Fundamental Elements and Related Questions

Evidence/Methodology

Fundamental Element #1: Strategies to measure and assess the level of, and efficient utilization of, institutional resources required to support the institution’s mission and goals;

1. What is CCAC’s budgeting process and how does it provide for adequate faculty, staff and administration to support the achievement of its mission and goals?
2. What evidence exists that CCAC provisions for adequate instructional and non-instructional resources to accomplish its mission and goals?
3. To what extent do facilities support CCAC's service demands and how well are they utilized?
4. What methods are used to measure the efficacy of staffing, resources, and facilities in the achievement of CCAC's mission and goals and what is the outcome of these methods?
5. What evidence exists that indicates any additions or changes to institutional resources would result in improved efficiency in addressing the college’s service demands?
6. In the institutional planning process, what analysis is conducted of resource requirements to support projected programs and service demands

Review internal budget documents and manuals and budget committee reports

Review internal budget documents and reports including operating budget, capital equipment and renovation and  improvements documents

Interview Academic Deans and Faculty Dept. Heads.

Review expenses vs. revenue for all college sites.

Review room-scheduling reports

Investigate the external funding climate and its affect on the college meeting its mission and goals

Review regional environmental scans that address the economy and demographics of the region

Review documentation that compares resource utilization compared to benchmark institutions

Review trend analyses and CCAC longitudinal (historical) analyses

Review planning documents and review resource allocations

Fundamental Elements and Related Questions

Evidence/Methodology

Fundamental Element #2: rational and consistent policies and procedures in place to determine allocation of assets; Fundamental Element #3: an allocation approach that ensures adequate faculty, staff and administration to support the institution’s M/G/O;

1. What policies and procedures govern the allocation of resources?
2. How consistent are the policies and procedures applied throughout the college?
3. Who is represented in the allocation process, is this a broad representation of the College, and a strategic view of the institution maintained?
4. How does the college prioritize goals and objectives for allocating resources?

ReviewCollegepolicies and procedures

Interview Executive Dean Cabinets

Review the budget allocation process

Interview the College Budget Committee

Investigate CCAC’s budget process and budget

documents

Fundamental Elements and Related Questions

Evidence/Methodology

Fundamental Element #4: a budget process aligned with the institution’s M/G and strategic plan that provides for an annual budget and multi-year budget projections for at least three years, both institution-wide and among departments; utilizes planning and assessment documents; and addresses resource acquisition and allocation for the institution and any subsidiary, affiliated, or contracted educational organizations as well as for institutional systems as appropriate;

1. What is CCAC’s budget process and to what extent are programmatic projections and resource standards used to allocate financial support for its various functional components?
2. To what extent does the College’s strategic planning process incorporate annual and multi-year budget projections to support the successful implementation of realistic initiatives set therein as well as provide for ongoing operations?
3. How are inefficiencies addressed in the budgeting and planning process?

Interview staff in the Budgets department and Business Managers, and Executive Deans

Review planning and budget documents

Interview the Planning Committee

Interview the Planning Committee, Business Managers, and Executive Deans

Fundamental Elements and Related Questions

Evidence/Methodology

Fundamental Element #5: a comprehensive facilities or infrastructure master plan and facilities/infrastructure life-cycle management plan, as appropriate to mission, and evidence of implementation;

1. To what extent does the institution’s mission and goals drive the master facilities plan for the college?
2. How does the plan guide the acquisition and/or renewal of facilities and infrastructure that incorporates life cycle management?
3. What space standards and service demand projections are used in the development of facilities plans?
4. How does CCAC employ a budget process for facilities acquisition and renewal that is driven by service demands?

Review the master facilities plan and planning process

Review PA Dept. of Education Building guidelines, standards and processes

Review facilities and technology planning documents and procurements/leases

ReviewStateand local building codes

Review documentation that compares CCAC space categorically against standards and/or benchmark institutions

Investigate whether standards are set and utilized to guide equipment purchases

Investigate through document review, reports, and interviews whether facilities planning are driven by service demands

Fundamental Elements and Related Questions

Evidence/Methodology

Fundamental Element #6: recognition in the facilities or infrastructure master plan that facilities, such as learning resources fundamental to all educational and research programs and libraries, are adequately supported and staffed to accomplish the institution’s objectives for student learning, both on campus and at a distance;

1. In the budgeting process, how is the financing of additions and/or changes that would improve efficiency in the delivery of student support services considered?
2. How is facilities acquisition/expansion reconciled with adequate staffing to support services in new/expanded facilities?

Review facilities planning documents and operating budget documents

Interview Executive Deans, Center Deans and support service staff

Review Community College Learning Resource standards

Fundamental Elements and Related Questions

Evidence/Methodology

Fundamental Element #7: an educational and other equipment acquisition and replacement process and plan, including provision for current and future technology, as appropriate to the educational programs and support services, and evidence of implementation;

1. How does CCAC resolve programmatic service demand projections in the acquisition of equipment with budget allocations?
2. How has the college planned and budgeted for a technology infrastructure to support its mission and goals as well as provide the flexibility for new and emerging technology?
3. How is life cycle management employed to maintain currency in technology and equipment?
4. What technology standards have been set and how well do these support current, future, and emerging technology?

Review budget reports and planning documents

Conduct forums, interview faculty and staff

Review technology planning and long-range capital budget  plans

Review research from The Gartner Group

Review Facility Plans

Review capital budget priority lists and procurement

Review technology standards and investigate implementation with ITS staff

Benchmark standards with research reports from The Gartner Group

Fundamental Elements and Related Questions

Evidence/Methodology

Fundamental Element #8: adequate institutional controls to deal with financial, administrative and auxiliary operations, and rational and consistent policies and procedures in place to determine allocation of assets;

1. What policies and procedures are in place to determine the allocation of assets?
2. How does CCAC assign responsibility for controlling cost consistent with its delegation of authority to commit cost? To what extent are those managers responsible for cost control given adequate documentation to track performance against budget?

Review budget polices and procedures

Review assignments of budget responsibility

Review budget reports for consistency with responsibility assignment

Interview functional Business Managers

Review documentation of budget adjustments and their rational

Fundamental Elements and Related Questions

Evidence/Methodology

Fundamental Element #9: an annual independent audit (institutional or system-wide), confirming financial responsibility, with evidence of follow-up on any concerns cited in the audit’s accompanying management letter;               

1. How does CCAC make appropriate use of its annual independent audit?
2. Is the Board appropriately involved?
3. Does adequate follow-up occur on audit concerns raised?

Review independent audits and their outcome

Review documentation of process for Board involvement

Review audit management letters and management’s responses

Fundamental Elements and Related Questions

Evidence/Methodology

Fundamental Element #10: periodic assessment of the effective and efficient use of institutional resources;

1. Does CCAC periodically review the effectiveness of its resources?
2. How is efficiency gauged in the use of resources?

Review progress reports that address resource allocation and planning

Utilize benchmark studies of like institutions with CCAC/’s use of resources

Review relevant NACUBO Surveys