness, b) budget projection, and c) institutional research.
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OPEP is responsible for:

Strategic planning and assessment of institutional effectiveness









Initiate, develop, lead, and coordinate strategic planning, the assessment and
institutional research to support the mission, and strategic plans and development plans
for the Campus
Design and maintain internal processes for the cyclical follow-up and implementation of
the projects and initiatives of the Strategic Plan and Operational Plan of the Campus.
Integrate assessment of institutional effectiveness into strategic planning at all levels;
advise and recommend how to use the assessment outcomes for institutional
improvement.
Integrate findings of the assessment of institutional effectiveness at the institutional and
unit levels to prepare the Annual Assessment Report on Institutional Effectiveness
Prepare the Campus Annual Achievements Report, integrating findings of the
assessment of institutional effectiveness
Translate data into information that upper management can use in decision making,
planning, allocation of resources, and other processes requiring strategic analysis.
Plan and coordinate training activities on the process of planning, budget request, and
effectiveness assessment for the academic and administrative units
Guide and support the units in the development of planning, budget request, and
effectiveness assessment
Budget planning
OPEP has the responsibility of advising the Chancellor and other university officials on the
formulation, execution, and control of the operational budget allocated to the Río Piedras
Campus. In addition, OPEP recommends changes and strategies to initiate regarding
budgetary and fiscal policies of the Campus. Its primary functions are:





32
Direct the process of preparing the annual budget projection of the Campus, into which
must be integrated achievements, work plans of the academic and administrative units,
and the request for resources needed for the academic and administrative operations of
the Campus
Formulate the budget for the Campus Operational Plan and its projects and initiatives.
In addition, formulate the budget for executing the Institutional Development Plans, to
wit: Academic, Intellectual Activity and Production, Technology, Development and
Rehabilitation of the Physical Infrastructure, Conservation and Maintenance of the
Physical Facilities, Security, and Marketing, Development, and Communications
Guide and support the academic and administrative units in the preparation of their
annual budget requests
Prepare the distribution of the original budget that the Chancellor submits for approval
to the Administrative Board
Work together with the academic and administrative units in the execution, control, and
use of allocated resources through verification of the availability of funds for actions
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Administrative Board Certification No. 038, 2011-2012
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



Institutional research






33
regarding requested staff, acquisition of equipment and materials, and other expenses
such as travel
Actively participate in the liquidation of the budget at the close of each fiscal year, in
coordination with the Finance Office
Work together with the colleges and schools in preparing budgets for new programs and
curriculum revisions to be presented for approval to the deliberative bodies
Recommend to management courses of action in the projection, execution, and
liquidation of the budget
Provide support systems for strategic planning and assessment of institutional
effectiveness for decision making through:
o Maintaining institutional databases
o Devising, maintaining, and updating indicators and metrics for the Strategic Plan
and Operational Plan
o Creating and maintaining Web applications (e.g. OPEP's web page, the
dashboard of success indicators for the Strategic Plan and Operational Plan, Fact
Book, SAGA, Factum, etc.)
o Preparing annual assessment reports on institutional effectiveness
o Planning and executing institutional research studies
o Analyzing data and preparing reports on the institutional studies
Serve as a hub for collecting and disseminating institutional information
Provide advice and technical support (in accordance with available resources) to
institutional research projects of the academic and administrative units
Produce, and periodically disseminate widely, official Campus statistics on: applications,
admissions, registration, academic offerings, human resources, academic performance,
financial assistance, degrees conferred, retention and graduation rates (statistics
reported to the U.S. Department of Education via the Integrated Post-Secondary
Education Data System), etc.
Produce data and statistical analyses that testify to effectiveness, efficiency, and
relevance in the allocation and utilization of the Campus's fiscal resources, and inform
the decision making inherent to these processes.
Produce seasonal reports to the Chancellor's Office and other academic and
administrative units for decision making and information on the status of the Campus
on core matters such as registration, graduation, desertions, etc.
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Institutional Budget Committee (CIP)
The Institutional Budget Committee is a permanent committee whose members are appointed by the
Chancellor. This Committee has the following responsibilities:







Prepare, review, and recommend for approval the Budget Model and Manual
Evaluate and recommend allocation of the operational budget and that of the Work Plans of
the academic and administrative units, in light of requests received and established criteria
Review and recommend changes to allocations during the budget approval process
Recommend submission of the budget project to the Administrative Board for final approval
Aid in preparing the presentation of the budget project to the Administrative Board
Evaluate and recommend adjustments to the budget projection while it is in force, if needed
Evaluate and recommend specific actions aimed at the continuous improvement of the
processes of budget projection, execution, and liquidation
The Institutional Budget Committee is composed of the following members:












Chancellor
Dean of Administration
Dean of Academic Affairs
Dean of Graduate Studies and Research
Dean of Students
Director of the Finance Office
Director of the Office of Human Resources
Director of the Office of Strategic and Budgetary Planning
Assistant Budget Director
Special Assistant to the Chancellor in Administrative Affairs
Executive Assistant to the Chancellor
Other officials as needed
Ad Hoc Work Group on Strategic and Financial Planning
The Ad Hoc Work Group on Strategic and Financial Planning is appointed, and activated as needed, by
the Chancellor for the purpose of advising on matters related to the processes of strategic planning and
assessment of institutional effectiveness, and on the financial sustainability of the Campus. Participants
in this group include professors with expertise in areas of public administration, planning, accounting,
finance, and others as required.
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Special Committee on Institutional Effectiveness of the Academic Senate
Purpose. The Special Committee on Institutional Effectiveness of the Academic Senate was created by
Certifications Nos. 44 (2002-2003) and 12 (2004-2005), for the purpose of: 1) promoting dialogue on
core affairs of the institution; 2) generating, by means of that dialogue, a critical mass to nurture the
decision-making process at the University of Puerto Rico; and 3) raising consciousness about our
fundamental strengths and weaknesses, with a will to empower the former and shore up the latter.
This Committee's duties were broadened by Certification No. 12 (2004-2005) to add the following
assignments: 1) analyzing reports related to the assessment of institutional effectiveness presented
before the University Board, b) interpreting the findings discussed in these reports, and c) evaluating the
indicators used to calibrate outcomes of the work of the Río Piedras Campus.
Membership. The Committee's composition was amended to include an additional faculty
representative by Certification No. 20 (2007-2008). The members are as follows:





Dean of Academic Affairs
Chair of the Academic Affairs Committee of the Academic Senate
Chair of the Student Affairs Committee of the Academic Senate
One professor (faculty senator)
One student representative from the Academic Affairs Committee
Administrative Board
The Administrative Board, at the request of the Chancellor of the Campus, will advise the Chancellor on
budget matters and approve the budget projection, as well as the strategic/operational and
development plans, and the Annual Campus Achievements Report.
Academy for the Development of Academic Administration
The purpose of this initiative is to identify and empower the leadership and knowledge of the personnel
who administer the University. Its curriculum will guarantee the specialized formation necessary to the
administration of an institution of higher education. OPEP will be responsible for coordinating this
Academy in cooperation with the Center for Academic Excellence.
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REFERENCES
A guide for strategic planning. (2008). The Ohio State University. Retrieved from
http://hr.osu.edu/hrpubs/SPGuide2008.pdf
Assessment handbook. (2010). Queensborough Community College, New York. Retrieved from
http://www.qcc.cuny.edu/pv_obj_cache/pv_obj_id_242844B964E06F5DC995D4AFDFBB19776E
FC1D00/filename/AssessmentHandbook-WebVersion.pdf
Evans, M. Workshop on the strategic planning model. (2011). Retrieved from
http://www.authorstream.com/Presentation/ankush85-211459-strategic-planning-modelmanagement-mba-education-ppt-powerpoint/
Free Management Library. http://managementhelp.org/strategicplanning/models.htm
Gantz, E. (2001). Strategic planning: A ten-step guide.
Lerner, A. (1999). A strategic planning primer for higher education. California State University.
MCSHE (2006). Characteristics of excellence in higher education: Eligibility requirements and standards
for accreditation.
Middaugh, M. & Starke, S. (April 2011). Integrating planning and assessment in higher education.
University of Delaware.
Nichols, K. (2001). Strategic planning in higher education: A guide for heads of institutions, senior
managers and members of governing bodies. Higher Education Funding Council for England
(HEFCE). Retrieved from http://www.hefce.ac.uk/pubs/hefce/2000/00_24.pdf
Paris, K. (2003). Strategic planning in the university. University of Wisconsin-Madison. Retrieved from
http://oqi.wisc.edu/resourcelibrary/uploads/resources/Strategic%20Planning%20in%20the%20
University.pdf
Plan de Avalúo de Efectividad Institucional. (2004). Committee for Development of the Assessment Plan
on Institutional Effectiveness, Río Piedras Campus, University of Puerto Rico. Retrieved from
http://autoestudio.uprrp.edu/documentosdelautoestudio/PlandeAssessmentdeEfectividadInstit
ucional.pdf
Planning objectives: Writing objectives, selecting measures, and analyzing results. (n. d.). Eastern
Kentucky University. Retrieved from
http://www.oie.eku.edu/resources/Planning%20Objectives%20Training2010.pdf.
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Visión Universidad 2016 (University Vision 2016). (2006). Retrieved from
http://www.uprrp.edu/rectoria/vision_2016.pdf
Strategic planning in higher education: A guide for leaders. (n.d.). Center for Organizational
Development and Leadership, Rutgers University, New Jersey. Retrieved from
http://www.lhup.edu/planning-and-assessment/planning/spcresources/guideforleaders.pdf
ADDITIONAL REFERENCES
Table 4 includes hyperlinks to assessment manuals utilized by universities in the U.S. and other
resources that may serve as references in formulating the various elements of planning and assessment.
Table 4. Manuals for Assessment of Institutional Effectiveness
Institution or Agency
Document
UNESCO
Constructing an indicator system
or scorecard for higher education: A practical guide
Department of Education
Forum Guide to Education Indicators
Instituto Para el Estudios
[sic] Politicas Fiscales
Santa Fe, Nuevo Mexico
Tomando Decisiones y Haciendo Presupuestos
Basados en Resultados y
Rendimientos: Materiales de Trabajo
University of Central Florida
The Administrative Unit Assessment Handbook
Southwestern University
Administrative Assessment Handbook
Swarthmore College
Assessment 101
Winona State University
Assessing your Program-Level Assessment Plan
Western Carolina University
Texas Christian University
Handbook for Program Assessment in
Administrative/Educational Support Units
Assessment and Quality Enhancement for
Institutional Effectiveness at TCU
Hyperlink
http://unesdoc.unesco.org/Ulis/cgibin/ulis.pl?catno=182453&set=4B0903F
C_2_9&gp=1&lin=1&ll=1
http://nces.ed.gov/pubsearch/pubsinfo.a
sp?pubid=2005802
http://www.fiscalpolicystudies.com/PDF
%20files/Materiales%20deTrabajo.pdf
http://oeas.ucf.edu/doc/adm_assess_ha
ndbook.pdf
http://www.southwestern.edu/live/files/4
57-assessment-handbook-aes
http://www.swarthmore.edu/Documents/
administration/ir/assessment101.pdf
http://www.theideacenter.org/sites/defau
lt/files/IDEA_Paper_45.pdf
http://www.wcu.edu/WebFiles/PDFs/Ass
essmentHandbook_AES.pdf
http://www.assessment.tcu.edu/docume
nts/assessmentmanual-TCU.pdf
Source: Resources for Higher Education and Assessment, University of North Carolina,
http://www2.acs.ncsu.edu/upa/assmt/resource.htm#hbooks
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APPENDIX 1: Essential Concepts of Institutional Effectiveness
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APPENDIX 1: Essential Concepts of Institutional Effectiveness
A. Institutional Effectiveness Cycle
Institutional effectiveness is a cyclical process consisting of seven steps, as shown in Figure 1. Steps 6
and 7 in themselves follow a cyclical process for continuous improvement until the vision and objectives
of the corresponding period have been met.
Figure 1. Cyclical process of institutional effectiveness
1. Evaluation
and analysis of
internal and
external
environment
Mission/Vision
FODA, gap
analyses
7.
Institutional
renewal
Continuous
improvement
6. Informed
decision
making in
planning and
resource
allocation for
next cycle
2.
Formulation
of prioritized
strategic
goals and
objectives
Institutional
Effectiveness
3. Allocation
and
integration of
the budget
5. Assessment
of outcomes
or
achievements
4. Institution's
daily operations
Execution of
prioritized
strategic actions
Within the institutional effectiveness cycle, the coordinated integration of planning, resource
allocation and assessment plays a role of utmost importance. (Figure 2).
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Figure 2. Coordinated integration of planning, resource allocation, and assessment in the institutional
effectiveness process
PLANNING
RESOURCE
ALLOCATION
ASSESSMENT
Institutional Effectiveness
Institutional Improvement and
Advancement
B. Strategic Planning
Strategic planning is a process by which the leaders of an institution develop a vision for the future and
formulate prioritized strategic goals and objectives, and develop the strategies, actions, and resources
they need to achieve that vision (adapted from Gantz, 2001). Strategic planning includes creating
measurable goals and objectives that are realistic and within reach. It is a continuous, flexible, and
collaborative process that makes adjustments in response to the analysis of assessment outcomes. In
general, strategic plans are made for a period of around five years. To document the strategic planning,
a written Strategic Plan is created.
Middaugh and Starke (2011) presented a paper emphasizing how important it is for educational leaders
to understand clearly the nature of academic strategic planning. They point out that:




Academic strategic decision-making means that a college or university and its leaders
are active rather than passive about their position in history.
Strategic planning looks outward and is focused on keeping the institution in step with
the changing environment.
Academic strategy making is competitive, recognizing that higher education is subject to
economic market conditions and to incredibly strong competition.
Strategic planning concentrates on decisions, not on documented plans, analyses,
forecasts, and goals.
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

Strategy making is…participatory and highly tolerant of controversy.
Strategic planning concentrates on the fate of the institution above everything else.
Academic and administrative units of an institution should create a Development Plan including goals
and objectives that contribute in a coordinated manner to achieving the institutional mission and
vision. One of the objectives of generating a Development Plan is to foster an integrated and practical
approach to planning and assessment as fundamentals for informed decision making at all levels.
C. Operational Planning
Institutional Level. Institutional strategic planning has an operational component (operational plan)
that enables the execution (implementation) of the prioritized strategic actions necessary for reaching
the goals and objectives proposed in the institutional strategic plan. It is on these prioritized strategic
actions that the institution and its units will focus all their efforts while the operational plan is in force.
In the operational plan, for each prioritized strategic action, project, or initiative there must be a
statement of: a) an objective, b) the resources (fiscal, human, technological, and physical) needed, c) the
person(s) responsible for carrying out the action, d) the desired achievement or outcome and the
criterion, measurement, or indicator to determine success, e) a calendar, and f) an Assessment Plan.
Unit Level. The operational component of a development plan is called a plan of action or a work plan.
A work plan specifies the steps to follow in implementing the strategic actions (e.g. initiatives, projects)
necessary for reaching the prioritized strategic objectives that have been proposed. Each initiative or
project has a plan of action to follow. The Work Plan aims to formulate the operations, procedures, and
processes to be performed in each initiative or project of the Development Plan. When devising a Work
Plan, it is necessary to plan for assessment and regular follow-up on progress.
D. Strategic Planning Models
According to Lerner (1999), "although every strategic planning process is uniquely designed to fit the
specific needs of a particular university, every successful 'model'" of strategic planning includes most of
the following elements:
VISION AND MISSION: Identification of the organization's vision and mission is the first
step of any strategic planning process. The university's vision sets out the reasons for
[its] existence and the "ideal" state that the organization aims to achieve; the mission
identifies major goals and performance objectives….
ENVIRONMENTAL SCAN: ...[T]he university must analyze its external and internal
environment. The environmental scan…analyzes information about [the university's]
external environment (economic, social, demographic, political, legal, technological, and
international factors), the industry, and internal organizational factors….
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GAP ANALYSIS: Organizations evaluate the difference between their current position
and desired future through gap analysis. As a result, a university can develop specific
strategies and allocate resources to close the gap…and achieve its desired state.
BENCHMARKING: Measuring and comparing the university's operations, practices, and
performance against others is useful for identifying "best" practices. Through an
ongoing systematic benchmarking process campuses find a reference point for setting
their own goals and targets.
STRATEGIC ISSUES. University determines its strategic issues based on (and consistent
with) its vision and mission, within the framework of environmental and other analyses.
Strategic issues are the fundamental issues the organization has to address to achieve
its mission and move towards its desired future.
STRATEGIC PROGRAMMING: To address strategic issues and develop deliberate
strategies for achieving their mission, universities set strategic goals, action plans, and
tactics during the strategic programming stage. Strategic goals are the milestones the
campus aims to achieve that evolve from the strategic issues. SMART goals…are specific,
measureable, agreed upon, realistic, and time/cost bound. Action plans define how we
get to where we want to go, the steps required to reach our strategic goals. Tactics are
specific actions used to achieve the strategic goals and implement the strategic plans.
EMERGENT STRATEGIES: Unpredicted and unintended events frequently occur that
differ from the university's intended strategies, and the university must respond.
Emergent strategy is "a pattern, a consistency of behavior over time," "a realized
pattern [that] was not expressly intended" in the original planning of strategy
(Mintzberg, 1994, p. 23-25).
EVALUATION OF STRATEGY: Periodic evaluations of strategies, tactics, and action
programs are essential to assessing success of the strategic planning process….The
organization should measure current performance against previously set expectations,
and consider any changes or events that may have impacted the desired course of
actions.
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Table 5 provides hyperlinks to several models of strategic planning utilized by U.S. universities.
Table 5. Strategic planning models
University
College of Agriculture
and Natural
Resources
University of
California
Hyperlink
http://agnradmin.umd.edu/reports/strategicPlan.cfm
http://www.sonoma.edu/aa/planning/Strategic_Planning_Primer.pdf
Ohio State University
http://hr.osu.edu/hrpubs/SPGuide2008.pdf
Queensborough
Community College
http://www.qcc.cuny.edu/pv_obj_cache/pv_obj_id_242844B964E06F5DC995D4AFDF
BB19776EFC1D00/filename/AssessmentHandbook-WebVersion.pdf
http://www.lhup.edu/planning-andassessment/planning/spcresources/guideforleaders.pdf
http://oqi.wisc.edu/resourcelibrary/uploads/resources/Strategic%20Planning%20in%20
the%20University.pdf
Rutgers University
University of
Wisconsin-Madison
E. Allocation of Resources
In order to conduct the strategic actions proposed in the planning, it is necessary to allocate the fiscal,
human, physical, and technological resources necessary for their implementation (execution,
performance). Institutions have models and defined processes to aid in the allocation of those
resources.
F. Assessment of Institutional Effectiveness
As is explained in the Assessment Handbook (2010), good assessment is "useful and meaningful" and is
"integral to institutional change and renewal." The Handbook (p. 5) continues:
Assessment means



43
Establishing clearly articulated goals and measurable expected outcomes
Systematically gathering, analyzing, and interpreting evidence from the
outcomes to determine how well those outcomes have been achieved
Using the resulting information from evidence and discussion to affirm
institutional effectiveness or to promote continuous improvement
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In addition, the publication mentioned above emphasizes that "to ensure that an institution's
assessment is valid and meaningful, assessment must be a process that is comprehensive, integrated,
and sustained. First, assessment is comprehensive when it takes into account all levels and all branches
of the institution." In a university, three types of assessment are observed:



Academic: assessment of student learning, academic instruction, and research
Administrative: assessment of all services, programs, and operations that support student
learning and research
Institutional: assessment of institutional effectiveness
"Second, assessment is integrated when there is a clear, conceptual alignment among objectives at
different but related levels of the institution." For example, the "administrative goals in any [unit] should
be consonant with the corresponding strategic planning goals" for that unit. Meanwhile, on the
academic side, "the objectives of courses supporting a curriculum should be consonant with the
objectives of that curriculum, which in turn should be consonant with the general education objectives
that all graduating students are supposed to attain."
Finally, assessment is sustained when the institution makes it a cyclical process and establishes a fixed
calendar.
Other important elements of assessment are explained in the Assessment Handbook (2010, p. 6):

Assessment…is achieved most efficiently when it is a collaborative effort on the
broadest possible scale. When it works at that level of collaboration, assessment can be
the engine for innovation and improvement of the institution. At the same time,
assessment is not only about continuous improvement; it is also the means by which
an institution can affirm that both institutional and student learning outcomes are
meeting defined or projected expectations.

Beyond the context of the institution itself, colleges belong to regional accrediting
bodies that are intended to ensure that, through peer review, institutions meet general
standards of educational excellence.
In summary, assessment of the outcomes and achievements of the prioritized strategic actions is an
element that must not be omitted from an institution's strategic planning. The assessment process
consists of measurement, critical analysis, and evaluation of the achievements or outcomes produced
by the execution/implementation of the prioritized strategic actions aimed at attaining the desired
prioritized goals and objectives.
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G. Integration of Planning and Assessment
In recent years, the importance of integrating planning and assessment has become more and more
evident. Criteria used by regional and professional accrediting agencies are placing a growing
emphasis on an integrated approach to planning and assessment. Planning and assessment go hand in
hand, because in order to learn whether the goals and objectives that were set during planning have
been reached, it is necessary to measure, evaluate, and analyze the outcomes. The cycle of
institutional planning and assessment has four phases:
1.
2.
3.
4.
Developing clearly articulated written statements…of key institutional and unit-level goals….
Designing intentional objectives or strategies to achieve those goals….
Assessing achievement of those key goals; and
Using the results of those assessments to improve programs and services (MSCHE, 2006).
H. Implementation of the Planning and Assessment Process
Implementation of planning and assessment is an integrated process achieved through planning and
executing the proposed prioritized strategic actions, evaluating the results or achievements of those
actions, and acting upon the analysis of those results. (Figure 3)
Figure 3. Graphic representation of the integration of institutional planning and assessment
Define the Goals
and Objectives
Implement the
Strategies
Evaluate the
Results
Use the Results
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In order for the implementation of planning and assessment to be effective, it is important to be
aware that in most cases, failure occurs in one of three areas of crucial importance. According to
Strategic Planning in Higher Education: A Guide for Leaders (n. d., p. 5), these are:

Leadership. Defining leadership roles and responsibilities is essential to a plan's
effectiveness. Unless a project's leaders are successful in creating a commitment to
the initiative, a plan that's impressive on paper may fail to achieve its goals.

Communication. Without careful communication planning, organizational change is
likely to meet with resistance by colleagues. Successful communication requires
attention to each group likely to be affected by the planning process and the plan's
goals.

Assessment. Ongoing attention to assessment is necessary to monitor a plan's
progress and assess its outcomes. These appraisals provide guidance for developing
preplanning strategies, monitoring the planning process, and judging whether a
plan's activities and strategies are successful in fulfilling the organization's goals.
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APPENDIX 2: Historical Background of Institutional Effectiveness at the
Campus
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APPENDIX 2: Historical Background of Institutional Effectiveness at the
Campus
A. Strategic Plan
Strategic planning at the Río Piedras Campus is founded upon its mission, approved by the Academic
Senate on 15 March 1990 (Certification No. 67, (1989-1990). In general terms, this mission is:
 To foster the integral education of its students.
 To provide graduate education of the highest quality, the core elements of which are research
and creative activity.
 To provide post-baccalaureate programs for the education and training of professionals of the
highest caliber.
 To provide an undergraduate education of excellence, one that offers students a unified vision
of knowledge.
 To develop teaching and research skills, and to promote participation in the life of the
community, and service to that community, with respect for the historical and social
conditions of Puerto Rico.
 To foster the growth and dissemination of knowledge at an international level.
 To develop innovative, relevant programs of research, community service, and continuing
education that will support and contribute to the academic and professional activity of the
campus.
To enable the fulfillment of its mission, the Campus devised its Strategic Action Plan (PLEA - Spanish
acronym), which was approved in 1997 by the Academic Senate and the Administrative Board. PLEA was
in force until 2006.
In 2006, the Academic Senate (Certification No. 26, 2006-2007) and the Administrative Board (Certification No. 041, 2006-2007) gave their approval to the Strategic Plan University Vision 2016. This plan
details the process of innovation and transformation of the Campus through the year 2016. University
Vision 2016 expresses (p. 10) the institutional vision and the aspiration of making the Río Piedras
Campus into:
A university community, with a marked doctoral character and endowed with first-rate
resources, dedicated to research, creation, and the dissemination of knowledge;
committed to the integral formation of the student and lifelong learning; and
recognized for the excellence of its contributions to the development and intellectual
enrichment of the Puerto Rican, Caribbean and world society.
The complete process of the conceptualization and approval of Strategic Plan University Vision 2016 is
described in detail within the document. The English version of University Vision 2016 can be accessed
at http://opa.uprrp.edu/pls/opaweb/docs/Vision_University_2016_Eng.pdf.
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B. Operational Plan
Project University 2011. During the implementation phase for the Strategic Plan University Vision 2016,
an operational plan was devised, named Project University 2011. This Project's purpose was to ensure
the effective implementation of prioritized strategic goals and objectives proposed in University Vision
2016 during the period of 2006 to 2011, by means of timely projects and initiatives, in addition to
integrating the academic and administrative activities of the Campus with the budget.
Operational Plan 2011-14: Trazos. The end of the year 2010 signified the closure of the cycle of
planning, execution, and assessment of administrative institutional effectiveness corresponding to the
Operational Plan Project University 2011. The need arose to formulate a new Operational Plan for the
following period. By means of a collaborative and informed process led by the Office of Strategic
Planning and by the Chancellor's Office, a new operational plan of prioritized strategic action was
devised for 2011-2014: Trazos.
C. Assessment Plan for Institutional Effectiveness
Our Campus conceptualizes assessment of institutional effectiveness as a key tool for institutional
renewal. Renewal is obtained by implementing actions in response to the assessment outcomes. Those
outcomes are a guide to identifying priorities, making decisions, and identifying and carrying out
institutional projects whose purpose is to achieve continuous improvement and attain our institutional
mission.
In 1998 the Campus assigned high priority status to following up the achievement of goals and
objectives established in the Strategic Action Plan (PLEA, 1997) in harmony with the University Plan. This
was evidenced by a set of processes and actions culminating in the approval by the Administrative Board
(Certification No. 021, 2004-2005) of the Assessment Plan for Institutional Effectiveness (2004).
With the implementation of the Assessment Plan for Institutional Effectiveness (2004), systematic
assessment and evaluation was institutionalized at the Campus. This system uses:




Indicators of institutional effectiveness (dashboard)
Institutional research
Formulation and implementation of development plans, plans of action, and assessment of
effectiveness plans at the unit level (colleges, schools, deans' offices, and attached offices)
The Annual Achievements Report at the institutional and unit levels
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D. Performance Management and Measuring Strategic Indicators
Performance management is a continuous process of identifying, measuring, and developing
performance of individuals and work groups, coordinated with the strategic goals established by the
institution. While individual performance is measured based on systems managed by the Office of
Human Resources and, in the case of teaching staff, the Office of the Dean of Academic Affairs,
institutional performance is measured using strategic indicators devised by the Planning Office and
approved by the Chancellor's Office. These have been collected on a dashboard of strategic indicators
for each of the nine goals of the Strategic Plan University Vision 2016. The dashboard may be accessed
through the Campus website at http://opa.uprrp.edu/pls/opaweb/DASHUPRRP.
Another dashboard was created with the success indicators for Operational Plan Project University 2011;
it may be accessed at http://opa.uprrp.edu/pls/opaweb/DASHUPRRP_PPR. The data offered on the two
dashboards summarizes the results attained annually by the deans' offices and Campus offices, showing
the institution's progress toward attaining its strategic goals.
The updated data from the strategic indicators is utilized by upper management to make informed
decisions in planning and allocating resources for the next cycle. It is also utilized by the various Offices
to identify areas of opportunity in order to devise projects with a high strategic potential and great value
to the institution.
E. Management of the Planning and Assessment of Institutional
Effectiveness
From 2004 to 2008, the Office of the Dean of Academic Affairs (DAA) was in charge of the assessment of
institutional effectiveness, both administrative and academic. In 2008 the assessment of administrative
effectiveness became the responsibility of the Chancellor's Office with the appointment of a Coordinator
of Strategic Planning. Assessment of academic effectiveness remained in the hands of DAA and of DEGI,
the Office of the Dean of Graduate Studies and Research, until 2011, when the Office of Strategic
Planning was created.
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