TSPR Higher Education Protocols- Chapter 1

Chapter 1
Governance and Leadership - Institutional Support

The Institutional Support chapter evaluates the leadership of the institution and how effectively it puts in place systems that ensure that the institution is well managed and academically successful. These areas include:
Part 1
1.A. Governance
1.B. Meetings
1.C. Board Policies
1.D. Institutional Policies and Procedures
1.E. Organizational Structure
1.F. Office of the President
Part 2
1.G. Office of the Chancellor
1.H. Internal Communications
1.I. Legal Services
1.J. Planning
1.K. Review and Evaluation of Contracting Process

PART 1
Other functional areas that are also considered a part of institutional support for a college or university, but are addressed separately for purposes of a review include: Human Resources Management, Financial Management, Purchasing, Management Information Systems and University Relations and Alumni Affairs.
1.A. Governance
The governance structure of institutions varies depending on whether the institution is part of a system, is independent or is a community college.

System hierarchies begin with an appointed Board of Regents. A chancellor reports directly to the board and may have a varying number and type of vice-chancellors reporting directly to the chancellor. Presidents typically report to a vice-chancellor or chancellor, but never directly to the board.
Independent college or university hierarchies begin with an appointed Board of Regents. The president reports directly to that board.
Community College hierarchies begin with an elected Board of Trustees. The president reports directly to the board.

To account for these basic differences, this protocol as well as the other related protocols will attempt to highlight those differences and may address certain questions or activities to a specific type of institution.
Regardless of the type of structure, boards should focus on the decision-making process, planning, and providing resources for goal achievement. To a great extent, the ability of the board to perform these duties effectively is determined by their knowledge and recognition of the separation of their role from that of the president. The president serves as the administrative leader responsible for policy implementation and day-to-day operations. An effective president supports the system administrators and/or board's responsibility as policy maker. It is important that the system administration or president work to help board members fulfill their duties by providing training opportunities and instituting procedures that facilitate effective board meetings, open communications and timely transfer of information.
Data Needs
Systems, Independent Institutions or Community Colleges

Board meeting schedule, agendas and past minutes (including Executive sessions)
Minutes and audio and videotapes of board meetings, if available for prior year
List of any board committees and their memberships
Institutional policy and procedure manuals
Board members' resumes and training records

All Institutions

Internal audit reports for prior 3 years
Examples of institutional publications, newsletters or brochures

Possible People to Interview
Board members
Chancellor and vice chancellors (if system)
President
Cabinet members (vice presidents and provost)
Board Secretary
Representatives of alumni associations, employee organizations, ad hoc committees, institutional improvement committees, business community, non-profit organizations (foundations) associated with the institution, minority leaders
General counsel for the institution, if appropriate
Activities to Perform
Systems, Independent Institutions or Community Colleges

1.A.1. Prepare a chart showing each board member, any offices held on the board, year appointed to the board, term of office, the length of service, meeting attendance records and the board member's profession and place of business.
1.A.2. Review affidavits of conflict of interest and financial disclosure statements and verify compliance with the statutes or local policies for boards, chancellors and presidents (if other administrators such as vice chancellors or vice presidents have specific requirements, also include this information).
1.A.3. Interview board members or at least the chairs of each committee, the chancellor and/or the president. Examine public input regarding the board and the board's relationship with the chancellor or president. Prepare a summary of individual interviews and compare results with the public perceptions and note any similarities or differences.
1.A.4. Examine any training records of board members and list the type and number of hours of training attended by each board member. Specifically identify any formal or informal orientation and training for newly elected board members, Public Funds Investment Act training, training on the board's role in budget, personnel matters, etc., seminars and workshops sponsored by regional, state, and national organizations, and special training based on individual needs of board members above the basic state requirements. Compare the results to law and the state's guidelines and note any discrepancies.
1.A.5. Diagram the organization of the board, including any advisory, ad hoc, or standing committees of the board such as standing and/or ad hoc committees for finance, facility/building, human resources, instruction and/or other special purposes. Delineate the specific purposes of each committee, the makeup and membership of the committees, the process used to ensure fair and equal representation in the selection of committee members and any specific time limits imposed on the life of the committee.
1.A.6. Chart the path of a complaint received by a board member from a parent, institution employee or student.
1.A.7. Chart the support services and other resources provided by the institution to support board duties. Identify the staff and number of hours worked a week for board or individual members.
Member Institutions
1.A.8. Graphically show the relationship between systemwide boards, if applicable, and the management structure of the member institutions.

Questions to Ask
How does the board fulfill its responsibility to represent and communicate with all stakeholders of the institution? Are trustee terms set so that a majority of experienced trustees hold office at all times? What types of formal orientation sessions are provided to new board members to define the role and responsibilities of a board member? Who is tasked with providing the formal orientation? Are the orientation materials maintained and updated frequently or as needed?
Do board members understand their roles in the institution's governance and exhibit that understanding by allowing the president to manage the institution's operations within the constraints set by the board? Does the board intervene in operating decisions outside of voting on the president's recommendations? How does the board work constructively with the president to resolve issues and concerns?
How do committees of the board function? Do committees contribute to an overall sense of open-government in the institution? Have committees been useful in establishing trust among board members? Between the board and the administration?
Has the president established an effective communication process with the chancellor or board members? Is there a full or part-time staff person within the administration that supports the needs of the board? Is the work done by support staff appropriate and adequate?
How does the president notify board members/chancellor of serious or newsworthy events between board meetings? Do the president, chancellor and board members have fax and/or email access so that they can receive information quickly and in a format that is easy to review? Do the president, chancellor and board members teleconference?
Are the presidents of member institutions of a system following the chain of command when bringing needs to the vice chancellor or chancellor? Have there been instances when the chain of command has been circumvented? Why? Are board members observing the chain of command when contacting the administration? For what purposes do board members have contact with administrators below the chancellor or president levels?
How does the institution work with the board to ensure timely responses to concerns brought to the board by employees and students?
How does the board oversee the institution's financial resources? How does the board direct staff regarding the information and materials the board needs to understand and consider issues with significant financial implications? What processes allow board members to review significant financial issues identified in internal audits, external audits, management evaluations and performance reviews? What kind of training does the board receive to improve oversight of the institution's financial resources? What mechanisms are in place to provide the board a better understanding of the long term and short-term financial impact of their decisions on the fund balance?
How is academic performance data used by the board to determine the appropriate alignment of resources on all campuses?
How does the board solicit comments from the public, institutional administrators, faculty and staff when considering issues with significant financial implications?
Does the president/chancellor provide necessary support for the board to perform its function by:

Providing staff to record meetings and minutes, schedule appointments and maintain files?
Assigning appropriate staff to research and respond to information requests from the board?
Providing budgetary resources for participation in training and professional development seminars including travel and tuition costs?

What is the role of the board secretary? How does the board secretary contribute to the efficient and effective running of the board?
1.B. Meetings
Meetings of the Board of Regents must be held according to state guidelines, particularly in regard to compliance with open meetings requirements. To be productive, the meetings must be orderly and board members must have adequate information in sufficient time to be fully prepared to make sound decisions.
Data Needs

Board meeting schedule, agendas and past minutes (including Executive)
Minutes, audio and videotapes of board meetings, if available for prior three months
List of any board committees and their memberships
Institutional policy and procedure manuals
Copies of board travel expenditures for meeting attendance, if applicable.
See earlier question on attendance at board meetings.

Possible People to Interview
Board members
Chancellor and vice chancellors (if system)
Board Secretary
President
Cabinet members (vice presidents and provost)
Representatives of alumni associations, employee organizations, ad hoc committees, institutional improvement committees, business community, non-profit organizations (foundations) associated with the institution, minority leaders
Attorney for the institution
Activities to Perform

1.B.1. Attend one or more board meetings and observe board conduct, examine and evaluate the board packet, examine and evaluate the minutes, compare the posted agenda to the meeting format, and evaluate the quality and quantity of public input.
1.B.2. Examine board policy and state laws regarding travel and travel reimbursement and compare the travel expenditures to those guidelines to determine compliance.

Questions to Ask
Are board meetings well organized? Are board meetings conducted according to established procedures and Robert's Rules of Order? Is there a provision for adequate public input through a formal agenda item or other means for citizen comment? Are interpreters available for individuals with hearing impairments? How is information recorded and distributed for review?
Is the board agenda and supporting information packet that is prepared by the president, disseminated within a time frame mutually agreed upon by the board/chancellor and/or president? Does the board packet contain comprehensive background information that allows the board to make well-informed decisions? Are board packets and other informational items made available on the Internet to board members? To the public? Is accommodation made for the press?
What efforts are made to handle routine matters in an efficient manner? For example, does the board use a timed agenda to ensure that meetings move quickly? A consent agenda where groups of similar or routine items are voted on as a block?
Is there an established criteria for placing an item on the agenda (including items requested by the board or citizens)? Are executive sessions conducted in accordance with state law?
Are all meetings of the board posted in compliance with state law? How does the institution use the local newspaper, the institution's website and public libraries to keep the public informed of board meetings, agendas, decisions and other institution news?
How are minutes of the board meetings prepared and who is responsible for preparing them? Are minutes prepared in a timely manner? Are minutes complete and do they contain sufficient detail to be useful in documenting the decisions of the board? Does the institution record board meetings in audio or video format? Does the institution televise or Web cast board meetings? Does the administration use these tapes to determine follow-up actions needed to carry out board policy? Are tapes used to plan future meetings? Who has access to these tapes?
For board members requiring reimbursement for travel, are receipts presented and paid in a timely manner? Are expenditures reasonable and within state laws and institutional policies? Are there efficiencies to be gained by employing alternative accommodations or travel arrangements? Are meetings scheduled to allow maximum meeting time at the least travel expense?
1.C. Board Policies
Boards set policy that guides the institution. Having a clear set of policies that are current and integrated or cross-referenced to current laws, rules and regulations and available to every staff member is important to the overall organizational health of the institution. Further, policies help an institution to guard against possible lawsuits and penalties that may result if individual employees of that institution inadvertently violate laws rules or regulations.
Data Needs

Copies of board policies

Possible People to Interview
Board members
Chancellor and vice chancellors (if system)
President
Board Secretary
Cabinet members (vice presidents and provost)
Individuals within the institution responsible for the maintenance and dissemination of policies
Activities to Perform

1.C.1. Determine the number and general location throughout the institution where institution policy manuals are available. Examine the board policy manual and a representative sample of policy manuals distributed throughout the institution. Compare a sample of policies with recent law changes and note any discrepancies. Compare a sample of manuals housed on campuses with the master copy of the manual and note any inconsistencies in the versions.
1.C.2. Prepare a diagram of the process used by the institution to update the institution's policies. Note if a policy service is being used, describe the services provided and show the cost of this service.

Questions to Ask
Are policies clear, concise and in compliance with state law? Are policies regularly reviewed and updated? Are new or revised policies disseminated in a timely manner to each board member and all other designated staff? Where are policies made available at the administration office and campus locations for use by employees and/or the public? Are policies available to staff and the public on-line? How is compliance with policy routinely monitored to ensure staff compliance? How many hard copies of policies exist in the institution and how many times are they updated annually?
What policies exist that specifically pertain to the roles, responsibilities and actions of board members? Does the institution have conflict of interest policies for board members? Are there nepotism policies in place for employees and board members? Are there policies regarding public input at board meetings? How do these policies encourage open communication with the public? Who ensures that the board is in compliance with these policies? How are exceptions handled?
How are systemwide policies disseminated to member institutions? Are member institutions' policies and procedures cross-referenced and/or aligned with systemwide polices? What mechanisms are in place to ensure that member institutions' policies and procedures are cross-referenced and/or aligned with systemwide polices?
1.D. Institutional Policies and Procedures
In higher education systems, not only are there policies and procedures of the system offices, the member institutions also should have a set of policies and individual procedures that guide that members' operation. There is a need to ensure that the policies of the system offices are linked to those of the members and that any conflicting policies or procedures are resolved. Because geography separates the institutions, there is also a concern that the communication links provide rapid dissemination of information to all levels.
Data Needs

Copies of local policies

Possible People to Interview
Board members
Chancellor and vice chancellors (if system)
President
Cabinet members (vice presidents and provost)
Individuals within the institution responsible for the maintenance and dissemination of policies
Activities to Perform

1.D.1. Review the member institutions' policies and administrative procedures manual or departmental procedure manuals and by functional area prepare a chart showing whether the procedures are: complete, up-to-date, and reflect or are linked to the system office's board policy.
1.D.2. Prepare a diagram of the process used by the member institutions to implement and update institutions procedures including staff responsible for each step along the way. Include a list of locations where procedure manuals are available. Demonstrate how updates are tracked to ensure that the most current updates are included in the procedure manuals, such as by update date.

Questions to Ask
How does the management of the member institutions ensure that the policies of the system offices are linked to the policies and procedures of the member institutions? Are there member policies that predate the merger of the institutions into the system? How are conflicts between the policies of the system offices and the member institutions resolved?
How does management ensure that policies are translated into operating procedures and are adhered to? Do administrators review and update procedures annually or on some other cycle? Who is responsible for ensuring that each department or operating unit develops procedures?
What is the formal or informal process through which system polices are reviewed and disseminated to staff in the member institutions? How member institutions ensure that current policies are translated into operating procedures? Is there a process for procedure revision that is clearly defined and allows for staff input?
Where are the policy books kept? Are policies on-line and accessible by all staff? Where is a master copy of operating procedures maintained? Is formal staff training provided on institutional procedures?
Are procedure manuals maintained for all major operations of the institution? Where is a master copy of all procedures maintained and who is responsible for maintaining those master documents? Is there a schedule whereby the procedure manuals are regularly reviewed and updated? Are these procedures made available to employees in the form of handbooks or other user-friendly reference materials?
1.E. Organizational Structure
Data Needs

Organizational charts for the institution
Job descriptions for high-level administrative positions

Possible People to Interview
Board members
Chancellor and vice chancellors (if system)
President
Cabinet members (vice presidents and provost)
Individuals responsible for the maintenance and dissemination of organizational charts
Activities to Perform

1.E.1. Review organizational chart(s) and determine relevance to the actual management structure. Document if it has been changed one or more times in the recent past or if change is anticipated in the near future and why.
1.E.2. Based upon the institution's actual administrative office organizational structure and staffing, including support staff, prepare a written evaluation demonstrating whether the structure ensures:
1.E.3. Appropriate spans of controls.
1.E.4. Clearly defined units and lines of authority that are reflected in both the institution's organizational charts and job descriptions.
1.E.5. Minimal management layers that encourage communication.
1.E.6. Direct and accessible support for all campuses and auxiliary programs.
1.E.7. Accountability at all levels within the organization.

Questions to Ask
Does the institution conduct periodic reviews to minimize administrative layers and processes?
Has the institution clearly assigned authority to managers or administrators for the effective and efficient supervision of instruction, instructional support, and other assigned responsibilities, including consideration of the needs of member institutions in remote locations throughout the state, and other organizational alternatives? Does the institution's central administration support and facilitate the work of faculty and campus administrators?
Is the approach used by the institution basically a centralized or decentralized structure? Why? What are the most likely reasons that have led to the approach being used? Is this the most appropriate, efficient and effective method for this institution?
1.F. Office of the President
While the board sets policy, presidents are responsible for carrying out that policy and managing the institution in the most cost effective and efficient manner possible. This is true whether the president ultimately reports to a chancellor or vice chancellor in a system setting, or where the president is over an independent institution. The goal of administration must always be to facilitate and support the instruction of students by ensuring that every possible dollar and resource is directed to the classroom.
Data Needs

President's contract, resume and last three evaluations
Financial disclosure statements for the last three years
Documentation of recent hiring or search for a president

Possible People to Interview
Board members
Chancellor and vice chancellors (if system)
President
Cabinet members (vice presidents and provost)
Representatives of faculty organizations, campus improvement committees and institution improvement committees
Activities to Perform

1.F.1. Examine the president's contract and outline the terms and conditions of the contract including a history of renewals and compare the contract to statutory requirements, noting any variances. Outline all performance components and terms that might protect the institution from the necessity of "buying" out the contract if either the institution or the president wants to separate.
1.F.2. If a recent president search or hiring process was conducted in the institution, outline the process used by the institution and evaluate the effectiveness of the process.
1.F.3. Examine the last three evaluations of the president and assess whether expectations defined clear and measurable goals and objectives, and whether the president was given honest and meaningful feedback based upon progress toward expectations.

Questions to Ask
Does the president acknowledge his position as chief executive officer for the institution by:

Making appropriate recommendations to the chancellor or board, depending on the reporting relationship, regarding operation of the institution including an annual budget?
Attending all meetings of the board?
Recommending policies to the chancellor or board, depending on the reporting relationship?
Implementing adopted board policies?
Establishing a process to communicate regularly with the chancellor or board, depending on the reporting relationship to keep them informed of institution activities?
Delegating authority when appropriate?
Coordinating the implementation of procedures regarding institution operations?

Does the president actively participate in local, regional and national higher education administration associations?

1.A.1.	Prepare a chart showing each board member, any offices held on the board, year appointed to the board, term of office, the length of service, meeting attendance records and the board member's profession and place of business.
1.A.2.	Review affidavits of conflict of interest and financial disclosure statements and verify compliance with the statutes or local policies for boards, chancellors and presidents (if other administrators such as vice chancellors or vice presidents have specific requirements, also include this information).
1.A.3.	Interview board members or at least the chairs of each committee, the chancellor and/or the president. Examine public input regarding the board and the board's relationship with the chancellor or president. Prepare a summary of individual interviews and compare results with the public perceptions and note any similarities or differences.
1.A.4.	Examine any training records of board members and list the type and number of hours of training attended by each board member. Specifically identify any formal or informal orientation and training for newly elected board members, Public Funds Investment Act training, training on the board's role in budget, personnel matters, etc., seminars and workshops sponsored by regional, state, and national organizations, and special training based on individual needs of board members above the basic state requirements. Compare the results to law and the state's guidelines and note any discrepancies.
1.A.5.	Diagram the organization of the board, including any advisory, ad hoc, or standing committees of the board such as standing and/or ad hoc committees for finance, facility/building, human resources, instruction and/or other special purposes. Delineate the specific purposes of each committee, the makeup and membership of the committees, the process used to ensure fair and equal representation in the selection of committee members and any specific time limits imposed on the life of the committee.
1.A.6.	Chart the path of a complaint received by a board member from a parent, institution employee or student.
1.A.7.	Chart the support services and other resources provided by the institution to support board duties. Identify the staff and number of hours worked a week for board or individual members. Member Institutions
1.A.8.	Graphically show the relationship between systemwide boards, if applicable, and the management structure of the member institutions.

1.B.1.	Attend one or more board meetings and observe board conduct, examine and evaluate the board packet, examine and evaluate the minutes, compare the posted agenda to the meeting format, and evaluate the quality and quantity of public input.
1.B.2.	Examine board policy and state laws regarding travel and travel reimbursement and compare the travel expenditures to those guidelines to determine compliance.

1.D.1.	Review the member institutions' policies and administrative procedures manual or departmental procedure manuals and by functional area prepare a chart showing whether the procedures are: complete, up-to-date, and reflect or are linked to the system office's board policy.
1.D.2.	Prepare a diagram of the process used by the member institutions to implement and update institutions procedures including staff responsible for each step along the way. Include a list of locations where procedure manuals are available. Demonstrate how updates are tracked to ensure that the most current updates are included in the procedure manuals, such as by update date.

1.E.1.	Review organizational chart(s) and determine relevance to the actual management structure. Document if it has been changed one or more times in the recent past or if change is anticipated in the near future and why.
1.E.2.	Based upon the institution's actual administrative office organizational structure and staffing, including support staff, prepare a written evaluation demonstrating whether the structure ensures:
1.E.3.	Appropriate spans of controls.
1.E.4.	Clearly defined units and lines of authority that are reflected in both the institution's organizational charts and job descriptions.
1.E.5.	Minimal management layers that encourage communication.
1.E.6.	Direct and accessible support for all campuses and auxiliary programs.
1.E.7.	Accountability at all levels within the organization.

1.F.1.	Examine the president's contract and outline the terms and conditions of the contract including a history of renewals and compare the contract to statutory requirements, noting any variances. Outline all performance components and terms that might protect the institution from the necessity of "buying" out the contract if either the institution or the president wants to separate.
1.F.2.	If a recent president search or hiring process was conducted in the institution, outline the process used by the institution and evaluate the effectiveness of the process.
1.F.3.	Examine the last three evaluations of the president and assess whether expectations defined clear and measurable goals and objectives, and whether the president was given honest and meaningful feedback based upon progress toward expectations.