Standard VI – Planning, Resources, and Institutional Improvement

1: Institutional objectives

Institutional objectives, both institution-wide and for individual units, that are clearly stated, assessed appropriately, linked to mission and goal achievement, reflect conclusions drawn from assessment results, and are used for planning and resource allocation. (SVl.C1; RoA10)

The last strategic plan, Geneseo 2021: Seeing Beyond the Horizon, identified four institutional planning goals (also called focus areas): learning, access and success, advancing the public good, and resilience and sustainability.^[1]

One of the top priorities for the campus is to assess initiatives to achieve the college’s planning goals, analyze the results, and use them for planning and resource allocation. One example is SPG’s solicitation of project proposals aligned with planning goals in a campus forum in September 2017. Just under $700,000 was allocated to eight projects in the first phase. First-phase projects were assessed and the results presented to SPG and BPC and published on the wiki.^[2] The results of that assessment were used to inform a second phase of budget allocations, in which some first-phase projects continued their funding and another $300,000 was allocated to 13 new proposals, which were assessed in turn.^[3] Two examples of initiatives funded, and their associated focus areas, are Digital Learning and Scholarship, which addresses “learning” and “access and success,” and Growing Student Success and Academic Advising, which also addresses “access and success.” These initiatives resulted in the founding of a Center for Digital Learning and the purchase of EAB Navigate software, respectively, during the 2019-20 academic year. EAB Navigate serves as the college’s early alert system for identifying and intervening with struggling students. Implementing an early alert system was an objective from the campus’ diversity plan.

Another example of institutional assessment is the campus-wide program alignment and analysis undertaken in response to pandemic-related budget challenges. Two alignment templates were designed by SPG, one for academic units and another for administrative units. Unit leaders were asked how programs contribute to equity or the needs of a diverse student body. Institutional Research provided three-year trend data and, where applicable, showed student and faculty characteristics and outcomes by ancestry. Unit leaders in every division of the college responded to the template. The cabinet analyzed the template responses and made decisions designed to help us to meet the “resilience and sustainability” focus area. This process has enabled the campus community and administrators to make data-driven decisions to assist in planning and resource allocation during the pandemic and beyond. Examples of the use of this data include the following:

• Migration of career development from the Division of Student and Campus Life to the Division of Academic Affairs
• Migration of the Office of Sustainability from finance and administration division to academic affairs
• Creation of a Center for Interdisciplinary Programs in academic affairs
• Creation of a data dashboard for academic affairs that will give chairs consistent access to data points like those in the program analysis to use in decision-making
• Formation of a shared service center task force leading to a report with recommendations

To illustrate the process using the last item: program alignment documents showed the cabinet that administrative functions could be more efficient. They appointed a group to study administrative assistance across the college and make recommendations where they found opportunities for greater efficiency. In evidence, see examples of the program alignment responses and the executive summary of the report by the shared service center task force.^[4]

2: Planning and improvement processes

Clearly documented and communicated planning and improvement processes that provide for constituent participation, and incorporate the use of assessment results. (SVI.C2)

SPG is the primary committee responsible for planning at the institutional level. As defined in the Faculty Constitution,^[5] it includes faculty, students, staff, and administration.^[6] SPG gathers feedback from and communicates with the campus at large by, for example, conducting surveys, meeting with campus constituents, and maintaining a web presence. An instance of a highly inclusive planning process is SPG’s development of a new mission statement in Spring 2021, as detailed in this self-study under Standard I. Assessment of the 2016-21 mission and goals informed the development of the new mission and values and a one-year interim strategic plan.

As the need for other college-wide planning groups arises, diversely composed ad hoc committees are created, with membership typically approved by the president in consultation with the cabinet. As appropriate, ad hoc committees solicit feedback from campus constituents and share reports. Examples include the steering committee for this self-study (appointed by the president in Fall 2019); the Coronavirus Incident Leadership Team (CVILT), which responds to SUNY, state, and federal information around the pandemic and drafts the campus guidance documents (appointed by the president and cabinet in March 2020); and the Facilities Master Plan Committee, formed to draft a new facilities master plan in Summer 2021. CVILT is an example of an incident management team, formed following criteria and processes laid out in our emergency operations plan, which falls under the president’s purview, is managed by the assistant chief of police, and is consistent with state law.^[7]

Institutional improvement at Geneseo is driven by the college’s institutional effectiveness plan. The section below outlines how various committees work together to advise the president on institutional decisions.

College Assessment Council (CAC)^[8]

The campus-wide annual assessment program coordinated by CAC provides a critical link between assessment, on the one hand, and planning and budgeting on the other. Each division and unit completes an annual assessment report online to identify findings that have strategic or mission-critical implications and any associated need for additional resources. After reviewing the assessment reports and resource needs, CAC forwards the information to SPG for consideration. CAC has recently started a system to provide more feedback to departments on their assessment processes.

Strategic Planning Group (SPG9)^[9]

SPG collaborates with BPC on budgetary issues and coordinates development of the five-year strategic plan with the campus community. SPG is also charged with assessing progress on the plan and making recommendations to the cabinet for adjustments as needed. The cabinet reviews and approves the plan and any major changes.

As seen in the evidence for the funded first- and second-phase projects described above, SPG assessed and improved its allocation and assessment processes. After soliciting proposals and requiring assessment reports in the first phase, the SPG adopted a new software platform, Nuventive, for the second. In Nuventive, each project is aligned with one of the four planning goals and assigned to an individual who issues quarterly progress reports. Action items in Nuventive can be linked to one of four strategic initiatives: diversity, equity and inclusion; recruitment of students; retention of students; and sustainability. A visual display of progress reports gives SPG a picture of how well each project is meeting its associated goals.^[10] The college is exploring alternative systems for tracking our strategic plan progress as we develop a new plan.

Budget Priorities Committee (BPC)

BPC plays a central role in the implementation of financial plans and goals, as well as in budget communications. BPC conducts an annual review of the college’s budget and reports to the college senate. In collaboration with SPG, BPC assesses investments made to advance strategic priorities and offers guidance on new investments. BPC assists Vice President for Finance and Administration Julie Buehler to shape communications about college finances that address community concerns—for example, a communication focused on concerns related to the pandemic.^[11]

Expanded Budget Priorities Committee (eBPC)

In February 2019, President Battles expanded the membership of BPC and charged the resulting eBPC with engaging campus stakeholders to solicit, analyze, and recommend revenue-enhancing, efficiency-promoting, and expense-reducing actions aimed at eliminating the college’s structural budget gap.

Starting that month, the expanded committee held weekly 90-minute meetings. Members devised ways to solicit input from the campus community, reviewed many of the resulting suggestions, and researched the potential for revenue or savings. As the May 1 deadline approached it became clear that the time and expertise available were insufficient to vet all submitted suggestions. The committee’s report conveys the reviewed community suggestions and the committee’s estimates of incremental revenue or savings. Unreviewed suggestions have been preserved for future action. The report informs the college’s continuing efforts to address its structural budget gap.^[12]

3: Financial planning and budgeting

A financial planning and budgeting process that is aligned with the institution’s mission and goals, evidence-based, and clearly linked to the institution’s and units’ strategic plans/ objectives. (SVI.C3, C5; RoA11)

As a public institution, Geneseo is ever-mindful of its obligation to be a good steward of resources entrusted to it. The college has a long and proud history of ensuring that its resources are deployed in the most effective manner and aligned with the goals of the institution, SUNY, and New York State. In recent years, with declining enrollment and the financial challenges of the pandemic, fewer resources have been available for strategic investments and most funds are directed to critical needs.

Strategic budget allocations

As described and illustrated above under Criterion 1, Geneseo uses a five-year strategic planning model. SPG is charged with developing multi-year plans for funding strategic initiatives aligned with campus planning goals and derived from broad engagement with the campus community.

Annual budgeting

With the exception of the pandemic budgets (described later in this section) the SUNY Geneseo annual budget process has been relatively stable since the last MSCHE review.

Geneseo’s core operating budget consists of direct New York State tax-dollar support along with campus-generated revenues. Each year, the state budget division develops a direct tax-dollar support budget for SUNY. On the same timeline, the SUNY board of trustees approves tuition rates for the new academic year. Once the budget is approved by the legislature and tuition rates approved by the board, SUNY system administration develops a financial plan that allocates spending authority by campus and fund. Geneseo develops its annual financial plan within this framework.

Geneseo’s budget process begins with campus-generated revenue projections (tuition, room rent, fees, and the like) based on enrollment and occupancy estimates. A draft, incremental expense budget is then developed by applying negotiated salary increases to approved staffing levels and factoring in any other significant cost changes, such as contractual increases and utilities estimates. Personnel costs make up approximately 75 percent of the expenses that SUNY Geneseo controls. Fees are reviewed annually, taking into account changes in costs and needs. Fees are negotiated with the campus and SUNY system within allowable limits.

In a non-pandemic year, the preparation of the annual financial plan is a collaborative process involving members of the president’s cabinet, budget and finance staff, and other relevant personnel to ensure prioritization and alignment with strategic planning goals. Adjustments are made from the prior year’s base budget to reflect changes in needs or to better support strategic or operational goals. The overall financial plan consists of individual budgets developed for each of four usage types: the state fund (core academic and administrative operations), the dormitory fund, the IFR fund (fees and fines accounts), and the SUTRA fund (summer and winter session operations and overseas programs).

Annual resources are allocated to operating costs and strategic projects identified for the given year. Because personnel costs are the college’s largest expense, the cabinet reviews each proposed new permanent position against assessed needs. In addition, assessments such as the 2020-2021 program analysis and alignment initiative provide data for every campus department or program to facilitate decisions based on campus goals, market, and anticipated future needs. The preparation of a draft financial plan is the main opportunity for the cabinet to recommend major reallocation decisions to the president or, in the rare event that there are surplus funds, to recommend allocation of additional funds to further initiatives and projects recommended by SPG and BPC. At a semi-annual retreat, the cabinet considers new positions based on alignment with strategic goals, assessment of progress, or determination of other critical needs. In making requests, cabinet members must ensure appropriate prioritization across campus needs. Smaller-scale reallocation decisions may be made during the budget process. These are generally need-based adjustments within divisional budgets recommended by the divisional vice president. In recent years, budget restrictions have required a hiring freeze and the limitation of procurement to essential needs.

Campus planning and budget allocation involves a high-level of engagement across the institution. Much of this work is done through coordination with unit finance leaders and the campus committees listed above, who tie budget requests to unit or campus planning goals.^[13] Each committee meets on a regular basis throughout the year, documents its progress, and shares its work. This work helps to inform college leadership on strategic and budgetary issues and to foster communication within the campus community over time.

While Geneseo has consistently been in the upper tier of SUNY colleges regarding financial health, reserves, and sustainability, the overall condition of SUNY and its response to the impact of the pandemic is relevant to the college’s current condition. Below is a summary of actions taken by the SUNY system and locally in response to pandemic-related financial pressures.

• SUNY refinanced bonds to manage through pandemic-driven near-term operational and financial uncertainty. This refinancing will provide temporary cash flow relief and cover residence hall debt service due in the fiscal years ending June 30, 2021 and 2022. In direct response to pandemic uncertainty, SUNY has implemented expense-reduction actions to mitigate the financial impact of COVID-19 on our operating budget and liquidity in the 2021 fiscal year and beyond.
• Geneseo offered a voluntary incentivized separation program, froze faculty and staff hiring, and instituted other major cost-reduction strategies for general procurement and large-scale contracts. There have been no pandemic-related mass furloughs or terminations, which would require a decision by New York’s governor. All new capital projects and non-essential initiatives were placed on hold except for those already underway, those deemed mission-critical to the academic priorities of SUNY, or those that include regulatory, compliance, or safety components. In addition, the campus is more aggressively pursuing new revenue-generation programming, such as offering additional intersession courses, and continues to advocate for further federal, state, and other support.
• As of July 2021, over $12,000,000 from the Higher Education Emergency Relief Fund (HEERF) under the Coronavirus Aid, Relief, and Economic Stability Act (CARES), and later interactions of HEERF (II and III), has been received or is expected for direct student and institutional support.^[14]

4: Fiscal, human, technical, and physical resources

Fiscal and human resources as well as the physical and technical infrastructure adequate to support its operations wherever and however programs are delivered. (SVI.C4 RoA 11)

Fiscal and human resources

Geneseo possesses sufficient fiscal and human resources to accomplish its mission and goals. Fiscal resources are primarily allocated by the state, as outlined earlier in this chapter, but they are augmented by local funding from the Office of Sponsored Research, College Advancement, and Campus Auxiliary Services (CAS). As a primarily residential college, we gain significant income from our housing, food services, and other on-campus services, many of which are contracted through CAS. Faculty and staff are hired through our local human resources office, whose policies are mostly governed by union contracts negotiated statewide and other SUNY and state hiring policies. Geneseo is currently under a hiring freeze put in place by the state, hiring only positions essential to continue operations.

Offices that augment the College’s financial resources (RoA11) are sponsored research, advancement, and CAS.

The mission of the Office of Sponsored Research is to support, promote, develop, and coordinate the research, creative, and scholarly activities of the College through external and internal funding. The funding brought in by this office contributes directly or indirectly to the following:

• enrollment, retention, and persistence of students;
• cultivation of student and faculty research and creative projects;
• inclusivity and diversity—including provision of need-based student scholarships;
• funding for underrepresented faculty salaries, attraction and retention of faculty, and education and research on inclusivity and diversity;
• funding for innovative teaching;
• administration of internal (Geneseo Foundation) and external funding for faculty and student research, equipment for science laboratories, and projects that serve the Campus and the larger Geneseo community.

From FY 2016-2017 to FY 2020-2021, the Office of Sponsored Research reached $12,773,668 for total awards, compared to a total of $8,275,416 for the previous five-year period (FY 2011-2012 to FY 2015-2016). The office typically submits around 48 proposals per year; in 2020-2021 the pandemic reduced this number to 23. COVID-19 has also affected the college’s ability to spend on grants; thus, we have requested no-cost extensions on some grants, which shifts the need to re-apply by a year. Despite these setbacks, in the last five years sponsored research activities have helped generate an average of more than $2.55 million in awards per year, and grant expenditures (SUNY Research Foundation) have averaged more than $1.56 million per year. In comparison, for the prior five-year period, awards averaged $1.66 million and grants expenditures averaged $1.17 million.^[15]

The office’s services have resulted in several external awards that contribute to diversity, equity, and inclusion for students and faculty, in support of Institutional Priority 4. Geneseo has received two federal TRiO awards that support low-income, first generation, and underrepresented students, fulfilling focus area two of the strategic plan (access and success).^[16] A grant (and grant renewal) through SUNY’s initiative Promoting Recruitment, Opportunity, Diversity, Inclusion, and Growth (PRODiG) provides salary support for new faculty hires (four faculty in Fall 2020 and one fellow in Fall 2021) who are members of historically excluded groups or women faculty in STEM.^[17] Sponsored research also helped obtain several SUNY Performance Improvement Fund awards that contribute to DEI and serve the needs of a diverse student and employee body. One of these awards designed and supported a pilot program for the campus’s Advancing Cultural Competency Certificate (ACCC), a 20-hour, semester-long program that empowers individuals with cross-cultural knowledge, tools, skills, and resources that promote DEI. ACCC has now been institutionalized and, since Fall 2019, has certified more than 141 members of the campus community, including the president and cabinet, classified staff, CAS employees, faculty, professional staff, and administrators.^[18] Promoting cross-cultural competency was an objective of the college’s diversity plan that was incorporated in its strategic plan.

The Geneseo Foundation, managed by the Division of College Advancement and a volunteer board of directors, was established in 1971 as an independent, 501(c)(3) tax-exempt corporation under the New York State not-for-profit corporation law. The foundation exists to support the Geneseo campus by receiving and stewarding private gifts to the College and administering funds for approved programs and activities. It operates in support of the College under the SUNY model contract.

The Division of College Advancement provides financial support, leadership, and advocacy to the College community while fostering engagement to enhance the Geneseo experience and build an endowment. The mission and goals of SUNY Geneseo supported by this office include the following:

• assistance to students in financial need;
• provision of merit-based scholarships;
• attraction and retention of dedicated, innovative faculty;
• international study programs;
• research opportunities and departmental and interdisciplinary initiatives;
• athletic programs, residential facilities, and health services;
• extracurricular opportunities for students.

The total endowment under management by the foundation has grown from $34,493,376 at the fiscal year end of 2016 to $43,366,057 at the fiscal year end of 2020. Over the last five years, (FY 2017-2018 to FY 2020-2021), philanthropic giving to the College through the Geneseo Foundation, totaled $27,569,235, compared to $18,082,860 over the previous five-year period. Over the last five years the Division of College Advancement helped generate an average of more than $5.5 million per year.^[19] More recently the college participated in the NYS Charitable Tax Credit Program, bringing in over $1.1 million dollars.

College advancement experienced a decline in the number of donors to the College during the pandemic but an increase in the average gift amount. The One Knight Student Aid Fund, fueled by a $50,000 match from the SUNY Foundation, secured an additional $112,000 from 156 donors directly intended for use by students affected by the pandemic.

Campus Auxiliary Services is a not-for-profit, 501(c)(3) established in 1952. CAS is managed by its executive director and a volunteer board. It supports the College by providing non-academic services, operating under the SUNY model contract. CAS receives infrastructure and support from the College but also has administrative departments to support proprietary operations. These include human resources, finance and accounting, facilities, marketing, supply chain, and information technology.

CAS offers the following services on a mutually-agreed exclusive basis: restaurants, cafés, catering, and concessions; management of contracts with, and financial support from, external vendors and national brands (Barnes & Noble, Starbucks, food and beverage vending machines, residence hall laundry services, public transportation); refuse and recycling; off-campus property ownership and management; ID card services; fiscal agent services.

CAS has annual fiscal responsibility for over $25 million in revenues and managed funds. Over the last five years, it has contributed more than $9 million of funding to the College in the form of program funds, scholarships, grants, and donations. CAS provides additional support to the College through terms negotiated in vendor contracts, including internships, scholarship and grant funds, marketing/promotion funds and materials, specifically designated donations, and products for campus, student, and athletic events.

Decreased student participation in meal plans due to the pandemic reduced the amount of direct funding available to the College. As part of the financial response to the pandemic, CAS sought and has been awarded over $2.6 million in loan forgiveness through phase 1 of the Payroll Protection Program[1][2].^[20]

Human Resources reports that college staffing has declined by 9.5 percent from fiscal year 2017 to 2021, owing primarily to attrition, the financial impact of the pandemic, and a hiring freeze required by the state budget division. Positions are only filled if they are deemed critical to health, safety, and the most essential operational needs of the institution. In addition, the College undertook studies and programs to further realign human resources with fiscal constraints as a way to gain efficiencies and improve service delivery. For example, significant reorganizations across several divisions, including combined positions and shared services, resulted in approximately $250,000 of financial savings. The College also offered a one-time voluntary separation program in an effort to address budget constraints while recognizing the contributions of the faculty and staff with a financial incentive. The College obtained approximately $1 million in salary savings as a result of the voluntary separation program[3].^[21]

Technical and physical infrastructure

(SVI.C4 RoA 11)

Computing & Information Technology (CIT) provides technology infrastructure sufficient for Geneseo’s operations, in person and online.^[22] CIT also supports student learning and development by providing facilities, services, and support.

The CIT HelpDesk offers carry-in computer support for Geneseo students, faculty, and staff. Services offered at the HelpDesk include WiFi and VPN network setup, printer setup, academic software installation, Geneseo account assistance, and answers to general computer questions. Off-campus businesses in the Geneseo community provide hardware repair, OS installation, data recovery, virus removal, and other computer repair services not offered by CIT.

Software.geneseo.edu provides free downloading of MS Office 365 (Word, Excel, PowerPoint, Access, and Publisher) and other applications the College has licensed for student use. All buildings are wireless. The Geneseo mobile app provides access to class schedules, registration, billing, meal plan balances, notifications, an online directory, events, news, a campus map, other Geneseo apps, and more. A virtual computing lab provides students access from their own computers, anywhere at any time, to software licensed to Geneseo.

My.geneseo.edu is a personal, customizable, web-based information gateway to SUNY Geneseo resources such as email, student balances, KnightWeb, campus news and events, and more with a single sign-on. KnightWeb is a web interface to register for courses, make payments, review and accept financial aid, view grades, and more.

Faculty use an online learning management system, Canvas, to post a course syllabus and other documents; administer surveys, quizzes and tests; create discussion forums, wikis and blogs; receive and grade assignments; post grades; and more. Canvas is used to supplement a traditional classroom course with online content or to deliver courses totally online. Canvas can be accessed from mobile devices with the free Canvas app.

Geneseo’s physical infrastructure is also sufficient for our current operations. The campus encompasses approximately 2.2 million gross square feet in 54 buildings on 220 acres. The campus buildings categories are as follows: 12 academic, 12 administrative/support, 17 residential, seven special use/athletics, and three dining. In addition, there are two health centers (one in a dedicated building), two libraries (one in a dedicated building undergoing renovation), and a college student union.^[23] There are 29 parking lots containing approximately 892,388 square feet, seven miles of roadways, and 9.3 miles of sidewalks. Almost all campus utilities—such as natural gas, high voltage lines, water, sanitary and storm sewer, steam, and telecommunications—are underground. The central campus infrastructure was completely rebuilt in 2018, and a North Campus high voltage infrastructure project is being planned for the near future. Geneseo has been upgrading physical infrastructure based on incomplete items from an existing Master Plan, and has just this year begun a new Facilities Master Plan.^[24]

5: Decision-making processes

Well-defined decision-making processes and clear assignment of responsibility and accountability.

Budgetary decisions, other than those covering incremental increases on base, reach the president and cabinet through formalized requests during budget planning or are raised as emerging critical needs through ad hoc requests mid-year. Formal institutional processes consider recommendations of the college’s SPG and BPC. Ad hoc requests generally come from within a division and are presented to the cabinet by the vice president of that division and are approved in cabinet meetings or, in rare cases, by the president. Budget requests are expected to be supported with data establishing the need for resources, and, given the scarcity of funding availability, to identify the priority for spending urgency.

A recent example of a well-defined process, using evidence to reallocate resources, is the request by enrollment management for targeted scholarship monies in support of recruitment, retention, and diversity initiatives. Vice President for Enrollment Management Costas Solomou compiled a report assessing enrollment trends, demographic information, awarding of institutional scholarships, and details of Geneseo’s past yield. Based on his assessment of past practice and analysis of our yield, he proposed an entirely new model for awarding aid based on a merit-index model, as opposed to our existing econometric model. With this model he targets aid for very different demographics that should yield higher, be more sustainable during the coming decline in college-age population, and yield more low income and BIPOC students. He demonstrated to his fellow cabinet members that Geneseo allocates less money to fewer admitted students than our SUNY peers and successfully advocated to increase the funding for institutional aid and allocate it according to his new model. His report also demonstrates accountability by including projections for the return on investment[4] based on multiple levels of investment in institutional aid.^[25]

Response to the pandemic

The pandemic brought on a severe fiscal crisis across higher education that is continuing to affect our campus. The New York State, SUNY, and Geneseo responded by implementing emergency budget controls and temporarily suspending certain budgeting practices.

Accordingly, the College launched an Academic Year 2020–21 pandemic planning initiative to ensure educational progress for students across a variety of scenarios for the next academic year. The initiative comprised three work teams focused respectively on the academic experience, the student experience, and financial sustainability. Each team developed ideas and recommended strategies within its focus area for the 2020-21 academic year, and these strategies were implemented.

In addition, the president and the vice president for finance and administration charged the financial sustainability work team with developing new financial models and operational plans to increase campus efficiencies, support new campus scenarios, and drive significant revenue generation in alignment with college values. Sub-teams were created to focus on human resources, procurement, and revenue generation. The work team reports through a pandemic-response executive financial team.^[26] The executive team advised the cabinet as needed on implementation of new SUNY- and state-finance-related pandemic guidelines as these evolved. As a result, Geneseo tightened its hiring freeze and restricted non-personnel expenditures to health and safety, critical core services purchases, and revenue generation with short-term returns on investment. Pandemic-related planning work remains iterative due to the continued uncertainties of the pandemic.

Transparency Initiative

The College committed to providing the campus community with ongoing information about the institution’s financial state, especially during the time of pandemic-related financial strain. This initiative demonstrates our commitment to responsibility and accountability in the allocation of resources during even the most challenging circumstances. The finance and administration division’s website shares financial-resource information with the campus community for purposes of transparency and planning. The site also documents committee interactions, financial presentations, and important communications.^[27]

6: Planning

Comprehensive planning for facilities, infrastructure, and technology that includes consideration of sustainability and deferred maintenance and is linked to the institution’s strategic and financial planning processes. (SVI.C6; RoA10)

Geneseo underwent a comprehensive Facilities Master Plan (FMP) development process, sponsored by the State University Construction Fund (SUCF), to develop a five-year plan that successfully concluded in 2012. However, SUCF receives its funding annually as part of the state legislative distribution; SUCF did not receive sufficient funding to fully fund the FMP.^[28] The projects identified in the FMP fall primarily in three categories: life safety, sustainability, and deferred maintenance. Most deferred maintenance projects contain a sustainability component—for example, energy conservation and improvement of indoor air quality. Furthermore, deferred maintenance projects are developed based on life cycle data and with the goals of reducing facility condition index (FCI), a metric used within SUNY to assess the condition of buildings and grounds, and implementing technology infrastructure upgrades. The College prioritized the deferred maintenance and other infrastructure projects identified in the FMP using funding from the Five-Year Capital Plan (FYCP) and the Residence Hall Capital Plan (RHCP).^[29] Campus responsibility and accountability for the FYCP and the RHCP are assigned to the director of planning and construction. While both capital plans are long-term plans, in the fall of each year these plans are re-evaluated. The re-evaluation takes place with input from the college’s stakeholders and senior leadership, and the capital plans are adjusted based on emerging needs, funding availability, and the objectives of the College’s strategic plan. The overall goal is to meet the strategic planning objective “maintain and redesign facilities, as possible, to create effective learning environments.” Per SUNY directive and reflecting Geneseo’s values, all buildings renovated in the past 10 years have been built to a LEED Silver certifiable standard. We chose to apply for LEED certification for four buildings and were granted two Silver and two Gold LEED awards, demonstrating our strong commitment to sustainability.

Issues identified in the FMP have either been completed or are being addressed by current projects.^[30] These projects are driven by the same set of priorities: life/safety, sustainability, and deferred maintenance. With the residence halls, the College strives to schedule deferred maintenance on a rotating basis, doing a portion of the dorms each year until all have been updated. Window replacement is one example. The projects for the halls are planned, but some are conducted in response to identified issues or student concerns, like a step-down lounge in one of the dormitories to make this community space accessible for all. While we could be more strategic with residence hall projects, we have prioritized responsiveness to student needs and concerns. We are considering ways to improve integration of our facilities planning processes and the college’s strategic plan to ensure the best use of our resources.

The Campus Information Technology (CIT) department is a stakeholder in the design process of capital projects, together with other departments in the academic affairs division, the divisions of student life and finance and administration, and the president’s cabinet. The goals for the department are linked to the college’s mission, values, and strategic plan.^[31] In support of computing infrastructure, the central campus infrastructure project completed in 2018 replaced the telecommunications duct bank through the South Hall quad and Sturges quad. Another way in which Geneseo meets its strategic infrastructure needs is through one-time funding. One of the strategic projects funded by the SPG was an upgrade to 40% of the fiber optic network cable on campus, which CIT assessed as sufficient to meet our needs for the next ten years.^[32] CIT works closely with facilities to ensure that technology needs are considered and appropriately implemented when buildings are renovated.

The funding under the FYCP is received through SUCF and is subject to annual state legislature budget approval.

In September 2021, the College began developing its next FMP to prioritize physical and technical infrastructure improvements for the upcoming five years. The FYCP and ten-year RHCP, and the funding plans for the FMP, are developed in concert with the president’s cabinet, the senior director of accounting and budget services, the assistant vice president for facilities and planning, the assistant provost for budget and facilities, the director of planning and construction, SUCF, the SUNY office of capital facilities, and the Dormitory Authority of the State of New York (DASNY).

This planning and prioritization process will be critical to Geneseo’s future facilities projects. The funding for the RHCP is derived from bonding through DASNY, and the debt service is paid for with room rents received by the College. Fewer students lived on campus during the pandemic, reducing the amount of money available to the RHCP.

As provided for in the strategic plan, two other major components of the FYCP are the renovation of Milne Library (currently underway), and the renovation of Sturges and Fraser Halls (in design).

The FYCP funding target for FY 2017-2018 through FY 2021-2022 and FY 2022-2023 through 2026-2027 is $52,780,000 for each five-year period. The funding target for the current RHCP (FY 2019-2020 through FY 2028-2029) is approximately $46,450,000. This significant decline in investment, required by the decrease in residency, will have a major impact on our ability to maintain buildings—especially the aged ones on our campus. Further prioritization is underway to determine how to meet growing needs.^[33]

7: Annual auditing

An annual independent audit confirming financial viability with evidence of follow- up on any concerns cited in the audit’s accompanying management letter. (SVI.C7; RoA11)

SUNY does not perform a certified financial audit of individual state-operated campuses. Rather, the audited financial statement is conducted at the system level.^[34] At the campus level, SUNY system administration prepares and reports financial data to the Integrated Postsecondary Education Data System (IPEDS).^[35] Although the financial information used for IPEDS is based on audited financial data, the allocations that SUNY applies to each campus are not subject to audit.

SUNY issues a quarterly cash reserve percentages report as its primary indicator of the fiscal condition of an individual campus. The report looks at unrestricted cash operating reserves as a percentage of annual disbursements with the expectation that the percentage will not be less than 10 percent and not in excess of 25 percent. SUNY Geneseo ended the fiscal year with an unrestricted cash reserve percentage of 16 percent or $9.7 million in unrestricted operating reserves. In addition, the college has $7.1 million in reserved cash, $1.1 million in restricted cash, and a balance of $14.5 million in the dormitory fund. We anticipate that we could exhaust our unrestricted operating reserves over the next few years, which would then necessitate the draw-down of reserved cash before we would need to borrow from SUNY. However, we have already implemented expenditure controls and are actively exploring revenue and expense initiatives to mitigate or prevent drawing on reserved funds.

8: Efficient use of resources

Strategies to measure and assess the adequacy and efficient utilization of institutional resources required to support the institution’s mission and goals. (SVI.C8)

Geneseo ensures efficient use of resources through assessment and institutional effectiveness, which are the responsibility of multiple committees and offices, as outlined above under Criterion 2, and is overseen by the president. Each department or unit writes an annual report and shares assessment data on the Geneseo wiki. The supervisor of each unit’s director reviews these annual reports, and CAC reviews the assessment process. When an annual report identifies resource needs, the supervisor passes those needs up to a vice president, who can address them in the budget planning process described above. When assessment identifies needs aligned with the strategic plan, CAC can bring them to SPG and BPC.

Examples of strategies to measure the adequacy and efficient use of institutional resources may be found in the reports of the sponsored research and college advancement offices. These reports document the resources brought into the College through grants and gifts, and how those resources were allocated; they also set goals for the coming year. Each of these offices also submits an administrative annual report and assessment that articulates the office’s goals and progress. Typically, sponsored research aims for a 10 percent increase each year in grants awarded to the College. The office surpassed that goal for four of the past five years. In a biannual survey, the office’s services are further assessed by faculty who have submitted external funding proposals. College advancement aims to increase gift revenue from gifts under $10,000, and the number of major gifts ($10,000 and above), each by 5 percent each year in order to generate increased revenue to support the College. Examples of projects funded by SPG and assessed for effectiveness in meeting strategic planning goals are described at the beginning of this chapter under Criterion 1.

Another example of assessment promoting efficient use of resources, and thus helping the College realize its planning goal of sustainability (strategic plan focus area four), comes from the 2020-2021 program analysis and alignment process. The president’s cabinet put together a cross-divisional team, the Administrative Service Centers Committee, to identify efficiencies in administrative support. In its Spring 2021 report, the team made several concrete recommendations for increasing efficiency and saving money in administrative support.^[36] Several of these recommendations began implementation in Fall 2021, including a shared service center in a building that houses three humanities departments.

9: Assessment

Periodic assessment of the effectiveness of planning, resource allocation, institutional renewal processes, and availability of resources. (SV1.C9; RoA8, RoA10)

The president charges CAC with annually auditing the assessment activities of administrative units, reviewing audit data, and providing professional development on assessment.^[37] In addition, CAC assesses its own effectiveness and works to improve the assessment process for all units. In 2021, CAC recommended that each division leader encourage 100 percent compliance with assessment and switch from a single assessment audit deadline to two deadlines, based on division. The committee also recommended that unit leaders align the assessment audit and annual report as closely as possible to reduce administrative work for each unit. These recommendations were approved by the cabinet in fall 2021. To improve its own process, CAC adopted a form for responding to each unit’s assessment. Through self-assessment of its last two audit reports to SPG and BPC, CAC discovered that it needs to improve its reporting process to improve the value of its reports for campus-level planning and budgeting.^[38]

In response to the pandemic, the cabinet charged SPG to lead a program analysis and alignment exercise (described in detail above) in order to assess overall effectiveness, look for efficiencies, and provide data in case greater cuts to our budget became necessary. The units’ reports provided comparable data for all units of the college. The cabinet reviewed the program analysis and alignment data early in spring semester and began making decisions based on this data, several of which are provided as examples in this chapter under Criterion 1. All these changes will improve institutional effectiveness for the remainder of the pandemic and beyond.

Changes implemented to assessment as a result of the 2017 Periodic Review Report

In its response to Geneseo’s 2017 Periodic Review Report (PRR), MSCHE reviewers highlighted the lack of a clear connection between assessment data and the allocation of resources, now covered in Criterion 3 of the revised standards. We have made changes to our assessment process accordingly.

The most successful institutional effectiveness strategy implemented since the PRR has been the SPG’s solicitation of funding requests for projects that align directly with the College’s Seeing Beyond the Horizon strategic plan. As described above, proposals were received from across the college. SPG allocated $1.2 million in two phases, and assessment of the projects’ effectiveness in advancing strategic planning goals may be found in the Geneseo wiki (for the first phase) and recorded in Nuventive (for the second). (See evidence for C1.)

Since the PRR, CAC has developed an annual assessment audit with an option to request resources based on assessment findings. Based on its review of assessment audit data, CAC reports to SPG any findings to be considered in planning and resource allocation. SPG recommendations move forward to BPC, which advances recommendations to the cabinet, which in turn makes a final decision. For example, in 2019-2020, CAC sent two requests from 2018-2019 to SPG. One request was to allocate funds to the athletic training room; the other was to allocate funds to the Department of Languages and Literatures for equity-minded language studies to benefit students unable to afford participation in a study abroad program. Due to the pandemic, decisions on these requests are just now being forwarded to BPC. BPC is working on its own form for funding requests that arise from assessment, and, in Summer 2021, met with the president and the chairs of SPG and CAC to discuss ways to make the flow of information from CAC and SPG to BPC more efficient and more useful for decision-making.

Another way that Geneseo has improved the connection between assessment and resource allocation is by modifying the academic affairs funding request form. When a unit requests funding, it is asked to tie the request to strategic planning goals and provide assessment data to support the need.

In 2019, CAC started providing feedback to divisional units in response to their audit reports, and in 2021 it developed a form similar to APAC’s “assessing assessment” form to facilitate regular, formal responses to units.

Conclusion

The college’s planning processes, resources, and structures are aligned with each other, and are sufficient to fulfill our mission and goals, support assessment and continuous improvement, and respond to opportunities and challenges.

Points of pride

• During pandemic conditions the college has made significant progress on the areas for growth identified in our 2017 PRR, in particular regarding Criterion 3.
• In response to the pandemic, members of the college community have worked together to find ways to reduce spending and to expand our sources of revenue, under the leadership of our new VP for Finance and Administration.

Suggestions

• Continue to find ways to link assessment with planning and resource allocation, formalizing the most successful so that they become a regular part of the institutional effectiveness processes.
• Look for more ways to publicly report the college’s successful institutional improvements.

Recommendations

None.