at Utuado University of Puerto Rico

Transcription

University of Puerto Rico at Utuado
Monitoring Report to MSCHE (September 2011)
Monitoring
Report
September 2011
Submitted to Middle States
Commission on Higher Education
University of Puerto Rico
at Utuado
Monitoring Report
Submitted to the Middle States
Commission on Higher Education
September 1st, 2011
Submitted by
Prof. Eladio González
Chancellor
Date of Team Visit
September 13-15, 2011
Chair of Visiting Team
Dr. Stephen Bronn
Table of Contents
SECTION 1: INTRODUCTION ........................................................................................... 1
Institutional Overview .......................................................................................................... 1
Institutional Context ............................................................................................................. 2
SECTION 2: PROGRESS TO DATE AND CURRENT STATUS .............................................. 3
Standard 2: Planning, Resources, and Institutional Renewal.............................................. 3
Evidence that goals and objectives reflect conclusions drawn from
assessment results and are used for planning and resource allocation
at the institutional and unit levels
Standard 3: Institutional Resources .................................................................................... 20
Evidence of a broadly participatory budget and priority setting exercise
that links its strategic plans and goals with available resources
based on various economic scenarios, particularly a plan-B scenario
that does not assume budget increases from the government
Evidence of the development of a three-to five-year financial projection
that outlines possible strategies that the institution can take in view of its
precarious financial situation
Standard 4: Leadership and Governance ............................................................................ 44
Evidence of a complete set of policies outlining governance responsibilities
of administration and faculty and clearly assigning authority and responsibility
for policy development and decision making
SECTION 3: CONCLUSION ............................................................................................... 52
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APPENDIXES
Appendix 1
Strategic Plan 2006-2011
Appendix 2
Assessment Dashboard of the 2006-2011 Strategic Plan
Appendix 3
SWOT (Strengths, Weaknesses, Opportunities, and Threats) Analysis
Appendix 4
Historical Synthesis of Planning at UPR-Utuado
Appendix 5
Strategic Plan Alignment with Budget Distribution
Appendix 6
Disclosure of Accreditation Issues
Appendix 7
Evidence of Active Participation of UPR-Utuado’s Leadership and Governance
Appendix 8
Organization Chart 2011-12
Appendix 9
Full time Equivalent, Enrollment, and Projections
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List of Tables
Table 1 -
Members of the Strategic Planning Steering Committee—July 2011 ............................... 4
Table 2 -
UPR-Utuado’s 2006-2011 Strategic Plan Alignment with UPR System’s
Ten for the Decade--February, 2007 ............................................................................. 15
Table 3 -
UPR-Utuado’s Strategic Plan Goals Fulfillment within its Mission Objectives .................. 16
Table 4 -
Budget Allocation for UPR-Utuado.................................................................................... 21
Table 5 -
2010-2011 Economies Resulted from Cost Control Measures .......................................... 24
Table 6 -
New proposals for DECEP projects (others are in process) ............................................... 25
Table 7 -
New Sponsored Projects Operating at the UPR–Utuado
during Fiscal Year 2010–2011, 2011-2012 ........................................................................ 26
Table 8 -
Infrastructure Improvements 2010-11 .............................................................................. 27
Table 9 -
Projected Infrastructure for Fiscal Year 2011-12 ............................................................. 28
Table 10 -
Total Budget for Fiscal Year 2010-11................................................................................. 28
Table 11 -
Transfer of Funds from the System Budget Office to UPR-Utuado .................................. 30
Table 12 -
General and External Funds Allocations Academic Years 2011-2012 to 2015-2016 ......... 32
Table 13 -
External Resources Received and Projected Academic Years 2011-2012 to 2015-2016 .. 33
Table 14 -
External Resources Received and Projected Academic Years 2007-08 to 2010-2011 ...... 34
Table 15 -
Budget Distribution and Projections by Program
Summary of Operating Expenses allocated budget by
Program for five fiscal years from 2011-2012 to 2015-2016 ............................................ 35
Table 16 -
Budget Distribution and Projections by Category Expenses
Summary of Operating Expenses Allocated Budget by Category
for Five Fiscal Years 2011-2012 to 2015-2016 .................................................................. 39
Table 17 -
Statement of Projected Revenue and Expenses for Consolidated Budget
Summary of Revenue and Expenses for Five Fiscal Years from 2011-2012 to 2015-2016
Table 18 -
Composition, Roles, and Responsibilities of Institutional Constituencies ......................... 46
List of Figures
Figure 1 -
Strategic Planning Process and Timeline at UPR-Utuado .................................................. 6
Figure 2 -
Deanships Planning and Assessment Guide Completion
as of August 2011 .............................................................................................................. 13
Figure 3 -
Budget Distribution and Projection by Program--Fiscal year 2011-2010 .......................... 22
Figure 4 -
Budget Distribution and Projection by Program ............................................................... 22
Figure 5 -
General and External Funds Allocations by Category Expenses ........................................ 32
Figure 6 -
External Funds Received and Projected—2011-12 to 2015-16 ......................................... 33
Figure 7 -
Detail of External Funds Projected to Current Year 2011-12 ............................................ 34
Figure 8 -
Budget Distribution and Projections by Program .............................................................. 36
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Figure 9 -
Budget Distribution and Projections by Program .............................................................. 36
Figure 10-
Budget Distribution and Projections by Category Expenses ............................................. 37
Figure 11-
Budget Distribution and Projections by Category Expenses ............................................. 38
Figure 12-
Projected Revenue and Expenses for Consolidated Budget for
Five Fiscal Years from 2011-12 to 2015-16 ....................................................................... 40
Figure 13
Enrollment of UPR-Utuado—First and Second Semester
Academic Years 2007-08 to First Semester 2010-11 ......................................................... 41
Figure 14
Current Academic Budget and Enrollment for 2011-12-Projections for 2012-13 to 2015-16 .................................................................................. 42
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SECTION 1: INTRODUCTION
Institutional Overview
The UPR-Utuado was created by Joint Resolution No. 9 of the Legislative Assembly of the
Commonwealth of Puerto Rico on December 1, 1978, by Certification No. 86 (1978-79) of the
Council of Higher Education. The initial authorized academic offerings were identified in
Certification No. 25 (1979-80) of the Council of Higher Education, consisting of associate degree
programs in agricultural technology, professional fields (education and business), the arts, and
sciences. The College began operations in August 1979 with an enrollment of 195 students. In
1999, through Certification No. 077 (1998-99) of the Board of Trustees, autonomy was granted
to the College as one of eleven University of Puerto Rico (UPR) System campuses, and created
the positions of Chancellor and Deans, as well as the deliberative bodies of the Administrative
Board and the Academic Senate. In the year 2000, the College acquired its present official name
(see Organizational Chart of UPR-Utuado 2010-11).
The UPR-Utuado has an academic offering of three baccalaureate degree programs, 11 associate
degree programs, and 7 transfer preparatory programs with other UPR units (see UPR-Utuado’s
Academic Catalog). The academic mission, (see UPR-Utuado’s Values, Vision, and Mission)
emphasizes programs in agriculture, education, and business administration. UPR-Utuado has
consolidated as an intellectual community with academic credentials in a variety of disciplines
that contributes to the economic growth of the region of the island. Diverse community service
activities serve as a venue for local artisans and farmers (Evidence at Exhibit Room). The UPRUtuado is proud to be a campus of social change given its student body, comprised mostly of
first generation college students, particularly those with limited financial and educational
resources.
Total headcount enrollment for fall 2011-2012 is 1,268, slightly lower than the average 1,473 for
the previous three years. Approximately ninety-four percent (94%) of the student population
studies full time, 84% receives some form of financial aid, and 54% is female. Thirty-two percent
of the student body is enrolled in baccalaureate degree programs, 57% in technical programs,
and 6% in transfer programs. The remainder is classified into other categories. The student
body is served by approximately 111 faculty members and 158 non-faculty staff members. On
average, the student/faculty ratio is 19:1. The 2010-2011 faculty profile revealed that 67% of
faculty teaches full-time (does not include non-teaching faculty members), of whom 49% is
tenured and forty percent has doctoral degrees. Sixteen percent of faculty holds the rank of
professor, 19% associate professor, 32% assistant professor, and 32% instructor.
Institutional Context
To support the necessary institutional continuity and stability, on June 22, 2011, the Board of
Trustees appointed Dr. Miguel Muñoz as President of the UPR. Dr. Muñoz credentials,
experience as former Acting President and Chancellor of the Mayagüez Campus, rendered a
transition period unnecessary thanks to his full command of current issues and challenges faced
by the Institution (Certification No. 155--2010-2011).
President Muñoz, during his current and previous terms, has respectively maintained a
significant number of key leadership positions to warrant the adequate expertise and historic
memory to assure continuity and stability in institutional leadership. Since February 2011,
Eladio González was appointed Acting Chancellor of UPR-Utuado. The President has initiated
the Consultation process for Chancellor at UPR-Utuado and UPR-Mayaguez Campus, currently
the only units in the System with Acting Chancellors.
This present Monitoring Report demonstrates that the University of Puerto Rico at Utuado has
achieved and can sustain compliance with the Middle States Commission of Higher Education
(MSCHE) Characteristics of Excellence, Standard 2, Planning, Resource Allocation, and
Institutional Renewal; Standard 3, Institutional Resources; and Standard 4, Leadership and
Governance. As requested by the Commission in the June 23, 2011 Action Letter, this Report
provides documented evidence that the UPR-Utuado: “goals and objectives reflect conclusions
drawn from assessment results and are used for planning and resource allocations at the
institutional and unit levels (Standard 2); a broadly participatory budget and priority setting
exercise that links its strategic plans and goals with available resources based on various
economic scenarios, particularly a plan-B scenario that does not assume budget increases from
the government; development of a three-to-five-year plan financial projection that outlines
possible strategies that the institution can take in view of its precarious financial situation
(Standard 3);a complete set of policies outlining governance responsibilities of administration
and faculty and clearly assigning authority and responsibility for policy development and
decision making (Standard 4).”
As this Report demonstrates the MSCHE reaccreditation process has represented an important
source of assessment that has contributed to identifying further the institution’s strengths and
areas of opportunities. From this effort a renewed sense of mission has emerged in the
University community that has guided all institutional endeavors.
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SECTION 2: PROGRESS TO DATE AND CURRENT STATUS
Standard 2
Planning, Resources, and Institutional Renewal
This section of the Report documents evidence that the UPR-Utuado has achieved and can
sustain compliance with Standard 2. The evidence discussed includes but is not limited to
evidence that UPR Utuado: 1) Is planning and making resource allocation and campus decisions
based on results of assessment, 2) Is currently in phase 3 of the development of the new
Strategic Plan for the 2012-2017 strategic cycle, 3) Is conducting strategic planning workshops
and working sessions with key personnel to ensure that the new Strategic Plan for the 20122017 period is developed following best practices and standards, 4) Has a sustainable structure
(organization, templates, and tools) for planning, resource allocation and organizational renewal
based on assessment results, and 5) Is promoting the four components of its Culture of
Assessment and Institutional Renewal through workshops and through the development and
implementation of operational plans at every unit of the institution for the 2006-2011 and the
upcoming 2012-2017 strategic cycles.
Description of the Current 2006-2011 Strategic Plan
The UPR-Utuado Mission Statement and the current Strategic Plan, in alignment with the UPRSystem mission, guides all institutional activities and sets the stage for accomplishing the
institutional mission, defining and identifying priorities in critical assessment areas, thus
assuring UPR-Utuado’s continuous renewal. The current Strategic Plan was developed at UPR
Utuado during the 2005-2006 Fiscal Year, following an Assessment of the 2003-2008 Strategic
Plan. The 2006-2011 Strategic Plan (Appendix No. 1) presents the five goals of the institution
for the 5 year period. The five strategic goals can be summarized in five key themes or areas: 1)
Academic Programs Achievements, 2) Student Attainment, 3) Research and Development, 4)
Physical Infrastructure, and 5) Institutional Development and External Funds. The 2006-2011
Strategic Plan also presents the institution’s operational objectives, activities, persons
responsible, resources/ budget, and the assessment indicators that will be used to analyze
institutional progress, make decisions, and ensure institutional renewal. The institutional goals,
objectives, and activities in the five key areas have provided direction to institutional efforts
during the 2006-2011 period. As the end of 2011 approaches, the institution is energized by the
new process for the development of a new Strategic Plan for the 2012-2017 period being led by
the Strategic Planning Steering Committee.
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Description of the Strategic Planning Steering Committee
The Strategic Planning Steering Committee is chartered with the task of developing, overseeing
the implementation, assessing, and closing the assessment loop of the new institutional 20122017 Strategic Plan. The role of the Steering Committee Members consists of coordinating all
phases of plan development, reviewing and providing information and feedback to the
Chancellor regarding content, contextual, and procedural aspects of developing, implementing,
reviewing, and monitoring institutional and units strategic and assessment plans. The Strategic
Planning Steering Committee and its planning and assessment tools will be key to the short and
long-term sustainability and success of strategic planning and management at the UPR Utuado.
Current members are presented on the following table and paragraph.
Table 1
Members of the Strategic Planning Steering Committee—July 2011
Name
Area or Position
1. Prof. Eladio González Fuentes
Acting Chancellor
2. Dr. Eneida Rodríguez Rossy
Dean of Academic Affairs
3. Dr. Luis A. Tapia Maldonado
Dean of Administrative Affairs
4. Prof. Silma Maldonado Oliver
Dean of Student’s Affairs
5. Prof. Osvaldo Lamboy
Auxiliary Dean of Academic Affairs
6. Dr. Javier Lugo Pérez
Institutional Assessment Coordinator
7. Prof. Regina Oquendo
Learning Resources Center (Library)
8. Prof. Gelsy Colón
Director of the DECEP
9. Prof. Nahir Vélez
Department Director of Counseling and
Orientation
10. Prof. Héctor M. Reyes Ayala
Planning and Institutional Research Office Director
11. Mr. Edgar del Toro
Budget Director
12. Ms. Luz Martínez
Finance Director
13. Mrs. Iris M. Vélez
Assistant Dean of Administrative Affairs
Source: Chancellor’s Office
The Strategic Planning Steering Committee has been enthusiastically working on the first phases
of the development of the 2012-2017 Strategic Plan. The Chancellor scheduled weekly meetings
with the Steering Committee to work on the development of the 2012-2017 Strategic Plan. The
Steering Committee has met at least seven times in the Fall Semester of 2011-2012 Academic
Year; in addition, four on-site meetings with UPR-System advisors on planning, assessment, and
accreditation issues have been coordinated and conducted, one teleconference, and an
additional meeting at UPR-System Central Office. The President and the Vice-President of
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Academic Affairs of the UPR-System and members of their team have visited and had
meaningful discussions with the Strategic Planning and Accreditation Steering Committees,
faculty, and non-teaching personnel (Exhibit Room). The UPR System President also presented
a workshop on governance to the Strategic Planning and Accreditation Committees and allowed
for an exchange regarding the strategic direction for both the UPR System and UPR Utuado
campus. These meetings and exchanges have proven valuable for completing the first phases of
the development of the 2012-2017 Strategic Plan (First draft will be available at Exhibit Room).
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Description of the New Process for Developing the 2012-2017 Strategic Plan
The Strategic Planning Steering Committee is following a structured process and system for
Developing the 2012-2017 Strategic Plan. Eight phases are being followed to ensure
completion. The following figure presents the strategic planning process and timeline used by
the UPR-Utuado.
Figure 1
Strategic Planning Process and Timeline at UPR-Utuado
Phase
1
Revision and analysis of UPRU internal/ external context
(e.g. SWOT, Benchmarking, Assessment)
SWOT
Assessment
May
2011
Benchmarketing
Phase
2
Planning workshops & meetings of the Steering
Committee and its Subcommittees to analyze data &
worksheets linking assessment-planning-budgeting
July-Aug
2011
Phase
3
First draft of the Strategic Plan (including revisited
Mission and Vision, Institutional Goals & Unit Goals)
Sept.
2011
Phase
4
Revision of content by
Steering Committee focus groups
Oct.
2011
Phase
5
Evaluation and integration of recommendations for
final draft of the Strategic Plan
Nov.
2011
Phase
6
Publication and dissemination to external and internal
community
Dec.
2011
Phase
7
Implementation
20122017
Phase
8
Follow-up
stakeholders
Feedback
Revision: August 2011
Deanship of Academic Affairs
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Continuous
Phase 1
Analysis of the Institutional Strengths, Weaknesses, Opportunities, and Threats
In the development of the new Strategic Plan the first phase consisted of revision and analysis of
the internal and external context of the institution. For this study the Steering Committee has
been conducting diverse analysis of the strengths and weaknesses of the Institution,
benchmarking, and an examination of the implications of assessment results for forging new
institutional goals. The Steering Committee has also been reflecting on the implications of the
Institution’s Self-Study Report presented on January 2011 and the Monitoring Report submitted
in March 2011 to the Middles States Commission on Higher Education (MSCHE) on the
implementation of planning and assessment at UPR-Utuado. These documents offer an
updated picture on the fundamental issues and need assessment areas. Phase 1 ensures an
analysis of the institution’s internal and external contexts, of its strengths, weaknesses,
opportunities, and threats of its key areas of strategic direction and development as identified
by the assessment data.
UPR Utuado uses assessment information for strategic planning, resource allocation, and
institutional renewal. The institution also uses information collected through its Assessment
processes to make decisions, establish new goals and objectives, and for resource allocation
purposes. To this end the Strategic Planning Steering Committee, the Assessment Steering
Committee Members and all assessment teams were asked to analyze all available assessment
data to clearly identify: a) strengths and weaknesses (Outcome and SWOT Analysis) and b) to
analyze how their goals and/or objectives are being addressed with available resources
(Outcomes & Resource Allocation Decisions), and to examine the implications of assessment
data for the development of new goals, objectives, actions, and expected outcomes for the
2012-2017 strategic cycle (Assessment-Based Planning Decisions).
This fact is supported by the following documents:
1. Assessment Dashboard of the 2006-2011 Strategic Plan (Appendix No. 2)
2. Analysis of Strengths and Weaknesses of the Institution (Refer to the SWOT
Analysis presented in Appendix No. 3). This document reflects a participatory
analysis that involved members of the various Deanships and Offices of the
institution.
3. Implications of Self-Study and MSA Visiting Team Report and MSCHE
Recommendations for the 2012-2017 Strategic Plan.
4. Analysis of Assessment-Based Action Points to be Addressed in the 2012-2017
Strategic Plan.
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In addition to current efforts conducted to analyze the implications of assessment to make
strategic decisions and set a new strategic direction for the campus, UPR Utuado has evidence
that the institution engaged in the past in a similar exercise from the 2003-2008 Strategic Plan
before developing the current 2006-2011 Strategic Plan. The following documents serve as
evidence for this fact:
1) Historical Synthesis of UPR-Utuado’s Past Strategic Planning Efforts 2002-2010
(Appendix 4)—This document provides a timeline of past strategic planning efforts
for the 2002-2010 period. The document does not include current efforts begun in
2010 addressed in the present monitoring report.
2) Assessment of the 2003-2008 Strategic Plans—This document produced during
the 2005-2006 Academic Year was conducted as the first step to the revision and
development of the 2006-2011 Strategic Plan. The UPR-Utuado aligned the
institutional plan calendar with the system-wide plan “Diez para la Década” 20102016 (Ten for the Decade). The Assessment of the 2003-2008 Strategic Plan was
also conducted as part of 2006 Self-Study submitted to the MSCHE. The document
contains the 2003-2008 Strategic Objectives, Operational Objectives, Activities,
Timeframe, Leaders (or persons responsible), Resource Allocation, Effectiveness
Indicators, and the Outcome Analysis and Results. This document will be available
for the Visiting Team at the Institution’s Exhibit Room.
Phase 2
Planning workshops and meetings of the Steering Committee and its Subcommittee to
analyze data and create templates that link assessment-planning-budgeting
1. Strategic Planning Workshops and Working Sessions
The Development Process for the 2012-2017 Strategic Plan is being strengthened through the
conduct of workshops and working sessions on strategic planning. The Vice Presidency of
Academic Affairs of the UPR System was invited by UPR-Utuado to conduct a series of
workshops and working sessions with members of the Strategic Planning Committee. The first
Workshop consisted of five (5) parts: I) 4 Disciplines for Executing a Strategic Plan and Attaining
Institutional Goals, II) Towards a Culture of Assessment in the Development and Implementation
of a Strategic Plan, III) Strategic Planning that complies with MSCHE Standard 2 by Integrating
Planning, Assessment, Resource Allocation, and Institutional Renewal, IV) Planning Process
Suggested for UPR Utuado, and V) Recommendations on Communication Strategies related to
Planning and Assessment Activities. Other subtopics were included within the five parts of the
workshop. Further working sessions at UPR-Utuado were conducted and are planned for the
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upcoming months on topics such as the development of the institutional plan, the development
of the unit-level plans (deanships and offices), the development of the electronic dashboard
using Google Docs, among other related topics (Evidence at Exhibit Room).
2. Strategic Planning Templates
The Strategic Planning Steering Committee have been completing Strategic Planning Templates,
provided by the planning specialist of the Vice Presidency for Academic Affairs (available at
Exhibit Room), to organize the strategic planning efforts. The Strategic Planning Templates and
Strategic Planning System developed and adapted to the needs of UPR Utuado are the
following:
a. 2006-2011 Assessment Dashboard Template: This template provides the
structure for assessing the effectiveness of the 2006-2011 Plan and for
analyzing the implications of assessment data for the new plan and new
strategic direction of UPR Utuado. The 2012-2017 Assessment Dashboard
includes the Strategic Goals for 2012-2017, the assessment indicators,
expected results, results attained, the percentage (%) of results attained
(calculated by dividing the results attained by the expected results), actions
taken or to be taken as a result of assessment, and the available evidence to
support the assessment. The dashboard will also include a color code on
the Results Attained column similar to a signal light codification whereby
red=result not going in the expected direction, yellow=caution, and
green=result going in the right direction.
b. Planning, Accountability, and Resource Allocation Template: This template
provides the structure for defining the new strategic goals, objectives and
priorities, activities, persons responsible for implementation, resource
allocation (to ensure resources are identified for each of the strategic
initiatives), and the alignment with the UPR System goals.
c. Template for Assessment Plan for the 2012-2017 Strategic Cycle: This
template presents the assessment methods, assessment calendar, the
person responsible for assessment, the assessment indicators, and the
expected outcomes for each 2012-2017 strategic goal and strategic activity
to ensure the proper and timely analysis of the implementation and
execution of the 2012-2017 Strategic Plan.
d. Template for the Assessment Dashboard for the 2012-2017 Strategic Plan:
This template establishes the structure for presenting the results of
assessment efforts at UPR Utuado. The 2012-2017 Assessment Dashboard
includes the Strategic Goals for 2012-2017, the assessment indicators,
9
expected results, results attained, the percentage (%) of results attained
(calculated by dividing the results attained by the expected results), actions
taken or to be taken as a result of assessment, and the available evidence to
support the assessment.
3. Strategic Resource Allocation Process
The 2012-2017 Strategic Plan in development will include a key component of Resource
Allocation and Budget Projections. The Resource Allocation component is worked in the
aforementioned Template No. 2: the Planning, Accountability, and Resource Allocation
Template. The 2012-2017 Strategic Plan Development process also includes a clearly defined
process for developing the “Resource Allocation and Budgeting Component” of the new
Strategic Plan. Among the steps discussed during the August 16, 2011 Strategic Planning
Workshop at UPR Utuado for the development of the Strategic Planning Budget included: 1)
Ensuring alignment of current 2006-2011 Strategic Plan with the 5 Strategic Goals of the
Institution (completed), 2) Conduct an Analysis of the actual resources allocated to the five goals
of the 2006-2011 Strategic Plan as part of the Assessment Dashboard (completed), 3) Ensure
alignment between the Strategic Plan and the UPR System Plan (completed for the current plan,
the same process will occur for the new plan), 4) Provide workshops to key personnel on the
relationship between planning, assessment, and budgeting (part of the August 16 workshop was
dedicated to the topic of the Strategic Budget), 5) Once the new goals, objectives, and activities
are defined, conduct a cost and resource allocation analysis for each of the activities, 6)
establish priorities within the plan to ensure budget and resource allocation for priority
activities—In case that a Plan B is needed, 7) obtain input from the University community
regarding resource allocation issues, 8) prepare a draft of resources and budget needed to
implement the plan, 9) analyze the viability of the proposed resource allocation , 10) revise the
document, 11) periodically conduct gap analysis to ensure that resource allocation responds to
strategic priorities and to the internal and external context affecting institutional finances.
The exercise of ensuring that resources are allocated to the priorities established in the
institutional Strategic Plan is not new at UPR Utuado. The current 2006-2011 UPR-Utuado
Strategic Plan (Appendix 1) identified resources needed for enabling the implementation of
each of its Goals, Operational Objectives, and Activities. Furthermore, as part of current
assessment and planning efforts the Steering Committee has analyzed the actual resources
allocated to the 2006-2011 Strategic Plan. The Assessment Dashboard of the 2006-2011
Strategic Plan (Appendix No. 2) includes a column titled “Resource Allocation” that describes
the resources that were actually allocated by UPR Utuado during the 2006-2011 period towards
the fulfillment of the planned activities carried out to advance the five strategic goals of the
campus. The “Resource Allocation” column serves as key evidence of the allocation of resources
to address specific strategic activities of the institution. The 2003-2008 Strategic Plan also
contained a “Resource Allocation” column that described the resources and/or budget assigned
10
to each activity (The Report titled Assessment of the 2003-2008 Strategic Plan will be available
for the team at the Exhibit Room).
4. Alignment of the Current 2011-2012 Budget and
Budget Projections with Strategic Goals
UPR Utuado has allocated resources and funding to the five strategic areas of the current
Strategic Plan. Appendix No. 5--“Strategic Goals and Budget Alignment Table” shows the
Budget figures allocated to the Five Strategic Areas of the Current UPR Utuado Strategic Plan:
1) Academic Programs Achievements, 2) Student Attainment, 3) Research and Development,
4) Physical Infrastructure, and 5) Institutional Development and External Funds. Further
information on the topic of budget is presented on the section of this document dedicated to
Standard 3: Institutional Resources.
Phase 3
Development of the First Draft of the Strategic Plan:
Institutional and Unit Level Plans in alignment with System Goals
The third phase of the Strategic Planning Process at UPR Utuado consists of developing the first
draft of the 2012-2017 Strategic Plan including a revisited Mission and Vision, institutional goals
and unit-level (deanship and office level) goals. To develop the institutional goals, Steering
Committee members will base recommendations and decisions on the results of the assessment
of the current 2006-2011 Strategic Plan, the results of the unit-level assessment analyses, and
the results of SWOT analyses conducted with input at the unit level and input of representatives
from diverse constituencies. Based on information and data gathered on phases 1 and 2 of the
Strategic Planning Process and the aforementioned Strategic Planning Templates, the first draft
of the Revisited Mission & Vision, and the first draft of the Institutional and Unit-Level Strategic
Plan will be developed.
Each Deanship and Office will develop a new and/or updated unit level strategic and assessment
plan aligned with the new 2012-2017 Strategic Plan, which will lead in the preparation of the
Annual Operational Plan of each unit of the institution. Although institutional goals are
currently being revised during fall of 2011, the Institutional Service Assessment Committee
developed the Deanship Assessment Plan Guide (Available Exhibit Room). On that document
each office or department was asked to provide information that will serve as the basis for
developing and/or updating Deanships and Office Level Plans aligned with the new 2012-2017
institutional strategic plan. Therefore, each of the Deanships will complete the following two
documents: 1) Complete the Deanship Assessment Plan Guide (in progress) and 2) Complete the
four Unit-Level Planning and Assessment Templates (these are the same documents as the four
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Planning and Assessment Templates described in a previous version of this document but the
unit-level version is completed at the Deanship and Office levels.
The aim of the unit-level process is to first assess the current status of planning and assessment
efforts at the unit level before developing the first draft of both the institutional and the unit
level strategic and assessment plans for the 2012-2017 strategic cycle. The planning and
assessment inventory information that has been and/or is being collected by each of the four
deanships of UPR Utuado consists of the following:
Planning and Assessment Inventory: Guide for the Preparation of the Assessment Plan
for the Services of the Deanships (at Deanship Level)
o
o
o
o
o
o
o
o
o
o
o
o
o
o
o
o
o
Name of the Office
Deanship Mission
Office or Unit Mission
Responsibilities and Tasks
Alignment of Deanship/ Offices Goals with the Institutional Strategic Plan
People Impacted
Services it Offers
Methods for Measuring Effectiveness Level
Strengths
Weaknesses
Methods for Continuous Improvements
Evidences of Methods and Processes for Improvement
Office Assessment Cycle
Date in which the document was shared and discussed with the office personnel
Next Revision Due Date
Dean’s Signature
Office Mission
The status of the Deanships Planning and Assessment Guide Completion as of August 2011 is as
follows:
o Office of the Chancellor:
43% Completed
o Deanship of Administrative Affairs:
90% Completed
o Deanship of Student Affairs:
60% Completed
o Deanship of Academic Affairs:
60 % Completed
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Figure 2
Deanships Planning and Assessment Guide Completion as of August 2011
Academic Deanship
Deanship of Students
Completed
To be Completed
Deanship of Administration
Office of the Chancellor
0%
20%
40%
60%
80%
100% 120%
Source: Strategic Planning Committee
The completion status data for each of the four units was provided to the Steering Committee
by the Institutional Assessment Coordinator. The Deanship, Planning, and Assessment Guides
completed as of August 2011 are available to the Visiting Team at the Exhibit Room located at
UPR Utuado in various binders, each presenting the completed guide for each of the Deanships.
The next steps in this process include: reaching 100% completion of the Planning Guide for the
four aforementioned units, 2) conducting a Unit Strategic Planning Workshop by high level
members of the Strategic Planning Steering Committee and strategic planning and assessment
resource from the UPR Vice Presidency of Academic Affairs to provide training to the unit
liaisons on the topics of strategic planning and assessment. During the workshop, the
participants will also complete the first draft version of the four strategic planning and
assessment templates at the unit level that will result in the draft of the new Strategic Plan and
Assessment Plan for each unit within the institution. The draft of the unit-level plans will also
undergo the same process phases as the institutional plan. The third next step in the process of
developing sustainable Unit-Level Strategic Planning and Assessment for the 2012-2017
Strategic Cycle will consist of a Training Workshop on the use of “Google Documents for
Developing and Updating the Institutional and Unit-Level Planning and Assessment
Dashboards”. The unit-level templates developed and adapted to UPR Utuado are as follows:
Template for the Unit-Level 2006-2011 Assessment Dashboard
Unit Level Planning, Accountability, and Resource Allocation Template
Template for Unit-Level Assessment Plan for the 2012-2017 Strategic Cycle
Template for the Unit-Level Assessment Dashboard for the 2012-2017 Strategic Plan
13
Development of an Electronic Version of the Strategic Planning and
Assessment Dashboards using Google Docs
In order for the Strategic Planning and Assessment Dashboards (both at the institutional and
unit levels) to be properly developed and maintained in a participatory manner, during the
August 16 Strategic Planning Workshop, the presenter discussed the benefits and feasibility of
developing an electronic version of the drafts of the Strategic Plan and the assessment
dashboards using Google Documents. The advantages of this platform for developing and
maintaining the draft and possibly initial versions of the Dashboards include the following: costsaving (it is free of charge), committee members can edit the documents, members of the
university community can be given access to the documents, the level of access to the
documents can be controlled by the document owner (that is, the institution), the gauge graph
or other graphs can be used to quickly provide information on assessment results or project
status, among other benefits. Therefore, Phase 3 of the Planning Process also includes
developing an electronic version of the drafts in Google Documents in addition to the drafts
written, computerized word processors, or spreadsheets.
Alignment of UPR-Utuado’s Strategic Planning Goals with the UPR-System Goals
UPR-Utuado has clearly demonstrated its capacity and commitment to careful planning and
addressing goals and objectives in correlation to its mission and ensuring that these are aligned
with the UPR System. The following table clearly illustrates a parallelism of proposed goals in
correlation to UPR-System “Diez para la Década” (“Ten for the Decade”). The UPR-Utuado
Strategic Plan currently addresses the various goals stated through the “Ten for the Decade”
document. Furthermore, the 2012-2017 UPR-Utuado Strategic Plan is intended to continue its
mission in addressing the various documents and goals that need to be addressed and pursue
fulfillment of such goals.
14
Follow-up Report to MSCHE (September2011)
Table 2
UPR-Utuado’s 2006-2011 Strategic Plan Alignment with UPR System’s Ten for the Decade
February, 2007
Strategic Goals UPR-Utuado
Strategic Goal 1: Offer a wide variety of academic programs
transmitting services aimed at stimulating the development of
agriculture, the economy, education, technology, and
environmental conservation.
Strategic Goal 2: Promote the integral development of students
by strengthening ethical, aesthetical, intellectual, and social values
that will enable them to contribute to the development of Puerto
Rico in a global and multicultural world.
X
X. Strengthened
Institutional Identity
IX. Administrative and
Managerial Optimization
VIII. Efficiency and Beauty
in both Natural and Built
Spaces for Beauty
VII. Dedication to the
Integration of the
University into the World
at Large
VI. Leadership in
Community Investment
and Cultural Initiatives
V. Technological Currency
IV. A Culture of
Institutional Assessment
and Evaluation
III. Competitive Research
Investigation, and
Creative Work
II. An Academic Culture
of Currency,
Experimentation, and
Renewal
I. Sustain Ties to the
Student Body
Strategic Goals Ten for the Decade
X
X
X
Strategic Goal 3: Stimulate creation and research in Agriculture,
Science, Technology and the Arts in order to meet the demands of
an ever-changing job market.
X
X
Strategic Goal 4: Preserve, improve, and develop facilities,
structures, and services in order to provide the optimum
environment for the university and surrounding community .
X
Strategic Goal 5: Strengthen and improve the institution through
strategic planning, effective assessment, and an aggressive
external resource program.
X
Source: Planning and Institutional Research Office
15
X
X
X
X
X
Monitoring Report to MSCHE (September2011)
As observed in Table 3, the UPR-Utuado’s strategic goals are found within both “Diez para la
Década” (Ten for the Decade) and the UPR-Utuado’s Mission. The university’s main strategic goal
is to offer a diversity of academic programs that not only serve the population it enrolls; but, 1)
motivate the study in areas vital for the demanding job market, 2) empower collaborative
research, 3) encourage environmental conservation, and 4) enrich the unique culture of the
Central Mountainous region. Thus, Strategic Goal No. 1 is present in its entire mission. Strategic
Goals No. 2 and 3 work together by focusing on the integral development of students in: 1) works
of creation, 2) research projects, and 3) by strengthening values that will enable them to be key
players in the island and world’s job market and economy. Without excellent services, strong
infrastructure, and valuable strategic planning, Strategic Goals No. 2 and 3 could not be fulfilled.
Therefore, the UPR-Utuado Strategic Plan’s Objectives No. 4 and 5 include these essential areas.
The strengthening of services and physical facilities, the improvement of technology, and the
effective usage of assessment, planning, and external resources are necessary to comply with the
university’s academic and administrative endeavors. In general, every single one of the UPRUtuado’s Strategic Planning objectives work as one to maintain its whole community focused on
the on-going process of teaching, learning, serving, researching, and evaluating for the sake of
academic excellence.
Table 3
UPR-Utuado’s Strategic Plan Goals Fulfillment within its Mission Objectives
Mission Objectives
Mission Objective 1: Provide relevant and
quality post-secondary education in the areas
of Agricultural Technology, Educational and
Administrative professions, and in the Arts
and Sciences.
Mission Objective 2: Sustain and conserve
the environment.
Mission Objective 3: Form graduates
intellectually and morally prepared by their
skills, attitudes, and habits.
Mission Objective 4: Offer updated academic
experience focused on research and creation.
Mission Objective 5: Contribute to the
progress of Puerto Rico and meet the
demands of a complex and changing labor
programs.
Mission Objective 6: Stimulate a lifelonglearning attitude that enriches our cultural
enjoyment.
UPR-Utuado’s 2006-2011
Strategic Plan Goals
Goal’s Fulfillment
in Mission
Objectives
Offer a wide variety of academic programs
transmitting services aimed at stimulating
the development of agriculture, the
economy, education, technology, and
environmental conservation.
1, 2, 3, 4, 5, & 6
Promote the integral development of
students by strengthening ethical,
aesthetical, intellectual, and social values
that will enable them to contribute to the
development of Puerto Rico in a global and
multicultural world.
3, 4, & 5
Stimulate creation and research in
Agriculture, Science, Technology, and the
Arts in order to meet the demands of an
ever-changing job market.
3, 4, & 5
Preserve, improve, and develop facilities,
structures, and services in order to provide
the optimum environment for the university
and surrounding community.
16
2&5
Mission Objectives
UPR-Utuado’s 2006-2011
Strategic Plan Goals
Strengthen and improve the institution
through strategic planning, effective
assessment, and an aggressive external
resource program.
Goal’s Fulfillment
in Mission
Objectives
2&5
Phase 4
Revision of Content by Steering Committee Members, Focus Groups, Stakeholders Meetings
and Public Hearings Participants
The aim of the fourth phase of the Strategic Planning Process is to involve the University
community in this process in a participatory manner. Research suggests that Strategic Plans have
a greater chance of being more effectively implemented if it counts on the support from diverse
institutional constituencies. Another benefit provided by this phase is to ensure that diverse
viewpoints are considered that will undoubtedly lead to a more thorough yet realistic plan.
Therefore, the fourth phase will structure a process for integrating representation from diverse
members of the internal and external constituencies of UPR Utuado. The participatory process
will include the following methods for enabling university community participation: committees,
focus groups, stakeholder meetings (for example, faculty meetings), campus-wide orientations,
utilization of technology for publicizing and receiving input on the draft, formal public hearings,
among other participatory practices. The 2012-2017 Strategic Plan development process involves
input from representatives from areas such as the following: finances, budget, Academic Senate,
Administrative Board, academic departments (faculty and department chairs), students, and
administrative and service units.
Phase 5
Evaluation and Integration of Recommendations for Final Draft of the Strategic Plan
The fifth phase of Strategic Planning consists of evaluation and integration of recommendations
for the final draft of the 2012-2017 Strategic Plan according to certain criteria such as feasibility of
the proposed change, among others. Any changes to the draft must take into account its impact
on the planning-assessment-resource allocation linkages presented in the draft. This phase also
includes delivering formal presentation(s) and/or obtaining required approval of plans at the
institutional level.
17
Phase 6
Publication and Dissemination to Internal and External Community
Once the institution has designed and approved a final version of the 2012-2017 Strategic Plan,
the document will be published and its context communicated through various traditional and
electronic formats to the internal and external community. It is very important that all members
of the University community of UPR Utuado be informed of its Mission, Vision, and Strategic Plan
and its linkage to assessment, resource allocation and institutional renewal.
The institution has already put in place ways of facilitating open and diverse types of
communications with constituents regarding strategic planning, resource allocation, and
institutional renewal processes such as reports to the Academic Senate, official letters from the
Chancellor, new student and new faculty orientation presentations, among other initiatives. The
academic community of UPR Utuado has been kept informed of issues regarding planning,
resource allocation, institutional renewal, institutional accreditation, and campus issues through
diverse means such as: Meetings with members of the University Community, Academic Senate
Meetings, among others. Throughout the semester, the institutional leadership provided
constituents with clear and timely information and opportunities for receiving input on issues that
affect them. These actions were aimed at building trust and opening a straightforward,
transparent dialogue with open communication channels. The Chancellor and his staff scheduled
and carried out meetings with all sectors of the University community to share information and
receive input on diverse areas of concern. They held sessions with student leaders, academic
departments, union representatives, and groups of faculty members, students, and non-faculty
staff.
Information on institutional accreditation issues (including planning among other issues) has been
shared extensively with the University community in a timely, clear, and straight forward manner.
The Director of the Planning and Institutional Research Office (PIRO) has offered presentations to
the faculty, academic department chairs, and the Academic Senate as well as the Administrative
Board (see Appendix No. 6). The PIRO personnel have also disclosed informative bulletins (OPEI
Informa), Power Point presentations, MSCHE Reports, and other information on its web page.
These efforts have been highlighted at previous Monitoring Reports and the Self–Study Report;
and have resulted in increased understanding of institutional accreditation topics and processes.
The evidence for communications with constituents regarding strategic planning, resource
allocation, and institutional renewal processes includes: official letters by the Chancellor,
meeting’s minutes, official meeting attendance records, among other evidence that will be
furnished to the Visiting Team in the Exhibit Room.
18
Phase 7
Implementation
The implementation of the Strategic Plan is assured at UPR Utuado through proper monitoring
and assessment of the plan’s actions and through accountability measures. Implementation is
also ensured through the establishment of a culture of assessment and accountability, whereby
persons responsible for the implementation of the plan and its assessment engage in four
components or four disciplines of strategic planning execution discussed in the August 16th, 2011
workshop with the Strategic Planning Steering Committee members, namely: 1) Working towards
the Crucially Important Goals of the Institution, 2) Defining Strategic Assessment Indicators, 3)
Regularly Updating the Dashboard, and 4) Accountability reports (that is discussing project and
priority performance) at regular meetings with the institution’s top management and at all levels
of the institution and Making Decisions and Continuous Performance Improvement Projects to
address improvement areas.
Phase 8
Follow-up & Feedback for Closing the Planning-Assessment-Resource Allocation
and Institutional Renewal Loop
The eighth phase of UPR Utuado’s Strategic Planning process is follow-up and feedback for closing
the planning-assessment-resource allocation and institutional renewal loop.
After the
implementation phase begins the institution will have tools, structures, and systems that will
allow the institution to monitor the progress of the implementation and to ensure that decisions
are made to close the loop of planning, resource allocation, assessment, and renewal. Some of
the tools, structures, and systems were mentioned in previous sections of this document and
include for example: the various planning and assessment templates, the upcoming use of
Google Documents to allow electronic collaboration, information sharing, and on-line planning
and assessment tools and dashboards, among others.
As a result of the recommendations presented through the MSCHE visiting team (March 2011 –
Report to the Faculty, Administration, Trustees, Students document), the UPR-Utuado’s Planning
Office has made decisions and/or encouraged the institutional leaders to make decisions based
on assessment conclusions. One example of the ongoing practice of decision making based on
assessment was the reengineering of the planning office itself. External Resources and
Institutional Assessment coordinators have been assigned to the Planning Office. This facilitates
planning, plan implementation, assessment, and institutional renewal by organizing existing
resources in a different manner, thereby creating a more dynamic and reengineered Planning
Office.
19
Standard 3
Institutional Resources
This section of the report documents evidence that the UPR-Utuado can sustain compliance with
Standard 3, including but not limited to: (1) a broadly participatory budget and priority setting
exercise that will link its strategic plans and goals with available resources, and (2) five year
financial projections.
Participatory budget and priority setting exercise that links
its strategic plans and goals with available resources
The UPR System (UPR-S) receives the majority of its funds from legislative appropriations as
stipulated by the UPR Law (Law #1, January 20, 1966, as amended). Each year, approximately
9.66% of the average total amount of the two previous years of government revenues is assigned
to the UPR System. Tuition fees, which are among the lowest in the nation, account for a very
small part of the university’s fiscal resources. Budget development in alignment with institutional
planning, mission and goals is a primary responsibility of governance, within the calendar
processes and regulations for its yearly development, as established through the Board of
Trustees Certification 100 (2005-2006) (http://www.certifica.upr.edu/PDF/CERTIFICACION/20052006/100%202005-2006.pdf).
The development of the UPR Budget Project with allocations for the system is the responsibility of
the President. As established in Article 6 of Certification No. 100, the development of the
President’s Budget Project incorporates Chancellor’s input for allocations to the system.
Chancellors align each unit Budget to their respective strategic plans and assessment results in
consultation with the Central Administration’s Budget Director. A continuous back and forth flow
of information between the Central Budget Office and the units allows receiving their input and
incorporating their recommendations. In addition, individual meetings and communications via
email or telephone with unit Budget Directors permits the Central Administration Budget Director
to further assess the needs of each unit and determine adequate allocations throughout the
system. The Institutional Budget Committee, which includes the Directors of the Budget, Finance
and Infrastructure Development Central Offices, the Vice Presidents for Academic Affairs and for
Research and Technology, and up to three more members appointed by the President, also
advises the President in the development of the Budget Project. Once formulated, the President
presents the proposal to the University Board for further review. The revised Budget Project is
then presented to the Board of Trustees for final approval. Allocations of state revenues to the
20
units are based on the previous year’s recurrent budget, plus additions to salary and benefit
increases, operational expenses, and earmarks corresponding to the institutional plan.
As evidenced in the previous section on Standard 2 UPR-Utuado’s mission, strategic planning and
institutional goals as well as assessment results serve as the framework for the development of
the Institution’s annual budget project. In order to configure its global budget, the UPR-Utuado
receives state funds, its share of the General Fund of the UPR, external funds (primarily from
federal sources), and its sources of income. Payroll and recurrent operational costs are financed
from the General Fund.
The unit’s Budget Project is developed with participation of the University community. For
example, in the development of the 2011-2012 Budget the Acting Chancellor and Dean of
Administrative Affairs discussed the Budget of the University in various forums to inform and
receive input;
 Student meeting, March 1, 2011, 10:00 am, Academic Affair Deanship Room
 Chancellor and Faculty Dialogues, March 15, 2011, 10:00 am, Room 101
 Academic Senate meeting, March 17, 2011, 1:30 pm, Center of Learning Resources
 Chancellor and General Employees Dialogues, March 18, 2011, 1:30 pm, Room 106
 UPR-Utuado Administrative Board, March 29, 2011, 1:30pm, Administrative Affair
Deanship Room
Once the UPR-Utuado Budget Project is developed, it is presented to the Administrative Board for
review and approval. The Administrative Board is composed of different representatives of the
Campus community including faculty and students. On August 8th the Administrative Board
approved the 2011-2012 Budget (see Certification 2011-2012 of the Administrative Board). Table
4 presents the budget allocation of the UPR-Utuado for 2010-2011 and 2011-2012:
Table 4
Budget Allocation for UPR-Utuado
Fiscal Year
UPR Budget
(Millions)
UPR-Utuado’s
Budget (Millions)
2010-2011
942,004,410
14,226,336
1.51
2011-2012
949,158,951
14,483,668
1.53
Percent
Source: Budget Office
The approved budget was disclosed to Central Administration and the campus community and
posted on the campus website. The following meetings were sustained to inform constituents of
the approved budget:
21
 Faculty Meeting, August 12, 2011, 8:30 am, El Bohío Meeting Room
 Academic Senate meeting, August 18, 2011, 1:30 pm, Center of Learning Resources
 Chancellor and General Employee Dialogues, August 19, 2011, 1:00 pm,
Administrative Affairs Deanship
Figure 3
Fiscal year 2011-2012
$20,000
$2649,640
$6,223,895
$2,546,180
$1,340,010
$1,457,043
$45,000
Instruction
Community Services
Student Services
Infrastructure Maintenance and Operation
$201,900
Research
Academic Support
Institutional Support
Auxiliary Enterprises
Figure 4
Fiscal Year 2011-2012
$9847,476
$3728,872
$885,320
$5,000
$17,000
Salaries
Materials, Services and Supplies
Equipments
22
Fringes Benefits
Travel Expenses
The following distribution elements were considered in developing fiscal year 2011-2012 UPR
Consolidated Budget recently approved through Certification No. 141 (2010-2011) of the Board
of Trustees: (1) a critical analysis of the mapping lines of the group of accounts was included in
the overall allocations, payroll, and operational expenses; (2) a thorough analysis of institutional
commitments and requests from the units as presented in the budget process, vis-a-vis available
resources. The following facts and general guidelines were also followed:

Available revenues in the UPR General Fund for the fiscal year according to the
9.6% formula.

UPR’s own revenues, updated with the assistance of the Office of Management
and Budget.

Institutional commitments with the issuance of bonds.

Continuity and integrity of academic offerings, research, collaboration and
exchange programs, and other institutional commitments linked to academia.

The automated student’s services processes.

Continuity and integrity of community services in various areas such as health,
teacher training, continuing education, agricultural extension, professional services
rendered by Intramural Practice, provision of facilities for activities, library services,
and other services.
The 2011-2012 approved Budget continues with the cost control measures in areas that do not
materially affect the quality and continuity of academic offerings; these were established by the
Board of Trustees, the President and the UPR-Utuado leadership to improve the institution’s
finances and to develop alternative funding sources. Some of these are mentioned below:
 Establishment of a special tuition fee of $800 per year ($400 per semester; does
not apply to summer sessions).
 No salary increases for faculty and non-faculty members.

Sixty seven (67%) vacant positions will remain unoccupied. Occupation of 33% of
vacant position will require a previous authorization from the UPR President.
Redistribution of tasks was implemented.
 Five percent decrease in all administrative compensations.
 Five percent decrease in faculty compensations above regular teaching load.
 Elimination of special stipends to all personnel.
 Establishment of a minimum course quota of thirty students per section
(exceptions were justified).
 Elimination of payment for sick leave days exceeding 90 days.
 Elimination of payment for vacation leave days exceeding 60 days.
23
 Moratorium on faculty promotions.
 Advancement for proposal writing and collaborative agreements.
 Reduction in energy consumption through the establishment of energy saving
policies, the acquisition of energy-efficient equipment, and the submission of
proposals for sustainable energy projects (ex. solar screens were installed at the
Learning Resources Center).
 Paperless policy that encourages the use of electronic mechanisms (minimizing
expenditures in toner, ink jets, paper, and redefining the photocopying machines
lease.)
 Submittal of new externally funded proposals to enhance academic activities.
 Reduction in the number of credit hours granted to faculty for carrying out special
administrative tasks.
 Reduction in funds available for traveling outside the Island.
 Maximization of institution’s resources available for transportation within the Island
(car pool practices).
 Aggressive measures for collection of debts.
 Re-engineering office, positions, and tasks.
The effectiveness of the cost control measures implemented thus far and the reallocation of
funds has permitted an increase in the assigned budgets of the Unit. For example, the Budget
Projection for UPR-Utuado reported in March 2011 was $13,480,343 but the approved to UPRUtuado for FY 2011-2012 was $14,483,668, an additional $257,337 in comparison with FY 2010 –
2011 budget. These additional funds will enhance student support services as well as academia.
The additional revenues represent a 2% increase in comparison with FY 2010-2011.
In the particular case of UPR-Utuado the implemented cost-control measures have generated
significant economies included in Table 5.
Table 5
2010-2011 Economies Resulted from Cost Control Measures
Utilities
Economies
Electricity
$
16,711
Water Utilities
23,122
Gasoline
25,905
Photocopying Machines
54,588
Faculty Contracts
221,768
Faculty Compensations
131, 102
TOTAL
$ 473,196
Source: Deanship of Administrative Affairs
24
The UPR-Utuado has set as one of its priorities the development of additional sources of funding
to enhance the assigned budget. To that end the Continued Education and Professional Services
Division (DECEP) was restructured as a result of assessment and strategic planning processes. A
new Director and a full-time proposal writer were appointed with the charge of strengthening the
Division as a source of additional funding. This endeavor has proven to be very fruitful.
Previously DECEP had only one approved proposal, whereas after the restructuring it currently
holds 16 approved projects totaling $795,660 (Table 6). In addition the institution was able to
collect accounts receivable from the Department of Education due since 2004 in the amount of
$234,000 (Evidence at Exhibit Room). One of the projects is a System-wide initiative, developed
by the Chancellors and the President in collaboration with the Puerto Rico Department of
Education in the design, implementation, and continuing evaluation of Project CRECE (“Programa
Comprensivo de Desarrollo Profesional para Certificación y Recertificación por Materia de
Enseñanza”, by its Spanish title). The Project impacts the professional development of 5,000
elementary and secondary teachers in Puerto Rico (21 credits) in the subject areas of Chemistry,
Physics, Biology, Mathematics, English, and Spanish improving their teaching practices based in
scientifically proven strategies. The Project has a consolidated operational budget of $49 M
obtained by proposals submitted by each of the eleven UPR units through Title I-Section A Funds.
Faculties from all UPR units offer the courses from June to December 2011 (Evidence at Exhibit
Room). Table 6 lists the approved proposals and initiatives for additional sources of funding
under the DECEP:
Table 6
New proposals for DECEP projects (others are in process)
Proposal
Preparation of stories and art strategies
Preparation of stories and art strategies
Pre-school curriculum
CDA, Head Start
TEED 4018
CDA, Utuado
CDA, Bayamon
CDA, Sabana Grande
CDA, Isabela
CDA, Ponce
Writing Certification
CDA, Sabana Grande
Seasonal CDA
CRECE
Old Proposals Account Receivable (2004)
Program
Barceloneta early Head Start
Barceloneta child care
Seasonal Head Start, San German
Head Start, Mayaguez
Utuado early Head Start
Head Start, Bayamon
Head Start, Sabana Grande
Head Start, Sabana Grande
Head Start, Isabela
Head Start, Ponce
Seasonal Head Start, San German
Early Head Start, Sabana Grande
Seasonal Early Head Start, Sabana Grande
Teacher Qualification
Department of Education
Source: Division of Continued Education and Professional Services
25
Income
$ 2,800.00
$ 1,190.00
$ 1,080.00
$ 8,400.00
$ 25,200.00
$ 6,500.00
$ 12,500.00
$ 30,000.00
$ 12,500.00
$ 4,200.00
$ 12,500.00
$ 25,000.00
$ 5,000.00
$ 1,190.00
$ 3,600.00
$644,000.00
$234,000.00
New System-wide projects and entrepreneur endeavors are currently being developed by UPRSystem leadership and by the UPR-Utuado to further enhance additional sources of funding
through the DECEP. Among those under development at UPR-Utuado are:
 Establish collaborative projects among units.
 Continue working on proposals with the Department of Education to address special
education teachers’ professional development to service students with autism and
severe limitations.
 Evaluate proposal to the Department of Agriculture to serve as a training center for
small farmers.
 Initiate a program of Assisted Assignments and/or Tutoring Services for students in
grades kindergarten through sixth.
 Develop and offer innovative courses.
 Initiate proposals to offer associate degrees through the DECEP (e.g. Nursing with a
specialization in gerontology)
Additional funding sources for UPR-Utuado also come from faculty members who are engaged in
strengthening institutional resources by becoming actively involved in writing grant proposals for
research projects related to sustainable agricultural and environmental and archaeological
practices, among others. Table 7 details some grant proposals approved (proof of additional
projects available at the Exhibit Room):
Table 7
New Sponsored Projects Operating at the
UPR–Utuado during Fiscal Year 2010–2011, 2011-2012
Proposal
Submitted to
Submitted
by
Period
Weed management alternatives
for organic coffee agro-forestry
systems of Puerto Rico
USDA – Southern
Sustainable
Agriculture
Research and
Education
Dr.
Mariangie
Ramos
3 years
Effects of a long-term elevated
CO2 on earthworm populations,
bioturbation and carbon
sequestration in soils, Submitted
on May 10, 2010, Funds
transferred from University of
Illinois to UPR-Utuado on
August, 2010
National Science
Foundation
Dr. Yaniria
Sánchez
2 years
Source: External Resources Office
26
Total Amount
Awarded
$150,000.00
It is expected that all
account set-up and fund
transfer transactions will
be completed during the
beginning of the 1st
semester
$140.000.00
It is expected that all
account set-up and fund
transfer transactions will
be completed during the
beginning of the 1st
semester
July 2010-June 2013
August 2010
July, 2012
Comments
UPR-Utuado Technology
Funds from the recurrent Student Technology Fee collected during registration each semester are
allocated from the UPR-System Budget Office to the unit and are used for acquisition and
replacement of current and future technology needs of the campus in alignment with strategic
priorities in this area. For example, the Computer Lab in Agriculture Technology Department was
renovated in August 2011 with 20 new computers and battery backup systems. The Department
of Business Administration and Office System also renovated computer labs with new equipment.
One of the faculty proposals recently approved will also contribute to strengthening the campus
infrastructure through improvements to the internet services of the Agriculture Technology
Department.
In addition, the UPR Information System Renewal Plan was approved by the Board of Trustees
through Certification No. 7 (2011-2012) in order to strengthen the Institution’s Information
System in the areas of Finance, Human Resources and Student Services
(http://www.certifica.upr.edu/PDF%5CCERTIFICACION%5C2011-2012%5C7%202011-2012.pdf).
For the first phase of implementation to be carried out during 2011-2012 6.5M were assigned and
9M were assigned for the implementation of the following phases during the next two years. This
will further strengthen the UPR-Utuado’s Information Technology Systems.
UPR-Utuado Infrastructure
The following infrastructure improvements in alignment with institutional plans and priorities
were completed during fiscal year 2010-2011 through funds either transferred from Central
Administration Budget Office or through internal economies resulting from implemented cost
control measures:
Table 8
Infrastructure Improvements 2010-11
Improvement
Cost
Learning Resources Center front sliding door (American Disability Act Requirement)
$ 9,200.00
Replacement of four water pumps
Replacement of Air Condition Unit ( Deanship of Student Affairs, Natural Science and
Agricultural Technology Departments, Title V Building, Deanship of Academic Affairs)
Student Center Building (acoustic ceiling)
$ 16,000.00
Installation of eleven water fountains
$ 5,519.00
Elevators maintenance and repair
$ 6,320.00
Electric system repairs
$ 11,314.00
Autoclave at microbiology lab
$ 3,033.00
Electro security retractable parking system
$ 2,235.00
27
$ 31,370.00
$ 3,500.00
Table 9
Projected Infrastructure for Fiscal Year 2011-12
Area
Cost
Agricultural Technology Department (building restoration)
$ 30,000.00
Learning Resources Center air conditioning units
$
9,500.00
Fund Transfers
UPR System’s Budget Office has discretionary funds available to be allocated to the System Units
for unexpected expenses, and other funds reserved for institutional related expenses such as
system wide administration-employee commitments. Table 10 indicates the amount of funds
transferred to UPR-Utuado for these purposes during the 2010-2011 fiscal year.
Table 10
Total Budget for Fiscal Year 2010-11
Approved Budget 2010-2011
Additional Funds received
Revised Budget
as of June 30 2011
$ 14,226,336
$ 1,192,303
$ 15,418,639
These expenses or commitments may appear as deficits. UPR-Utuado has ended the last three
years with a successfully balanced budget. This is also the case for the other 10 institutional units
of the UPR-System which were all found in compliance with Standard 3 by the Commission as
expressed in the June 23, 2011 MSCHE Action Letters. As mentioned earlier, the effectiveness of
the cost control measures implemented thus far and the reallocation of funds by the Central
Administration and the institutional units have allowed an increase in the assigned budgets to the
units for the current fiscal year.
The Central Budget Office has taken a strong lead communicating, monitoring, and assuring cost
control measures and guidelines for distribution of resources and verifying that these are being
followed for the effective deployment of financial resources for mission success. Individual
meetings and communications via email or telephone with unit Budget Directors allows the
Central Administration Budget Director to further assess the needs of each unit, determine
adequate allocations throughout the system, and assure balanced budgets. When warranted, it
also individually assists units in thoroughly reviewing budget processes and implementing timely
corrective measures. In continuous communication with unit Budget Directors, the Central
Administration Budget Office has enforced compliance with institutional directives regarding
28
strategic planning, budget allocation, and cost control measures at central and unit levels by
implementing the following practices (Evidence at Exhibit Room):
1. Monitor unit’s current versus budgeted expenses.
2. Review, transfer, and freeze accounts when necessary to enforce compliance
with institutional directives regarding budget processes.
3. Request reports by program for comparison with approved budget to detect
discrepancies.
4. Request quarterly budget, expenses, and projection reports as mandated by
Certification No. 141 (2010-2011) of the Board of Trustees
5. Periodic meetings with unit Budget Directors to receive input and provide
guidance.
6. Establish additional cost control measures when warranted.
The following table details the transfer of funds from the System Budget Office to UPR-Utuado
during the past three years:
29
Table 11
Transfer of Funds from the System Budget Office to UPR-Utuado
Fiscal Years 2008-09, 2009-10. And 2010-11
University of Puerto Rico
Central Administration
Budget Office
Transfers for Fiscal Years 2008-2009, 2009-2010 and 2010-2011
University of Puerto Rico at Utuado (82)
2008-2009
ORIGINAL BUDGET
2009-2010
2010-2011
16,307,931.00
16,320,111.00
14,226,336.00
16,307,931.00
15,993,473.00
14,226,336.00
448,999
412,651
397,054
33,139
17,536
17,536
58,972
10,377
Board of Trustees Certification # 81 , FY 2009-2010
(326,638)
REVISED BUDGET
TRANSFERS
UPR SYSTEM OBLIGATIONS
15% Increase in budget assigned to Student Council Operation Costs
673
State Student Scholarship
Indirect Costs Distribution
To support Specific Programs and services subject or accreditation or professional evaluation
during the Academic Year.
UPR Open House Project
3,000
Distribution of Technology Fee According to Tuition Collected
5,030
To support activities related to "American Disability Act, ," Law 51
3,000
Complete cost of Christmas Bonus, December, 2010
65,960
4,000
194,837
Special Bonus to HEEND members
35,267
Allowance to Workers Union
21,475
Contribution to cover Electricity cost
133,900
Contribution to cover Health Plan Cost
62,219
Contribution to cover Retirement Plan Cost
137,972
TOTAL
544,783
448,594
1,070,220
TO COVER SPECIFIC REQUESTS FROM THE UNIT
Hotel Expenses for NCATE "National Council Association of Teacher Education" Evaluators
Change and Repair of Air Conditioning System at Science Laboratories Building
1,200
145,000
Hotel Expenses of Business Administration Program Evaluators for Accreditation Purposes
1,833
Contribution to cover expenses related to identification tags
1,000
Repair of Water Pipes and Electric Power Substation
30,000
Profesional Services
44,314
Attendance and participation of 23 students and 1 professor to "Grand Fest" activities
2,685
Contribution to cover Water and Sewer cost
5,500
Contribution to cover operating costs ( graduation activity, Middle State annual fee, Telephone
bill, Cost Library books, Cost of Professional services for Summer Courses, others)
TOTAL
44,314
146,200
1,833
Less Contribution to systemic expenses and activities:
"Trinexus-Microsoft Campus Agreement"
127,813
(4,730)
Puerto Rico and Caribbean Carnival Tourism Fair
(1,000)
REVISED BUDGET
$ 16,998,914
Source: Budget Offices Central
Administration and UPR-Utuado
30
$ 16,443,900
$ 15,418,639
Most of the funds were transferred with the purpose of covering planned or negotiated UPR
System obligations. The unit requested more funds during fiscal year 2010-2011 due to
unexpected repairs and non-recurrent Professional Accreditation expenses covered by the Vice
Presidency of Academic Affairs. Though utilities make up for the majority of the requests during
this past year, UPR-Utuado is actively implementing measures explained previously to reduce
reliance on transfer funds for recurrent expenses.
UPR-Utuado’s Five Year Financial Projections
In order to improve the UPR System’s ability to generate a balanced budget for the years 20122016, the Finance and Budget Directors, the President and Chancellors have laid out the
foundations for a long term financial plan at the system and unit level as the first step to revisit
the current strategic planning agenda in alignment with institutional assessment results, as well as
current and projected resources. The five-year financial projections reported in UPR-Utuado’s
March 2011 Monitoring Report have been updated with external and internal parameters and
assumptions, and to incorporate the approved 2011-2012 Budget.
The financial projections on expected revenues for the five year period ending June 30, 2016
(Table 12) were based on the following assumptions: (1) the 4% yearly increase in tuition costs
established in Certification No. 60 (2006-2007) of the Board of Trustees
(http://www.certifica.upr.edu/PDF/CERTIFICACION/2006-2007/60%202006-2007.pdf);
(2) continuing state support through the 9.6% formula; (3) a relatively stable student population;
(4) no additional ARRA funds after 2011; (5) $42.5 M from the implementation of the Stabilization
Fee of $400 per academic semester, (http://www.certifica.upr.edu/PDF/CERTIFICACION/20092010/146%202009-2010.pdf).
The Government of Puerto Rico makes projections on a current year and next year basis. Since
state appropriations are the most significant portion of University’s revenues, the Finance and
Budget Directors held extensive consultations with the Secretary of the Treasury, experts at the
Government Development Bank and several local economists to identify reliable parameters for
developing the five-year projections. A recently implemented significant tax reform plus
additional revenue measures have positively impacted the local economy and next year’s
government revenues (http://www.presupuesto.pr.gov). Previously, conservative projections
were used regarding state funding. Notwithstanding, the formula generated more funds than
projected and this trend is expected to continue for the following years.
The following table illustrates the revised five-year projections for UPR-Utuado.
31
Table 12
General and External Funds Allocations
Academic Years 2011-2012 to 2015-2016
Actual Budget
Description
Budget Projections
External Funds Allocations
2011-2012 General and
2012-2013
2013-2014
14,773,341
$ 15,068,808
$ 14,483,668Academic$Years
2011-2012 to 2015-2016
$ 6,023,978
$ 6,114,333
$ 6,206,150
Budget General Funds *
Budget External Funds **
Table I
2014-2015
$ 15,370,184
$ 6,299,242
Campus: University of Puerto Rico, Utuado Campus
2015-2016
$ 15,677,588
$ 6,393,731
Description
Budget Projections
Actual Budget
2011-2012
2012-2013
2013-2014
Figure 5
$
14,773,341 $
15,068,808
General and External
Funds
Allocations
$
6,023,978 $
6,114,333 $
6,206,150
$
14,483,668
2014-2015
$
15,370,184
$
2015-2016
$
15,677,588
6,299,242 $
6,393,731
General Funds Allocations
$16,500,000
$14,500,000
$14,483,668
$15,370,184
$15,068,808
$14,773,341
$15,677,588
$15,677,588
$15,800,000
$12,500,000
$15,370,184
$15,600,000
$15,400,000
$10,500,000
$15,068,808
$15,200,000
$8,500,000
$6,023,978
$6,114,333
$6,206,150
$6,299,242
$6,393,731
$15,000,000
$14,800,000
$6,500,000
$14,773,341
$14,483,668
$14,600,000
$14,400,000
$4,500,000
Fiscal Years
$14,200,000
$2,500,000
$14,000,000
2011-2012
$13,800,000
2012-2013
$500,000
2011-2012
2012-2013
2013-2014
2014-2015
2015-2016
2013-2014
29%
29%
29%
29%
2014-2015
2015-2016
External Funds Allocations
29%
$ 7,000,000
100%
90%
80%
71%
71%
71%
70%
71%
60%
$ 6,500,000
71%
$6,393,731
$6,299,242
$6,023,978
$6,206,150
$6,114,333
Fiscal Years
50%
2011-2012
40%
$ 6,000,000
30%
2012-2013
20%
2013-2014
10%
2014-2015
0%
$ 5,500,000
20112012
20122013
20132014
20142015
20152016
2015-2016
$ 5,000,000
Legend:
* Actual Budget: Budget approved by the Board of Trustees for the Fiscal Year 2011-12 ( Operating Fund 110 - Certification 141, 2010-11), Budget Projections: Follow the institutional
policy established for the period (See guide issued).
** Include: State Funds, Private Funds, Federal Funds and Other Funds - Approved
32
Table 13
External Resources Received and Projected
Sources
Funds Received
Projected funds
2011-2012
2012-2013
2013-2014
2014-2015
2015-2016
$
327,186
$ 333,730
$ 340,404
$ 347,212
$ 354,157
Private Funds
66,650
37,858
38,615
39,387
40,175
Federal Funds
4,785,853
4,881,570
4,948,732
5,016,676
5,085,514
844,289
861,175
878,398
895,966
913,886
$ 6,023,978
$ 6,114,333
$ 6,206,150
$ 6,299,242
$ 6,393,731
State Funds
Other Funds
Total
Figure 6
External Funds Received and Projected
$6400,000
$6000,000
$5600,000
$5200,000
$4800,000
$4400,000
$4000,000
$3600,000
$3200,000
$2800,000
$2400,000
$2000,000
$1600,000
$1200,000
$800,000
$400,000
$-
$844,289
$861,175
$4785,853
$4881,570
$66,650
$37,858
$327,186
2011-2012
$333,730
2012-2013
$4948,732
$38,615
$5016,676
$39,387
$340,404
2013-2014
$913,886
$895,966
$878,398
$40,175
$347,212
2014-2015
$5085,514
$354,157
2015-2016
Sources
Other Funds
Federal Funds
Private Funds
State Funds
Legend:
_1/
_2/
_3/
_4/
State Funds: Includes States and Municipal
Funds (241-260)
Private Funds: Private Funds sources from special events, Alumni
Donations and Gifts (270)
Federal Funds: Federal Funds is the strongest external funding
(211-229, 231-235), includes Tittle IV Funds.
Other Funds: The institution is committed to seeking external funding that could provide additional resources
(311-312,370,380 & 399)
33
Monitoring R
Table 14
External Resources
Table III
Campus: University of Puerto Rico, Utuado Campus
Sources
Projected funds
2011-2012
$
State Funds
327,186
5%
$
Private Funds
66,650
1%
$
Federal Funds
4785,853
80%
$
Other Funds
844,289
14%
$
Total
6023,978
Figure 4
Detail of External Funds Projected for Current Year 2011-12
Source
Continuing
Newly Approved
Submitted pending
for approval
Total
State Funds
$
327,186
$
Private Funds
$
66,650
$
66,650
Federal Funds
$
4423,353
$
62,500
$
300,000
$
4785,853
Other Funds
$
$
692,629
5509,818
$
$
151,660
214,160
$
300,000
$
$
844,289
6023,978
Total
327,186
Detail of External Funds Projected for Current Year 2011-12
$6400,000
$6000,000
$5600,000
$5200,000
$4800,000
Continuing
$4423,353
$4400,000
$4000,000
Newly
Approved
$3600,000
$3200,000
$2800,000
Submitted
pending for
approval
$2400,000
$2000,000
$1600,000
$1200,000
$692,629
$800,000
$400,000
$327,186
$300,000
$62,500
$66,650
$151,660
$0
State Funds
Private Funds
Federal Funds
Other Funds
Legend:
Sta te Funds : I ncl ude s Sta te s a nd Muni ci pa l Funds (241-260)
Pri va te Funds : Pri va te Funds s ource s from s pe ci a l e ve nts , Al umni Dona ti ons a nd Gi fts (270)
Fe de ra l Funds : Fe de ra l Funds i s the s tronge s t e xte rna l fundi ng (211-229, 231-235), i ncl ude s Ti ttl e I V Funds .
Othe r Funds : The i ns ti tuti on i s commi te d to s e e ki ng e xte rna l fundi ng tha t coul d provi de a ddi ti ona l re s ource s (311-312,370,380 & 399)
Source: Budget Office Central Administration and UPR-Utuado
34
Table 15
Summary of Operating Expenses allocated budget by Program for five fiscal years from 2011-2012 to 2015-2016
Actual Budget
Program
2011-2012
Instruction
$
Budget Projections
2012-2013
2013-2014
2014-2015
2015-2016
6,223,895
$ 6,348,373
$ 6,475,340
$ 6,604,847
$ 6,736,944
201,900
205,938
210,057
214,258
218,543
45,000
45,900
46,818
47,754
48,709
Academic Support
1,340,010
1,366,810
1,394,146
1,422,029
1,450,470
Student Services
1,457,043
1,486,184
1,515,908
1,546,226
1,577,150
Institutional Support
2,546,180
2,597,104
2,649,046
2,702,027
2,756,067
Infrastructure Maintenance and Operation
2,649,640
2,702,633
2,756,685
2,811,819
2,868,056
20,000
20,400
20,808
21,224
21,649
$ 14,483,668
$ 14,773,341
$ 15,068,808
$ 15,370,184
$ 15,677,588
Research
Community Services
Auxiliary Enterprises
Totals
35
Figure 8
Figure 9
36
Table 16
Summary of Operating Expenses Allocated Budget by Category
for Five Fiscal Years 2011-2012 to 2015-2016
Actual Budget
Expense
2011-2012
Salaries
Fringes Benefits
Materials, Services
and Supplies
Travel Expenses
Equipments
Totals
Budget Projections
2012-2013
2013-2014
2014-2015
2015-2016
$ 9,847,476
$ 10,044,426
$ 10,245,314
$10,450,220
$ 10,659,225
3,728,872
3,803,449
3,879,518
3,957,109
4036,251
885,320
903,026
921,087
939,509
958,299
17,000
17,340
17,687
18,041
18,401
5,000
5,100
5,202
5,306
5,412
$14,483,668
$ 14773,341
$ 15,068,808
$ 15,370,184
$ 15,677,588
Figure 10
$ 12000,000
$ 11500,000
$ 11000,000
$ 10500,000
$ 10000,000
$ 9500,000
$ 9000,000
$ 8500,000
$ 8000,000
$ 7500,000
$ 7000,000
$ 6500,000
$ 6000,000
$ 5500,000
$ 5000,000
$ 4500,000
$ 4000,000
$ 3500,000
$ 3000,000
$ 2500,000
$ 2000,000
$ 1500,000
$ 1000,000
$ 500,000
$-
Fiscal Years
20112012
20122013
20132014
20142015
20152016
Salaries
Fringes Benefits
Materials,
Services and
Supplies
37
Travel Expenses
Equipments
Figure 11
0.03%
100%
0.12% 0.03% 0.12% 0.03% 0.12% 0.03% 0.12% 0.03% 0.12%
6.11%
6.11%
6.11%
6.11%
6.11%
25.75%
25.75%
25.75%
25.75%
25.75%
68.0%
68.0%
68.0%
68.0%
68.0%
80%
60%
40%
20%
0%
2011-2012
2012-2013
2013-2014
2014-2015
2015-2016
Equipments
Travel Expenses
Teaching Assistantships-Materials, Services and Supplies
Fringes Benefits
Salaries
38
Table 17
Statement of Projected Revenue and Expenses for Consolidated Budget
Summary of Revenue and Expenses for Five Fiscal Years from 2011-2012 to 2015-2016
Revenues
Budget
Budget
Budget
Budget
Budget
2011-2012
2012-2013
2013-2014
2014-2015
2015-2016
$ 14,483,668
$ 14,773,341
$ 15,068,808
$ 15,370,184
$ 15,677,588
327,186
333,730
340,404
347,212
354,157
Private Funds
66,650
37,858
38,615
39,387
40,175
Federal Funds
4,785,853
4,881,570
4,948,732
5,016,676
5,085,514
844,289
861,175
878,398
895,966
913,886
$ 20,507,646
$ 20,887,674
$ 21,274,958
$ 21,669,426
$ 22,071,319
Program
General fund
State Funds
Other Funds
Total Revenues
Expenses
Program
2011-2012
2012-2013
2013-2014
2014-2015
2015-2016
$ 5,551,040
$ 5,651,630
$
$
$
5,027,964
5,128,523
5,205,451
5,283,533
5,362,786
160,000
163,200
166,464
169,793
173,189
3,958,872
4,018,255
4,078,529
4,139,707
4,201,802
143,031
145,892
148,809
151,786
154,821
Library resources
30,000
30,600
31,212
31,836
32,473
Communications
40,000
40,800
41,616
42,448
43,297
Professional services
90,000
91,800
93,636
95,509
97,419
655,000
668,100
681,462
695,091
708,993
45,000
45,900
46,818
47,754
48,709
140,000
142,800
145,656
148,569
151,541
4,338,353.00
4,425,120
4,513,622
4,603,895
4,695,973
327,186
333,730
340,404
347,212
354,157
1,200
1,324
1,350
1,377
1,405
$ 20,507,646
$ 20,887,673
$ 21,274,957
$ 21,669,426
$ 22,071,319
$ 0
$ 0
$ 0
$ 0
Faculty salaries
Non-faculty salaries
Student services
Fringe Benefits
Materials
Utilities
Travel and per diem
Equipment
Federal Grants
State Grants
Others
Total Expenses
Net revenue
39
5,779,927
5,910,914
6,044,754
$
0
_2.a/
_2.b/
_2.c/
_2.d/
_2.e/
_2.f/
_2.g/
_2.h/
_2.i/
_2.j/
_2.k/
_2.m/
Faculty salaries
Student services
Fringe Benefits
Materials
Library resources
Communications
Utilities
Travel and per diem
Equipment
Federal Grants
State Grants
Others
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Total Expenses
5,551,040 $
5,651,630 $
5,779,927 $
5,027,964 $
5,128,523 $
5,205,451 $
160,000 $
163,200 $
166,464 $
3,958,872 $
4,018,255 $
4,078,529 $
143,031 $
145,892 $
148,809 $
30,000 $
30,600 $
31,212 $
40,000 $
40,800 $
41,616 $
90,000 $
91,800 $
93,636 $
655,000 $
668,100 $
681,462 $
Figures
12 $
45,000 $
45,900
46,818 $
140,000 $
142,800 $
145,656 $
4,338,353.00 $
4,425,120 $
4,513,622 $
Projected
Revenue and Expenses
for Consolidated
Budget
327,186 $
333,730 $
340,404 $
for Five
Fiscal
2011-2012
to 2015-2016
1,200
$ Years from1,324
$
1,350 $
$
Net revenue
20,507,646
$
-
5,910,914
5,283,533
169,793
4,139,707
151,786
31,836
42,448
95,509
695,091
47,754
148,569
4,603,895
347,212
1,377
$
$
$
$
$
$
$
$
$
$
$
$
$
$
6,044,754
5,362,786
173,189
4,201,802
154,821
32,473
43,297
97,419
708,993
48,709
151,541
4,695,973
354,157
1,405
$
20,887,673
$
21,274,957
$
21,669,426
$
22,071,319
$
0
$
0
$
0
$
0
Projected Revenue for Consolidated
Projected Revenue for Consolidated Budget
2011-2012
Other F unds
$844,289
$14,483,668
Feder al F unds
Private Funds
$4,785,853
State Funds
$66,650
General fund
$327,186
$-
$3
$6
$9
$12
$15
$18
$21
$24
$27
$30
Millions
General fund
State Funds
Federal Funds
Other Funds
Private Funds
Fiscal Years
2015-2016
Projected Expenses for Consolidated Budget
2014-2015
2013-2014
2012-2013
2011-2012
Projected Expenses for Consolidated Budget
2010-2011
$327,186
Others
State Grants
$5,551,040
Feder al Gr ants
Equi pm ent
$4,338,353
Travel and per diem
Utili ties
$1,200
$140,000
Comm unications
$45,000
Library r esources
$655,000
$90,000
$40,000
$30,000
Mat eri als
$5,027,964
$160,000
Fr inge Benefits
$143,031
Student ser vices
Non-faculty salari es
$3,958,872
Faculty salaries
$-
$3
Faculty salaries
Fringe Be nefits
Communications
Travel and per diem
State Grants
$6
$9
$12
Millions
Mate rials
Professional service s
Equipment
Others
Student services
Library re sources
Utilit ies
Federal Grants
Fiscal Years
2015-2016
40
2014-2015
2013-2014
2012-2013
2011-2012
UPR-Utuado Budget and Enrollment Projections
Historical data regarding enrollment at UPR-Utuado in the last four years (Figure 13) reflects a
slight decrease in enrollment from 2008-2009 to 2010-2011. A more marked drop in enrollment
for the current academic year is the expected consequence of last year’s disturbances throughout
the System. Data supports that after such a drop, enrollment returns to its usual level (Evidence
available at Exhibit Room).
Figure 13
Enrollment of UPR-Utuado
First and Second Semesters
and First Semester 2011-12
2011-12
1,268
2010-11
1,528
2009-10
1,623
2008-09
1,682
2007-08
1,604
0
First semester
1000
1,220
1,471
1,522
1,457
2000
3000
4000
Second semester
41
Figure 14 includes UPR-Utuado’s Academic Budget and Enrollment for the current year 2011-12
and projections for the next four years which were revised from those reported in March 2011.
Figure 14
Current Academic Budget and Enrollment for 2011-12
Projections for 2012-13 to 2015-16
30000,000
24000,000
18000,000
12000,000
$9020,948
$9201,367
$9385,394
$9573,102
$9764,564
6000,000
1,268
0
2011-2012
1,345
1,306
2012-2013
2013-2014
Academic Resources
1,386
2014-2015
1,427
2015-2016
Enrollment
Revised enrollment projections reflect a slight increase of 3% backed by historical data regarding
the tendency that enrollment recuperates its usual level. The UPR-Utuado has sufficient
resources projected to successfully accomplish its mission with the projected enrollment. At
present, the Vice Presidency of Student and Academic Affairs is leading an effort to develop a UPR
System Recruitment Plan in collaboration with the Deans of Student Affairs based on institutional
assessment data. The Plan will also integrate recommendations of recent MSCHE evaluations to
the UPR System as well as input from the University Community. The institutional units of the
System are revising enrollment projections based on historical tendencies and assessment data
on institutional effectiveness. Once projections are reported to the Central Administration a
System wide Enrollment projection will be calculated.
In addition, planning efforts of the UPR-Utuado included on Standard 2 of this Report will
integrate the development of a student retention plan. Notwithstanding, UPR-Utuado is proud to
be a campus of social change given its student body is comprised mostly of first generation
college students, particularly those with limited economical and educational resources. As
assessment results indicate many UPR-Utuado students use the campus as a spring board to
access other campuses of the System or institutions of high prestige. UPR-Utuado considers the
fact that the faculty and support services thoroughly prepare students to be successful in their
academic endeavors in other excellent institutions an institutional strength of the campus.
42
Audited Financial Statement
UPR System Institutional measures to issue FY 2010-2011 Audited Financial Statement and to
assure timely issuance of future Audited Financial Statements were included in the Assessment
Report and the Implementation and Assessment Report of the UPR System of February 2011,
which evidenced the effective execution of the University of Puerto Rico Action Plan for Ongoing
and
Sustained
Compliance
with
the
Standards
of
Excellence
(http://www.upr.edu/documentos/assessment-report-msche.pdf
and
http://www.upr.edu/documentos/appendix-unit-implementation-assessment-report.pdf).
As
reported, timely emission of Audited Financial Statements has been hindered since 2007 due to
the complexity of the UPR accounting system and issues related to the implementation of the
University Financial Information System (UFIS).
Among these measures, an external firm with expertise in government accounting processes was
contracted to assist the units and the UPR Central Administration in reconciling and verifying
information for external auditors. They have provided support in troubleshooting problems in
accounting processes; and review accounts receivable practices. As a result, FY 2010-2011
Audited Financial Statement was issued on April 21, 2011, earlier than the expected issuance
date. This firm has recently submitted a report with their findings and recommendations for
improvement, to ensure timely production of audited financial statements.
A firm of software specialists was also recruited to revise UFIS implementation, devise solutions
to improve its performance and develop reports to facilitate access to the necessary financial
information to draft timely financial statements. The firm developed an implementation schedule
which is part of the recently approved UPR Information System Renewal Plan (Board of Trustees
Certification No. 7 (2011-2012).
To assure timely issuance of future Audited Financial Statements the System Finance Office, with
the support of the Vice Presidency of Research and Technology, has organized a Task Force with
key representatives from the concerned offices throughout the System to address the findings
and recommendations of the firms, expedite the necessary processes and implement the
subsidiary modules to streamline the performance of the University Financial Information System
(UFIS). The Task Force will also develop a systemic timeline to assure timely issuance of the UPR
System financial statements. Further evidence of progress will be available during the site visit.
43
Standard 4
Leadership and Governance
This section of the report documents evidence that the UPR-Utuado has achieved and can sustain
compliance with Standard 4, including the UPR leadership and governance structure, law,
regulations, and policies outlining roles and responsibilities of administration, faculty, and
students. Evidence demonstrates policy development and decision making as a result of
processes throughout the governance structure with input from both, system and unit levels.
The University of Puerto Rico Leadership and Governance System Structure
The University of Puerto Rico (UPR) is a large public supported multi-campus, coeducational
university system composed of eleven campuses and a Central Administration which oversees the
operations as a whole. The UPR General Law (Law No. 1, January 20, 1966, as amended) clearly
state the institution’s governing structure, including the composition, roles, and responsibilities of
each university constituent in the development of policies and in the decision-making
(http://sindicos.upr.edu/docs/ley-upr.pdf). The management of the institution both at the
System and unit level are regulated by applicable laws, University UPR General Regulations, and
general complimentary by-laws, as well as by resolutions adopted by the Board of Trustees, by
the guidelines established by the University President, and by the rules and regulations adopted
by each governing body within their roles and responsibilities (http://sindicos.upr.edu/regl-polnorm.htm).
The Board of Trustees is the governing body entitled with sufficient autonomy, responsible for the
direction, quality, and integrity of the institution (http://sindicos.upr.edu/reglamento.htm). The
UPR Law confers on the President the highest organizational rank, with the responsibility of
leading, coordinating, and supervising the academic, administrative, and financial enterprise of
the University system. The President is appointed by and responds to the Board of Trustees. In
collaboration with the University Board, the President coordinates and supervises the academic,
administrative, and financial tasks of the University. Each unit is headed by a Chancellor who
presides over the Academic Senate, the Administrative Board, and faculty meetings. The
Chancellor holds academic and administrative authority of each academic unit. Also, Figure 6
describes the University system of governance, including the authority, roles and responsibility of
the Board of Trustees, the President, the University Board, the Chancellor, the Academic Senate,
the Administrative Board, Faculty, Colleges and Departments, and the Student Council.
Throughout complementary and coherent processes, constituents of the various governance and
44
advisory bodies--administrative, faculty, and students--provide input for policy development and
decision-making.
Figure 18
UPR Leadership and Governance
General Structure of Governance and Advisory Bodies
SYSTEM CENTRAL LEVEL
14 Citizens
BOARD OF TRUSTEES
Governance Body
2 Faculty representatives
+ 1 Student representative
President + Finance Director
+ 3 Members of the Executive President’s Team
PRESIDENT
University Board
Advisory Body
INSTITUTIONAL UNIT LEVEL
Administrative
Board
Chancellor + 1 Faculty representative + 1
Student representative of each unit
CHANCELLOR
Advisory Body
Academic
Senate
Advisory Body
Source: Central Administration
The President´s and Chancellor´s executive authority are clearly stated in the UPR Bylaws. Rules,
norms, directives, resolutions, and procedures disseminated and applied throughout the
University System follow the ranking structure indicated below, provided the official
representative or organism that issue these, acted within the scope of its authority.
1. Applicable Law
2. UPR General Regulations
3. Resolutions of the Board of Trustees
4. Institutional Development Plan - UPR “Diez para la Década” (Ten Challenges for the
Decade) 2006-2016: An Agenda for Planning
5. Norms, guidelines, resolutions and any other disposition of the President
6. Resolutions of the University Board
7. Internal Regulations of each institutional unit in accordance with their established
hierarchy.
45
On any issue not explicitly addressed in the laws and regulations, resolutions of the Board of
Trustees will prevail, or determinations by the President. Issues that concern exclusively
institutional units not addressed by governing laws, regulations or resolutions of the Board of
Trustees, the Chancellor’s determinations prevail.
On the present Law of the University of Puerto Rico, as amended, the UPR General Bylaws, the
General Students Bylaws, and applicable dispositions of the Board of Trustees clearly state the
organization of campuses and units, roles, responsibilities and prerogatives of executives, the
various governing advisory bodies representative and participatory forums of the system and the
institutional units. Each individual executive, governing body, and forum has a defined action;
different yet complementary, in relation to other executives, governing and advisory bodies, and
forum, to move forward through coordination and collaboration the fulfillment of the institutional
mission among all hierarchy levels.
Table 18 summarizes the composition, roles and responsibilities, and areas of scope of the
various constituencies of the UPR leadership and governance structure.
Table 18
Composition, Roles, and Responsibilities of Institutional Constituencies
Constituent,
Advisory Body
or Forum
Composition
Roles and Responsibilities
Specific Areas of Scope
Planning and
Development of the
University System,
Regulations, appeals,
Appointing Authority,
Fiduciary Responsibilities
Board of
Trustees
Composed of 17 members: a
student and two faculty members
elected upon their peers through
the University Board, and 14
citizens appointed by the Governor
and confirmed by the Senate of
Puerto Rico, of which at least five
must be UPR alumni.
Governing
President
Appointed and Supervised by the
Board of Trustees
Executive
Composed of 38 members: the
President, who presides; 11
Chancellors, 11 Faculty
Representatives and 11 Student
Representatives, elected upon their
peers; the Finance Director and
other 3 members of the President’s
Executive Team: designated by the
President.
Advisory
University
Board
Responsible for the direction
and integrity of the
institution; approval,
implantation and supervision
of the development plan and
budgeting; establishing
policies and regulations
Responsible of directing,
coordinating and supervising
academic, administrative, and
financial enhancement of the
university system.
Responsible of advising the
President in the interaction of
the University System and in
the planning and progress of
the Academic, Administrative,
and Student Affairs of the
Institution.
46
Main Institutional
executive, Planning and
development, regulations,
Appointing Authority,
Fiduciary Authority
Advising of Academic,
Administrative, and
Financial Affairs of the
University System
Constituent,
Advisory Body
or Forum
Chancellor
UPR Utuado
Academic
Senate
UPR Utuado
Administrative
Board
Faculty Forums
Composition
Appointed by the Board of Trustees
as recommended by the President
and supervised by the President
Executive
Responds to the President
and the Board of
Trustees, the maximum
academic and
administrative authority,
with roles and
responsibilities similar to
those of the President
within the parameters of
the institutional unit.
Composed of 22 members: the UPR
President who is a permanent
member, the Chancellor, who
presides, Deans of Academic,
Student, and Administration Affairs,
the Library Director; 7 Faculty
members elected by their
department peers; 5 Faculty
members elected by the Faculty (at
large); and 4 Student Senators
elected by their peers.
Advisory
Composed by: the UPR President,
the Chancellor, who presides, Deans
of Academic, Student and
Administrative Affairs; 4
Department Chairs; 2 Academic
Senators elected among their peers;
and a student Representative
elected among their peers. The
Administration Board cannot begin
its session until at least one
Academic Senator is present.
Advisory
Composed by the Chancellor, who
presides, Deans, Department
Chairs, and Faculty members
Participatory
Responsible of directing,
coordinating and supervising
academic, administrative, and
financial affairs of the unit,
abiding by the policies
established by the Board of
Trustees and the President’s
directives
The primary advisory body for
academic issues which also
serves as the official forum of
the academic community.
Article 22 of the UPR General
Bylaws regulates the
Academic Senate
Primary advisory body of the
Chancellor in administrative
issues of the unit.
The University Board was
established by the UPR Law
th
Number 1 of January 20 ,
1966, as amended. Bylaws of
the UPR Utuado’s
Administrative Board are
found at
http://www.uprutuado.edu
The Chancellor consults the
Faculty by meetings or
referendums in those
instances in which matters
need to be brought to their
attention or knowledge of the
body’s members, contributing
to successfully supporting the
unit; to present reports when
such action evokes continuity
of institutional goals.
47
Advise and provides input
on institutional processes
establishing academic
norms, such as general
orientation of proposed
and revised academic
programs and research
initiatives.
Meets on a monthly basis,
or as necessary, including
unit budget projection
approval, receive and
consider
recommendations
regarding aspects such as
faculty tenure and
promotion, faculty
sabbatical leaves and
study licenses, approval
of unit strategic and
operational plans,
recommendations for
academic programs or
programs revisions, both
programmatically and
financially.
Adopt an internal
regulation in harmony
with the General Law and
regulations, recommend
candidates to academic
degrees of the
Faculty/Department,
constitute a Personnel
Committee to advise the
Dean/Director about
positions, faculty ranking,
leaves of absence (e.g.
sabbaticals), tenure,
Constituent,
Advisory Body
or Forum
Composition
transfers, stipends, and
other personnel actions
among others.
Faculty or
Department
Composed by Department Chair,
appointed by the Chancellor.
UPR Utuado has 5 Academic
Department Chairs; and 2 NonTeaching Departments: (Counseling
and Library)
General Council
of Students
Composed of a President, Student
Senators, student Representatives
of the Administrative Board, the
University Board, and one or more
additional members as depicted
through the institutional unit
Student’s Regulations
Participatory
Direct participation of Faculty
members in the university
processes at the Faculty level,
or at Departmental levels
among the units where there
is only one Faculty
Participatory
As active members of the
university community,
students have the rightful
privilege to participate in
institutional life, with moral
and intellectual
responsibilities which
withstand
Depict to the Chancellor
their position related to
issues of management of
the Faculty/Department,
the campus, the
university system, in
order to be consider and
submit recommendation,
accordingly to the
deanship involved, among
other
Officially represent the
student body that elected
them in the various
meetings celebrated
within and out of the
campus Community.
Serve as a forum for
students for the
discussion and
clarification of situations
that relate to them, the
university community and
the general community
among others
Source: PIRO
Evidence of UPR Utuado Leadership and Governance Input Processes
for Policy Development and Decision Making
The Chancellor and key campus leadership are crucial to support coherence and articulation
between the system and the unit level. Opportunities for participation at the system level
include, but are not limited to the following:
1. The Chancellor is a member of the University Board.
2. The Chancellor meets with the President and other UPR system chancellors as
frequently as needed, and not less than twice a month.
3. Monthly meetings of Vice Presidents with Student Deans, Financial Aid Directors,
and other student service officers.
4. The Vice President for Academic Affairs meets monthly or as frequent as necessary
with the unit Academic Dean, the Institutional Research and Planning Director,
48
Institutional Accreditation Coordinator, representative to the Institutional
Accreditation Task Force of the UPR, Registrar, Director of the Division of Continuing
Education and Professional Studies, Professional Accreditations Committees, as well
as other committees, groups, University Community members, and stakeholders.
5. The Vice President for Research and Technology meets periodically funded
researchers and visits their work areas to assess their needs. He also meets
periodically with unit Information System specialists as part of the efforts towards
implementing the Update of Technology and Information System Project (PATSI, by
its Spanish acronym).
6. The Vice President for Academic Affairs preside the Board for Degree Recognition
composed of the Deans for Academic Affairs of the 11 units and an elected faculty
representative of the University Board. This Board validates degrees granted by
international higher education institutions of potential faculty of the University
system (Evidence at Exhibit Room).
UPR Utuado has a well-defined system of collegial governance with written policies, bylaws, and
advisory bodies, among others, that allow for ample constituent participation on policy
development and decision making. In this collegial system, bodies such as the Administrative
Board and the Academic Senate, through their monthly meetings share information, discuss
issues, propose solutions or take actions within their granted or delegated authorities regarding
matters that affect campus constituents and general operation. This information is also
disseminated to the campus community on a monthly basis through Faculty and Student
representatives in these bodies.
The following are evidenced examples of active participation of UPR of Utuado’s leadership and
governance constituents on policy development and decision making: (Appendix 7: Evidence of
Active Participation)
1. Budget Project: Budget development in alignment with institutional planning,
mission and goals is a primary responsibility of governance, as set in Certification No.
100
(2005-2006)
of
the
Board
of
Trustees
(http://www.certifica.upr.edu/PDF/CERTIFICACION/2005-2006/100%2020052006.pdf). As established in Article 6, the development of the President’s Budget
Project incorporates Chancellor’s input for allocations to the System. (Evidence at
Exhibit Room).
2. Unit Budget Distribution: Upon approval of the FY Budget by the Board of Trustees,
the Chancellors, in coordination with their Budget Officers, bring their proposed
budget distribution to their respective Administrative Boards for its certification
(Evidence at Exhibit Room).
49
3. New Tuition Exemption Policy: The President and the Board of Trustees have
complied with the agreements of Certification 128 (2009-2010) to promote an ample
participative process for the formulation of a New Tuition Exemption Policy and
Certification 131 (2009-2010), regarding its implementation. On August 2010 the
President submits the Institutional Policy Proposal to the Board of Trustees and,
consequently, the Board publishes the proposal to receive input and
recommendations from the University Community. On March, 2011 the President
submits the revised Proposal to the Board of Trustees with the University Community
input, and on March 18, 2011, the Board of Trustees publishes and submits the
proposal to the University Board. A reviewed tuition exemption policy draft was
considered by the University Board on May 4 & 6, 2011 meetings and issued
Certification 19 (2010-2011) with recommendations. On June 1, 2011, the President
refers the Tuition Exemption Institutional Policy Proposal to the Board of Trustees
with the University Board and his recommendations. After a two month rigorous and
comprehensive review of the proposal, by the Financial Affairs and Academic Affairs
Committee of the Board of Trustees, the President and Vice Presidents, along with
Chancellors, Budget, Finance and Human Resource, Information Systems, and
Auditors Offices, approved the final proposal on August 3, 2011 (Evidence at Exhibit
Room).
4. New Summer Offering Policy: The University Board approved Certification No. 34
(2009-2010), to draft a proposal for a new Summer Offering Policy to support
continuity of summer offerings with available resources, taking into account
feedback from the Academic Senate. The charge was referred to the Academic
Affairs Committee of the University Board which established a schedule. Considering
the current fiscal situation, the Budget Committee of the University Board and unit’s
Academic Senate proposed several scenarios or combinations to: (1) promote a selffinancing model where students, faculty, and the institution proportionately
contribute to that end; (2) support a uniform scale throughout the system both for
course charges and faculty compensation. The Board of Trustees issued Certification
No. 130 (2010-11) with a Policy Proposal for a Feasible Summer 2011. The President
indorsed the proposal without reserves to the Board of Trustees. The summer 2011
was offered within the framework of the established Policy (Evidence at Exhibit
Room).
5. Student Code of Conduct: To promote an integrated learning process enriched by
experience, framed by the commitment with an Open University Culture, and the
implementation of clear policies specifying the respective constituents’ roles and
responsibilities in shared governance, a compilation of the rules of student conduct
contained in the General Student Bylaws—the UPR Student Code of Conduct (SCC)—
50
have been posted in the UPR and unit web pages (http://estudiantes.upr.edu/). Unit
Deans for Students Affairs collaborated in the development of SCC, disseminated
these widely in multiple formats, share it and discuss it with elected student
leadership. Deans also sent and explained SCC to every freshman along with the
admission letter to the UPR (Evidence at Exhibit Room).
6. Effectiveness of educational offerings: In compliance with Certification No. 43
(2006-2007)
of
the
Board
of
Trustees
(http://www.certifica.upr.edu/PDF/CERTIFICACION/2006-2007/43%2020062007.pdf), Chancellors and Academic Deans continue evaluating the effectiveness of
educational offerings in alignment with internal indicators, license, and accreditation
standards and requirements. Chancellors collaborate with the Vice President for
Academic Affairs in preparing an aggregated academic program status report with
strengths and recommended actions to address areas for improvement. Also, in
collaboration with Chancellors and Deans for Academic Affairs, a set of criteria for
short term academic planning were delineated to guide decision making towards
guaranteeing institutional effectiveness (Evidence at Exhibit Room).
7. Revision of General Student Bylaws - The UPR Utuado Student Council President
participated actively in the revision of General Student Bylaws. Moreover, UPRUtuado governance bodies allow and encourage students to present their concerns,
issues, and needs in all dimensions. The Student Council members are elected
among their peers to represent students’ interest and present their needs to the
Administrative Board and Academic Senate.
8. Student Involvement in Governance Bodies: Some examples of students’ active
participation are: 1. Petition to revise due dates for withdrawal, 2. Revision of
certifications that require Professors to inform students a preliminary grade no later
than the ninth week of class, and 3. Participated in the revision of all forms used by
Faculty to evaluate their peers and students evaluation of their professors. Student’s
representatives in the Administrative Board have full access – voice and vote – to a
great number of decision making processes, among some of these are tenure
positions being considered, leaves of absence, academic calendar considerations and
amendments, budgeting, and development of institutional policies among others
(Evidence at Exhibit Room).
51
SECTION 3: CONCLUSION
The UPR-Utuado is convinced that the Commission’s concerns have been address with
documented evidence throughout this Monitoring Report. Continuous compliance with Standard
2, 3 and 4 is achieved and will be sustained as evidenced in light of the MSCHE Characteristics of
Excellence in Higher Education. Consequently, this self-examination motivated UPR-Utuado to
review priorities, and strengthen data collection and analysis. As a result, UPR-Utuado has
become more effective in decision making processes, especially linking our planning, assessment,
and budgeting. Thus embracing the concept of an Open University with the receptivity to be
heard, inclusive and transparent in the transformation of this institution as we experiment with a
culture of assessment and analysis.
This report presented evidence that UPR Utuado possesses and can sustain a well defined and
well structured process for strategic planning based on results of assessment. The evidence
discussed in this section of the report includes: 1) Is planning and making resource allocation and
campus decisions based on results of assessment, 2) Is currently in phase 3 of the development of
the new strategic plan for the 2012-2017 strategic cycle, 3) Is conducting strategic planning
workshops and working sessions with key personnel to ensure that the new strategic plan for the
2012-2017 period is developed following best practices and standards, 4) Has a sustainable
structure (organization, templates, and tools) for planning, resource allocation and organizational
renewal based on assessment results, and 5) Is promoting the 4 components of its Culture of
Assessment and Institutional Renewal through workshops and through the development and
implementation of strategic plans at various levels of the organization for the 2006-2011 and the
upcoming 2012-2017 strategic cycles.
The information provided throughout this report documents that the institution has the necessary
resources to achieve its mission and goals, and uses its resources effectively through sound
financial planning linked to institutional goals and strategies, and allocates its budget according to
institutional priorities, thus complying with Standard 3.
This Report demonstrates that UPR-Utuado in coordination with UPR-System has institutional
policies in place that clearly specify authority, roles, and responsibilities in shared governance.
The institution fosters open channels of communication with all its constituents, giving ample
opportunities to part-take in its various decision-making processes by clearly evidencing and
demonstrating needs assessment, thus complying with Standard 4.
The UPR-Utuado is committed to continue documenting and analyzing all assessment strategies
implemented and developing new techniques to use data adequately. This report has driven us
to build stronger ties with assessment strategies while integrating available financial resources.
Today, UPR-Utuado is a stronger institution of higher education—ready to continue moving
forward while keeping its educational quality at its highest standards, building a healthier financial
future, and an effective and well-defined leadership and governance. The UPR-Utuado is eager to
receive the MSCHE Visiting Team and restate our position of an Institution of Higher Education
fully accredited and capable of preserving excellence and fulfill its institutional mission.
52
Chancellor’s Office
Planning and Institutional Research Office
P.O. Box 2500
Utuado, Puerto Rico 00641
Telephone: 787-894-2828
Extensions for the Chancellor’s Office: 2242-2245
Extensions for the Planning Office: 2118-2120
http://www.uprutuado.edu/
“Equal Employment Opportunity”
53

at Utuado University of Puerto Rico

Transcription

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