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INSTITUTIONAL EFFECTIVENESS MANUAL

2015-2016

H.H. Sheikh

KHALIFA BIN ZAYED AL NAHYANPresident of United Arab Emirates

H.H. Sheikh

MOHAMMED BIN RASHID AL MAKTOUMVice President and Prime Minister and Ruler of Dubai

H.H. Sheikh

HAMDAN BIN MOHAMMED BIN RASHID AL MAKTOUMCrown Prince of Dubai and Chairman of the Dubai Executive Council

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AFU CATALOG 2015-2016

TABLE OF CONTENTS

1. Preface

2. Introduction

3. AL FALAH Vision

4. AL FALAH Mission

5. Institutional Goals

6. Institutional Objectives

7. Strategic Plan 2013-2018

8. Administrative Organization of Institutional Effectiveness Planning

9. Basic Assumptions/Principles

10. Glossary

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Institutional Effectiveness Manual

1. PrefaceThe Institutional Effectiveness Manual serves as a reference document for the educational programs, the administrative and educational support units of the University. The main goal of this manual is to describe the planning and evaluation process at the University. It is intended to assist the educational programs and the support units in developing and implementing institutional planning, conducting assessment, and using the results of assessment to improve the educational programs and services of the University.

2. IntroductionOn-going and systematic assessment is vital to the University’s continuous improvement initiatives, and in demonstrating the vitality of the University as a progressive institution to the community and to external agents. Planning, assessment, and improvement at AL FALAH are a shared responsibility. The University has implemented an institutional effectiveness cycle that has a series of activities and a timeline to ensure a continuous planning process and a feedback loop concerning the desired outcomes of its educational programs and its administrative and educational support services. Annually AL FALAH reviews assessment data in relation to defined outcomes to determine progress, to identify changes that must be considered for the near future, and to make recommendations, including those with budget implications, to the President of the University. The results of an institutional analysis whereby the strengths, weaknesses, and opportunities of the University will be identified and discussed at an annual planning retreat of the Governing Board. The results of the analysis form the basis for the development and revision of the institutional goals and objectives of the University. AL FALAH planning and assessment process is intended to be broad-based, systematic, and appropriate to the University vision and mission. 3. AL FALAH VisionAFU’s vision is to distinguish itself as one of the premier universities in both the UAE and the GCC through academic research, educational excellence, experiential learning, pursuit for knowledge and constant intellectual exploration.

For all stakeholders alike, AFU aims to sustain an innovative educational environment that adds value through student experiences in logical reasoning, critical thinking, applied skills and creativity. AFU adheres to the international standards and can be recognized for the significant progress while preserving local cultural and ethical values of the UAE and GCC. AFU aims to achieve local and international recognition for academic programs, research and community services.

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4. AL FALAH MissionAFU is committed to providing comprehensive, multi-disciplinary education that engages their students in free thinking, cross-disciplinary course work, research and applied learning so as to become the future leaders in the UAE and GCC region.

AFU’s Mission and Vision statements are approved by the Governing Body (Board Trustees) prior to declaration. They will be reviewed and re-evaluated periodically to ensure their adherence and usefulness in providing overall strategic direction to AFU.

AL FALAH Mission and Vision statements are approved by the Governing Body (Board Trustees) prior to declaration. They will be reviewed and re-evaluated periodically ensure their adherence and usefulness in providing overall institutional direction.

5. Institutional Goals

a. Short Term Planning GoalsThe short-term planning goals of the university serve to:• Promote the acquisition of students’ knowledge and the development of

the necessary skills.• Provide and emphasize the quality teaching and support appropriate

faculty- development resources to maintain teaching excellence.• Graduate well-educated students equipped with the necessary knowledge

and skills necessary for employment in the global market.• Appreciate the quality of undergraduate education and promote an

atmosphere of collegial support through the appropriate allocation of resources.

• Provide the appropriate library resources and information technology services in support of teaching and public service.

• Assist students in achieving educational, career, and personal goals by providing comprehensive development services and programs that assist students.

• Establish and maintain business collaboration and partnerships with other community entities to better serve the educational needs of the geographic region.

• Demonstrate the accomplishment of the mission of the University and continuous improvement in its educational programs and services

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b. Long Term Planning Goals• To foster global and international collaboration in teaching and scholarship• To establish center of Excellency for training recognized not only in Dubai

and in UAE but also internationally.• To help identify groundbreaking projects that has the potential to serve the

community.

6. Institutional ObjectivesTo accomplish the University mission, the University team and staff members will work hands on hands to achieve the following objectives: -a) To develop and maintain programs responsive to the needs of students

pursuing undergraduate or graduate degree in various disciplines.b) To provide technical programs based on local, regional, and international

employment needs for students seeking immediate employment upon graduation.

c) To develop a community service programs that help to meet the recreational, cultural, educational, scientific and social needs of the area.

d) To sustain effective student support to assist the students in reaching their educational goals.

e) To develop and maintain innovative approaches to learning.f) To maintain comprehensive programs for professional growth and

development of faculty and staff.g) To promote and maintain an educational system that is continuously

adaptive to the ever changing socio-economic, technical, scientific, cultural and development needs of the UAE and the region.

h) To ensure that the University’s buildings, grounds, and equipments are utilized effectively, well maintained, and continue to enhance the scope of their utility.

7. Strategic Plan 2013-2018Al Falah University aims to be recognized as a pioneer in academic excellence, where knowledge is both acquired, applied, and where creative endeavours is supported by academic programs and state of the art facilities to enrich and expand the scholastic experience of the future leaders of UAE and beyond . The richness of the academic programs, the exceptional qualifications of the academic staff, and the strengths of the research initiatives will enable students, faculty and staff members to dispense their full potential for the betterment of UAE education and community services.

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Goal Responsibility GOAL I: Enrich, strengthen and expand academic offerings. President

GOAL II: Expand and strengthen student support services Deans

GOAL III: Expand and diversify the student population Marketing

GOAL IV: Provide an environment conducive to teaching and learning

President & Deans

GOAL V: Broaden community awareness and support VPBD

GOAL VI: Develop appropriate partnerships that support the University’s mission

VPBD

GOAL VII: Evaluate annually the University’s progress toward attaining its goals, objectives, strategies, and tactics

President

GOAL VIII: Strengthen planning, budget, and assessment VPAF

GOAL IX: Attain appropriate local and international accreditations President & Deans

GOAL I: Enrich, strengthen and expand academic offerings.

Objective A: Develop and implement degree programs to meet baccalaureate level program needs of the region.

Strategies1. Identify and adapt degrees for which a strong needs-based case can best

be made and for which the university can most reasonably provide the necessary infrastructure.a) Collect statistical evidence regarding student enrollment patterns in

existing degree programs.b) Review the university common general education curriculum to

determine if it fully supports the offered degree programs presently offered through other international institutions.

c) Develop program-specific upper-level course requirements for the degree programs.

2. Obtain and secure funding to increase the university salaries and academic support budgets.a) Identify, seek, and secure grants to support increases in academic

support funding.b) Increase the University endowments.

3. Develop an academic infrastructure for degree-granting campus.a) Structure faculty and staff organization to accommodate degree status.b) Recruit and hire sufficient qualified faculty to instruct degree programs.c) Evaluate and provide sufficient databases and other electronic

resources which support the programs offered by the university.

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d) Acquire adequate educational equipment and materials to support all courses in the proposed programs.

e) Establish institutional priorities for teaching and service.4. Develop policies and procedures that support additional educational programs. GOAL II: Expand and strengthen student support servicesObjective A: Provide high quality and accessible student support services, with appropriate office hours.

Strategies1. Examine the organizational structure of Student Services to determine most

effective utilization of personnel.a) Study the organizational structure of Student Services at various

educational institutions.2. Establish a full-time, permanently staffed advising center to operate year round.

a) Examine and/or visit comparable campuses with Advisement Centers.b) Develop referral service arrangements with community mental health

individuals and organizations for students in need of personal counseling.3. Broaden the scope and availability of academic support services.

a) Hire/train appropriate personnel to provide these additional services.

Objective B: Provide a student-friendly enrollment and registration process.

StrategyCreate a unified process for students to strengthen the interrelationships between admissions, registration, and financial department.

Objective C: Provide student retention by offering career planning and placement services.

StrategyEstablish a career planning/placement office.

Objective D: Supply and continuously strengthen connectedness among students, faculty, and staff. Strategies1. Offer campus-wide activities involving students, faculty, and staff.

a) Offer convocations at the beginnings of each semester.b) Determine structure and strategies for participation and effectiveness by

studying other campuses offerings.c) Annually re-examine the orientation programs to include more faculty

and staff participation.

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2- Survey the student population to determine the interests and needs of students as related to extra-curricular activities.a) Initiate the presence of student clubs and activities, both on campus

and on the University Web site, and survey the student population to determine the extra¬curricular needs and interests of the students.

3- Assesses student satisfaction and their perception of the University’s strengths and weaknesses by collecting feedback from students during an exit questionnaire

GOAL III: Expand and diversify the student population

Objective A: Develop and implement an enrollment management system.

Strategies1. Develop a comprehensive recruitment and marketing plans.2. Explore nontraditional calendars, course times and locations for degree

programs to recruit students.3. Develop and implement an application management process.

a) Explore application process at similar Universities within UAE.b) Review the current application process that exists at each of our sites.c) Define elements to be incorporated into the management of the

application process.d) Develop and utilize admissions letters specific to academic majors.e) Develop and utilize a calendar of follow-up activities related to the

application process.f) Develop and utilize a tracking system for those applicants accepted

but not enrolled (cards, phone calls, etc.).4. Improve access and opportunity for student financial support.

a) Schedule informational sessions regularly on each campus.b) Publish dates for ongoing financial aid advisement in the course-

offering schedule.

GOAL IV: Provide an environment conducive to teaching and learning

Objective A: Provide adequate maintenance, custodial service and landscaping.

Strategies1. Provide necessary maintenance, custodial service and landscaping for the campus.

a) Identify systems, areas, and utilities that need maintenance, custodial service and landscaping.

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b) Identify maintenance, custodial service, and landscaping on campus that must be completed by contractors.

c) Ensure that properly trained personnel have been hired for each of the areas of in-house maintenance, custodial service and landscaping.

d) Ensure effective maintenance, custodial service and landscaping on the campus.

2. Reduce deferred maintenance to minimum levels on all campus facilities.a) Identify deferred maintenance on each campus facility.b) Compile and prioritize the deferred maintenance on campus.c) Identify deferred maintenance on campus that can be done in-house.d) Identify deferred maintenance on campus that must be completed by

contractors.e) Identify sources and budgeting strategies to fund deferred maintenance.f) Ensure deferred maintenance is accomplished in a timely fashion.

Objective B: Provide adequate and appropriate facilities, utilities, storage, and furnishings for instruction including undergraduate course offerings, and support (e.g., library, labs and networked classrooms) for these activities.

Strategies1. Evaluate current and future physical environment needs.

a) Develop a detailed list of current and anticipated facilities.b) Identify the facilities, utilities, storage, and furnishings needed for

undergraduate course offerings.c) Identify the facilities, utilities, storage, and furnishings needed for

continuing education.d) Identify the facilities, utilities, storage, and furnishings needed for

extended graduate offerings.e) Identify the facilities, utilities, storage, and furnishings needed for the

libraries.f) Identify the facilities, utilities, storage, and furnishings needed for the

computer, science, and art labs and networked classrooms.g) Identify the facilities, utilities, storage, and furnishings needed for

support activities.2. Provide mechanisms for meeting the physical environment needs.

a) Develop a space utilization plan.b) Identify possible additional space that could be utilized.c) Seek additional funding for buying and/or leasing space. Purchase

additional furnishings.

Objective C: Provide adequate and appropriate facilities, utilities, storage, and furnishings for faculty, staff, administration, and student organizations.

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Strategies1. Evaluate current and future physical environment needs.

a) Develop a detailed list of current facilities.b) Identify the facilities, utilities, storage, and furnishings needed for

faculty.c) Identify the facilities, utilities, storage, and furnishings needed for staff.d) Identify the facilities, utilities, storage, and furnishings needed for

administration.e) Identify the facilities, utilities, storage, and furnishings needed for

student organizations.2. Provide mechanisms for meeting the physical environment needs.

a) Develop a space utilization plan.b) Identify possible additional space that could be utilized.c) Seek additional funding for buying and/or leasing space.d) Purchase additional furnishings.

Objective D: Come into compliance with all governmental safety, workplace and access.

Strategies1. Identify those facilities that are not in compliance.2. Identify sources to fund the necessary improvements. a) Obtain funds

from budget.3. Correct conditions of non-compliance.

a) Utilize appropriate reference materials, individuals or organizations to determine appropriate course to come into compliance.

b) Take corrective action.

Objective E: Provide adequate multimedia support within the University.

Strategies1. Determine campus needs.

a) Identify multimedia support needed within the University.b) Survey faculty, staff, and administration on needed multimedia

equipment.c) Visit other Universities to observe use of multimedia.

2. Address needs.a) Purchase additional multimedia equipment and software.b) Develop opportunities in multimedia technologies including training,

resource availability, and actual applications.c) Provide a “multimedia help desk.”d) Provide training to Computer Service Personnel.

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e) Provide intranet and Internet access to all facilities including classrooms, offices, and labs.

Objective F: Meet communication technology needs. Strategies1. Evaluate current and anticipated needs.

a) Identify the bandwidth needed for communication in the university.b) Determine bandwidth needed for state-of-the-art equipment.c) Determine bandwidth needed for voice communication.d) Determine bandwidth needed for Internet access.

2. Purchase and install appropriate hardware and software.a) Upgrade all network equipment to current standards.b) Improve the phone and voice mail system on all campus sites.c) Install additional central office truck lines on both sites.d) Provide state-of-the-art equipment for the university modes of

instruction.

GOAL V: Broaden community awareness and support

Objective A: Increase community awareness of the education programs the University offers.

Strategies1. Develop the recognition of the university.2. Develop consistent messages and communication within the community.3. Develop and produce a consistent image which is easily recognizable to

the public.4. Develop a marketing plan and calendar to convey the message to the

public on a regular ongoing basis.5. Develop a consistent, timely and identifiable mailing process for invitations,

flyers, newsletters, lectures, etc.6. Develop good relationships with local communications media.7. Develop and maintain a website.

Objective B: Increase community support for the University programs.

Strategies1. Develop and maintain procedures and regulations to establish and

coordinate existing and prospective partnerships.2. Identify partnerships which will lend support to offered programs most

urgently needed in the region.

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GOAL VI: Develop Appropriate Partnerships That Support the University’s Mission

Objective A: Establish partnerships in the area of education (including life-long learning).

Strategies1. Develop partnerships with the public and private schools.2. Develop partnerships with literacy programs and English as a second

language programs.

GOAL VI: Develop appropriate partnerships that support the University’s mission

Objective A: Determine status of stated goals, objectives, strategies, and tactics.

Strategies1. Determine whether an individual, office, administrator or committee should

check for satisfactory progress of stated goals, objectives, strategies and tactics.

2. Appoint or designate appropriate individual, office, administrator or committee to evaluate and report to the administration on progress of stated goals, objectives, strategies and tactics.

GOAL VII: Evaluate annually the University’s progress toward attaining its goals, objectives, strategies, and tactics

Objective A: Determine status of stated goals, objectives, strategies, and tactics.

Strategies1. Determine whether an individual, office, administrator or committee should

check for satisfactory progress of stated goals, objectives, strategies and tactics.

2. Appoint or designate appropriate individual, office, administrator or committee to evaluate and report to the administration on progress of stated goals, objectives, strategies and tactics.

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GOAL VIII: Strengthen planning, budget, and assessment

Objective A: Secure financial resources that will support the University’s strategic plan and promote institutional improvement.

Strategies1. Campaign for operations funding parity for the university among the

teaching sector.

Objective B: Prepare and annually revise a five-year pro-forma budget reflecting institutional priorities for use in department budget planning.

Strategies1. Assess the financial performance of the university and develop budgetary

assumptions to build a realistic five-year budget plan.

GOAL IX: Attain appropriate local and international accreditations

Objective A: Comply with the Core Requirements, Comprehensive Standards and Foundations for Quality Enhancement.

Strategies1. Provide resources to support accreditation process.

Objective B: Establish plan for securing academic program accreditations.

Strategies1. Develop a plan to obtain accreditation2. Determine compliance with the national standards for human services

worker education and training.

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a) Institutional Effectiveness Policy

The university Institutional Effectiveness Policy is based on the following key domains:1. As an emerging and willing to progress rapidly, the university will:

a) Review its mission, goals, vision to evaluate the institution.b) Plan, implement, and assess effectiveness of the institution as a whole

and each of its units.c) Demonstrate mission accomplishment and provide basis for continuous

improvement.2. To provide the leadership for planning and assessment process, the

university president will annually communicate the institutional mission, vision, values, and strategies to the Board of Trustees and motivate them to plan initiatives and outcomes to support institutional goals.

3. To facilitate the planning and assessment process, the university will:a) Establish and communicate periodically to integrate institutional

planning, overall budget planning, assessment, and implementation of the above to ensure continuous improvement of the institution.

b) Provide guidance and standardized method for the academic programs or support units to document planning and assessment.

c) Support institutional assessment system through administering student surveys, classroom evaluations, employee surveys, service agencies survey and administration of general education assessment.

d) Maintain standards for institutional assessment and planning and assessment guides.

e) Collect, report and implement upon the institutional research and assessment data

f) Annually document the effectiveness of the institution accomplishments4. The academic program will:

a) Have a purpose statement.b) Determine student-learning outcomes, based on the academic program

purposec) Identify three to eight student learning outcomes to assess the program

as a guideline.d) Ensure that the student learning outcomes are stated in behavioral terms,

are measurable and precise enough to enable accurate assessment.e) Plan efficient research-based assessment methods to determine

the effectiveness of the academic program and provide a basis for improvement.

5. As a guideline, direct assessment methods are set to measure the knowledge, skill, or ability stated in the student learning outcome and include:

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a) Standardized tests.b) Faculty observations or evaluations. When multiple faculty members

are observing or evaluating student learning, reasonable efforts will be made to increase inter-rater reliability.

6. Multiple assessment methods are to be implemented in the future.7. The University will evaluate the results of assessment data annually and

implement upon it to measure continuous improvement of the curricula pedagogy.

8. Annually report to the Academic Leadership Team and the Institutional Effectiveness Office:a) The effectiveness of the academic program.b) Plans for improvement.c) The impact of improvements.

9. Each institutional support unit will:a) Have a purpose statement.b) Determine appropriate operational outcomes.c) Where applicable, establish outcomes that reflect the impact of support

programs or services on student learning.d) Plan systematic research-based assessment methods to determine the

effectiveness of each unit and provide a basis for improvement.10. Unit staff will annually evaluate the results of assessment data to

determine if improvements are necessary.

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8. Administrative Organization of Institutional Effectiveness Planning

The Institutional Effectiveness planning provides statistical information to support decision-making processes within all academic and administrative units of university and the Governing board. Personnel in charge of Institutional Effectiveness planning coordinates collecting data, prepares reports and files, and submits the reports to the Governing Board. In addition, the institutional effectiveness planning serves as an essential support to the President and other University divisions for managing and analyzing the institutional data to facilitate planning and evaluate the quality of the programs and services.

9. Basic Assumptions/Principles

1. The University Planning Unitsa) Academic Affairsb) Information Technologyc) Libraryd) Institutional Effectivenesse) Student Affairs f) Registrarg) Admissionsh) Finance Officei) Human Resources j) Bookstore

2. Conditions for Effective Planning and Evaluation ProcessesThe following self-assessment items address conditions to facilitate the effectiveness of institutional planning and evaluation processes:

a) Expressed leadership and support from the Presidentb) Appropriate staff expertise availability for planning and evaluation.c) Appropriate fiscal support is provided for planning, evaluation, and

institutional research.d) Plans identify major issues and priorities for the University.e) Plans are based upon ongoing assessment of the external environment,

internal factors, and institutional abilities.f) Well-written procedures and schedules have been developed.g) Integration of major institutional processes is emphasized (e.g., results

of assessment, personnel evaluation, program review, etc., provide input for planning.)

h) Procedures are established for monitoring progress and implementing appropriate modification within the planning/evaluation cycle.

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i) Procedures are established for annual update of plans, incorporating assessment results into plans for institutional improvement.

j) Clear linkages are established between institutional goals, plans, and the allocation of resources.

k) Planning and evaluation procedures take into account the Core Requirements and the Comprehensive Standards of the Principles of Accreditation from the CAA.

l) Outcomes of assessment are “fed back” to decision makers.m) Clear and explicit goals (also called objectives, desired outcomes,

and/or expected results) are formulated for each functional unit of the University.

n) Emphasis is placed on the identification of specific educational goals/outcomes.

o) Provisions are made for broad-based involvement of faculty members and administrators in the development and implementation of planning and evaluation processes.

a) Institutional surveys and studiesi. Entering student surveysii. Non-returning student surveysiii. Transfer students surveyiv. Employer opinion surveys v. Program/course evaluationsvi. Alumni surveysvii. Community needs assessments viii. Labour market/Industrial surveys ix. Staff surveyx. Survey of interns and internship agencies/employees

b) Studies of student performancei. On admissions and/or achievement testsii. In credit courses, competitions, etc.iii. After transfer

c) Routine reports and publicationsi. Enrolment reportsii. Course schedules iii. Financial reports iv. Audit report

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3. Basic Assumptions of the university for Assessment of EducationalPrograms

a) Assessment works best when the educational (academic) program under improvement has a clear stated purpose.

b) Students’ learning assessment begins with educational values.c) Assessment is most effective when it reflects an understanding of learning

as multidimensional, integrated, and is revealed in performance over time.

d) Assessment requires attention to outcomes; however, the learning experiences that lead to the intended outcomes require equal attention.

e) Assessment is most effective when it is ongoing process, and not episodic or sporadic events to meet accreditation requirements of the Commission.

f) Assessment promotes better improvement when different individuals representing the educational community are involved.

g) The process of institutional effectiveness; planning; evaluating, assessing to determine the achievement of the University’s mission is comprehensive and includes:• Setting goals usually refereed as intended outcomes.• Identifying at any level the criteria for the goal is to be achieved.• Identifying measures and procedures for assessing the goals and

the intended outcomes to be achieved.• Analysing the data and using the result for improvement.

h) The institutional effectiveness process is most effective when assessment is undertaken in a supportive, enabling environment.

4. Developing Outcomes for Annual Institutional Effectiveness Plans and Outcomes Assessment Reports

a) For Educational Programsi. The identified outcomes to be assessed on an annual basis will

be derived from the student learning and academic program outcomes.

ii. For academic departments, the most important component of institutional effectiveness is an annual student learning outcomes assessment process.

iii. About three to five intended outcomes related to student learning are identified and measured annually and the results will be used for program improvement. Other intended outcomes, however, can be derived from the assessments of these annual outcomes and may lead to the following year’s institutional plan (intended outcome and assessment).

iv. Identified outcomes must be measurable or ascertainable, and at

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least one or two assessment methods should be used for each identified outcome.

v. Each assessment method for an identified outcome should specify an expectation of the desirable level of performance criteria.

vi. The desirable level of performance should be realistic, and not unreasonably high or low.

vii. The majority of the teaching faculty members in an academic/educational program must actively participate in developing the identified outcomes to draw expected results.

b) For Administrative Support Services Units1. Assess only three to five outcomes on a yearly basis. The identified

outcomes should capture the primary goals of a unit.2. Intended outcomes must be related to the Mission and Goals of the

University as well as the Strategic Plan.3. The intended outcomes should include at least one that refers to

student satisfaction.4. Intended outcomes must be measurable and ascertainable, and

it is suggested that at least two assessment measures should be identified for each intended outcome.

5. Each assessment measure or method for an intended outcome should specify an expectation of the desirable level (criteria) of performance.

6. The desirable level (criteria) should be realistic and not unreasonably high or low.

7. All members of a unit should play an active role in developing institutional effectiveness plans and outcomes assessment reports.

5. Basic Assumptions for Completing the Institutional Effectiveness Plan and Outcomes Assessment Annual ReportsThe following form is to be filled on annual bases by all university faculty and staff members

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Identified OutcomesThese general, long-term goals do not change from year to year. A list of all the goals for all activities will be prepared. Two or three goals will be assessed each year. Since this is an annual plan.Assessment Strategies/Measures/CriteriaMeasurement of progress toward realizing each goal will be described. Assessment strategies must be relevant to university mission. They should be time specific, quantifiable, and measurable.

Realized OutcomesThese are the actual results from Column 2 in the table above.

b) Basic Units Pertaining to Institutional Effectiveness Planning

Institutional Effectiveness councilThe council of Institutional Effectiveness provides management information and analytical support to the university decision makers in order to support strategic planning and policy-making.

PurposeTo review, monitor, and revise the institutional effectiveness and strategic planning framework, processes, and procedures of the University.

ResponsibilitiesResponsibilities of institutional effectiveness council is to conduct:• an annual review of the Mission and Goals of the University;• An annual review of the Strategic Plan to determine achievement of goals

and objectives and decide on the need for revision upon recommendations to the President.

• an annual assessment of the institutional effectiveness plan(s) and assessment report(s) from the educational programs, academic departments, and the administrative/educational support services and to provide feedback to those areas;

• an annual review of the results of the institutional effectiveness plan(s) and assessment report(s) and their impact on the University with recommendations, including those with budget implications, to the President for final decision

• Evaluate the institutional effectiveness and strategic planning framework, process, and procedures of the University.

• Report after every scheduled meeting the findings to the President.• Communicate on an on-going basis the institutional effectiveness and

strategic planning process, procedures, and findings to the educational

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programs, academic departments and to the administrative and educational support services units through minutes, reports, and direct contact of members with their respective departments.

MembershipRepresentation includes:• Colleges’ Deans• Chairs of the Academic Departments• Administrative/educational support units’ representatives• Vice President for Administration and Finance• Vice President for Academic Affairs• Library representative• Members will be appointed by the President to serve over a two-year

term. Membership may be extended more than one term. Terms will be staggered for the purpose of continuity. The Institutional Effectiveness council shall elect from its membership a Chair, Vice Chair, and Secretary.

Reporting StructureThe Planning Council reports directly to the President. It serves within an advisory capacity to the academic departments and to the administrative and educational support units of the University.

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Institutional Effectiveness and Strategic Planning Framework Process

Phase I Future Analysis and Input ProcessThere will be University-wide analysis and input by all areas of the University through responses to surveys and/or questionnaires or by other means (SWOT Analysis). Key performance areas (Academic Affairs, Student Services, Finance and Planning) analyze and/or identify:

• The strengths and weaknesses of the internal environment of the University that includes organizational performance and organizational design;

• The political, economic, sociological, and technological forces of the external environment;

• The stakeholders of the University;• The University’s competition; and Resources of the University• The President discusses results of the data analysis.

Phase II University-Wide Plan• Strategic goals and objectives are developed and/or revised for the

Strategic Plan of the University.

Phase III Enabling Unit Planning• Unit Plans to accomplish the Strategic Plan are written by the key

performance areas (Academic Affairs, Student Development, Finance and Planning).

• The President reviews the Unit Plans.• Educational Programs and Administrative Support Services develop

Institutional Effective Plans that include intended outcomes, assessment strategies, measures, and criteria.

• Academic Program Reviews are conducted according to schedule.Phase IV Implementation and Evaluation of Progress of the Planning

• Institutional Effectiveness Plans are implemented.• The Planning Council reviews the results of the Institutional

Effectiveness Plans and Outcomes Assessment Reports and the results of the Academic Program Review(s).

• The Planning Council makes recommendations regarding the results of the Institutional Effectiveness Plans and Outcomes Assessment Reports

• The planning Council submits recommendations based on the assessment reports to the President who then submits those with budget implications to the university Governing Board.

• Upon approval, the Planning Council implements the recommendations.

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Institutional Effectiveness/Planning/Budgeting Timeline 2013-2018The anticipated starting date for Al Falah University is September of 2013. However, the actual date depends on fulfilling the requirements for securing initial licensure and initial accreditation from the CAA. Meanwhile, the following is a tentative time line.

Duration of the action The action (The action will be met by the end of the indicated duration in the following list)The Strategic Plan for 2013-2018 is approved by the Governing Board.Seven months Phase I: Analysis and Input Process. Key Performance Areas conduct University-wide analysis of: strengths and weaknesses of organizational performance and design.

One month Phase I continues with the compilation and analysis of input.One month Phase II continues with the Administrative Council Planning Retreat. One month Phase III. Unit Plans are developed by the Key Performance Areas. Educational Programs and Administrative/Educational Support Services Units develop Annual Institutional Effectiveness Plans that include intended outcomes, assessment strategies, measures, and criteria.One month Phase III continues with the review of Unit Plans by the Deans.Two months Phase W: Evaluation of Progress. The Governing Board meets to review the Institutional Effectiveness Plans and the Strategic Plan. The Governing Board reviews the results of the Outcomes Assessment Reports for their impact upon the University and makes recommendations, including those with budget implications, to the President.Six months Phase W. Implementation of Institutional Effectiveness PlansAfter the academic program revision and the implementation of institutional plans, the process will be returned back to some actions from phase I and phase II as necessary.

Budget Policy and ProceduresThe university budget process is based on transforming strategic planning priorities into objectives identifying financial resources. The budget is a collaborative effort of the members of the Governing Board. The guiding budget philosophy is to allocate maximum available funds to those who most directly serve the students and the faculty, namely the academic areas of instruction, academic support and the library. Allocations to programs are not made with strict percentages. The Planning Council and each fund administrator provide ranked requests for additional funding. The supervisors then review the requests. This process allows the University to gain maximum results from limited funds available. The budget planning process, procedures and cycles are evaluated annually by the President.

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September/October

The Vice President for Administration and Finance prepares a preliminary base budget for the following year using expected Monthly Recurring, Revenue and fee revenue, annual of current year expenditures, and known fixed costs.

December/January

Recommendations from the Planning Council are reviewed and considered by the Finance Committee. The Finance Committee prepares instructions for the departments' heads to assist them in developing their budget for the following fiscal year. Department prepare prioritized increase requests based on the coming year's strategic plan objectives and review of the prior year outcomes.

February/ April

The budget is refined using current projections of appropriations amounts and prioritizing of personnel, equipment, and operating fund increase requests on a University-wide basis by the Finance Committee.

May Tuition and fee requests are prepared and forwarded to the President for approval by the Governing Board.

June The following year's fiscal budget is finalized when the appropriations bill is passed

July

Departments are authorized to commit expenditures of current operating budgets. The current year line item budget is uploaded in the on-line accounting system.

Before Spring semester

The current year budget is reviewed and adjusted for spring enrollment and fixed cost expenditures. Additional revenues (if any) are allocated by the Finance Committee. Should shortfalls occur, the Finance Committee gives input to the President as to where expense reductions should be made.

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9. Risk Management

1. PreambleRisk Management is the culture, processes and structures that are directed towards the effective management of potential opportunities and adverse effects within the university environment. Risk is inherent in all academic, administrative and business activities. Every member of the university community continuously manages risk. Formal and systematic approaches to managing risk have evolved and they are regarded as good management practice. As a consequence the university acknowledges that the adoption of a strategic and formal approach to risk management will improve decision-making, enhance outcomes and accountability.

The aim of this policy is not to eliminate risk, rather to manage the risks involved in all University activities to maximize opportunities and minimize adversity. Effective risk management requires:• A strategic focus,• Forward thinking and active approaches to management,• Balance between the cost of managing risk and the anticipated benefits,

and• Contingency planning in the event that mission critical threats are realized.• Risk management also provides a system for the setting of priorities when

there are competing demands on limited resources.

2. Key DefinitionsThe key definitions for this policy follow:a) Risk: The chance of something happening that will have an impact on the

achievement of the University’s objectives. Risk is measured in terms of consequences and likelihood.

b) Risk Assessment: The overall process of risk analysis and evaluation.c) Risk Management: The culture, processes and structures that are directed

towards the effective management of potential opportunities and adverse effects within the university environment.

d) Risk Management Process: The systematic application of management policies, procedures and practices to the tasks of establishing the context, identifying, analyzing, evaluating, treating, monitoring and communicating risk.

3. Policy StatementThe university will maintain procedures to provide the university with a systematic view of the risks faced in the course of our academic, administrative and business activities. This will require the university to:

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a) Establish a context. This is the strategic, organizational and risk management context against which the rest of the risk management process in the university will take place. Criteria against which risk will be evaluated should be established and the structure of the risk analysis defined.

b) Identify Risks. This is the identification of what, why and how events arise as the basis for further analysis.

c) Analyze Risks. This is the determination of existing controls and the analysis of risks in terms of the consequence and likelihood in the context of those controls. The analysis should consider the range of potential consequences and how likely those consequences are to occur. Consequence and likelihood are combined to produce an estimated level of risk.

d) Evaluate Risks. This is a comparison of estimated risk levels against pre-established criteria. This enables risks to be ranked and prioritized.

e) Treat Risks. For higher priority risks, the university is required to develop and implement specific risk management plans including funding considerations. Lower priority risks may be accepted and monitored.

f) Monitor and Review. This is the oversight and review of the risk management system and any changes that might affect it. Monitoring and reviewing occurs concurrently throughout the risk management process.

g) Communication and Consultation. Appropriate communication and consultation with internal and external stakeholders should occur at each stage of the risk management process as well as on the process as a whole.

Responsibility for Risk Management

1. GeneralEvery staff member of the university is responsible for the effective management of risk including the identification of potential risks. Management (both academic and generalist) is responsible for the development of risk mitigation plans and the implementation of risk reduction strategies. Risk management processes should be integrated with other planning processes and management activities. There is legislation in place for the management of specific risks such as Occupational Health and Safety, Equal Opportunity and Research Ethics. The Risk Management policy does not relieve the University’s responsibility to comply with other legislation. Training and facilitation will, in the first instance, be the responsibility of the Office of Internal Audit in conjunction with the Office of Human Resources.

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2. Audit CommitteeThe Audit Committee will be accountable for the oversight of the processes for the identification and assessment of the general risk spectrum, reviewing the outcomes of risk management processes, and for advising the Senate as necessary.

3. Senior ExecutivesSenior Executives are accountable for strategic risk management within areas under their control including the devolution of the risk management process to operational managers.

4. Dean responsibilities• Annual reporting on the status of the risk register, insofar as it impacts on

his responsibilities, as part of the annual planning and review cycle;• Ongoing maintenance of the risk register insofar as it impacts on his

responsibilities; and• Ensuring compliance with risk assessment procedures.Generic sources of risk and their areas of impact.Identifying sources of risk and areas of impact provides a framework for

risk identification and analysis. A generic list of sources and impacts will focus risk identification activities and contribute to more effective risk management.

a) Generic Sources of RiskEach generic source has numerous components, any of which can give rise to a risk. Generic sources of risk include:Commercial and legal relationships including but not limited to contractual risk, product liability, professional liability and public liability. Economic circumstances.i. Human Behavior such as riots, strikes, sabotage.ii. Natural Events. These can include fire, water damage, earthquakes,

vermin, disease and contaminationiii. Technology and Technical Issues. Examples of this include innovation,

obsolescence and reliability.iv. Management Activity and Control such as poor safety management, the

absence of control and inadequate security.v. Individual Activity including, misappropriation of funds, vandalism, illegal

entry, information misappropriation and human error.

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b) Areas of ImpactA source of risk may impact on one area only or on several areas. Areas of impact include:i. Asset and resource base including personnel,ii. Revenue and entitlements,iii. Costs both direct and indirect, iv. People,v. The community,vi. Performance,vii. Timing and schedule of activities, viii. The environment,ix. Intangibles such as reputation, goodwill and the quality of life, andx. Organizational behavior.

RISK TREATMENT OPTIONS

a) Actions to Reduce or Control LikelihoodThese can include but are not limited to:i. Review and compliance programs.ii. Contract conditions.iii. Formal reviews of requirements, specifications, design, engineering and

operations.iv. Inspection and process controls.v. Investment and portfolio management. vi. Project management.vii. Preventative maintenance.viii. Quality assurance, management and standards.ix. Research and development; technological development. x. Structured

training and other programs.xi. Strategic, operational and tactical planning processes. xii. Supervision.xiii. Testing.xiv. Organizational arrangements.xv. Technical controls.

b) Procedures to Reduce or Control ConsequencesThese can include but are not limited to:i. Contingency planning.ii. Contractual arrangements. iii. Contract conditions.iv. Design Features.v. Business continuity and disaster recovery plans. vi. Engineering

and structural barriers.vii. Minimizing exposure to sources of risk.viii. Portfolio planning.

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ix. Pricing policy and controls.x. Separation or relocation of activities and resources.xi. Succession planning. xii. Insurance.xiii. Public Relations.xiv. Ex Gratia Payments.

Health and safety risks

1. Risk Management Guidelines (On Campus Activities)Emergency Information:a) Identify location and use of fire pulls.b) Review both location and content of evacuation maps including meeting

area for your department. Instruct students to identify at least two exits from their location in class.

c) Review emergency procedures in case of fire, medical emergency, hazardous materials release, and earthquake.

d) Invite any students with special needs to contact you about specific requirements in case of an emergency and make appropriate arrangements.

e) Identify location of nearest phone to use in case of emergency and have change available to use public phones.

f) Review campus procedures regarding the use of human subjects.g) If hazardous materials or processes are present:

i. Identify all materials that may be potentially hazardous.ii. Review each Material Safety Data Sheet (MSDS).iii. Identify any necessary personal protective equipment (PPE) required

for the class.iv. Review use and maintenance of PPE.v. Identify any hazardous waste generated. Review campus handling

and disposal procedures.vi. Identify potential hazards of equipment or processes used in

department /classroom.vii. Review hazardous material release procedures. viii. Review safe work practices.

2. Risk Management Guidelines, Electrical safetyAccidents involving electricity pose a high risk of serious injury. Following the guidelines below will assist campus staff and students to safely use common electrical equipment.• Do not use 2-prong ungrounded electrical devices.• All department purchased electrical equipment must be 3-prong grounded

with very limited exceptions.

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• Do not use extension cords or power taps (“Waber Strips”) as a substitute for permanent wiring.

• Extension cords and temporary power taps may be used for experimental purposes for no longer than six months or for portable tools or appliances that must be moved frequently. All other electrical equipment must be plugged into a permanent receptacle.

• Do not use equipment having worn or damaged electrical cords, plugs, switches, receptacles, or cracked casings.

• Do not attempt repairs unless you are a qualified electrical technician assigned to perform electrical work by your supervisor.

• Do not use 2-pole to 3-pole adapters, cube taps, 2-prong (ungrounded) extension cords, or similar grounding bypass devices.

• All electrical devices fabricated for experimental purposes must meet campus construction and grounding requirements

10. GlossaryAssessment (Outcomes Assessment): the process of identifying, collecting, and interpreting data (quantitative and qualitative) to determine the extent to which intended outcomes (expected results) are actually achieved. It implies both measurement and analysis.

Unit Plans: are plans developed by the key performance areas of the University to carry out (accomplish) the strategic plan of the University, thus to accomplish the mission and goals of the University.

Goals (Institutional): broad, general statements that operationalize the mission of the University. They usually are written as action verb statements that accompany the mission statement so that they can be assessed or measured to determine the extent to which the mission of the University is being achieved.

Goals (Strategic Goals): more specific statements found in the University’s strategic plan used by the University to set its future direction.

Institutional Effectiveness and Strategic Planning Framework (Model): a graphic depiction (diagram) developed by AL FALAH that depicts the relationships among all parts of the institutional effectiveness plan and process.

Institutional Effectiveness Plan and Outcomes Assessment Report: a six-column document used by all areas of the University to record institutional effectiveness efforts. The document records identified/expected outcomes;

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assessment (strategies, measures, criteria); realized outcomes; a schedule for reporting outcomes/plans for future reports; how results are to be used for program improvement, and; actual use made of results.

Institutional Effectiveness Plan and Process: an on-going, comprehensive, broad based and institutionally integrated system for planning and evaluation designed to enhance and improve the University, as well as demonstrate to what degree the University has been effective in fulfilling or achieving its stated mission and goals. It involves a process of continually reviewing and articulating the mission and goals of the University, setting intended/expected outcomes (results), assessing these results, analyzing the data from the assessment, and using the results for improving educational programs and services.

Institutional Plan: may be any of several plans developed by the University such as its strategic plan, campus safety plan, master plan, financial plan, etc.Key Issues: At AL FALAH, these are issues/weaknesses or consensus areas of focus identified in the institutional analysis done during Phase I of the institutional effectiveness and strategic planning process.

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