REPORT FINAL VERSION... · Web viewA few examples include recruitment scholarships ($500k), ten new faculty lines ($520k), increased support of academic department budgets ($250k),

Teaching, Learning & Scholarship…Student Engagement…Global Connectedness…Diversity…Community Partnership…Sustainability

Division of Finance and Administration 2011-12 Annual Report

Part One: Executive Summary

Part Two: Area Summaries

Controllero Accounting & Financial Systemso Business Services (Accounts Payable, Purchasing, Events)o Call Centero IT Securityo Internal Control

Budget

Foundation Finance

Information Technology Services

Research Foundation

Facilities & Safety

o Facilities Planning & Safety o Facilities Operations

Oneonta Auxiliary Services (OAS)

SICAS

Part Three: Charts, Graphs and Other Data

Figure 1 Finance and Administration Organization ChartFigure 2 State Support multi-year trendFigure 3 All Funds Budget 2011-2012Figure 4 Strategic Allocation of Resources (StAR)Figure 5 Cost of AttendanceFigure 6 Proportion of Student Bills Cleared via WebFigure 7 Annual Web Payment Receipts Figure 8 Research Foundation 5-year spending historyFigure 9 Research Foundation staffing trend

Finance and Administration Annual Report Overview

Todd Foreman, Vice President

Section I. Summary of Divisional Accomplishments

The financial position of the College is solid. This is due in large part to a campus wide sense of fiscal stewardship that has generated efficiencies and savings over the last few years as well as additional revenue from a tuition increase. Unfortunately the burden of cost has been steadily shifted over a period of years from the state to our students. The percentage of state support to operate the College has fallen to 12% (see Figure 2). This has forced SUNY to propose an annual schedule for tuition increases to make up for the cuts. This year alone tuition increased $300 or 6%. Despite the College’s decision to maintain all locally controlled fees at their prior year levels, the cost to attend Oneonta rose by 2.9%, slightly above the Higher Education Price Index (HEPI) of 2.3% (See Figure 5).

We will continue to be conscientious about the cost of attendance. Even after modest increases to tuition, room rates, and dining plans, SUNY Oneonta remains one of the State University’s best values. Our dining rates, for example, are the lowest among all the four-year comprehensive colleges, and our room rates are well below the SUNY average. Yet student opinion surveys validate that we have not sacrificed quality.

State support and tuition are not the only sources of revenue for the College. This year, OAS returned approximately $1.6 million to the College for program accounts ($381k), scholarships ($420k), utilities ($682k), leasehold improvements ($142k), and SUNY Support Services ($101k). The College Foundation Finance Office, working with the College Foundation Investment Subcommittee, provided excellent stewardship of our endowment during a difficult market year. The total investment return for the fiscal year ending 06/30/2012 was -2.35% vs. the Composite Index Return of -0.91%. This in conjunction with gifts totaling $2.8 million resulted in our endowment growing from $37.6 to nearly $40 million over the fiscal year. In addition to scholarships, the College has increasingly become reliant on the Foundation to support important academic and other student initiatives. The Foundation contributed $721k to support faculty development, campus beautification, library acquisitions, and other programming. An all funds summary of the College’s budget can be found in Figure 3.

SUNY ‘s Cash Reserve Policy requires campuses to maintain IFR cash balances within an acceptable range when compared to their core operational and IFR spending. The policy requires that a campus maintain a combined total IFR and SUTRA cash balance of between 10%-25% of total IFR, SUTRA and State Purpose disbursements for the fiscal year. We anticipate that our uncommitted IFR & SUTRA cash balances will be $10.6 million as of June 30, 2012. This represents an uncommitted cash balance equal to 18% of a projected $59.1 million in disbursements. The total IFR & SUTRA cash balance (committed and uncommitted) as of the fiscal year end is $11.4 million. At the same point in 2011 we had a balance of $10.9 million. The fact that our cash balance grew is the result of our proactive decisions made to cut costs. The College has aggressively begun to reinvest a portion of these one-time funds to accomplish strategic initiatives. In all, the total commitment to our strategic plan amounted to nearly $4.2 million. A few examples include recruitment scholarships ($500k), ten new faculty lines ($520k), increased support of academic department budgets ($250k), additional staffing for College Advancement ($200k), academic equipment ($500k), additional parking (1,000k), and various other initiatives that support the success of our students.

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The entire campus community should be knowledgeable about the budget and participate in decision making. We have gone to great lengths to keep the campus informed and to incorporate consultation into our decision making. The Budget Advisory Committee (BAC) conducted multiple presentations to the campus community over the course of the year and maintained a website with all the details. One significant accomplishment of the BAC was the adoption of a model for the Strategic Allocation of Resources (StAR). It is intended for this model to help the campus align its resources with strategic planning and assessment. The StAR model can be found in Figure 4.

Internal Control continues to be a quiet yet important part of our work. We completed reviews of University Police compliance with standard operating procedures for found property and evidence rooms. We also reviewed peripheral payment locations. Based on these proactive reviews, it was determined that the offices of Career Development and the Health Center will no longer accept credit card payments in person or by mail, mitigating PCI and cash management risk.

Our commitment to protecting the confidentiality, integrity, and accessibility of our sensitive data continued this year. We improved our PCI compliance stance and many offices made procedural changes to limit credit card data storage or outsource transaction processing. Training sessions addressing PCI, Red Flag Rules and the Technology Acceptable Use Policy were developed and presented to appropriate audiences. Further, awareness and implementation of the SUNY Records Retention Policy was promoted via issuance of a data-collection survey and a project resulting in the destruction or secure storage of sensitive paper files based on retention dates.

A number of new projects and ongoing efforts undertaken this year directly enhanced our students’ experience. Examples include:

Formation of a Student Advisory Group The Call Center handled over 157,000 calls throughout the year Stability and reliability of our computer systems was exceptional, with uptime on the systems

exceeding the 99.999% reliability standard across the board Web Development worked with the Web Advisory Group to follow up on recommendations

from the 2009-10 report. This resulted in a website redesign. Implementation and ongoing development of the myOneonta student portal Enhanced web payment options for student tuition bills, including access to all prior term billing

history Improvements to residential mail service Implementation of the Hertz Car Share Program (30% utilization and 300 members)

The Princeton Review, in partnership with the U.S. Green Building Council (USGBC), has selected SUNY Oneonta for inclusion in “The Princeton Review’s Guide to 286 Green Colleges.” The guide recognizes institutions of higher education that demonstrate a strong commitment to sustainability in campus infrastructure, activities, and initiatives. To advance our sustainability goals even further, the President’s Cabinet approved a proposal to create a Sustainability Coordinator position. Among other initiatives, the Coordinator will implement an aggressive campus wide recycling program. In addition the Coordinator will implement a comprehensive assessment of our sustainability efforts following the STARS model. The Sustainability Tracking, Assessment & Rating System™(STARS) is a transparent, self-reporting framework for colleges and universities to measure their sustainability performance. STARS® was developed by AASHE with broad participation from the higher education community. STARS includes three broad

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components into its assessment: Education & Research, Planning, Administration & Engagement and Operations.

Our grounds and buildings continue to provide a sense of pride and are recognized as making us distinctive among our peers. The completed rehab of Littell Hall and the construction of a stand-alone laboratory facility on Moe Pond in Cooperstown, stand out as major accomplishments. No less significant is the nearly complete design of a 192-bed townhouse and the start of the Fitzelle Hall renovation. Both projects are expected to be completed by the fall of 2014.

The College, working in concert with the SUNY Construction Fund, completed a comprehensive facility master planning effort that encompasses the years 2013-2023. The overall intent of the Facilities Master Plan is to accomplish the following goals:

Support the College’s academic mission and strategic vision by providing criteria and guidelines for campus and facility improvements

Improve the built environment in a way that facilitates learning by identifying opportunities for physical enhancements to the buildings, grounds, and technological infrastructure

Strengthen current and future campus programs by identifying strategies that: plan for expansion, relocate departments to improve adjacencies, and align space needs with teaching pedagogies

We continue to purposely direct attention to environmental, health and safety. We successfully passed several inspections from regulating agencies including NYS Fire, OSHA, Dept. of Health, and DEC. We also led four tabletop exercises that challenged our emergency preparedness.

Our professional and dedicated maintenance staff completed 9,665 individual work requests up 11% over the previous year. Formal feedback derived from surveys supported our perception that there is a high degree of satisfaction with our services. After a historic low point in 2010, over-time expenditures returned to more traditional amounts in 2011. However the hours of overtime in 2011 (6,146) are still 18% below the ten-year average.

We are committed to the Strategic Action Plan for Equity, Diversity, and Inclusion and have made progress on a number of objectives outlined in the plan. All staff within our division are encouraged to participate in Department, Division and Campus efforts to enhance diversity and inclusion. Senior managers from within the division participated in Anti-Defamation League training. The Facilities Dept. issued a campus-wide report on ADA compliance that includes progress of current building projects. Several gender-neutral bathrooms were added across campus. OAS provided support and funding for the Food and Nutrition Club ‘s International Food Fair, with 500+ attending. Indian Chef Satish Kumar visited campus, prepared meals for 3200 students, and taught Sodexo chefs how to prepare Indian cuisine.

After an 11% decrease in revenues in 2010-11, we were hopeful that the efforts of Grants Development staff and a new provost with a research background would generate greater interest in applying for sponsored research funds. Though Grants Development continued a very faculty-involved approach to encouraging expanded grant applications, the number of grant applications remained steady, but grant denials increased due to tighter awarding policies among many sponsors. Despite that, we expect by June 30 to increase total grant expenditures by 19% over last year, mainly due to the continued success of our Migrant Education Programs. Direct expenses are increasing at a higher rate than indirect because contract proposals have to incur less overhead to stay competitive, and many grant sponsors are denying any payment of indirect expenses. Indirect expenses are expected to be $62,456, an 11% increase from the previous year. A five-year expenditure history is included in Figure 8. Another notable accomplishment for Sponsored Programs included the development of Responsible Conduct in Research Policy, in collaboration with the Grants Development Director and Research Integrity Officer.

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Under the leadership of Dr. Karlis Kaugars, Oneonta’s first Chief Information Officer, IT Services was reorganized into five departments: Customer Service, Applications and Servers, Networking and Telecom, Applications Research and Development and the Teaching, Learning and Technology Center. Guided by the recommendations of the IT Services Workgroup report of March 2011, the new leadership team composed of five department directors and the CIO developed a strategic plan and initiated a comprehensive review of the IT infrastructure and began development of a long-term plan for maintenance and improvement.

Section II. Ongoing and new major initiatives

Specific goals and objectives for each department, including time frames and evaluation measures, are included later in this report. This section provides a list of goals that align with those of the College’s 2010 Strategic Plan.

Teaching, Learning and Scholarship Employ an Academic Department Chair’s Advisory Group Expand faculty/student research support and develop a financial incentive program Finalize design of Physical Science Building renovation and addition Implement an IT governance structure Work collaboratively with campus offices to enhance the scholarship awarding process Implement a transparent and easily understood model for determining academic department

allocations

Student Engagement Continue to seek student input via a Student Advisory Group Expand functionality and scope of myOneonta portal Finalize townhouse plans and start construction

Global Connectedness Facilitate work group to strengthen incoming International Education experience Continue to collaborate with International Education regarding cuisine diversity for students Develop new policies and procedures to address financial and other risks associated with

faculty-led trips abroad

Diversity Continue to increase staff participation in efforts to enhance diversity and inclusion Increase the College's business with certified Minority and Woman owned businesses Continue to expand number of ADA & Gender Neutral Bathrooms

Community Partnership Communicate and solicit input from community regarding campus initiatives Continue to plan and promote Seasons, a new dining venue planned for Fitzelle Hall that will

feature locally grown products. Continue to support community events financially and through in-kind services.

Sustainability Hire a Sustainability Coordinator Implement the Sustainability Tracking, Assessment & Rating System™(STARS) Monitor the College Foundation endowment, insure compliance with investment policy, and

exceed composite index for performance Implement new model for the alignment of strategic planning and allocation of resources. (StAR) Consolidate data center hardware and software platforms Deploy virtualization technology for students Participate in shared procurement initiatives with regional SUNY partners.

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Section III. Summary

With the passage of the SUNY 2020 legislation that put in place a rational tuition plan and guaranteed SUNY “maintenance of effort” in terms of future state funding, the College appears to have weathered a storm. Our ability to provide the breadth and quality of our programs and services is intact. However we must remain vigilant in our efforts to contain costs. Our students’ ability to absorb additional costs is at a breaking point. Fortunately, Oneonta remains highly competitive in our room and board rates. Our decision to maintain comprehensive fees at their current levels should also aid our recruitment and retention goals.

The College has been highly successful in fundraising and growing our endowment through good investment strategies, however, most of these funds are rightfully restricted to scholarships. Sponsored programs experienced an increase in grant expenditures by 19% over last year, mainly due to the continued success of our Migrant Education Programs. However, direct expenses are increasing at a higher rate than indirect because contract proposals have to incur less overhead to stay competitive, and many grant sponsors are denying any payment of indirect expenses. This trend jeopardizes our ability to provide support of faculty development and research on an annual basis. Under the leadership of our Provost, we hope to see an increase in research activity and more diversification in our sponsored program revenue.

Our cash position is solid. Our total IFR & SUTRA cash balance (committed and uncommitted) reserve grew by $1.6 million over the last year. Nearly one-third of our cash is committed for such purposes as scholarships, capital improvement, utility emergencies, etc. but depending on a number of variables, there is likely an opportunity to reinvest a portion of this one-time money to accomplish strategic initiatives. As the campus deliberates on how to invest we must not lose sight of the four major pillars of our institution: students, faculty, facilities, and service. We must fund these areas if we wish to sustain our excellence.

The completion of a facility master plan covering the period 2013-2023 is a major milestone for our campus. We currently enjoy what is arguably the most attractive and well maintained campus in the SUNY system. The addition of a welcome center for recruitment, new athletic facilities, improvement of pedestrian walkways, and renovation of Alumni Hall will support the College’s academic mission and strategic vision well into the future. Coupled with the work currently underway on Fitzelle Hall and Littell Halls we will maintain our position within SUNY.

The decision to integrate all IT support staff under a Chief Information Officer has created efficiencies, enhanced service, and generated savings.

In spite of the challenges of so much change in a short time and the loss of some positions and temporary vacancies, all departments were able to maintain essential services, meet customer expectations, and achieve mandated compliance standards. This was possible because of the tremendous dedication and hard work of staff. To that end, the Division has made a commitment to developing and utilizing assessment planning to its full advantage as a tool to enhance support of the Colleges strategic goals.

We look forward to continuing to serve the students, faculty, staff and alumni of the College.

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Controller’s AreaSusan Clemons, Controller

Section I: Summary of Departmental Accomplishments & Outcomes

Changes to the organizational structure within Finance and Administration were fully implemented during 11/12 and by the end of the year the Controller’s area was fully staffed, with several individuals taking on new roles and a few new faces joining the team from other College departments, another SUNY school, and outside entities. The Accounting Office was completely re-staffed as the result of a retirement, a promotion, and a resignation in that unit. The Call Center underwent realignment within the Division, having previously been part of the Telecommunications Department. In all, it was a season of change characterized by collaboration, cooperation, and teamwork with an emphasis on training, creativity, and creating efficiencies.

During the year, considerable attention was devoted to the exploration of shared services, the concept of leveraging resources on a state-wide and SUNY-wide level which has been embraced by the Chancellor in order to augment academics by creating efficiencies in administrative and other areas. The Controller’s area participated in SUNY groups, both regional and SUNY-wide to discuss and explore possibilities of sharing services in the areas of procurement, transaction processing, and functional expertise. Although very early in the process, there have been beneficial outcomes including a joint contract with two other campuses, transaction processing on behalf of another campus, and the provision of expertise and training to another campus.

In the midst of settling into organizational and staffing changes, the transition to the Statewide Financial System presented many challenges and opportunities. The timing of the implementation and its proximity to fiscal year end activity proved to be especially difficult. Although serious system issues are beginning to be worked out at the state and SUNY levels, it appears that some will carry through to the next fiscal year. The strength in fiscal responsibility and expertise enjoyed by this institution has enabled the College to manage through the bumps of the SFS transition relatively well.

Although this was a “building year” and many departments faced challenges, much was accomplished during the year to enhance the mission of the College to promote the Five Pillars of the Strategic Plan. The dedication and hard work demonstrated by staff in all areas has been our greatest strength and represents a culture of collaboration and teamwork of which to be proud.

Notable accomplishments in 2011-12

General Vehicle fleet changes – the transition from a College-managed passenger fleet to utilization of

rental vehicles was successful but did create a workload shift in the AP area. The Hertz contract offers a convenient pick-up drop-off service on campus that many College personnel have taken advantage of. Thanks to UPD for their cooperation in assisting with this opportunity. Overall, Hertz and Enterprise have been able to provide ample service and have been responsive to our needs.

FEMA – claims for damages and expenses related to Hurricane Irene and Tropical Storm Lee were managed by the Controller. Expenses reported to FEMA totaled $29,045.

A SUNY audit of Study Abroad Programs was conducted in November 2011 with minimal findings. Based on program recommendations, a workgroup was convened to review policies

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for faculty led off-campus courses and make recommendations to Cabinet. This was concluded during spring 2012 and revised policies are expected to be finalized during the fall semester.

Print services – a committee met throughout 11/12 to move forward on implementation of managed print services. An assessment was done early spring 2012 and work to develop an RFP for services is underway

Springbrook- the Controller’s area assisted in the development of an agreement with Springbrook to offer a hosted graduate program in special education for its employees. The first cohort will begin studies in the Fall 2012 term.

Assessment – departments within the Division attended additional assessment training and in many cases have embraced the process with a new understanding and appreciation of its benefits. Moving forward, the expectation is for continual development of stronger departmental plans with a strategic emphasis and stronger evaluation results.

Accounting Tuition receivable remained at an all-time low of .3% (a joint accomplishment with Student

Accounts) Student Revenue Data Submission (SRDS) - testing and implementation of this new annual

requirement was complicated and challenging as processes and deadlines were changed several times. Successful submission of an accurate data file was completed on time as a result of collaboration between Accounting, Student Accounts, and ITS.

SUNY Tuition Credit Disbursement – Oneonta participated in BETA testing of the SICAS disbursement process for this new campus-based award. The process was successfully implemented and disbursements distributed to students. This was another collaborative effort with the departments listed in the previous bullet.

PDF reports – SUNY reports that previously were accessed by print only were transitioned to pdf format with the assistance of ITS, saving approximately two cartons of paper annually and eliminating hard-copy storage needs.

Scanning - Existing paper reports have been scanned and filed electronically, resulting in better organization, easier access by staff, and more efficient use of office space

Revenue projections were completed and submitted on timeBusiness Services

MWBE - Continued strong results in Minority and Women Owned Business Enterprises procurement. MWBE goals were exceeded as Oneonta ranked 4th among 30 campuses with 17.92% of qualified expenditures with MWBE vendors.

State Financial System – in spite of ongoing difficulties with the synch between SUNY systems and SFS, staff have worked diligently and successfully to process orders and payments as efficiently as possible and to provide excellent service to customers and vendors. Much attention was given to proactive communication with the campus community and vendors in preparation for a successful transition.

P-Card efficiencies – the number of departments utilizing the P-Card increased by 10%. Travel card usage also increased with two new departments participating and expanded usage by athletics.

Shared services- participated in collaboration with regional partners to identify and implement efficiencies in the procurement area. Early progress has been made in joint contracts and transactional services. Sharing best practices and on-line service opportunities with other campuses has also been an important aspect of this process.

Assisting SUNY Delhi- staffing issues at Delhi have resulted in requests for training and assistance especially in the Accounting and AP areas. Oneonta has been instrumental in enabling Delhi to meet some overwhelming challenges.

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Realigned responsibility for airfare bookings and travel vouchers, creating increased workload in the AP area.

Customer service- in spite of staffing constraints, SFS challenges, and a workload shift to AP, maintaining excellent customer service has been an exceptional accomplishment.

Upgrades in Morris- technology upgrades to the Craven Lounge, suite upgrades, and improved space utilization are among the building improvements to Morris Hall over the last year.

Fitzelle surge- the exceptional task of moving an entire building of faculty offices to surge space formerly utilized as student living space was completed as part of a coordinated, collaborative campus effort. The professionalism and hard work of the Events Coordinator was a large part of this success.

EMS implementation and training - the campus-wide transition to the enhanced Events Management System, including the Master Calendar module was successfully completed.

Fee policy – a new fee policy for use of facilities by outside groups was developed and implemented. This new policy clarifies provisions of use and fees and allows for a fair and standard application of policies for all parties.

Call Center Additional department on board – Athletics was added to the College departments benefitting

from Call Center services. The staff has been trained in Athletics policies and has begun handling calls.

Responsibility for Information Desk – the Netzer Information Desk is now staffed by Call Center employees. As the CC staff is already trained in many College department policies, transitioning this responsibility from the Career Development Center made sense. The broad knowledge of the staff will make the Information Desk experience additionally meaningful for internal and external customers.

Emergency Calls- in order to provide a communication center to handle outside inquiries during an emergency, a team of Divisional staff members has been identified to receive training in utilizing CC equipment and software to provide services as needed.

Internal Control Payment locations – as a result of PCI and peripheral payment reviews, two departments will be

transitioned to web-only credit-card payments, eliminating them as on-site payment locations. Career Development and the Health Center will no longer accept credit card payments in person or by mail, mitigating PCI and cash management risk.

UPD review - compliance regarding found property and evidence rooms was reviewed in preparation for initial accreditation of the NY State University Police Department at Oneonta. UPD went on to receive accreditation.

Assistance with SICAS billing collections process-a thorough review of open invoices and the billing/collection process at the SICAS center will result in improved collections and revision to the billing process.

IT Security Staffing – the former IT Security Administrator was promoted to Director of Networking and

Telecommunications. At the very end of the fiscal year, a new Administrator was hired and will work closely with ITS and the Controller to continue to move the IT Security program forward in a proactive manner.

PCI Compliance – changes to the Phonathon network and Student Accounts storage areas have been completed and we are at the cusp of compliance with final elements to be completed during the 12/13 year.

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Compliance training session – a combined training session covering PCI, FERPA, Red Flag Rules and other compliance requirements was developed and offered to staff in several different campus offices that deal with personally identifiable information.

Student Accounts Electronic billing – the shift was successfully made from paper to electronic billing for all terms.

The result was an increased percentage cleared online rather than through the mail or in person, significant savings in postage and paper costs, and general efficiencies gained from student attention to online services related to billing (i.e. insurance waivers, dining options).

Student utilization of online billing processes continue to increase. (See Figures 6 and 7) A customer service survey was implemented with feedback indicating 85% satisfaction with SA

services and customer suggestions for enhanced services. Change in Direct Lending Disbursements – mandated change to “advance pay” for Federal Direct

student loans required implementation of new process. Oneonta conducted BETA testing for the new SICAS package to accomplish this. The process was implemented successfully resulting in a 14% increase in loan payments made to students within the first two weeks of the fall semester.

Commerce Manger implementations – three additional CM applications were developed with one fully implemented and two in the final stages of interfacing with other online products. When fully implemented, this will result in the elimination of two areas on campus where credit card payment information is collected and stored, benefiting our PCI compliance status.

SUNY Residency issues – stemming from a lawsuit filed against Binghamton University, the campus complied with SUNY requirements to identify students who paid non-resident tuition beginning with the fall 2007 semester. A process will be on-going to determine whether any of the identified students are eligible for a refund.

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Controller’s Area Composite11/12 Assessment Plan

Action Plan Table

Accounting

Objective Actions/StrategiesTarget

CompletionDate

Resources Required

Person(s) Responsible

Measure/Expected Outcome Actual Outcome

Engage in continuous monitoring of the functionality, testing and implementation of new releases of SUNY Systems, SunGard, SICAS & campus based applications

Develop written generic testing scenario template for Banner releasesTest and implement Student Revenue Data Submission and submit accurate local data file according to published SUNY deadline

Fall 2011

Spring 2012

College Accountant; Programming Manager

College Accountant; Student Accounts/ Accounting/Computer Center (SAC) Group

Working template developed and deployed for testing scenariosAccurate data file submitted by published deadline

Template has been developed in draft form and will be finalized after next testing phaseData file was submitted and approved one week prior to published deadline

Participate in the development of new enhancements to SUNY Systems, SunGard and SICAS applications

Participate in beta testing for SICAS SUNY Tuition Grant disbursement process

Fall 2011 College Accountant; members of SAC Group; SICAS center staff

Beta testing complete and SUNY Tuition Grant disbursement process successfully implemented.

This objective was met and the process has been fully implemented

Effectively manage revenue distribution, bank account balances, and cash flow for College funds/accounts

Execute weekly distributions of revenue for all College fund sources

Prepare accurate monthly financial reports including URAS trial balances, aged accounts and collection fund reports. Report to SUNY on a quarterly basis.

July 2011 – June 2012

July 2011 – June 2012

Revenue Accountant

College Accountant, Staff Assistant

-Target date for weekly distribution of revenue (with adequate cash provided for each fund) met for 95% of distributions-Accurate Balanced reports are prepared monthly & submitted to SUNY quarterly as required & deadlines met 100%.

The objective was met 100%. All revenue distributions were processed on time. Quarterly deadlines were met 100% of time. Beginning in January the SUNY Controller’s Office stopped requiring these quarterly reports. However, Accounting Office must still meet internal deadlines for such reports.

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Business ServicesObjective Actions/Strategies Target

CompletionDate

Resources Required


Measure/Expected Outcome

Actual Outcome

Strive to reach the MWBE percentage goals required for SUNY

A Review purchase requisitions with an eye to changing the vendor to a minority and/or women owned business that offers the products being requested

6/30/12 N/A Manager, Purchasing: Purchasing staff; P-card holders; Director, Bus. Services

Increased usage of minority and women owned vendors to more fully comply with NYS and SUNY requirements (8% MBE, 6% WBE) as this percentage is reflected in President’s annual evaluation. Percentage reports will be reviewed for usage.

Oneonta met & exceeded percentage goal for WBE (15.86%) but came in significantly under for MBE (2.06%). The combination of the two resulted in 17.92% ranking SUNY Oneonta 4th among 30 campuses.

Process procurement transactions in compliance with SUNY and OSC requirements

Increase the number of P-Card holders on campus by recruiting new departments to utilize the process

6/30/12 N/A Purchasing Asst. II; A/ P & Business Services staff

Cardholders increased by 10%

3 additional cardholders were added to the VISA Procurement Program. Goal of 10% increase met. Currently 27 cardholders incl. 3 new.

Assist departments in reconciliation of procurement card purchases.

Provide training to transfer ownership of monthly procurement card reconciliation to departments to create efficiencies & eliminate redundancies.

6/30/12 N/A Purchasing Assistant IIDept card holders

50% of cardholders will maintain procurement card reconciliation activity & documentation at dept. level, eliminating need for duplication of cardholder docs & storage in Purchasing Dept.

Training resulted in 96% of depts. maintaining their own reconciliations and documentation. Only 1 of 30 cards is not maintained at dept level. Exceeded Goal

Adhere to OSC's 30 day prompt payment policy

Adhere to OSC's 30 day prompt payment policy

6/30/12 N/A A/P Mgr Late payments = 1% or less of total payments

Late Payment Summary report no longer exists. Extrapolating from total interest paid for year ($90.68) late paid voucher rate had to be quite low.

Dispose of Purchasing & A/P records according to retention schedule

Review College's Retention & Disposition Policy. Meet with managers to determine retention timelines.

6/30/2012 None A/P Mgr, Purchg Mgr, Dir. Bus. Serv. & RRO

Dispose of documents according to requirement set forth in the retention schedule

Docs. were purged and consolidated, avoiding scanning of records. This is expected to save A/P & Purchasing $15,000 a yr.

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Ensure campus is aware of our meeting spaces & reservation process

Enter campus spaces campus that can be reserved in EMS

8/24/11 N/A A. Events Coordinator

A.95% of rooms will be configured in EMS desktop client

95% of rooms on campus are configured & available through EMS software

Ensure reservationists across campus are well trained & knowledgeable

Schedule individual training sessions.

8/24/11 N/A A. Events Coordinator

A. 95% of the office with the desktop client will be EMS trained

100% of offices that have desktop client have been EMS software trained

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Internal ControlObjective Actions/Strategies Target

CompletionDate

Resources Required1

Person(s) Responsible2


Actual Outcome

Conduct control reviews of “campus specific” areas

Continue review of Payment Card Industry compliance at various campus locations

Continue review of peripheral payment locations on campus

2011-2012

2011-2012

Internal Control Analyst, IT Security Manager

Internal Control Analyst

Reviews will be completed and findings/ recommendations documented

*Career Development review completed with recommendations for immediate destruction of personal credit card information and stored records. Destruction of records & changes to procedures confirmed in post-review.*Health Center reviewed. Serious control weakness addressed & led to creation of new process which eliminates Hlth Ctr as payment location.

Complete the requirements of the annual Internal Control Summary and Certification Form

Prepare draft summary of annual activities in all required areas

Review draft report with IC Advisory Committee and President

Submit approved report to SUNY System Administration

February 2012

March 2012

March 31, 2012

Controller, Internal Control Analyst

Approved report meeting compliance standards and submitted by deadline

Report demonstrating 100% compliance w/SUNY standards was approved by Internal Control Advisory Comm., signed by President Kleniewski, and submitted to SUNY by the deadline.

1 A unit should only include “Resources Required” for an action/strategy if those resources exceed existing allocations and workload and if it has determined that the resources are available to implement the action/strategy.2 Units should consult with individuals from other units before designating them as a partner in implementing an action/strategy.

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Student Accounts

Actions/StrategiesTarget

CompletionDate

Objective Resources Required



Engage in Internal Control/self-assessment measures on a periodic basis.

Eliminate one peripheral payment location (Health Center Sales) and utilize Banner process to manage payments, reconciliation, and reporting tools.

Fall 2011 N/A Controller, SAC,DSA,DHC, other related II staff, Internal Control

Eliminate Health Center as payment location; minimize security risks and meet PCI, HIPAA, and FERPA compliance requirements.

Revised Health Center Sales process completed & will be operational for fall ‘12 term whereby p-transactions are no longer accepted at the Health Center, minimizing security risks & meeting PCI, HIPAA & FERPA requirements.

Collaborate with related college departments to develop strategies to improve utilization of technology.

Form an interdepartmental group (Registrar, IT & IT Security, SA) to address the needs for Web for Parent in Banner

10/15/11 N/A DSA & related departs, IT

10% of parents will be authorized to log into student bill and make payment by end of spring 2012.

'Web for Proxy' product not yet released from SunGard. In its place, to help facilitate accessibility for parents, a secured link was successfully developed enabling parents to print their student bill themselves without requiring student id & password. 218 bills (4% of total matriculated undergrads) were requested & mailed.

Ensure that staff is trained to provide effective customer service to students, families, and the College community

Revisit customer service evaluation via comment cards and online survey

5/31/12 N/A DSA Survey results will reveal strengths and weakness of SA customer service performance to be utilized as a benchmark in future years regarding quality of courtesy & communication in person or on phone, notification & functionality of web bill, promptness in answering phone calls.

Student Satisfaction Survey successfully administered via myOneonta. 435 students (8% of total group) responded. Re: WINDOW Courtesy-87% satisfied-very satisfied; Window outcomes-84% satisfied- very satisfied; PHONE Courtesy-77% satisfied-very satisfied; Phone promptness-76% very satisfied; Phone outcomes-76% very satisfied to satisfied; WEB BILL appearance-90% liked; web bill functionality- 92% liked; web bill notification-79% satisfied-very satisfied; Web bill due date clarity-88% satisfied-very satisfied. Recommendations: extend web bill availability; condense verbiage on bill.

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Controller’s Area Composite12/13 Assessment Plan and Supplemental

Action Plan Table

Accounting

Actions/StrategiesTarget

CompletionDate

Objective Resources Required



Participate in the development and/or implementation of new enhancements to SUNY, SunGard and SICAS applications.

Implement Agency Billing module in Banner

July 2012 – June 2013

College Accountant; Staff Assistant

Agency Billing will be fully built, tested, implemented and in use for agency recharges.

Implement Banner Xtender

July 2012 – June 2013

College Accountant; Staff Assistant; Revenue Accountant

Xtender implemented and written Procedures in place.

Ensure timely accurate processing and reporting of OTPS, recharges and revenue transfers

Develop new account Request Form

Develop office procedures for the approval and setting up of new accounts/sub-accounts.

October 2013

December 2013

Staff Assistant;College Accountant

Staff Assistant;College Accountant

New on-line Account Request Form will be in production

Written procedures will be in place

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Business Services


CompletionDate

Resources Required



To determine if a re-organization of the areas would better serve the College

Draw up the responsibilities for each department (Purchasing, Accounts Payable, and Travel) and for each staff member.

6/30/2012 N/A Director, Business Services, and if needed, the Controller, input from current staff in these areas

Data and current organization structure, which can be used to discuss a re-organization in this area.

Contact other similar sized SUNYs to ask about their organization within the Procurement, Payable and Travel areas.

6/30/2012 Time Director, Business Services

Data will be gathered and made available to be used to benchmark against other SUNY Business units

Collaborate with stakeholders to ensure timely resolution of agreements

Allow up to five days for review of contract/agreement locally and send to Counsel at this point communicating with stakeholders on a weekly basis the status of agreement

6/30/2012 N/A Director, Business Services

Stakeholders will be satisfied with the service provided which will be measured by sending a 3-6 question survey to the stakeholder in the e-mail when the contract/ agreement is ready for signature or has been signed. By including the questions in the e-mail, I hope to cut down on additional communication.

Maintain current and relevant A P office policies and procedures

Revise the Post-State Financial System office procedures manual

12/21/2012 None A/P Manager and Staff

Revised Office procedures manual will provide knowledge and support to enable more efficient and effective fielding of questions by all staff members

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Identify opportunities to implement electronic solutions

Conduct Shared Services Pilot Program by paying 6-10 Invoices a month for SUNY Delhi.

09/30/2012 SUNY IT assistance

A/P Mangers – Oneonta and Delhi

Ability to process payments for another campus.

Process documentation received quickly & efficiently

Revise turn-around time for requisition processing to reflect longer input time required by SFS web system. Log receipt and processing dates of requisitions.

Conduct customer satisfaction survey in regard to Accounts Payable services

6/1/13

6/1/13

N/A

N/A

Purchasing Asst. II, Clerk II

Purchasing Asst. II, Clerk II

90% of purchase requisitions processed within 5 business days

90% favorable rating from customers

Ensure that goods and services are received from vendors in a timely manner

Perform monthly reconciliation of outstanding orders on Purchasing Department procurement card & follow up w/vendors

6/1/13 N/A Purchasing Asst. II, Clerk II

80% of goods and services received within 30 days of order date

Establish lines of communication with camp directors

Revise the summer camp manual that is distributed to camp directors and posted on line.Develop a checklist of items required from each camp director Utilize the New York State Health Department for updated standards.

1/1/13

1/1/13

2/15/13

N/A

N/A

N/A

Events Coordinator

Events Coordinator

Events Coordinator

Increase the quality of information distributed to each camp director.100% of the camp directors will have all materials submitted by April 1, 2013.

100% of camp directors will understand whether or not they need to complete a NY State Health permit.

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Call Center


CompletionDate

Resources Required



To provide adequate staffing

Monitor call volume for needs determined staffing schedule

Fall 2012Spring 2013

Symposium software reportingWhen to work reports

Call Center ManagerCall Center Team Leader

To keep abandoned call rate under 3%

Assist with HEAT tickets

Follow up verbally with customer to insure satisfaction with services completed

Ongoing Call Center email

Call Center Manager/Administrative IT Manager

Maintain satisfaction rate of at least 90%

Utilize automated software services to maintain directory efficiency

Maintain monthly reports for data reporting and review frequently missed name presentation

Monthly Parlance Name Connector Service

Call Center Manager

To increase 1st try overall connection rate to 80%

Secure adequate staffing

To create a schedule in which the phones and information are staffed

Spring 2013Fall 2012

Career DevelopmentAdequate Financial Budget

Call Center ManagerDivision Manager

To have 13-15 trained student agents on staff by Spring 2013

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Internal Control

Objective Actions/Strategies TargetCompletion Date

Resources Required



Effectively coordinate and implement campus response to external audit reviews

Develop tracking document for implementation and documentation of external audit recommendations. Utilize document to ensure comprehensive compliance to recommendations by departments.

Utilize tracking document in follow-up to SUNY audit of Study Abroad Programs

12/31/12 N/A Internal Control Analyst, Controller,

Matrix developed. 100% of SUNY audit recommendations to Study Abroad Programs administration implemented and documented in Study Abroad and related departmental policies and procedures.

Develop post-audit questionnaire for completion by external auditor to measure effectiveness of campus support and response during external audit

Submit questionnaire to SUNY Office of University Auditor to obtain feedback on campus support/response to Study Abroad audit

8/31/12 N/A Internal Control Analyst, Controller

Post-audit questionnaire developed. Favorable rating obtained from SUNY. This initial feedback will serve as benchmark for future evaluations.

Provide services that are effective and meaningful to campus departments

1.Develop post-review survey to determine customer’s perception of value and service provided by internal control reviews


Customer survey developed

2. Implement post-review survey to at least two departments to assess effectiveness of internal control services


Favorable feedback received. Initial feedback will serve as benchmark for future evaluations

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Student Accounts

Objective Actions/Strategies TargetCompletion Date

Resources Required



Ensure that written policies and procedures reflect all compliance requirements.

Ensure that staff are trained & kept updated in compliance requirements.

Cash Management policies updated in online SA shared manual.

Focus on Cash Management training during weekly office meetings.

May 2013 NA DSA. SA staff 5% reduction in weekly cash over accounts, compliance with cash management regulation.

Process payment & financial aid disbursements in compliance with all policies and procedures.

Implement automated Parent PLUS loan process using SICAS tools.

Spring 2013 NA SA Mgr FA Disb, SAC, SA staff

90% of Plus refunds processed within 2 business days of disbursement, exceeding Title iv compliance requirement.

(carry over) Form working group to address Veteran Programs revised/new regulations; Directory of VA tuition benefits created and written procedures for certification, disbursement, and refund of awards.

Spring 2013 NA Special Program Mgr., ADFA, VA Officer, SA Mgr FA Disb

Full compliance with State and Federal VA award and disbursement requirements.

Internal Control Initiative

Develop a functional online process for receipting in library fine payments.

Fall 2012 NA Admin & Lib IT, DSA, SAC

Decrease at least 80% of collection payments at Library for collecting library fine payments.

ELM Solutions for obtaining Alternative Loans

With the de-support of HESC in maintaining campuses alternative loan data, a new solution found in ELM services will be implemented for receipt of Fall alternative loans

Fall 2012 NA IT, DSA, SA Mgr FA Disb, SAC

Successful implementation for 100% receipt of fall student alternative loans under participating lenders.

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Section III: Summary & Conclusion

All units within the Controller’s area took assessment planning seriously during the year, and without exception made changes to departmental goals and objectives to better articulate their vision and institutional responsibilities. This has translated to an ambitious set of objectives for 12/13 which represent an emphasis on collaboration, efficiency, and creativity. Even though overall staffing has decreased and training is not complete in many areas, expectations are clearly to move forward and utilize resources to the best advantage in the coming year. By both necessity and design, departments are working together and sharing expertise to achieve these goals. Some overarching, common initiatives for 12/13 include an emphasis on meeting compliance standards, maximizing efficiencies through the use of electronic tools, identifying opportunities for shared services, enhancing customer service, and participating in cross-training and professional development opportunities.

In short, the Controller’s area will continue to contribute to the mission of Finance and Administration by offering efficient and customer-friendly services and providing timely and accurate information to the College community. The supportive and transparent environment within Finance and Administration is one that encourages staff to do their best. Challenges lie ahead, but the entire staff is committed to working together to make the next year a successful one.

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Budget OfficeJulie Roseboom, Budget Director


The 2011-12 year was a busy and productive year for the Budget Office. The Budget Advisory Committee (BAC) was active in its second year, and working in conjunction with the Vice President for Finance and Administration (VPFA), developed a new process for Strategic Allocation of Resources (StAR). The StAR process will be implemented in FY12/13, with approved project funding awarded in FY13/14 campus financial plan.

Aside from the day-to-day operational functions of the Budget Office, and in addition to our contribution to the planning process for FY12/13 and beyond, our staff has also participated in a number of other projects and endeavors. The following summarizes progress on our 2010-11 Annual Report Objectives and Initiatives:

1. New method of PSR roster development {BA}:o Using new reporting options from HRMS, developed a new process for preparing PSR

rosters, including a data download from HRMS and creation of a PSR roster “flat file” that can be more easily manipulated in Excel for various reporting purposes throughout the year. Previously we used a static file from which data was manually entered for roster development and created a static PSR roster file from which data would be manually extracted for reporting purposes. Overall the development & reporting processes will be more automated & efficient going forward.

2. Comprehensive IFR Budget Report (also reported in 2011-12 Assessment Plan Outcomes (APO), Goal 2, Obj. F.) {SBA}:

o A spreadsheet, including cash balance history, beginning cash balances, revenue & revenue transfers, disbursements, and ending cash balances for all active IFR & SUTRA accounts, was developed for FY10/11 and FY11/12.

o At the account level, multi-year budget projection models have been developed and do incorporate projected fiscal year-end cash balances as a percentage of the account's fiscal year disbursements; these models were used in developing the FY12/13 broad-based fee budgets.

o The information contained in both of the above was instrumental in identifying excess cash balances and indicating the need for managers to develop plans for meaningful spending of the accumulated cash balances.

o Cash balances in several accounts were identified as "reserved" or "restricted" per the draft SUNY policy.

o Revenue transfers and/or account edits were implemented to earmark these within the SUNY accounting system, removing them from our "unrestricted, unreserved" cash balance at year-end, and helping the College maintain the required 10%-25% unrestricted cash balance per SUNY draft policy.

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3. State Purpose-IFR-SUTRA Cash Balance/Disbursement Projection Model (also reported in 2011-12 APO, Goal 2, Obj. F.) {BD}:

o Development of a projection model at the fund level (incorporating IFR & SUTRA revenue and IFR, SUTRA, and State Purpose disbursements) is incomplete.

o Fund level projections have been done on an ad hoc basis throughout the year. Efforts to develop a more comprehensive model, incorporating the account level information described above, will continue.

o The conversion to a new Statewide Financial System may require that new fund-level data sources be identified for use (i.e. we may have to take a few steps backward before we can move forward with this.)

o This project is about 75% complete.4. Process for Strategic Allocation of Resources (also reported in 2011-12 APO, Goal 1, Obj. A.){BD}:

o Worked w/ VPFA and BAC to develop a process for allocating new campus financial resources. The StAR process will be rolled out in 2012-13 with new funding provided in FY13/14 for programs and initiatives receiving funding through the process.

5. Administrative Budget Reporting (also reported in 2011-12 APO, Goal 3, Obj. B.){BD}:o A few of the reports shared w/ BAC, VPFA, President, and Cabinet this year include the

FY11/12 Campus Budget Update (All Funds) {Sept 2011}; FY12/13 Campus Budget Projection; FY11/12 Campus Reserve Update; and FY12/13 Campus Reserve Projection. All reports were provided within the timeframe requested/required.

o FY11/12 Campus Budget Update & FY11/12 Campus Reserve Update allowed the President and Cabinet to assess our level of available resources relative to overall budget conditions, and then make decisions to release reserves to fund a number of "big-ticket" strategically focused initiatives such as investments in new faculty lines, increased scholarship programming, and deferred maintenance/equipment replacements.

6. SUNY BI Development (also reported in 2011-12 APO, Goal 4, Obj. B.){BD}:o Participation in this project is actively ongoing; progress on the project is currently

directed by leaders at System Administration.o The Budget Director attended a "show & tell" of the BI system at University of Buffalo

along with other members of the SUNY ABB-BI workgroup {Aug 2011}. The takeaway from the demo was an enhanced understanding of what a BI system could do for campuses, as it relates to financial reporting, and more importantly, to analysis and decision making.

o The ABB BI group enlisted two sub-groups to work on development of expenditure- and revenue-based BI reporting dashboards. In the 1st phase, a number of expenditure dashboards have been rolled out to campuses; the sub-group is still taking suggestions for development of additional dashboards. The Budget Director is currently working actively with the revenue sub-group on the 2nd phase: development of revenue

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dashboards and reports. This project is approximately 75% complete relative to initial revenue dashboards being shared with campuses.

o Work on this project will continue in 2012-13.7. Participation in Equity & Inclusion activities attended by Budget staff {All}:

o “A Campus of Difference” – day-long workshop w/ other campus directors & administrators {BD}.

o Attended campus-wide faculty staff diversity forum {BA}.8. Professional development & committee activities of Budget staff (also reported in 2011-12 APO,

Goal 6, Objs. B and C){All}:o Campus Employee Assistance Program (APA); Middle States Steering Committee (APA);

Middle States Work Group Co-Chair various meetings (BD); College Picnic Committee (APA); IAC (BD); "A Campus of Difference" Workshop (BD); Campus Faculty/Staff Diversity Forum (BA); Administrative Forum (BD); Table Top Institutional Emergency Planning Exercises (BD); Banner Steering Committee (BD); Reclass Committee (BD)

o SUNY Accounting-Budget-Bursar Committee (All); Excel Training (SBA); Eastern Association of College & University Business Officers {EACUBO} Annual Workshop (BD); EACUBO Next Generation Chief Business Officer Workshop (BD); National Association of College & University Business Officers {NACUBO} Financial Metrics Webinars (BD); Assessment Network of New York (ANNY) Assessment/Budgeting Webinar (BD); Middles States Accreditation Process Webinar (BD)

o Staff hours spent participating in various campus committee meetings and professional development events is approximately 4.0% of annual aggregate total staff hours.

The following is a list of other highlights and accomplishments outside of planned initiatives included in last year’s report:

SUNY Collaborations:o Worked with system admin to develop payroll data report to replace/mimic previously

used position report that was discontinued in the legacy system as part of ongoing conversion to web-based HRMS system. This replacement report was long overdue and needed by many campuses across SUNY. {BA}

o Reviewed for system admin their salary increase projection worksheets used to determine funding distributions to campuses for bargaining unit salary increases. {BD}

Administrative Reporting and Information:o Provided IPEDS data for peer comparators identified by Cabinet for SUNY’s developing

resource allocation method (data provided per VPFA request for campus use). {APA}o Compiled 3-year history of temp service spending in academic departments for the new

Provost. {APA}o Reviewed current “unfunded” PSR lines with Employee Services and Provost to provide

a better understanding of ongoing position costs related to lines that are filled year-to-year but not permanently funded. {BA, BD}

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o Provided quarterly vacant position information and summary information regarding changes in position funding status to Employee Services for their CSEA Labor-Management meetings. {BA, BD}

Campus Collaborations:o Worked with Alumni Affairs to provide and interpret all-funds budget data so that AA

could identify the “day tuition ends” for students as a part of their efforts to encourage students to donate to the college as alumni. {BD}

o Worked with Employee Services to identify budget reallocation needs within that area, better aligning costs with the appropriate units in the area. {BA, BD}

Technology Enhancements:o Began to explore use of a data-base type budgeting system (Xlerant, Adaptive Planning),

versus using spreadsheets, for internal management of complex college budgets and tracking of future commitments.

General Budget Development, Monitoring and Execution:o Distributed funding from a variety of campus reserve sources for several cabinet-funded

initiatives, including new faculty lines, an enhanced scholarship program, and equipment replacement funds for Facilities Operations and Academic Departments. {All}

o Developed a set of dorm-related metrics to use in allocating DIFR resources – particularly in the areas of facilities ops and residence life. {SBA}

o Developed projections of savings related to DRL (for all affected bargaining units) so that those savings could be dispatched in the current year w/ an earmark for future repayment costs. {BA}

o Developed 5-year budget plans for broad-based fee budgets per new SUNY guidelines, incorporating cash balance to disbursement ratios at the fee budget level per draft SUNY policy on IFR cash reserves. {SBA}

At the transactional level, the 2011-12 year was a busy year for the Budget Office, with over 2,500 operational transactions processed. This figure represents a 27% decrease in total transactions processed relative to the 2010-11 year. This decrease is an overall result of changes in two different workload factors:

1. Overall, we saw an increase of 64% in the number of temp service APP forms processed in FY11/12. This increase is consistent with the growing number of temporary service appointments in Academic Affairs.

2. The number of allocation transfers decreased by about 14% overall, with a 52% decrease in the number of transfers processed on Certificate, and sent through OSC for approval. The overall transfer reduction is a continued result of the elimination of the 2007-08 Governor’s Budget Reform as it relates to the number of expenditure segregations maintained in our budget records. Under that reform, we had to maintain and monitor balances in 7 different expenditure segregations at the campus level. This required many transactions at the account level in order to keep campus segregation balances in order. In FY10/11, the

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number of segregations that we had to work with was reduced from 7 to 2. Therefore, the need to do account level transfers in order to maintain sufficient segregation balance at the campus level was eliminated and as a result the number of transfers on certificate was significantly reduced.

Another item that kept the Budget Office busy, particularly at year end, was the Statewide Financial System (SFS) conversion implemented by the Office of the State Comptroller (OSC). While much of the preparatory and implementation work for this conversion was handled centrally for SUNY at System Administration, campuses are now learning the new OSC system and working our way through the “bugs” that often accompany such an endeavor. For the Budget Office, the impact is much less intrusive on our daily operations than it is for our colleagues in Purchasing, Accounts Payable, Accounting and Business Affairs. However, since it was a “mid-year” conversion for SUNY, account level transactions have been affected and we are working closely with our Finance colleagues, both on campus and at SUNY, to get through our fiscal year end.

Ending on a positive note, one of the more enjoyable projects this year was Oneonta’s hosting of a SUNY Accounting-Budget-Bursar meeting in April 2012. Working with a number of offices both within Finance and Admin and across campus, SUNY Oneonta hosted a successful two-day conference for our SUNY ABB colleagues.

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Budget Office12/13 Assessment Plan

Goals and Objectives Summary While the primary goals of the Budget Office have stayed the same over the last year, we have modified some our objectives in order to better accomplish these goals in the changing fiscal and administrative environment in which we operate. Additionally, as we become more experienced in planning and assessment, it has become apparent that some of the objectives previously listed were somewhat narrow in scope and needed revision in order to more fully articulate what we do in the Budget Office.

The following is the revised list of Goals and Objectives. Objectives to be assessed in the 2012-13 year are in bold font.

Goal 1. To develop informed, strategic, and timely budgets at all levels of the College’s Financial Plan. This includes account level, fund level, and campus-wide budgets. {SUSTAINABILITY PILLAR}

Objective A. Working under the direction of the Vice President for Finance and Administration (VPFA), assist in Cabinet’s development and implementation of a data-driven and strategic decision-making model. Efforts will include research and investigation of relevant financial metrics.

Objective B. To develop the College’s overall Financial Plan, annual Form 1, and other SUNY system inputs for submission to System Administration prior to the start of a new fiscal year and in accordance with the schedule developed in Objective A.

Objective C. Review of Central Service Area (CSA) budgets to determine whether adequate resources are budgeted in the CSA to cover recurring operational costs.

Objective D. Timely projection of the College’s personnel services budgets, including regular (i.e. full-time) personnel (PSR) and temporary services personnel (TS), for the next fiscal year. {revised 2012-13}

Objective E. To develop a comprehensive report of all Income Fund Reimbursable (IFR) budget activity as part of the IFR budget development process.

Goal 2. Effective, responsible, and strategic budget execution and monitoring for the College’s State, IFR, Dorm IFR (DIFR), State University Tuition Reimbursement Account (SUTRA) and other appropriated funds. {SUSTAINABILITY PILLAR}

Objective A. To accurately and effectively execute PSR budgets at the account level, dispatching one-time savings or covering one-time costs as needed, and communicating results to the appropriate Vice President for use at his/her discretion.

27

Objective B. To monitor major categories of campus-wide expenditure activity relative to resource allocation in order to identify potential surplus or deficit situations.

Objective C. To assist in the implementation of mid-year budget adjustments (increases or decreases) as required due to changing internal and/or external fiscal environment or budget conditions, or other factors. {revised 2012-13}

Objective D. To provide continued support, assistance, and training to account managers in executing their temporary personnel services (TS), other-than personnel services (OTPS), and recharge budgets, as needed or requested. Where necessary, this will include training related to the TS encumbrance system in Banner and the SUNY Management Resource Tool (SMRT). {revised 2012-13}

Objective E. To continue the development of a College IFR Overhead Policy. {eliminated 2012-13}

Objective F. To develop internal reporting and projection methods for use in monitoring the campus’s IFR and SUTRA cash balances and reserves in accordance with SUNY’s draft Cash Reserve Policy.

Goal 3. To provide budget reporting services as required at all levels of the College’s financial management process (i.e. from account manager level to Cabinet level). This includes regular required reporting as well as ad hoc reporting requests. {SUSTAINABILITY PILLAR}

Objective A. To provide accurate and timely reporting of budget information as requested and required by SUNY System Administration. Where possible, make strategic use of the information gathered and reported in these SUNY reporting exercises. {revised 2012-13}

Objective B. To provide accurate and timely reporting of pertinent and useful budget information as required and requested by account managers, the Budget Advisory Committee, the College President and the President’s Cabinet. {REVISED – 2011-12}

Objective C. To develop new or improved reporting methods in order to accurately, efficiently, and effectively convey financial data and financial status at all levels of Campus financial management.

Goal 4. To continue efforts to improve the use of technology in the Budget Office to make operations more effective and efficient. {SUSTAINABILITY PILLAR}

Objective A. Explore the development of database and other technological budgeting tools.

Objective B. Work with System Admin. counterparts to explore and develop a SUNY-wide financial Business Intelligence (BI) system.

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Objective C. Offer opportunities for staff to expand/ refresh their knowledge of use of the various technologies employed in carrying out Budget Office operations.

Goal 5. To participate in programs and activities offered by the College’s Office of Equity & Inclusion in an effort to continually learn ways to promote and support a diverse campus community. {DIVERSITY PILLAR}

Objective A. Support and encourage staff efforts to attend Equity and Inclusion programming and activities.

Objective B. Participate when possible in various Campus-wide committees or groups that further the Campus’s goals as set forth in the Strategic Action Plan on Equity, Diversity, and Inclusion.

Goal 6. To participate in professional development opportunities when and where possible, depending on time and resource availability. {SUSTAINABILITY PILLAR}

Objective A. Participation in SUNY-wide Accounting-Budget-Bursar (ABB) group.Objective B. Participation in campus-wide and divisional activities and groups to enhance

knowledge of campus-wide and/or divisional goals, initiatives, and activities.Objective C. Active search for and participation in other professional development

opportunities to improve both professional and technical skills used in the Budget Office, including NACUBO and EACUBO programs.

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11/12 Assessment PlanAction Plan Table


CompletionDate

Resources Required



Actual Outcome

Goal 1: To develop informed, strategic, & timely budgets at all levels of the College’s Financial Plan. Includes account level, fund level, & campus-wide budgetsA. Working under the

direction of the VP for Finance and Administration, assist in Cabinet’s development and implementation of a data-driven and strategic decision-making model. Efforts will include research and investigation of relevant financial metrics.

A. research/ investigate various financial metrics used in Higher Ed

B. report on potentially useful metrics to VPFA providing examples of how such metrics could be used in a strategic decision-making model at Oneonta

C. other related tasks/activities as requested/required

Spring 2012 time commitment for data gathering and review; possible costs for online &/or off-campus learning opportunities in this area

Budget Director

Financial metrics will be identified for potential use in data-driven, strategic decision making

Metrics will be vetted with VPFA for determination of which will be put forward for use in strategic decision-making process to be developed by Cabinet

Those metrics identified for use will be demonstrated & explained to Budget Advisory Committee

BD attended 3 NACUBO Webinars for Strategic Financial Analysis for Higher Education in Fall 2011; webinars included Interpreting Financial Ratios, Composite Financial Index, & Strategic Budgeting & Resource Allocation

BD researched additional web resources from NACUBO, Education Advisory Board's University Business Executive Roundtable, and the Association of Governing Boards of Universities and Colleges

16 financial metrics were identified and shared with the VPFA and the Budget Advisory Committee in Jan. '12. Of these 16, 4 were chosen for use as the Strategic Planning Council's performance indicators for Sustainability pillar of Strategic Plan

The 4 chosen metrics measure the financial status of the College in a variety of ways, focusing on progress made with broad Strategic Plan goals & overall financial condition of the College

Efforts to develop & put into use metrics that will assist with data-driven, strategic decision-making will

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continueGoal 2: Effective, responsible, and strategic budget execution and monitoring for the College's State, IFR, DIFR, SUTRA, and other appropriated funds

F. To develop internal reporting and projection methods for use in monitoring the campus’s IFR and SUTRA cash balances and reserves in accordance with SUNY’s newly instituted Cash Reserve Policy

A. Examine outcome of FY10/11 cash balance per SUNY Cash Reserve Policy to determine correct data sources to use for projections going forward

B. Using current model for projecting and monitoring State Purpose disbursements for SUNY SCAD system, develop model for projecting and monitoring IFR and SUTRA cash disbursements

C. Develop model for projecting IFR and SUTRA revenue at the fund level

D. Combine the cash disbursement projection model and the revenue projection model to project 6/30/12 ratio of cash balance to total disbursements

Spring 2012 reliable data from SUNY accounting systems, both legacy and web based; may require data from Banner revenue accounting system (obtained from Accounting Office)

Budget Director,

Sr Budget Analyst (PS)

% completion of fully developed projection & reporting mechanism

Timely projections completed throughout FY allowing for designation of restricted and reserve accounts, per SUNY policy, to maintain unrestricted, unreserved cash balance of 10%-25% of total disbursements

A spreadsheet, including cash balance history, beginning cash balances, revenue & revenue transfers, disbursements, and ending cash balances for all active IFR & SUTRA accounts, was developed for FY10/11 and FY11/12

At the account level, multi-year budget projection models have been developed and do incorporate projected fiscal year-end cash balances as a percentage of the account's fiscal year disbursements; these models were used in developing the FY12/13 broad-based fee budgets

The information contained in both of the above was instrumental in identifying excess cash balances and indicating the need for managers to develop plans for meaningful spending of the accumulated cash balances

Cash balances in several accounts were identified as "reserved" or "restricted" per the draft SUNY policy; revenue transfers and/or account edits were implemented to earmark these within the SUNY accounting system, removing them from our "unrestricted, unreserved" cash balance at year-end, and helping the College maintain the required 10%-25% unrestricted cash balance per SUNY draft policy

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Development of a projection model at the Fund level (incorporating IFR & SUTRA revenue and IFR, SUTRA, and State Purpose disbursements) is incomplete; fund level projections have been done on an ad hoc basis throughout the year. Efforts to develop a more comprehensive model, incorporating the account level information described above, will continue;; however, the conversion to a new Statewide Financial System may require that new fund-level data sources be identified for use (i.e. we may have to take a few steps backward before we can move forward with this.)

This project is about 75% complete

Goal 3: To provide budget reporting services as required at all levels of the College’s financial management process (i.e. from account manager level to Cabinet level). This includes regular required reporting as well as ad hoc reporting requestsB. To provide

accurate and timely reporting of pertinent and useful budget information as required and requested by account managers, the Budget Advisory Committee, the College President and the President’s Cabinet.

A. Report budget information as required/requested to the VPFA, Budget Advisory Committee, Cabinet, President

ongoing reliable data from SUNY accounting systems, both legacy & web based; Potential need for maximizing use of technology may require ongoing technology training for Budget staff; may be beneficial to take advantage of training re: various financial data reporting

All budget staff

Requests for information reporting met in timely manner

Reports will provide effective financial information so that audience will find reports useful in making informed financial decisions

A few of the reports shared w/ BAC, VPFA, President, and Cabinet this year include the FY11/12 Campus Budget Update (All Funds) {Sept 2011}; FY12/13 Campus Budget Projection; FY11/12 Campus Reserve Update; and FY12/13 Campus Reserve Projection. All reports were provided within the timeframe requested/required.

FY11/12 Campus Budget Update & FY11/12 Campus Reserve Update allowed the President & Cabinet to assess our level of available resources relative to overall budget conditions, and then make decisions to release reserves to fund a number of "big-ticket" strategically focused initiatives such as investments in new faculty lines, increased scholarship programming, and deferred

32

methods & systems

maintenance/ equipment replacements.

C. To develop new or improved reporting methods in order to accurately, efficiently, and effectively convey financial data and financial status at all levels of Campus financial management.

A. Examine current means of reporting staffing levels for various purposes across campusB. Collaborate with Employee Services to identify improved means/methods of reporting consistent staffing level data for various audiences

Fall 2011 reliable data from SUNY financial systems (HR and Accounting), both legacy and web based

Budget Director, Budget Analyst (DS)

Accurate, reliable staffing information provided in a standardized reporting method (% project completion)

A report of CSEA current vacant positions and vacant lines for which funding has been eliminated or reallocated, as well as newly created lines has been shared with Employee Services quarterly for their Labor/Management meetings. The current vacancy report is a result of researching available HRMS Discoverer reports for the data needed, then downloading and verifying the information in the report. The report of funding changes is developed from internal data gathered as positions move through vacancy review and organizational changes are made. Employee Services has reported back that this reporting mechanism is working well for their Labor/ Management mtgs w/CSEA.

A separate staffing level reporting project involving number of filled (not necessarily funded) departmental positions over time is about 50% complete. Competing priorities in the Budget Office have delayed completion of this project; however the report structure is in place. To complete the project, additional data is needed & verification/ reconciliation of that data are essential to ensure a meaningful, accurate & useful report.

Goal 4. To continue efforts to improve the use of technology in the Budget Office to make operations more effective and efficient

B. Work with System Administration counterparts to explore and develop a SUNY-wide financial Business Intelligence

A. Participate actively in SUNY Finance BI development initiative, as guided/ directed by ABBT/

TBD (could be at least two years)

travel; staff time commitment

Budget Director

Level of participation in development activity directed by ABBT/System Admin work

Participation in this project is actively ongoing; progress on the project is currently directed by leaders at System Administration.

The Budget Director attended a

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system. System Admin work group

group % project completion

"show & tell" of the BI system at University of Buffalo along with other members of the SUNY ABB-BI workgroup {Aug 2011}. The takeaway from the demo was an enhanced understanding of what a BI system could do for campuses, as it relates to financial reporting, and more importantly, to analysis and decision making.

The ABB BI group enlisted two sub-groups to work on development of expenditure- and revenue-based BI reporting dashboards. In the 1st phase, a number of expenditure dashboards have been rolled out to campuses; the sub-group is still taking suggestions for development of additional dashboards. The Budget Director is currently working actively with the revenue sub-group on the 2nd phase: development of revenue dashboards and reports. This project is approximately 75% complete relative to initial revenue dashboards being shared with campuses.

Goal 6. To participate in professional development opportunities when and where possible, depending on time and resource availability

B. Participation in Campus-wide and Divisional activities and groups to enhance knowledge of campus-wide and/or division-wide goals, initiatives, and activities.

A. Encourage participation in various campus-wide &/or cross divisional activities and/or groups for all staff

ongoing Staff time All budget staff

# of activities/groups participated in by staff

approximate # hours committed

Budget staff have participated in the following: Campus Employee Assistance Program (APA)(25 hrs); Middle States Steering Committee (APA)(30 hrs); Middle States Work Group Co-Chair various meetings (BD) (37.5 hrs); College Picnic Committee (APA)(9 hrs); IAC (BD) (4 hrs); "A Campus of Difference" Workshop (BD)(8 hrs); Campus Faculty/Staff Diversity Forum (BA) (1 hr); Administrative Forum (BD)(6 hrs); Table Top Institutional Emergency Planning Exercises (BD)(9 hrs); Banner Steering

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Committee (BD)(9 hrs) Staff hours spent participating in

various campus committee meetings and events is approximately 2.0% of annual aggregate total staff hours

C. Active search for and participation in other professional development opportunities to improve both professional and technical skills used in the Budget Office (including but not limited to NACUBO and EACUBO program opportunities).

A. Encourage participation in various professional development opportunities both on- and off-campus

Ongoing Staff time; travel

All budget staff

# of professional development activities/groups participated in by staff

approximate # hours committed

Budget staff have participated in the following:

SUNY Accounting-Budget-Bursar Committee (All Staff) (100 hrs); Excel Training (SrBA)(8 hrs); Eastern Association of College & University Business Officers {EACUBO} Annual Workshop (BD)(16 hrs); EACUBO Next Generation Chief Business Officer Workshop (BD)(8 hrs); National Association of College & University Business Officers {NACUBO} Financial Metrics Webinars (BD)(6 hrs); Assessment Network of New York (ANNY) Assessment/Budgeting Webinar (BD)(1 hr); Middles States Accreditation Process Webinar (BD)(1 hr)

Staff hours spent participating in various campus committee meetings and events is approximately 2.0% of annual aggregate total staff hours

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11/12 Closing the Loop Narrative

Using Outcomes to PlanIn reviewing our 2011-12 plans and comparing our actual and expected outcomes, we’ve identified some areas that still need work in order to accomplish what we set out to achieve. We’ve also identified some logical “next steps” as a result of what we did accomplish in 2011-12. Some of these “next steps” are incorporated in our 2012-13 Assessment Plan as objectives to be examined for the first time, while others will be a continued review of objectives previously assessed, however with varied strategies to achieve the objective. Additionally, we’ve found some unintended, but positive, outcomes from the work we’ve done in 2011-12.

In 2012-13 we will revisit Goal 3, Objective C, working with the Accounting Office to examine our existing Chart of Accounts structure and modify it as needed to help us ensure alignment our financial activities in the appropriate NACUBO functional area. Ensuring proper alignment with these functional areas will serve both internal and external needs for accuracy and transparency in expenditure reporting by functional area. With the growing focus on administrative spending as compared to academic and student service spending, both within SUNY and within higher ed generally, ensuring our Chart of Accounts is in order is an important and necessary task. Our work on the SUNY Business Intelligence system (2011-12 Goal 4, Objective B) also underscored the need for this Chart review. The BI system allows campuses to compare themselves to other SUNY campuses and the system as a whole, thus it is imperative that “good data” be used as the basis for the BI system. This project will help ensure that we are using “good data”, at least for Oneonta.

Also being revisited in 2012-13 is Goal 1, objective D. This objective has been revised to include budgets for temporary service (TS) personnel as well as those for regular (“permanent”) personnel. We will be looking at spending on adjunct instruction, which falls in the TS category, and working with the Provost’s office to develop departmental budgets for adjunct expenditures. Currently, adjunct costs are funded in a “pooled” approach at the divisional level. There is a desire to move this to a departmental budget level, requiring more active management by department chairs and perhaps producing improved fiscal controls and some savings in adjunct spending.

One of the objectives not fully completed from 2011-12 was Objective F for Goal 2. While we will not formally include this objective in our 2012-13 plan, we will review and assess Objective A, Goal 3, and the results of this review are expected to help us complete our work on Objective F, Goal 2. SUNY requires campuses to project their State Purpose cash disbursements by month and spending category every fiscal year. We will look at how we project these disbursements to meet SUNY requirements, and try to make the SUNY exercise more useful internally by also incorporating our IFR and SUTRA funds. We can then incorporate this information into a comprehensive, fund-level projection model for fiscal year revenue and disbursements, as described in 2011-12 under Goal 2, Objective F.

It should be noted that the work that was accomplished on Goal 2 objective F in 2011-12 was very helpful in identifying excess cash balances at the account level. Once identified, Budget staff worked closely with program managers to develop strategic spending plans for these balances. While not necessarily intended, this process served, in part, as a means by which we were able to communicate to managers the importance of strategically using cash balances. As a result, these managers are now more empowered to develop such plans more

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independently going forward, perhaps reducing the level of direct guidance needed from the Budget Office. This serves two purposes: managers can take more ownership in the financial management of their accounts, and the development of spending plans may become a more efficient process overall. In the end, this was a positive, albeit unintended, outcome of work in this area.

In addition to looking at the outcomes of our work, we’ve reviewed our objectives overall and identified some areas where modifications are needed. Changing operational environments and requirements (both internal and external) as well as continued efforts to improve our own planning and assessment processes were the main factors contributing to the need to revise our list objectives. One objective (Goal 2, Objective E) was eliminated. This objective is outdated relative to the larger IFR operating environment. Campus IFR policy, procedures, and guidelines as a whole may need to be reviewed in the context of the recently established draft SUNY policy on cash balances and the new SUNY Fee policy. All revisions are noted in the “Goals and Objectives” section. Annual review of our list of objectives will continue as part of the Assessment Plan reporting process.

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CompletionDate

Resources Required



Actual Outcome

Goal 1. To develop informed, strategic, and timely budgets at all levels of the College’s Financial Plan. This includes account level, fund level, and campus-wide budgets.

D. Timely projection of the College’s personnel services budgets, including regular (i.e. full-time) personnel (PSR) and temporary services personnel (TS), for the next fiscal year.

Analyze TS spending within the Academic Affairs division, focusing on departmental adjunct spending

Separately account for adjunct spending that is directly related to backfill for a full-time vacancy

Work w/ VPFA and Provost’s Office (Deans and administrative staff as required) to develop individual departmental budgets for adjunct TS using spending and enrollment data

Work w/ VPFA, Provost and Deans to develop parameters within which dept. chairs can manage their dept. TS funds

Provide dept. chair training in viewing TS activity & balances in SMRT

Spring 2013 Space & technology for TS/SMRT training

Budget Director (BD)

Revised adjunct TS budget for FY13/14, moving from a divisional level “pooled” budget to individual departmental level budgets; measured by % of allocation shifted from “pool” to departmental budgets

Increased departmental “ownership” of TS budgets, resulting in more controlled adjunct spending; measured by estimated TS spending v. 3-year historical average (note: cannot measure actual spending until close of fiscal year in September ’13)

Improved transparency of Academic Affairs TS resource allocations, measured by extent to which departmental budgets are utilized as allocated

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Goal 2. Effective, responsible, and strategic budget execution and monitoring for the College’s State, IFR, DIFR, SUTRA and other appropriated funds.

B. To monitor major categories of campus-wide expenditure activity relative to resource allocation in order to identify potential surplus or deficit situations

Review monthly central service area budget adjustment process for potential process efficiency gains

Spring ‘13 BD, Agency Program Aide

(APA)

Monthly process of adjusting central service area budgets for changes in departmental recharge allocations will be modified as indicated by the review to maximize efficiency and effectiveness of the process

C. To assist in the implementation of mid-year budget adjustments (increases or decreases) as required due to changing internal and/or external fiscal environment or budget conditions, or other factors

Compile information from 2011-12 Academic Dept. Budget Requests (ADBR)

Analyze requests in conjunction with existing OTPS/Recharge budgets, staffing levels over time, & program enrollment data

Review w/VPFA, Provost, Deans

Budget allocation decisions to be made within Academic Affairs

Implement results of budget allocation decisions in 12/13

Fall ‘13 BD Mid-year recurring budget adjustments for academic budgets will be implemented by Fall 2012

Academic departments’ OTPS/Recharge budgets will be better aligned with staffing levels; measured by $/FTE in adjusted budget v. prior ratio

Academic departments’ OTPS/Recharge budgets will be reflective of program enrollment trends over time; measured by $/ student enrollment

D. To provide cont. support, assistance, and training to account mngrs in executing their temporary personnel services (TS), other-than personnel services

Under the direction of the Provost and in conjunction with Employee Services, develop a basic administrative process training for Academic Department Chairs, to

Spring ‘13 BD Improved understanding of departmental budget management for Academic Chairs, measured by feedback from chairs

Fewer after-the-fact payroll expenditure transfers

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(OTPS), and recharge budgets, as needed or requested. Where necessary, this will include training related to the TS encumbrance system in Banner & SUNY Management Resource Tool (SMRT)

include training in departmental budget administration

Implement training for chairs, and potentially Academic Dept. secretaries.

and other corrections due to incomplete or erroneous information received from departments for TS appointments

Goal 3. To provide budget reporting services as required at all levels of the College’s financial management process (i.e. from account manager level to Cabinet level). This includes regular required reporting as well as ad hoc reporting requests.

A. To provide accurate and timely reporting of budget information as requested and required by SUNY System Administration. Where possible, make strategic use of the information gathered and reported in these SUNY reporting exercises.

Develop workable spreadsheet model for State Purpose, IFR and SUTRA disbursements by month

Incorporate fund-level disbursement model into comprehensive fund-level revenue & disbursement projection to ensure year-end cash balance is within SUNY draft cash reserve policy limits

Spring ‘13 BD, Budget Analyst (BA)

Model for state purpose disbursement projections will be developed and usable for Fall ’13 SUNY cash disbursement projection requirement

Additional fund projections will provide useful data for inclusion in fund-level revenue & disbursement projection model

Projection models, once developed, will standardize the projection process going forward, improving efficiency in Budget Reporting

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C. To develop new or improved reporting methods in order to accurately, efficiently, and effectively convey financial data and financial status at all levels of Campus financial management.

Working with Director of Accounting, analyze current Chart of Accounts structure, focusing on NACUBO function codes

Determine if accounts fall within appropriate functional codes

Implement indicated changes by requesting new accounts or moving account activity to different account or sub-account

Spring ‘13 BD Improved accuracy of financial reporting based on NACUBO function codes; measured by # of accounts moved across functions in Chart of Accounts

Improved transparency of resource allocations as related to NACUBO functions, measured by fewer reporting adjustments needed to capture correct functional designation

Improved alignment of financial activity with functional purpose, measured by level of resources shifted between acct function codes

Chart of Accounts will be a more strategically oriented reporting mechanismGoal 4. To continue efforts to improve the use of technology in the Budget Office to make operations more effective and efficient

A. Explore the development of database and other technological budgeting tools.

Using IFR spreadsheet developed for tracking cash balances (see 2011-12 plan outcomes, goal 2, obj. F), develop a database application for IFR account budgets

Spring ‘13 Up-to-date technology incl. most recent versions of Microsoft Off. products; may need funding for technology training costs and related travel

BD, Sr Budget Analyst (SBA)

Basic prototype for in-house IFR database budget system

Improved level of efficiency in IFR budget development, projections, monitoring, and reporting

Improved capabilities for rolling up account level data to fund level

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Supplemental 12/13 Action Plan TableFor planned activities that are not part of the 12/13 Assessment Plan


CompletionDate

Resources Required



Actual Outcome

Goal 1. To develop informed, strategic, and timely budgets at all levels of the College’s Financial Plan. This includes account level, fund level, and campus-wide budgets.

A. Working under the direction of the Vice President for Finance and Administration (VPFA), assist in Cabinet’s development and implementation of a data-driven and strategic decision-making model. Efforts will include research and investigation of relevant financial metrics.

Assist in the implementation of the first round of the Strategic Allocation of Resources process

Work with Budget Advisory Committee to continue process detail development

Compile and analyze data as needed to support the process

Determine appropriate funding sources for resources allocated by the process

Distribute funding resulting from process awards in the FY13/14 Financial Plan

Work with BAC to develop appropriate reporting method to share funding results with campus community

Summer 2013

Budget Director,

Budget Staff

Materials for distribution to campus will be fully developed and distributed per StAR timeline

Details regarding process implementation will be developed and used in accordance with process timeline

Compilation of requests and supporting data received will be completed in accordance w/process timeline

Available funding sources will be reviewed w/ VPFA

Appropriate funding sources for approved projects will be determined in time for FY13/14 Financial Plan finalization

Funding for approved projects will be distributed in FY13/14 campus financial plan as appropriate

Reporting mechanism for sharing results of StAR process funding will be developed

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B.To develop College’s overall Financial Plan, annual Form 1, and other SUNY system inputs for submission to System Admin. prior to the start of new fiscal year & in accordance with schedule developed in Objective A.

Review internal budget development timeline relative to StAR process timeline

Where possible, modify budget development timeline as needed to accommodate StAR process

Fall 2013 Budget Director,

Budget Staff

Updated budget development timeline and budget development process will be implemented for FY13/14 budget development cycle

Goal 2. Effective, responsible, and strategic budget execution and monitoring for the College’s State, IFR, Dorm IFR (DIFR), State University Tuition Reimbursement Account (SUTRA) and other appropriated funds.

C. To assist in the implementation of mid-year budget adjustments (increases or decreases) as required due to changing internal and/or external fiscal environment or budget conditions, or other factors.

(NOTE: THIS ITEM OVERLAPS W/ GOAL 1 OBJECTIVE B To develop the College’s overall Financial Plan, annual Form 1, and other SUNY system inputs for submission to System Administration prior to the start of a new fiscal year and in accordance with the schedule developed in Objective A.)

Assess the impact of the mid-year SUNY Resource Allocation Methodology 2012-13 “shadow budget” to be provided by System Administration

Assess the impact of the new SUNY RAM on the 2013-14 Campus Financial Plan

Spring 2013 Budget Director

Report to VPFA the impact of changes in the SUNY RAM

Report to the BAC the impact of changes in the SUNY RAM

Working with the BAC, report anticipated impact of SUNY RAM on the FY13/14 Campus Financial Plan

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Goal 3. To provide budget reporting services as required at all levels of the College’s financial management process (i.e. from account manager level to Cabinet level). This includes regular required reporting as well as ad hoc reporting requests.

C. To develop new or improved reporting methods in order to accurately, efficiently, and effectively convey financial data and financial status at all levels of Campus financial management

Identify improved means/methods of reporting consistent staffing level data for various audiences, collaborating w/ Employee Services as needed for data verification

Spring 2013 Budget Director

Accurate, reliable staffing trend by department/unit information provided in a standardized reporting method

Goal 4. To continue efforts to improve the use of technology in the Budget Office to make operations more effective and efficient

B. Work with System Administration counterparts to explore and develop a SUNY-wide financial Business Intelligence system.

Participate actively in SUNY Finance BI development initiative, as guided/directed by ABB/System Admin work group.

ongoing potential travel costs

Budget Director

Continued involvement in development of SUNY-wide Financial BI tool

Develop meaningful BI dashboards for expenditure, revenue and disbursement information that provide strategic information for campus management

Develop meaningful BI dashboards for expenditure, revenue and disbursement information that provide useful operational information for campus financial operations management

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Section III: Summary and Conclusion

Looking ahead to 2012-2013, the Budget Office will continue to provide financial information as needed to President Kleniewski, her Cabinet, and the Budget Advisory Committee, as they review the College’s financial status and direct the College’s future path. Under the direction of the VP for Finance and Administration, we will work with the BAC to carry out the first year of the StAR process, which will surely be an exciting and challenging endeavor.

Additionally, we look forward to working with our colleagues across campus and across SUNY on collaborative projects and in fulfilling their budget reporting needs. Our staff’s work on, and involvement with, various committees and activities both across campus and across SUNY will continue to provide Budget staff with insight as to “what’s going on” in both worlds so that we can better serve our constituents and achieve our goals and objectives.

In summary, we expect the 2012-13 year to, as always, be a busy and productive year. We will strive to accomplish the goals listed above while maintaining effective and efficient office operations in carrying out our regular operational functions. With the development and implementation of a new SUNY Resource Allocation Methodology, the Budget Office will work closely with campus administration and the BAC to maintain its positive fiscal condition and make room for new investments in our future. The work ethic and commitment to excellent service exhibited by Budget Office staff will once again get us through what will likely be another demanding year.

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Foundation Finance OfficeDiane Van Buren, Director

Section I: Summary of Departmental Accomplishments & Outcomes Fiscal 2011-2012 was a very busy and productive year for the Foundation Finance Office. Staff had been reduced the prior year and we began the year as a two person office.

Our year begins with the Foundation’s annual audit which is one significant measure of our successful management and accounting of Foundation assets. The audit is also needed for several internal and external reporting requirements and, therefore, needs to be accomplished by the end of August. The Audit is performed by The Bonadio Group, an outside accounting firm and the final Audit report is one that we strive to achieve an Unqualified Opinion. An Unqualified Opinion means that no major issues were identified in terms of our accounting processes, reporting, compliance with the many Foundation policies, internal controls, and our system of checks and balances. The College at Oneonta Foundation audit of the financial statements for 2011-12 produced an Unqualified Opinion, no management comments, and, unlike prior years, required no audit adjustments be made to the records we submitted.

Once the Audit was completed, it and the IRS Form 990 have to go through Foundation Board review, revisions when needed and approval, a process entailing meetings of the Audit Committee, the Bonadio Group and the full Board. An Audit Timeline is created prior to the beginning of the audit. We were successfully able to meet the many deadlines involved and submitted all documents in a timely manner.

The Foundation Board asked the auditors to also perform more in-depth reviews of four different Foundation functions over a four year period of time. The purpose of these reviews is to examine these areas more thoroughly than is accomplished via the audit. Internal controls are important to have properly in place and the in-depth reviews were one way of having our processes and procedures examined for any internal control weakness. The first function to undergo review was the Investment Function. The Bonadio Group performed the review in November and December of 2011. The auditors presented their findings to the Audit Committee January 2012, detailing the records and procedures that were examined. The auditors also contacted the Foundation’s bank custodian to ensure Foundation records matched bank records in terms of investments made. The auditors found no issues in their review of the Foundation’s Investment Function.

The Foundation Finance Office plays an integral role in the Scholarship awarding process. The scholarship amounts are determined by the annual spending allocation which is approved by the Foundation Board annually. Once that spending allocation is determined, many offices and departments work together, via the Scholarship Committee, to ensure scholarships are awarded per donor wishes. In the past, the process has become cumbersome and inefficient and was identified as one that needed significant revision. At the same time, it became a priority to try and align all College scholarship resources, where appropriate, with Admissions and recruitment efforts. The Scholarship Committee includes staff from Foundation Finance, College Advancement, Student Accounts and Financial Aid; and Admissions was added. As a result of staff changes over the past several years, there were new people involved. The Committee emphasized the identification of the inefficiencies and loopholes in the process. After several meetings, the Committee successfully worked on new procedures, identified resources that had not been used before and created a cohesive, working relationship between the various offices. Going forward, we expect a much more expeditious scholarship awarding process.

For the current year-to-date, scholarship awards totaling $1,264,750 has been distributed to 948 students.The Foundation Finance Office supports the Foundation Board, the Finance Committee and the Audit Committee by providing timely and accurate investment and accounting reports to all meetings. Additionally, the Foundation Finance Director attends all such meetings, presents relevant financial reports, and answers any questions that arise from Board members.

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The Foundation Finance Office continues to support the Alumni Association with specific financial functions. Beginning with last year, efforts are to turn over many functions to the Alumni Association and most functions have been successfully turned over.

Throughout the year, we have continued to work on developing our monthly processes. As there are few software resources that handle the special accounting needs college foundations have, Excel spreadsheets have been and are used to create and maintained for many different reports, internal and external. As Excel upgrades and changes in report needs occur, this is a very inefficient method to use over time and has led to many errors. We have worked directly with our auditors and bank custodian to find methods that would improve inefficiencies. We are in the early stages of researching endowment management software products that are compatible with Banner.

The Foundation’s Investment Pools are overseen by the Foundation Board, the Finance Committee and the Investment Subcommittee. We are fortunate to have volunteer Board members with investment and/or business expertise and commitment to the Investment Pools’ goals and objectives. The stock and fixed income markets have become increasingly volatile, and the vision and direction provided by Board members is invaluable.

The following table illustrates investment returns for the participants of the NCSE-NACUBO Commonfund Study of Endowments for the year ending 06/30/2011:

Foundation Investment Pool

Year Ending 06/30/2011

3 Year Annual Return

5 year Annual Return

10 year Annual Return

Total Return

22.23% 4.51% 4.51% 4.80%

vs. Composite Index

16.29% 0.52% 1.82% N.A.

NCSE ResultsTotal Institutions

19.20% 3.10% 4.70% 5.60%

$25-50 mil Category

17.60% 4.60% 5.20% 4.90%

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Foundation Financial Management Office12/13 Assessment Plan

Goals and Objectives Summary

Goal 1: To Provide accurate and timely financial stewardship of the College at Oneonta Foundation Assets

Reference to Six Pillars: Teaching, Learning, & Scholarship

Objective A: to identify and meet due dates for tasks, processes, and internal and external reports Objective B: to utilize the Banner Feed to Finance and other IT resources to maximize the efficiencies of our processes and procedures

Objective C: to close each fiscal year in a timely manner and move into the new fiscal year

Objective D: to monitor growth and change in each staff member’s work load, with special consideration given to impact of the Banner Feed to Finance and the reduction of office staff from three to two

Goal 2: To utilize technological resources to efficiently manage the College at Oneonta Foundation assets.

Reference to Six Pillars:

Objective A: to identify and implement technological resources to improve efficiencies of our processes and procedures.

Objective B: to transition the Foundation Finance Office’s reporting processes from paper to electronic forms of data transmissions wherever possible.

Objective C: To coordinate Staff’s use of the Foundation’s Shared Drive to eliminate duplication of reports.

Goal 3: To effectively manage the Investment Pool and to achieve the long term objectives as defined in the Foundation’s Investment Policy Statement

Reference to Six Pillars:

Objective A: To create and implement a checklist to monitor the Investment Pool to ensure compliance with the Foundation’s Investment Policy Statement

Objective B: To continue quarterly Investment Subcommittee meetings for purposes of reviewing the Asset Allocation Model

Objective C: To refine the investment analysis process for equities and fixed income.

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Goal 1: To provide accurate and timely financial stewardship of the College at Oneonta Foundation assets


CompletionDate

Resources Required



To monitor growth and change in each employee’s work load, with special consideration given to changes of responsibilities due to the Banner Feed to Finance and the reduction of office staff from three to two.

A. To analyze change in workflow and reassign responsibilities where appropriate

A. 06/30/2012 A. A. Director A. To receive an Unqualified Audit Opinion including a clean report from Auditors internal controls, checks and balances.

A. Audit is performed in July/Aug 2012 – hence the outcome is yet to be determined. Anticipate Unqualified Audit OpinionB. Banner Feed to Finance has eliminated double entry of most data, resulting in times saving for the Finance Assistant. C. Monthly balancing and closing process has become much more streamlined and is accomplished much more quickly than in the past (reduced from 2 months to being done within one month)D. Providing up-to-date reports to the Foundation Board and relevant committees, College Advancement and Fund managers.

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Goal II: To utilize technological resources to efficiently manage the College at Oneonta Foundation assets


CompletionDate

Resources Required



1. To utilize technological resources to maximize financial management efficiencies

A. A. To enter new Foundation Finance Code on to the Banner System for all Foundation funds. Once implemented, to work with College Advancement, Financial Aid and other relevant offices to review and revise the Scholarship Awarding process so that it is much more efficient than in the past

A. 06/30/2012 A. A. Director

B. Finance Assistant

C. Director of Advancement Services & Donor Relations

D. Student Scholarship Coordinator

A. To recreate the Scholarship Awarding process from an inefficient, multi-spreadsheet based system to one that primarily utilizes Banner data.

B. To reduce the number of errors that we currently experience in this process

.

A. Codes entered. B. Scholarship Committee,

which is staffed by the Person(s) Responsible, and Admissions staff person, met regularly to specifically identify why mistakes and oversights were occurring, with emphasis on unawarded monies. Foundation Finance office was able to provide the initial scholarship data earlier in the year. The Committee was given read-only access to a Financial Aid report that holds most of the data needed, in one spreadsheet. There were substantially fewer instances of unawarded funds as compared to prior yr.Project continues into 12-13 to refine the process & document it for future guidance and use. Looking into Endowment Management Software to provide greater efficiencies, less dependency on Excel spreadsheets.

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Goal III: To effectively manage the Investment Pool and achieve the long term objectives as defined in the Foundation’s Investment Policy Statement.


CompletionDate

Resources Required



1. Create a checklist to monitor the Investment Pool to ensure compliance with the Foundation’s Investment Policy Statement

A. To work with the Foundation’s external auditors to review the entire investment process, to review the Investment Policy Statement, to identify any weaknesses and to create checklist.

A. 01/31/2012 A. A. Director A. Checklist created and implemented.

A. Checklist created and implemented.

B. Auditors performed Investment “Agreed Upon Procedures”, the purpose of which was to identify weaknesses and/or inconsistencies the investment activities and reporting functions overall, as well as relative to the Investment Policy Statement. The Auditors’ report on the review identified no weaknesses and confirmed that our current practices, procedures, etc. are in compliance and working well.

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Provide a short description of how action plan outcomes will be used for future planning (see IAC Guidelines Step IV: Using Outcomes to Plan)

Goal 1, Objective 2 – To monitor growth and change in each employee’s work load with special consideration given to changes of responsibilities due to the Banner Feed to Finance and the reduction of office staff from three to two.

The expected outcome is to receive an Unqualified Audit Opinion. The Audit is not conducted until after the year ends. We have worked with the Auditors throughout the year as we have changed accounting procedures, eliminated reports and processes that have become obsolete, and revised the quarterly mark-to-market process to a monthly one. These changes have contributed positively to our office as each of our workloads has been improved by these actions, giving us the capability of performing what used to be the work of three people.

Fiscal Year 2010-2011 was the first full year of using the Banner Feed to Finance. Until the Audit was performed last summer, we didn’t have feedback as to the success of the Banner Feed to Finance. Once we had the feedback, the Auditors helped us tweak our process by identifying how to account for deposits in transit.

We have continued to turn over Alumni Association responsibilities to the Alumni Association. In the past, the Foundation Finance Office had handled a great deal of the Alumni Association’s financial needs. As Alumni has grown and changed, they have the capability to handle the financials internally. We anticipate that during 2012-2013, the transfer of responsibility will be complete.

These changes have contributed positively to our office as each of our workloads has been improved by these actions, giving us the capability of performing what used to be the work of three people. A major outcome to this objective is that we beginning to research Endowment Management Software. As we plan for future growth, such software could automate many (thousands) of transactions resulting much higher levels of efficiency than can be currently achieved.

Goal II, Objective 1 – to utilize technological resources to efficiently manage the College at Oneonta Foundation Assets

We focused this year on examining and revising the Scholarship Awarding Process. In the prior year, we had identified scholarship monies that were unawarded, which is unacceptable. Based upon personnel reductions and changes, it was a good time to go through such a review. The Scholarship Committee is comprised of staff from Foundation Finance, College Advancement, Financial Aid, and Student Accounts. Each office plays an important part in the awarding process. It was also determined on a higher level, that scholarship monies could be identified to be used more successfully by the Admissions Office’s recruiting efforts. The Committee met several times and made many improvements to the process. One improvement is that Financial Aid has a Banner report that consolidates almost everything needed in one place; and all committee members were given the ability to access that on a read-only basis. Another improvement was learning about reports that Student Accounts generate that would identify scholarship monies that had been awarded, then un-awarded. This can happen because a student leaves college or because a student may no longer meet the criteria of the scholarship. In the past, the change in award status was not communicated to the other offices involved; and the monies went unawarded.

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The major outcome to our work this year was that we reduced the dollar amount of unawarded funds to almost none. Another was the timing of College Foundation scholarships were aligned more closely with the needs of the Admissions and Financial Aid offices.

Goal III, Objective 2 – Creating a checklist to monitor the Investment Pool to ensure compliance with the Foundation’s Investment Policy Statement

The Foundation’s Auditors, The Bonadio Group, performed an Agreed Upon Procedures (“AUP”) review of the Investment component of the Foundation Finance Office. This entailed a review of the Investment Policy Statement, By-Laws referencing investments, and the activities of the Investment Subcommittee and Finance Committee. The Auditors also verified that activities recommended by the Investment Subcommittee were followed up on in a timely manner and that the current checklist incorporates all that is needed. The Auditors’ findings were that we were in compliance with all of the above, and there were no issues to be raised.

The outcomes were that the current checklist was updated to reflect changes in the By-Laws and Investment Policy Statement and confirmation of investment related activities being handled correctly. As we move forward, there are three more AUP’s planned to review other areas in Foundation Finance. By ensuring compliance with the By-Laws and Investment Policy Statement, the Foundation is preserving its integrity which enhances the ability to attract donors to the Foundation.

All outcomes, all assessment plans are shared with the Foundation Finance Office’s Finance Assistant and she has the opportunity to provide input as well.

On the following page is Action Plan Template for the three objectives which we are focusing for FY 12-13.

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Goal: I. To provide accurate and timely financial stewardship of the College at Oneonta Foundation AssetsObjective Actions/Strategies Target

CompletionDate

Resources Required3

Person(s) Responsible4

Expected Outcome Actual Outcome

2. To identify and meet due dates for tasks, processes, and internal and external reports.

A. Focusing on the month end balancing process which needs to be finished earlier in order to provide Foundation Board and Finance Committee with financial data that is as up to date as the investment data.

A. 06/30/13 A. A. Director A. To provide accurate and timely information for all constituents

A.

Goal: II. To utilize technological resources to efficiently manage the College at Oneonta Foundation AssetsB. To transition the Foundation Finance Office’s reporting processes from paper to electronic forms of data transmissions wherever possible.

A. Fund Managers reports – the procedure needs to be revised to be more user-friendly and accurate.

B. To explore the options that may be available given that the Foundation’s bank custodian changed to a new portfolio management software. Specifically, data import & specialized investment reports.

A. 06/30/13 A. A. Director

Finance Assistant

A. Accurate and timely Fund Manager Reports generated by user-friendly system. B. Providing the Foundation Board & Finance Comm. with pertinent investment detail adding value to the investment decision making process.

3 A unit should only include “Resources Required” for an action/strategy if those resources exceed existing allocations and workload and if it has determined that the resources are available to implement the action/strategy. 4 Units should consult with individuals from other units before designating them as a partner in implementing an action/strategy.

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Goal: III. To effectively manage the Investment Pool and achieve the long term objectives as defined in the Foundation’s Investment Policy StatementC. To continue quarterly Investment Subcommittee meetings for purposes of reviewing the two Asset Allocation Models (current practice is to hold a meeting IF the Asset Allocation Model illustrates a need for activity)

A. To include the Investment Subcommittee in the current stream of quarterly committee meetings. It should be scheduled prior to any Finance Committee Meeting.

A. 01/31/13 A. A. DirectorB. Foundatio

n Executive Director.

A. The benefits from holding the Investment Subcommittee meeting quarterly is that the flow of investment info from Investment Sub. to Fin. Comm. to Board would be consistent & continuous.

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As we move forward, we will continue to focus on finding efficiencies in all aspects of the Foundation Finance Office. We expect that the 2011-12 Audit will reinforce that we are on the right track in terms of improving our procedures and processes. We have successfully handled yet another challenging year but we need to continue to minimize our dependence on spread-sheeting and to automate as many transaction types as possible. As the Foundation’s newest campaign begins, we need to be prepared to handle higher numbers of transactions and reports. Thus, our preliminary work examining endowment management software could prove to bring great value to the long term needs of our office by automating most aspects of Foundation accounting and investment record keeping and reporting, regardless of size of Foundation assets.

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Information Technology ServicesKarlis Kaugars, Chief Information Officer


Information Technology Services is a newly formed area under the Division of Finance and Administration created through the combination of Academic IT, Networking, the Computer Center and Telecommunications. This has been a transformational year. Guided by the recommendations of the IT Services Workgroup report of March 2011, IT Services has reorganized into five departments: Customer Service, Applications and Servers, Networking and Telecom, Applications Research and Development and the Teaching, Learning and Technology Center. As part of the reorganization, we have: hired a CIO; built a leadership team composed of five department directors and the CIO; written a strategic plan for IT services; initiated a comprehensive review of the IT infrastructure and began development of a long-term plan for maintenance and improvement; proposed a reorganization of the governance structure of IT to include students, faculty and administrative staff; adopted a new logo and built a new integrated website reflecting our new organizational identity.

ServiceThe mission statement of IT Services can be summed up as “Excellence in Service”, and we have continued the tradition of excellent service to all members of the campus community. As part of our reorganization efforts, we formed a new department of customer service and conducted a review of how we provide services to faculty, staff and students at the college. We re-organized our customer support staff in an effort to provide the best possible service to all IT users on campus. During the period of July 1 - May 29, a total of 10,480 helpdesk tickets were processed by IT services staff and 10,586 phone calls were answered at the helpdesk. The staff of the customer support department handled 1,324 equipment sign-outs and helped 3,740 students register their personal devices on the network during the fall blitz.

We have continued our strong tradition of faculty and student technology consultation through the TLTC and the TIPS program. The TLTC conducted 327 individual faculty consultation sessions, while TIPS helped another 87 faculty and 307 students make effective use of the software provided by the College. The Applications Research and Development area was formed to further enhance our service to the college community and has, in the first two months of existence, started work on twelve new projects in direct support of the faculty, staff and students of the college including the investigation of electronic signature systems, development of an information kiosk system for FYE and investigation of a project financial accounting system for Facilities.

The Applications Support staff also continued their strong tradition of superior support for our Banner system users during the 2011 / 2012 year. They coordinated a major system upgrade while maintaining exemplary service and support to all customer areas without negatively impacting important functional area deadlines. This excellence extends to the national level where Senior Programmer Rob Brown, collaborating with members from the Registrar’s Office, co-presented a seminar at this year’s SunGard Summit conference to rave reviews.

IT services continues to be involved in campus life – we play a strong supporting role for many campus events, setting up technology for 602 different events on campus, supporting special facilities such as the planetarium and providing poster printing services for the faculty and student research show. We host technology events on campus such as the “Java Java” series of Friday morning technology demonstrations, the Teaching Breakfast series and the teaching with technology session at Life of the Mind event. Our staff actively participates in many campus governance bodies & volunteer opportunities such as middle states accreditation process, supporting academic master plan task force, service on a variety of college committees, senate and as ticket takers at commencement.

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TechnologyAs the pace of technology change accelerates and new opportunities for improved IT services continue to emerge, ITS continues to deploy new systems and services to the campus community. This year, IT Services began development of a business intelligence system in support of our administrative users with the purchase of an institutional data self-service reporting tool and a data-mart system. At the other end of the user spectrum, we have begun a student virtual desktop pilot project, potentially allowing our students to use campus-owned software on their own personal devices, with the potential payoff of reduced computer lab space and equipment requirements.

As we have worked to formalize our project management process, we have been building a list of active projects, which currently contains 162 projects – a few at the level of tasks requiring only a few days to complete, a few large programs which may take years to complete, and the rest scattered between these two extremes. Other highlights of our theme of delivering the best possible IT environment for our users include:

Deployment of a mobile interface for our learning management system Development and deployment of a new web conferencing system Upgrades to the A/V technology in 41 classrooms, new A/V installations in four classrooms, and four

new installations in Morris hall. Deployment of 152 new systems into the lab environment. Upgrades for 64 faculty and staff desktops Evaluation of tablet PC’s and iPads for work order systems Consolidation of PINS/Passwords to unify login processes for most services Implementation and automation of electronic Perkins, TAP/NYS grants and college work study processes Movement of direct loan general paper mailings to electronic form – 3,388 mailings converted to

electronic form since August 16, 2011

InfrastructureThe third component of IT services on the campus is the infrastructure used for communications and service provision. Although less directly visible to the campus community, all of our services depend on the presence of a current, robust and highly available IT infrastructure. The long-term plans for our infrastructure continue to develop, and we plan to have initial documentation available by the start of the fall semester.

With the merger of IT into a single organizational structure, we have begun the process of unifying our data center hardware and software platforms with the goal of establishing data centers with service migration capability to improve responsiveness and increase business continuity. In response to user demand for greater server storage space along with the new requirements for the data warehousing and student VDI projects, we have significantly expanded the amount of server storage, upgraded 16 servers, moved our student information system to Linux and installed a new dedicated storage communication path between the two data centers.

We have continued to improve the network connectivity on the Oneonta campus, upgrading the network switching infrastructure in four buildings and installing new inter-building fiber connections to variety of residence halls and administrative buildings. In response to student demand, we have increased bandwidth to the internet by 30% and are working with ION Corp. to establish a secondary link to the internet and improve network connectivity to the Cooperstown campus.

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Information Technology Services 12/13 Assessment Plan

Goals and Objectives SummaryThe IT Services strategic plan was created during the Spring 2012 semester to reflect the overall priorities of the new, merged area. The plan was guided by the leadership team of ITS and created with the input of all members of the ITS organization. A full description of each of the objectives of ITS is available online at http://www.oneonta.edu/its/cio/goals.asp , while a narrative description of the mission, vision and values of ITS can be found at http://www.oneonta.edu/its/cio.

Goal 1: Provide exceptional support for technology users at the college.Objective A: Continually improve resolution times for technology issues.

Objective B: Help departments create a powerful electronic presence that enhances learning and promotes the college.

Objective C: Provide a comprehensive technology training program.

Objective D: Continually improve communication with our faculty, staff and students regarding our services and achievements.

Objective E: Promote discovery and development by faculty, staff and students.

Objective F: Help leverage information technology to improve college operations.

Objective G: Embrace and evaluate emerging technology within IT.

Goal 2: Create and support a robust IT environment for the college.Objective A: Provide a current and reliable IT infrastructure for the needs of the college.

Objective B: Ensure the security, confidentiality, integrity and availability of college-hosted data and systems.

Objective C: Adopt appropriate methods to improve sustainability.

Goal 3: Create and enhance IT partnerships that are beneficial to the college.Objective A: Continually improve collaborative IT steering structures to aid in the decision-making process.

Objective B: Leverage relationships with vendors.

Objective C: Engage with local schools, non-profit organizations and businesses.

Objective D: Support IT staff community service opportunities.

Goal 4: Provide for a positive, collaborative and progressive IT work environment.Objective A: Promote continuous IT staff development.

Objective B: Actively collaborate with other IT organizations within SUNY.

Objective C: Enhance our external reputation for IT innovation.

Objective D: Improve IT staff work-life balance and workplace satisfaction.

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http://www.oneonta.edu/its/cio

http://www.oneonta.edu/its/cio/goals.asp

Relationship to the six pillarsThe mission of IT services can be summarized by the phrase “Excellence in Service”. As a support organization for the College, we provide some support for all six of the pillars and play a major supporting role for several:

Teaching, Learning and ScholarshipIn our role as innovators and strategic partners we are responsible for examining technology innovations and communicating with the college community about these innovations. In this role we help drive progress in teaching and learning, and this is reflected in objectives 1B, 1D, 1E and 1G.

In our role as infrastructure support personnel and troubleshooters, we enable the college community to focus on their role as teachers, learners and support staff without having to spending their time installing software, connecting machines or performing tasks which can be automated by leveraging IT or making duplicate teaching plans depending on the availability or absence of classroom technology. Our role as “time-savers” is reflected in objectives 1A, 1F, 2A and 2B.

As members of the college community, the staff of ITS is also a community of learners and teachers, we strive to keep up-to-date with the latest developments in information technology and developing innovative applications of IT. We seek opportunities to collaborate and engage with everyone in the college to better understand their IT needs and work to support those needs. Our roles as teachers, learners and collaborators are reflected in objectives 1C, 3A, 4A, 4B and 4C.

Community EngagementOur support for community engagement revolves around two communities: the Oneonta area community organizations such as schools and volunteer organizations and the community of SUNY. Engagement with the Oneonta community is reflected in objectives 3C and 3D, while our engagement with the other members of the SUNY community is reflected in objective 4B.

SustainabilityIT maintains and supports most if not all of the electronic equipment on the campus, and this equipment uses substantial electric resources, either directly through power to the desktops, laptops, tablets and servers or indirectly through the increased cooling costs imposed by waste heat generated by our equipment. Minimizing our energy footprint is directly addressed in objective 2C.

The services provided by the IT area also have sustainability benefits of an indirect nature – for example, one of the projects related to objective 1F (Help leverage information technology to improve college operations) is to assist Facilities in the replacement of electronic electricity meters with new, state-of-the-art units which can be monitored more easily and provide enhanced functionality.

Other objectives support overall college sustainability – objective 3B is targeted to reduce the costs of ongoing hardware and software maintenance, while objective 4D is targeted to maintaining a positive and energized staff. Both have significant sustainability impacts, one in terms of financial resources and the other in terms of personnel resources.

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11/12 Assessment Plan Action Plan Table

The restructuring of IT services fundamentally changed our organizational identity and as a group, the staff constructed a new strategic plan. Our previous assessment plan was (in keeping with the guidance previously received from the institutional assessment committee) focused on very narrow issues pertinent to the individual departments. Combined with a mid-year organizational change, ITS made the decision to abandon the previous assessment measures and move to a more holistic evaluation of IT services. The primary tool used for this purpose was the TechQual+ survey. Complete results of the survey are available online at http://www.oneonta.edu/its/cio/techqual2012.asp.

For each survey item, the respondents identified a minimum, desired and current service level on a 1-9 scale. Ratings below the minimum service level can be considered “dissatisfied”, values between minimum and desired can be considered “satisfied” and values above the desired service level as “very satisfied”. We asked everyone at the college to complete the survey, and grouped results based on the respondent’s role within the college.

The survey asks 12 questions broadly grouped into 3 categories: “Connectivity and Access”, “Technology and Collaboration Services” and “Support and Training”. For each question, we had 7 groups of respondents: teaching faculty, adjunct faculty, non-teaching faculty, CSEA staff, administrators, commuter students and resident students. We therefore get 28 (7 groups x 4 questions) performance indicators per question group.

Connectivity and Access was the highest-performing group, with 23 / 28 answers in the “satisfied” range. The unsatisfied groups and questions in this area were:

(question 2) Fast internet service: teaching faculty and resident students (question 3) Wireless coverage: non-teaching faculty, CSEA staff and resident students (question 4) Mobile device connectivity: CSEA staff

Technology and Collaboration Services was our lowest performing category, with 14 / 28 answers in the “satisfied” range. The category asks two questions about the web site – only the resident students were satisfied with the website’s ease of use (question 5) and only the resident and commuter students were satisfied with access to the websites using mobile devices (question 6). On the other two questions in the group, availability of collaboration tools (question 7) and technology in classrooms and meeting spaces (question 8), only the teaching faculty were dissatisfied.

In between these two extremes was the support and training group. Overall, we received 20 / 28 “satisfied responses in this group. The dissatisfied respondents by question were:

(question 9) Courteous and knowledgeable support staff: non-teaching faculty and CSEA staff (question 10) Timely resolution of problems: teaching faculty, non-teaching faculty, administrators

and resident students (question 11) Timely communications: adjunct faculty (question 12) Training: non-teaching faculty

In addition to the quantitative scales, the survey offered respondents the opportunity to comment on each question. A total of 783 comments were entered into the survey, and the IT directors team analyzed all of them to identify common themes and actions needed to improve service.

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http://www.oneonta.edu/its/cio/techqual2012.asp

Peer ComparisonParticipating in the TechQual survey gives us access to comparison data from peer institutions. Interestingly, for every question other than the first two (reliable Internet service and fast Internet service) our survey respondents had higher minimum expectations than respondents at our peer institutions. The academic literature on this type of survey instrument repeatedly notes that the minimum expectations are a function of current service levels, i.e. the better the service level, the higher the expectation of future service. Given this observation, one can reasonably conclude that we have generally outperformed the IT staff at our peer institutions.

The one area where our data showed nearly universal dissatisfaction was question 5, “Having campus Web sites and online services that are easy to use.” The peer institution data show the same pattern, with overall rating on this question below minimum service expectations. There is a general trend among higher education institutions to move the main website towards a marketing and recruitment tool and separate out the functions of internal information distribution. This change has disrupted the usual pattern of use for internal users which has caused widespread discontent. The deployment of portal services has been only partially successful at alleviating this level of discontent.

Question 8 asks about technology within classrooms and meeting areas, and the IT staff was quite surprised with the poor rating given by the teaching faculty on this question. However, the peer institutions as well as other group data show that while our teaching faculty have a current level of service rating roughly the same as their peers, they have a much higher expectation of service than our peer institutions.

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11/12 Closing the Loop NarrativeAreas for improvementGiven the responses on the TechQual survey, our respondents appear to feel that the following list represents the things we need to work on over the coming year in priority order based on the number of groups dissatisfied with our current level of service: Websites and online services – ease of useWebsites and online services – mobile access

1. Timely resolution to problems2. Wireless Internet coverage3. Internet speed4. Helpful staff

Analysis of the comments revealed the following, smaller, discrete items which we need to address over the coming year:Networking

Increase user satisfaction with Internet service Increase wireless availability and coverage

Mobile Devices Make Web Services accessible by Mobile Devices Investigate making myOneonta mobile

Portal/Web Portal/Web Services/Email/ANGEL timeouts are too short for most users We need to streamline the Portal Login page We need to improve the Portal Experience for Employees (Faculty & Staff) Fix Broken Links Users cannot find information they know/believe to be available because the well-worn paths they

used to use from the home page are no longer there Layout and style overwhelms users used to text link trees Much of the site is not usable/navigable on mobile devices or by users with disabilities Need Mobile version geared to current faculty/students/staff Styles need to be standardized across all web resources

Classroom Technology Login times are very long, we need to find a way to speed this up both in classrooms and labs Better communicate upgrades in both spaces to our users, a late summer "What's New in the

Classrooms" and "What's Changed in the Labs" Collaboration

We need to get SharePoint off the ground We need to create file spaces users can easily access from home

Problem resolution and knowledge Improve our customer service skills Better apply our considerable technology skills to assist our users Improve response times for IT service

Communication Use non-technical language when communicaing with our users for all communications Better market what we offer to our users

Training Provide better online self-help Provide more training materials and opportunities for our users

Miscellaneous Increase mail quota Investigate and implement real single sign-on

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IT Services has categorized our activities into three distinct types: strategic projects (SP) are projects which have the potential for impacting a large number of users or fundamentally change our operations – all of these projects are included in the tables to follow; projects (P) are projects we undertake which impact fewer users or have a smaller impact, but still involve the deployment of an IT “product”, and the following tables contain only a small subset of these projects; actions (A) are items which do not have an associated IT product but are still significant activities related to our strategic plan. The following tables identify each type of activity using these abbreviations.

Given the heavy project orientation of IT services, many of our activities are very difficult to measure, or for items where we can develop measures, we have not yet established a benchmark of current performance and cannot reasonably set a target. The process of developing measures is an ongoing activity and we plan to have made significant progress towards establishing benchmarks of performance before the next annual report.

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Goal: Provide exceptional support for technology users at the college.Objective Actions/Strategies Target

Completion DateResources Required


Measure / Expected Outcome Actual Outcome

Continually improve resolution times for technology issues

SP: Apply a metrics-based approach to service quality improvement

Ongoing Customer Support

Implement metrics by September 2012, track during Fall 2012, review and set goals Spring 2013

A: Investigate alternatives to current HEAT and Pinnacle systems

March 2013 Customer Support, Net & Telecom

Complete summary of feature comparison and list of desired features by December 2012. Depending on outcome of assessment, evaluate products in Spring 2013

SP: Develop better quality of service measurement tools for the network

January 2013 Net & Telecom

Creation of & baseline measures for metrics that can be used to prioritize network upgrades

Help departments create a powerful electronic presence that enhances learning and promotes the college

SP: Research and pilot collaborative space software

February 2013 TLTC Pilot project completion report

P: Integrate social media tools into ANGEL

October 2012 TLTC Project completion report

A: Raise awareness of and integrate college templates into academic dept. websites

Ongoing TLTC Number of departments using templates. Currently at 10/33, target 20/33 by July 2013

A: Build a projected A/V technology plan with a 2-year timeframe

November, 2012 Customer Support

Completed report shared with governance structures and campus community

Provide a comprehensive technology training program.

A: Build a college-wide IT training needs assessment

July, 2013 Customer Support

A completed assessment with a follow-up plan for addressing identified needs

A: Implement an intermediate online teaching academy

October, 2012 TLTC Complete workshop with at least 20 participants

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Objective Actions/Strategies Target Completion Date

Resources Required



A: Build out and maintain website self-help documentation

Ongoing Customer Support

Complete review of current documentation by September 2012. 10 additional self-help documents per year with annual review of all pages. Measure: Site visit count for each pg

Continually improve communication with our faculty, staff and students regarding our services and achievements

P: Develop and deploy electronic signage to advertise IT initiatives

December, 2012 R&D Presence of devices: 2 by December 2012

A: Develop small flyers with similar distribution patterns as "potty press" & deploy for selected IT initiatives

Ongoing 3 flyers per semester, an evaluation of program by July ‘13

Promote discovery and development by faculty, staff and students

A: Coordinate a new faculty discovery series to replace Java Java

Ongoing TLTC Host 8 events annually.

SP: Reformulate the faculty fellowship to improve IT / faculty collaboration

Start of Fall 2013 TLTC Announce new structure by September 2012. Select fellows by December 2012

A: Develop IT outreach program for administrative divisions

Ongoing R&D Schedule at least 4 meetings annually for gathering input and demonstrating new IT opportunities

A: Develop conduits to match students with IT offices who can provide internship opportunities

Spring, 2013 R&D Have one internship in place by Fall 2012, second in Spring 2013

P: Complete the "tablets as learning tool" grant process

June, 2013 $ 25,000 TLTC Complete learning analytics data analysis & evaluation of tablet

Help leverage information technology to improve college operations.

SP: Build data warehousing to be able to fully leverage business intelligence and learning analytics tools

June, 2014 Apps & Servers

Data warehouse software deployed and collecting data

A: Improve project management processes

Fall 2012 R&D Complete one project in each dept. at a deep level of detail

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Objective Actions/Strategies Target Completion Date

Resources Required



SP: Deploy an institutional data self-service reporting tool

Project phase 1 testing complete in Oct ‘12. Phase 2 (ODS integration) to follow

Apps & Servers

Number of users utilizing the new tool in October 2012

Embrace and evaluate emerging technology within IT

A: Increase amount of funding for IT pilot projects and equipment

October 2012 $ 20,000 All departments

Amount of additional funding available in September 2012

A: Test all new technology deployment at the college within the IT staff

Ongoing All departments

Number of projects with an internal IT testing phase.

Goal : Create and support a robust IT environment for the college.Provide a current and reliable IT infrastructure for the needs of the college

SP: Upgrade and extend our wireless network, including outdoor presence

Ongoing. Academic building upgrades to begin Summer 2012

Net & Telecom

Ongoing Quality of Service evaluations showing increased capacity in more areas with better signal quality over time. Improved customer satisfaction as demonstrated by TechQual survey

SP: Move towards a 3 year desktop replacement cycle

Ongoing Unknown Customer Support

Current state report - September 2012. Discuss in governance Fall 2012, seek funding Spring 2013, implement Fall 2013

SP: Deploy virtualization technology for the faculty, staff & students in the college

August ‘12: Launch for student use

$ 80,000 Apps & Servers

Completion

December 2012: Evaluate student usage

Utilization statistics and written report, discussion with governance and plan for further development or abandonment during Spring 2013

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A: Develop a 2-3 year plan for the wired and wireless networks on campus

September 2012 Net & Telecom

Complete report listing current state, desired direction and incremental implementation plan

A: Develop a 2-3 year plan for cyclic replacement of data center equipment

September 2012 Apps & Servers

Complete report listing current state, desired direction and incremental implementation plan

SP: Improve network connectivity for the college satellite facilities

UIC network upgrades installed Aug ‘12. Direct fiber to Cooperstown as per availability of ION network

Net & Telecom

Completion of tasks and baseline Quality of Service metrics established

Ensure the security, confidentiality, integrity and availability of college-hosted data and systems

A: Continue to improve the coordination of activities between IT & IT Security depts

Ongoing CIO and all directors

Count of actions taken as a result of security recommendations

SP: Leverage the dual data centers to provide for application and data migration

Infrastructure purchases through October 2012, implement Spring/ Summer ‘13

Apps & Servers

Percentage of applications and data with migratory capability. Target is 50% of mission-critical data

Adopt appropriate methods to improve sustainability

SP: Build a model for energy use by Information Technology

January 2013 R & D Complete report with recommendations to reduce energy consumption by IT

A: Implement a IT-wide recycling initiative

September 2012 CIO Provide simple mechanisms to recycle both consumables and IT equipment

SP: Implement environmental control systems and energy management in our data centers and telecom closets

July 2013 Apps & Servers and R & D

Implement recommendations from NYSERDA review along with internal review to realize energy cost savings

Goal : Provide for a positive, collaborative and progressive IT work environment. Promote continuous IT staff development

A: Deploy Gartner research resources for all staff

Ongoing CIO # of IT staff using resource: 50%

Actively collaborate with other IT orgs. w/in SUNY

A: Amend every project plan w/SUNY approaches section

Ongoing All project leads

# of project plans containing SUNY approaches sections

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Enhance our external reputation for IT innovation

A: Increase # of presentations at national conferences

Ongoing CIO and directors

# of presentations annually: 3

Improve IT staff work-life balance and workplace satisfaction

Ongoing All areas Repeat measures of workplace satisfaction on annual basis

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Goal : Create and enhance IT partnerships that are beneficial to the college.Continually improve collaborative IT steering structures to aid in the decision-making process.

A: Publish the project board

Sept. 2012 R&D Full list of projects, completion dates and descriptions published on the ITS website

SP: Develop governance structures for IT that balance administrative and academic needs.

Dec. 2012 CIO Number of meetings held for IT steering committee and subgroups, with attendance percentages for each meeting.

Leverage relationships with vendors

SP: Re-evaluate cost effectiveness of all software contracts with the goal of reducing IT costs

July 2013 CIO and department directors

Overall software maintenance cost reduction.

Engage with local schools, non-profit organizations and businesses

A: Reach out to local high school administrators and technology coordinators and build lists of collaborative opportunities

Nov. 2012 CIO Completion / An understanding of our local IT needs in the community

Support IT staff community service opportunities

A: Form a collaborative relationship with CSRC.

Sept. 2012 CIO

A: Provide list of opportunities to the staff on a weekly basis

Ongoing CIO First email by August 2012, weekly thereafter

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Section III: Summary and ConclusionThe component departments which merged to form the new IT Services area each had individually strong reputations for service to the college community. The service level under our new organizational structure has been maintained and in most cases improved through the consolidation of all end-user services and data center operations into their respective departments. The development of new IT services for the campus continues under the framework of project management, and we have been able to strengthen our research and development areas and continue to investigate opportunities to enhance technology availability and utilization on the campus. We have developed a strategic plan for IT and developed a strategic initiatives list to the point of being able to share these with a new governance structure in the fall semester. In short, we were a strong IT organization prior to the reorganization and have grown stronger through the process of unification.

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SPONSORED PROGRAMSDenise Straut, Director of Sponsored Programs


The Sponsored Programs Office was fairly calm during 2011/12 at a time when the much of the campus and our division experienced significant change. We had no major staffing changes, no regulatory changes and no major problems to solve. This provided time to reflect on ways to improve efficiency, communication and compliance. A Research Foundation Internal Control Audit during Summer, 2011, pointed out some areas that needed to be addressed so we focused on those items as well as the objectives identified in our 11/12 Assessment Plan.

We support the Six Pillars of the College Strategic Plan by:

Scholarship – supporting the research pursuits of faculty in our daily activities Diversity – 29.5% of our RF workforce consists of underrepresented groups. Due to the nature of our

many Migrant Education programs, we support programs that work with minority populations on a daily basis.

Community Partnership – working with many outside agencies in support of research, including locally: Otsego County Conservation Agency, STEM Research Council, Towns of Milford and Laurens, Village of Cooperstown, Catskill Center for Conservation, BOCES, Tioga & Madison Counties, SUNY Cobleskill, Otsego Land Trust, and the New York City Environmental Protection Department.

Accomplishments outside of Assessment Plan goals during 11/12 year:

Training, testing and partial implementation of i expense – an on-line travel payment request product recently released by the Research Foundation

Assumption of responsibility for Research Foundation searches from the State Employee Services office in order to streamline the process for searches. Includes use of Interview Exchange system to accept applications & record search and hiring data.

Development of Responsible Conduct in Research Policy, in conjunction with Grants Development Director and Research Integrity Officer

Development and implementation of campus Conflict of Interest policy Conducted PI orientations for new project directors Nancy Bachman, Jim Ebert, Brian Beitzel, Kelly

Gallagher, Helen Battisti, and Fred Zalatan. Conducted tailored grants training for 11 PIs. Presented with the Grants Development staff at the August new faculty orientation Significant time invested with NSF contract & reporting requirements for Moe Pond Lab Facility

Construction award, which is an ARRA award (American Reinvestment & Recovery) Investigated IRS NRA regulations and worked with International visitors to make contractor payments for

non-resident aliens Roll out of employee self service, which enables employees to get pay stubs, w-2s and change their address

and phone number on the web. We are at about 85% participation of employee accessing the portal. Worked with the Research Foundation for 2 audits:

Incurred zero findings on our A-133 audit Internal Control audit cited 4 moderate and 5 low risk observations, all of which have since been

satisfied Currently undergoing Affirmative Action Compliance audit (OFCCP).

After an 11% decrease in revenues in 2010-11, we were hopeful that the efforts of Grants Development staff 74

and a new provost with a research background would generate greater interest in applying for sponsored research funds. Though Grants Development continued a very faculty-involved approach to encouraging expanded grant applications, the number of grant applications remained steady, and grant denials increased due to tighter awarding policies among many sponsors. Despite that, we expect by June 30 to increase total grant expenditures by 8% over last year, mainly due to the continued success of our Migrant Education Programs. Direct expenses are increasing at a higher rate than indirect because contract proposals have to incur less overhead to stay competitive, and many grant sponsors are denying any payment of indirect expenses.

Revenue comparisons through May 31:

Direct Indirect Total Change

2011-12 $5,541,616 $530,051 $6,071,667 14.5% Total, 4.9% Indirect increase

2010-11 $4,793,436 $504,993 $5,298,429

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Section II.

SPONSORED PROGRAMS 12/13 Assessment Plan


Goal 1: Provide customer-service oriented, compliant administration of College at Oneonta sponsored programs

Reference to Six Pillars: Aid to Scholarship

Objective A: Provide efficient business office services to the campus Research Foundation community to include purchasing, payables, account establishment and administration, contract development, negotiation and monitoring, payroll, and reporting.

Objective B: Maintain campus compliance with State, Federal and sponsor requirements through continuous training, reading and networking with Central Office and colleagues at other campuses.

Goal 2: Provide Human Resource information and services to all Research Foundation (RF) employees and their supervisors

Reference to Six Pillars: Aid to Scholarship

Objective A: Ensure that RF employees receive the human resources support needed to fully understand current benefits information and options.

Objective B: Consistently supply PIs with information to ensure adherence to wage and hiring regulations.

Goal 3: Be visible to and involved in the campus community

Reference to Six Pillars: Aid to Scholarship and Community Partnership

Objective A: Participate when possible in campus activities and committees that promote research interests, Sponsored Program interests, Divisional interests, and Diversity issues.

Objective B: Support and work closely with the Grants Development Office for cohesive grant and research services to the campus community.

Objective C: Provide clear and useful information regarding our services to the campus community.

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11/12 Assessment Plan

Goal 1: Provide customer-service oriented, compliant administration of College at Oneonta sponsored programs


CompletionDate

Resources Required



A. Provide efficient business office services to the campus RF community

Provide more outreach to PIs by:

Develop and conduct survey to all PIs to ascertain their ideas to improve our services

May 1, 2012 Penny Ostrander and Lara Woods

I.Compiled summary list of ideas to improve daily services.II.Implement into Action Strategies for 12/13 goals

Survey completed. Improvement ideas from survey will be included in 12/13 plan.

A. b. Meet with PI 90 days prior to end date of all awards

June 17, 2012 Aleksandra Andreic

Timlier end of grant spending plans, quicker close-out of award & final billing, timelier award renewal

Could not get a 90 day report from RF so used 60 day. Emailed/met with PIs at 60 days to achieve timelier finals & assistance to PIs for final spending.

B. Maintain campus compliance

a.Develop protocol to appropriately handle Export Control forms submitted by travelling faculty

Jan. 1, 2012 Denise Straut Written process to verify correct handling of information from submitted forms

It was discovered that other campuses do not require a form for international travel & leave initial decision of required license up to the PI. Many remaining questions will modify goal.


b.Apply for DEA license for hazardous lab chemicals

Jan. 1, 2012 Denise Straut College license Worked with faculty to start process, but details not yet complete. Will cont. to purse applic.


c.Work with Biology Dept. to initiate federal protocols for IACUC Animal Care Comm.

June 1, 2012 Denise Straut Written protocol(s) for use of animals for research

Protocol/policy written – still in approvals process.

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Goal : 2. Provide Human Resource information and services(please include nomenclature from Goals and Objectives Summary when listing goals and objectives)


CompletionDate

Resources Required



B. Consistently supply PIs with information to ensure adherence to wage and hiring regulations.

a. Review existing job descriptions and work with PIs to draft job descriptions for any positions that do not currently have a job description. Target 25%

June 1, 2012 Melissa Nicosia 25% of RF positions on current awards have up-to-date job descriptions

25% do have job descriptions and this is now a new requirement for new hires. Will continue to pursue descriptions for existing positions.

Goal : 3. Be visible to and involved in the campus community(please include nomenclature from Goals and Objectives Summary when listing goals and objectives)


CompletionDate

Resources Required



B. Support and work closely with the Grants Dev. Office

Work with Grants Development to establish a Research Advisory Committee

June 1, 2013 Denise Straut & Aleksandra Andreic in w/ Grants Dev.

Establishment of Advisory Committee

Advisory Committee selected, written to and accepted, but we were unable to get a meeting together prior to yr-end

C.Provide clear, useful info. regarding our services

a. Develop a flyer to be handed out to new PIs and at campus Research events

June 1, 2012 Denise Straut & Aleksandra Andreic

Printed flyer Flyer development and in the print process.

C. b. Continuously improve & update web page-this year add staff pictures and pictures of grant activities, a policy section, and the new RF web travel link, i-expense

June 1, 2012 Melissa Nicosia Up to date & useful web page –“useful” to be determined via planned survey

Several changes made to web: Travel policy; Conflict of Interest policy; Independent Contractors; honorarium guidance; Working on Export controls

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The 2011/12 Assessment Plan that was developed in the late Spring of 2011 was discussed throughout the 11/12 fiscal year at staff meetings with a goal of keeping our planned action strategies at the forefront of our daily activity and planning. We spent the most time discussing Goal 1.1.B. - how to best work with PIs prior to an award end date. We moved from trying to provide PIs a comprehensive letter to a simple notification requesting a meeting or conversation to help them plan final expenditures and discuss renewals. We also realized a change in goal 1.2.A. – research on Export Control forms indicated that the form we had intended to revise could probably be replaced by offering targeted information for international travel.

We worked with the Biology Department regarding DEA licensing and the need for an Animal Care protocol and though not complete, this goal is well into the process.

We did complete the remaining action strategies as planned:

Conduct services survey to yield improvement ideas Work with Grants Development to establish an Advisory Committee Ensure that at least 25% of RF positions have job descriptions Print a flyer that will be used to spread information about our services Add improvements to our web page

We were successful in gaining some information from our survey, which we have used to form several goals for next year:

We found that most respondents found us approachable and available Half the respondents indicate that information concerning their award could be better

communicated A lack of communication between our staff members is perceived A comment was made that we should be steering our objectives towards research rather than

“to accommodate rules”

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Goal : 1. Provide customer-service oriented, compliant administration of College at Oneonta sponsored programs(please include nomenclature from Goals and Objectives Summary when listing goals and objectives)


CompletionDate

Resources Required



A. Provide efficient business office services to the campus Research Foundation community

a. In response to survey, make our contact information readily available by placing cards for each staff member on board outside our offices & instructions where to leave items being delivered.

Oct. 1, 2012 Print cards for staff that don’t currently have them

Melissa Nicosia Improved customer satisfaction with staff availability.

A. b. Be diligent in holding staff meetings at least bi-weekly. Discuss new awards & issues until all staff are familiar with new awards and all outstanding issues.

Oct. 1, 2012 Denise Straut Improved customer satisfaction with staff intercommunication.


Implement new Ecrt system (electronic Effort Reporting), including notification to and then training of all PIs

Oct. 1, 2012 Lara Woods Compliance with new RF requirement

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Goal : 2. Provide Human Resource information and services(please include nomenclature from Goals and Objectives Summary when listing goals and objectives)


CompletionDate

Resources Required



B. Consistently supply PIs with information to ensure adherence to wage and hiring regs.

a. Expand appropriate hiring practices to include student hires. Use Interview Exchange for application process

Sept. 1, 2012 Melissa Nicosia Collection of data that meets Affirmative Action Guidelines

B. b. Formalize & distribute a written search procedure to all PIs

Oct. 1, 2012 Melissa Nicosia More efficient hiring procedure; better understanding OI proc.

Goal : 3. Be visible to and involved in the campus community(please include nomenclature from Goals and Objectives Summary when listing goals and objectives)


CompletionDate

Resources Required



C. Provide clear & useful information regarding our services

a. Continue web improvement; add Google analytics & FAQ page

June 1, 2013 Melissa Nicosia, Denise Straut, Aleksandra Andreic

Useful and easy to use web page

C. b. Mail new flyer and letter to all faculty and department secretaries

Dec. 1, 2012 Letter-Denise

Mailing-Lara Woods & Penny Ostrander

More widespread faculty knowledge of:

-where we are-what we do-how we can assist researchers

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The outlook going forward for grant awards in general is not highly promising. Many funding agencies are cutting their award dollars, and all are carefully scrutinizing proposals to select only those that meet the agencies’ goals. We have to submit more proposals to get the same award dollars. We have to carefully meet all Sponsor guidelines because any mark against a campus can reduce the eligibility of the campus for future awards when award dollars are so limited. Continued funding for Federal and State Migrant Programs is under scrutiny, and any governmental budget reduction in those dollars will have a severe impact on both our direct and indirect spending. Sponsored Programs is committed to supporting Grants Development in their quest to gain faculty and Migrant Program staff participation in the search to obtain very tight research and contract funds.

We realize from the results of the survey we conducted that we need to demonstrate clearer communication with our PI’s and among ourselves. Our assessment plan goals for the coming year focus on that.

We plan to work on several other items that do not appear in our assessment plan because we are not ready to guarantee completion by a certain date, including working towards a campus PI Handbook, a campus Indirect Cost Recovery Policy, an Indirect Cost Incentive Plan, and a home office policy. We will be training for and implementing a web effort certification for all grant effort by Fall, and will face a substantial challenge with major changes that will occur during the next two years in the Research Foundation Oracle-based business system.

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Facilities Planning & Safety DepartmentTom Rathbone, Associate Vice President

Section I: Summary of departmental accomplishments & OutcomesMajor Accomplishments:While continuing to receive accolades from faculty, staff, parents, students and visitors regarding the SUNY Oneonta facilities, the following are some highlights on specific departmental accomplishments over the past year:

Rehabilitation and Addition to Littell Hall. Completion of millions in “critical maintenance” construction on academic/administrative/residential

infrastructure projects Campus Climate Action Plan nearly completed in draft form. Many projects are in the planning, design or construction stage and are not listed as “accomplishments”. Many minor projects have been completed but are not listed. Summer 2012 Construction Projects totaling $62 million.

Facilities Operations: Completed a number of high profile small renovations, including the Provost’s office, and completed

many and various requirements related to the Fitzelle surge. Excellent customer feedback scores on work request performance. Completed 9665 individual work requests.

Property Management 100% of the 2012-2013 equipment inventory was finalized well in advance of the JUN target date. Upon notification of receipt, new equipment is tagged and input to inventory system in accordance with

SUNY and State requirements. Timeliness of tagging and input to inventory is impacted by accessibility of equipment and departmental cooperation.

All equipment moves/transfers are input to the inventory system within 48 hours of receipt of notification.

Surplus equipment retirements are processed and input within 3 working days of surplus pickup. Contract Administration

Processed 28 contracts totaling $2,804,937 Processed 136 purchase orders totaling $1,339,700 Processed 408 Visa transactions totaling $899,395

Environmental Health and Safety Successful fire inspection 2 successful OSHA inspections Successful DOH Pool Inspection Completed two Indoor Air Quality inspections Upgraded Chemical Inventory system 1 successful DEC inspection

Major Initiatives Fitzelle Hall Renovation and addition. Upper Site Research Lab, Moe Pond, Cooperstown Town House development Physical Science Building Renovation and addition Continued execution of SUCF capital plan critical maintenance component Continued execution of DASNY capital plan critical maintenance component

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Section II: 12/13 Assessment & Planning DocumentsFacilities Planning and Operations

12/13 Assessment Plan

Mission StatementFacilities Planning and Operations ensures that the planning, design, construction, operation and maintenance of buildings, infrastructure and grounds support the mission of the College by providing a safe, functional, and aesthetically pleasing living and learning environment for the students, faculty and staff that comprise our campus community. By meeting and exceeding industry standards of safety, maintenance, and sustainability and offering the highest level of customer service, we strive to provide and maintain facilities that are unrivaled in the SUNY system.

Vision Statement To have the best damn facilities in the SUNY system

Setting Goals and ObjectivesThis assessment plan represents a complete revision of the prior plan approved by IAC. Although considerable time and attention was devoted to the previous plan, while evaluating outcomes from that plan it became clear that goals and objectives needed to be re-evaluated in order for the plan to be a meaningful and strategic document. Therefore, the Associate Vice President for Facilities and Assistant Directors and other leaders and staff carefully reviewed the mission and strategic direction of the unit in the context of the standards and compliance requirements established by OSHA, DEC, OFPC, APPA, and other regulating agencies as well as the campus position compared with other SUNY and non-SUNY institutions. The result was a completely revised set of goals and objectives that more clearly reflects the mission of the unit in a way that lends itself to strong assessment measures in all areas of operation, including customer service. In addition to the goals and objectives, the plan lists the current assessment tools associated with each objective. This addition provides a context that allows the plan to be even more useful to managers.

Because of the complete revision of goals and objectives, the Vice President for Finance and Administration and Associate Provost for Institutional Assessment and Effectiveness agreed that Facilities Planning and Operations could present this plan to be reviewed as an initial plan.

Evaluating Programs/ServicesThis optional step was not conducted.

Goals and Objectives SummaryThere are five “pillars” in Facilities Management.

Environmental Health and SafetyInfrastructureFacilities OperationsPlanningSustainability (formerly Energy Conservation)

Goal 1: Provide a Campus Environment that Meets and Exceeds Environmental Health and Safety Standards

Objective A: Ensure that all campus buildings meet building code and fire protection standardsAssessment instrumentsAnnual campus fire inspection (OFPC) (Annual)Regular building inspections (campus personnel) (Annual)Regular Department of Health Inspections (Annual)

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Department of Social Services Inspections (Annual) Objective B: Ensure that campus buildings, grounds meet “OSHA” safety standards, providing a safe working

environment for staff and safe living environment for students.Assessment instrumentsSemi-annual DOL inspectionsMonthly Safety Committee inspections

Objective C: Ensure that the campus is in compliance with environmental regulations, ensuring that we are good stewards of our environment.

Assessment instrumentsRegular DEC inspections 3rd party DEC audits by environmental engineersDEC Environmental Audit (Annual)

Objective D: Ensure the highest of personal safety standards are met for security and emergency planning. Assessment instrumentsSemiannual lightwalks (site safety)Quarterly Tabletop ExercisesAnnual Full Scale Drills

Goal 2: Provide an Infrastructure which is sufficient, safe and effective for the public trust of housing and educating our students.

Objective A: Deliver and maintain a 24/7/365 building services including building envelope, windows, doors, roof systems, HVAC, electrical, and card accessAssessment instruments:Building Condition Assessment Survey (SUCF) (Annual)Facitlies Master Plan Condition Assessment (SUCF)DASNY Inspections

Objective B: Maintain and deliver safe, clean, mowed, and plowed grounds including lawns, roads, sidewalks, site lighting, and stairs

Assessment instruments:Building Condition Assessment Survey (SUCF) (Annual)Facilities Master Plan Condition Assessment (SUCF)

Objective C: Maintain and deliver an adequate space inventory to meet campus needs.Assessment instruments:Facilities Master Plan Space Utilization AssessmentPhysical Space Inventory

Objective D: Deliver and maintain a utilities 24/7/365 infrastructure including electricity, heating system, cooling systems , water, sanitary sewer, storm sewer, life safety (sprinkler and fire alarm), and site lightingAssessment instrumentsBuilding Condition Assessment Survey (SUCF) (Annual)Facilities Master Plan Condition assessment (SUCF)DASNY inspectionsFacilities Condition Index (Annual)Facilities Master Plan Space Utilization assessment (SUCF)

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Campus Physical Space Inventory

Goal 3: Provide regular trades/custodial support of daily operations, including, but not limited to custodial, electrical, motor vehicle fleet, HVAC, plumbing, doors and hardware, painting

Objective A: Provide clean and operational facilities to students, faculty and staff.Assessment instrumentsAPPA (Association of Physical Plant Administrators) Standards of CleanlinessCustomer Feedback Surveys (achieve 95% satisfaction)Building Management System (continuous 24/7 computer-based instrument)Fire Alarm system (Continuous 24/7 computer-based monitoring)Card Access system (Continuous 24/7 computer-based monitoring)

Objective B: Effectively manage campus property portfolio.Assessment instrumentsAnnual inventory

Objective C: Provide efficient and reliable responses to campus service requests (work orders, etc)Assessment instrumentCustomer service surveys (95% satisfaction standard)

Goal 4: Provide effective, thoughtful long range plans for capital improvements.

Objective A: Implement and develop Facilities Master Plan.Assessment instruments: SUCF Oneonta Campus FMP

Objective B: Implement annual SUCF Critical Maintenance PlanAssessment instrument:Annual SUCF Work Plan

Objective C: Implement long range residence hall facilities planAssessment instrument:Res Hall capital plan (annual updates)

Goal 5: Provide enduring, energy efficient campus physical plant, thereby reducing campus “carbon footprint”

Objective A: Prepare the Campus Climate Action Plan for the President’s signature, setting carbon footprint reduction goals.

Assessment instrument:STARS

Objective B: Reduce campus energy consumptionAssessment instruments:Campus Energy Management System (continuous 24/7 computer based instrument)SUNY-provided BTU metrics (annual)

Objective C: Reduce campus electrical consumptionAssessment instruments:Campus Energy Management System (continuous)SUNY-provided KWH metricsNYSEG-provided KWH metrics

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Campus quarterly KWH metricsEnergy Star

Objective D: Reduce campus water usageAssessment instruments:Daily water meter monitoringSUNY-provided water use metrics

Objective E: Build buildings with sustainable materialsAssessment instruments:LEEDS system State Executive Order metrics

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Goal 1: Provide a Campus Environment that Meets and Exceeds Environmental Health and Safety Standards

(please include nomenclature from Goals and Objectives Summary when listing goals and objectives)


CompletionDate

Resources Required



A. Ensure that all campus buildings meet building code and fire protection standards

1. Conduct training to educate employees on fire prevention standards to minimize violations

2. Conduct quarterly inspections to identify possible violations of fire code standards

February 2013

September, December, March, June

EHS

EHS

1&2 Annual campus fire inspection violations decreased by 5%

C. Ensure that the campus is in compliance with DEC environmental regulations

Complete all recommendations of environmental audit conducted by Woodard and Curran

October 2012EHS

100% compliance with third party environmental audit recommendations

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Goal 2: Provide an Infrastructure which is sufficient, safe and effective for the public trust of housing and educating our students.


Completion Date

Resources Required



A. Deliver and maintain a 24/7/365 bldg. services incl. Building envelope, windows, doors, roof systems, HVAC, electrical, and card access

Review Facilities Master Plan condition assessment and identify areas that will require repair, upgrade, or replacement. Create corresponding plan to address needs.

June 2013 AVP Plan developed to address repairs, upgrades, replacements to building services

*Implement recommendations of Indoor Environmental Quality Survey for Netzer building as reported by Occupational and Environmental health Center of Eastern NY. Recommendations include upgrade of air filters, removal of cardboard on floor of basement storage areas, and removal of old humidifiers in Print Shop*Conduct in-person follow-up with individual Netzer occupants who expressed concerns about air ventilation system

Dec. 2012 AVP All recommendations to improve building ventilation system implemented

Favorable response on completed actions obtained from Netzer occupants

C. Maintain and deliver an adequate space inventory to meet campus needs.

Review Physical Space Inventory and Facilities Master Plan Space Utilization assessment with Academic Affairs personnel to ensure adequacy. Validate existing conditions with Provost & develop plans to ensure adequacy in future.

Oct. 2012 AVP, Environmental Health and Safety, Facilities Program Coordinator

Plan developed to modify academic space usage as necessary for optimal utilization in future.

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Goal 5: Provide an enduring, energy efficient campus physical plant, thereby reducing the campus “carbon footprint”.

(please include nomenclature from Goals and Objectives Summary when listing goals and objectives)


CompletionDate

Resources Required



A. Prepare the Campus Climate Action Plan for the President’s signature, develop carbon footprint reduction goals.

In conjunction with the chair of President’s Advisory Council on Sustainability and campus sustainability coordinator, finalize Campus Climate Action Plan for President’s signature

April 2013 AVP Goals identified to reduce campus carbon footprint; CCAP finalized;approved and signed by President Kleniewski

B. Reduce campus energy consumption.

Implement improvements in our infrastructure such as boiler economizers, re-tubing, and new burner fronts to reduce natural gas consumption.

June 2013 AVP Reduced BTU consumption/SF as measured by campus energy management system and NYSEG metric. Maintenance of position in upper quartile of efficiency standards relative to other SUNY institutions

C. Reduce campus water consumption.

Implement improvements in our underground water infrastructure to reduce water consumption

June 2013 AVP Reduced water consumption as measured by monthly meter readings

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Using Outcomes to Plan

At the end of the assessment period, the Facilities Planning and Operations staff will meet to review the outcomes of the Action Plan and evaluate the effectiveness of the activities in terms of meeting goals and objectives. The overall success of the plan, the validity of the goals and


The Department of Facilities and Safety is responsible for Facilities Operations ("maintenance"), Facilities Planning, Infrastructure, Energy Management, and Environmental Health and Safety. While "goals and initiatives" are normally stated in terms of projects, the men and women of the department are tasked with the day-to-day operations and service for the mammoth infrastructure of a small city.

We are deeply invested in the recently completed Facilities Master Plan, and are working to implement this program on a regular basis. Assessment of all capital projects is accomplished via actual project completion; however planning, design and construction require the majority of our time and attention.

Collaborative planning is accomplished by the department with involvement of constituencies served by a specific project, including faculty, staff and students.

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Oneonta Auxiliary ServicesDiane Williams, Executive Director


Providing the comforts of home is the core mission of Oneonta Auxiliary Services (OAS). We are a not-for-profit corporation that has served the students, faculty and staff of the College at Oneonta since 1951. Through self-operated and contracted services, we provide Dining, Catering, Red Dragon Bookstore, Textbooks, College Camp, ID/Dining Card services, Student Package Handling and Resident Mail Services, Vending, Car Sharing, Dragon Dollars, Laundry, Check Cashing and ATMs. OAS is governed by a dedicated Board of Directors comprised of students, faculty and staff.

OAS experienced a very successful and industrious year including the following accomplishments and outcomes:

Celebrating 60 Years of Service to SUNY Oneonta.OAS marked 60 years of service to SUNY Oneonta throughout the 2011-12 academic year. On the actual anniversary date of September 20, 2011, we held an on-campus celebration. The entire campus was invited to mark this occasion, as were past employees of OAS. Over 150 people attended the celebration, and they received reusable coffee cups with our anniversary logo, designed to support sustainability. Throughout the year, we repeated the use of an anniversary logo that reinforced the concept that OAS is a long-standing and reliable partner with SUNY Oneonta. Several student groups, committees, and participants at special events received a commemorative reusable water bottle, also intended to support sustainability.

OAS Launches New and Enhanced Retail Options Our analysis of our retail dining venues, as well as our customer feedback gathered through surveys, comment cards, e-mails, and focus groups, showed us that our customers would like us to expand our food options at the Mills Marketplace, as well as seating capacity. Through our partnership with Sodexo, we purchased a Shop 24 for the glass enclosure outside of the Mills Marketplace. This robotic convenience store vends over 200 items, and enabled us to move substantial product out of the Marketplace, thereby opening up additional space for seating in the Marketplace. In response to our Resident Dining Survey, Sodexo contracted with Sushi Do to hand-craft fresh sushi for the Marketplace, as well as our other retail locations on campus. The sales figures support that sushi has been a success on our campus, and the tables and chairs added to the venue are perpetually occupied to capacity. These enhancements, as well as additional projects that will occur over this summer, are crucial factors in engaging our students and recognizing their diverse backgrounds and palates.

Plans for Retail Venue in Fitzelle HallWe are collaborating with Sodexo, campus facilities and the Fitzelle architects to plan for a retail dining venue in Fitzelle Hall. We have identified a concept called Seasons, which will feature local, organic products that support sustainability; we will be visiting Drexel University in July to see their operation. We intend to engage both faculty and students in the development of this venue.

OAS Collaborates with the Shipping Room to Provide Resident Mail ServicesAt the request of the College, OAS took over mail services for resident students. A contract with The Shipping Room, a local entity, was developed in October, and they began proving these services in November. The contract entails the pick-up of mail from the Oneonta Post Office, sorting, redirecting, and delivery of mail to the residence halls, Monday through Friday, when college is in session. Given the small number of residents on campus throughout the summer, we opted for window pick-up at the Shipping Room location in the Hunt Union. Feedback from the residence halls as been positive, and The Shipping Room was able to provide these services for less than the projected cost.

Supporting and Promoting Cuisine DiversitySodexo continues to maximize their global resources to support, promote, and celebrate cuisine diversity on our campus. Through focus groups with our international students, we learn about the food and menu items that are essential to their feeling at home at Oneonta, and offer opportunities for them to utilize My Kitchen. In addition, Sodexo hosted a Global Chef from India, Satish Kumar, who taught our campus chefs his signature dishes, met with students in their classes, and offered special meals in each dining

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hall. OAS and Sodexo are also sponsors of the annual International Food Fest, held by the Food and Nutrition Club. This event featuring Mediterranean cuisine, engaged over 500 students and college community members.

Digital Display Monitors Please Our DinersThis year we completed Phase II of our plan to install digital menu displays in our resident dining facilities. Students are pleased with the efficient and accurate menu and nutritional information they display, and our resident dining survey results indicated that 70% of the students referenced them for information. This technology was a planned initiative in support of sustainability, as it replaces dozens of paper signs that changed with each menu.

College Camp Master Plan UnderwayThe logging at College Camp was successfully completed last July, to the full satisfaction of our stakeholders. There has been considerable discussion about a master plan for College Camp, and plans are underway for that to be developed next semester. A student who is also the president of the mountain biking club will be working with OAS staff, board members, faculty, student groups, and the DEC. We intend to develop a master plan to enhance, maintain and operate high quality facilities that are consistent with the educational and recreational needs of the college community and the character of the camp facilities. The plan will also address plans to protect and sustain a diversity of habitats-both vegetation and wildlife.

Analyzing Customer SatisfactionA customer satisfaction survey of all students on the resident dining plan was conducted in January 2012. A total of 3,269 students were surveyed, with 880, or 27% responding. Students responded to a series of questions relating to the condition and cleanliness of the resident dining halls, hours of operation, quality of food, and customer service. They were also given the opportunity to suggest enhancements and new menu items. The response was overwhelmingly positive, and several key areas of satisfaction increased over the 2011 results. OAS and Sodexo have reviewed every anecdotal response offered, and have taken action on those that were within reason. In addition to the survey, OAS and Sodexo, via the Food Service Advisory Committee, met with numerous student groups and organization to engage their interest and gauge their satisfaction. Notes of these meetings are reviewed with the Board of Directors.

Community EngagementThroughout 2011-12, OAS engaged with the community through the following collaborations:

A line of Red Dragon Barbecue Sauce was developed with Brooks House of Bar-B-Q for sale in our bookstore and our online store.

We provide freezer and dry storage space in our commissary to Saturday’s Bread. We hosted lunch to one thousand Otsego County middle-school students who attended the streaming

conversation from the International Space Station with Oneonta Alumnus and Astronaut, Ron Garan. OAS, Sodexo and Damascene co-sponsored a SUNY Oneonta hot air balloon in the Oneonta Balloon

Festival, held downtown Labor Day Weekend. OAS supported several activities of the Catskill Symphony and Habitat for Humanity, through

volunteer leadership, donated water bottles, marketing and printing assistance. OAS was a lead participant in the local Food vs. Fuel project, collecting canned goods at the Red

Dragon Bookstore. OAS donated T-Shirts & equipment to a student run downtown pop-up store during OH-Fest weekend. OAS and Sodexo supported the Ninash Foundation by purchasing items, and arranging for the

donation of food and assistance with the schools they sponsor in India. OAS employees personally provided Christmas gifts and household supplies to a migrant family of five. OAS employees’ participation rate in the community United Way Campaign is an impressive 71%.

RFP for Beverage Services Conducted and Awarded to Coca-ColaAs a result of a successful RFP process, a ten-year contract for beverage services will be awarded to Coca-Cola by August 1, 2012. The terms of their bid proposal are very favorable, and an important contribution to our robust budget and our ongoing support of student scholarships. This contract will also include funds to support sustainable recycling initiatives on campus.

OAS Launches Hertz Car Share ProgramIn an effort to support sustainability and meet the transportation needs of our students, OAS collaborated with a community business, Hertz, to offer a car share program. We have exceeded our

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goals, with usage over 30% each month and over 300 members to date. We have asked that when they provide us with a replacement or additional car that it be a hybrid vehicle.

Contract RenewalsOAS has successfully renewed the following contracts for essential services that promote student engagement, customer satisfaction, and sustainability

MacGray Laundry Services: a 7-year renewal that includes new energy saving machines over the course of the contract. It is estimated that we will save an additional 300,000 gallons of water per year. These machines also require less detergent, another boost to sustainability practices.

Next Generation Snack and Candy Vending: a 10-year renewal with significant revenue to support student scholarships, as well as a commitment to upgrade all machines to IP vending, a technology that will ensure reliable, secure and accurate transactions.

Hulbert Dining Hall UpgradesSeveral enhancements were made to Hulbert Dining Hall which led to greater customer satisfaction, as evidenced by our Resident Dining Survey results.

A large screen television was added. A flag display was created in the dining hall, showcasing the flag for each country and U.S. state

represented by our current student population. In addition, information fact sheets about each country were posted, offering our students a wealth of information. We believe that this has given our students a better global perspective and celebrated our diverse population.

New food service equipment and signage was added.

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SECTION II: Assessment & Planning Documents

Developing the Plan

The Oneonta Auxiliary Services mission statement was developed through collaboration by the OAS Board of Directors and OAS employees to define our purposes.

OAS managers and Executive Director attended an assessment workshop during the 2011 – 2012 academic year as well as met with a member of the Assessment Committee to refine the plan. The 2012 – 2013 Assessment Plan and Action Plan were developed with members of the Oneonta Auxiliary Services staff, in particular the Executive Director, Controller, Manager of Business Operations, Manager of Marketing and Customer Relations and Bookstore Manager.

About OAS

OAS is a 501c.3 not-for-profit corporation, governed by a board of directors, consisting of faculty, staff and students. It is a separate entity that has had a contract with SUNY since 1951 with the sole purpose of providing essential auxiliary services to SUNY Oneonta. These services currently include dining, vending, bookstore, textbooks, package and resident mail services, College Camp, laundry, ATMs, check cashing, ID/Dining Cards, Hertz Car Share, and micro-fridge and room safe leasing, In addition to providing these services at reasonable prices, it is our practice to return all net revenues to the campus. On an annual basis, OAS contributes approximately $2 million to the college for scholarships that support academic excellence and diversity; program accounts that support teaching, learning and scholarship; utility support; and substantial capital improvements to the facilities that OAS leases from the college.

OAS continually strives to ensure that our practices are in-line with the mission and strategic plan of SUNY College at Oneonta. Our sustainability efforts are a contributing factor to the college’s three year inclusion in Princeton’s Review of the Greenest Colleges. We work with community businesses to provide services for our students, faculty and staff including Damascene Book Cellar, the Shipping Room, Community Bank, Sidney Federal Credit Union, NBT Bank, Hertz and the Refrigerator Leasing Company. Through our Off Campus Advantage Program, 37 local restaurants accept Dragon Dollars, infusing over $625,000 into the local economy. We encourage student engagement through a variety of ways including providing jobs and both financial and personnel support as students develop activities such as Red Day, the International Food Fair, OH Fest, Food vs. Fuel, etc. OAS continually strives to support both diversity and global connectedness by showcasing food from around the world in our dining halls, the Global Chef program and through scholarships awarded both to students studying abroad as well as to our international students.

OAS is a member of National Association of College Stores (NACS), National Association of College Auxiliary Services (NACAS), SUNY Auxiliary Services Association (SASA), and the Otsego County Chamber of Commerce. Our Executive Director is the current President of SASA.

Mission StatementThe mission of Oneonta Auxiliary Services is to support the College at Oneonta through our commitment to exceptional customer service as we establish, operate, manage, enhance, and promote programs and auxiliary services for the benefit of SUNY Oneonta students, faculty, staff, alumni and visitors.

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Goal 1: To maintain exceptional customer service to the Oneonta College Community, including students, families, faculty, staff and alumni.Teaching, Learning & Scholarship, Student EngagementObjective A: Provide up-to-date and comprehensive web-based information on OAS services*Objective B: Ensure that staff is trained in customer service and knowledgeable of all OAS activities*Objective C: Promote an inclusive atmosphere for staff, faculty & customersObjective D: Assess and analyze customer satisfaction*

Goal 2: To provide essential auxiliary services and facilities to the SUNY College at Oneonta community.Community Partnership, Student Engagement, Sustainability, DiversityObjective A: Analyze current OAS services and explore new auxiliary services*Objective B: Identify areas for partnership opportunities involving other departments and divisions*Objective C: Identify areas for partnership opportunities involving the greater Oneonta communityObjective D: Employ students in appropriate roles within OAS operations

Goal 3: Maintain level of financial support to SUNY College at Oneonta.Community Partnership, Sustainability, Student Engagement, Teaching, Learning & ScholarshipObjective A: Analyze financial return of current OAS services *Objective B: Examine new, fiscally sound services to offer College CommunityObjective C: Implement new services to benefit the College Community*

Goal 4: Utilize technology to support OAS functions and servicesTeaching, Learning & ScholarshipObjective A: Provide updated online services Objective B: Provide secure and accurate transactional services to student customers.*Objective C: Ensure that pertinent staff is educated on upcoming technologies and systems upgrades*

Asterisk indicates objectives assessed in 11/12

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11/12 Assessment Plan Action Plan Table

Goal 1: To maintain exceptional customer service to the Oneonta College Community, including students, families, faculty, staff and alumni


CompletionDate

Resources Required



1A. Provide up-to-date and comprehensive web-based information on OAS services

a. OAS webpages, myOneonta content, the Daily Bulletin, and social media sites will be reviewed and updated consistently to provide accurate and pertinent information to customers

On-going None OAS marketing department, Sodexo marketing specialist, Red Dragon Bookstore manager, Damascene manager

OAS customers will utilize web resources to access up-to-date, accurate information about OAS services. Google analytics will measure usage and allow tracking of trends. Google Analytics data was available only for the last few months of the previous assessment period so the 11/12 data will provide the first full year of tracking data.

Google Analytics indicates that oas.oneonta.edu received 2087 visitors during the 2011-2012 academic year. The Red Dragon Facebook page has 580 likes and the College Camp page has 89. All media including the Daily Bulletin were updated regularly with news and information of OAS Services.

1B. Ensure that staff is trained in customer service and knowledgeable of all OAS activities

a. Employees will participate in webinars, CBORD training, workshops at annual SASA conference and other professional development opportunities

On-going $12,600 Department Managers

64% of employees will participate in three or more workshops. OAS customers will have their needs and concerns satisfactorily addressed as evidenced by customer satisfaction surveys. (See objective 1d)

79% of OAS employees participated in SASA workshops, webinars, CBORD training and other professional development.

1D. Assess and analyze customer satisfaction with OAS services

a. Implement Resident Dining Survey to measure customer satisfaction with dining experience, including food items and quality, customer service, cleanliness of facility, etc.

2/10/2012 $2500 (funded by Sodexo)

OAS Executive Director, Sodexo GM, Operations Manager, Marketing personnel

Our 2011 survey indicated that 91% of our resident dining customers have a consistent and reliable dining experience in both Wilsbach and Hulbert Halls, and 96%

Our 2012 survey indicates that 93% of our resident dining customers have a consistent and reliable dining experience in Wilsbach and Hulbert Halls, a 2% increase over last year. Mills Hall

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in Mills Hall. During 11-12, we anticipate raising these percentages.

remains stable at 96%.

b. Engage bookstore advisory committee during fall 2011 and spring 2012 semesters to evaluate customer satisfaction with bookstore services

ongoing None OAS Executive Director, marketing personnel, RDB & Damascene personnel, selected faculty, academic secretaries and students

The advisory committee will help OAS gauge impact of contracting with Damascene Book Cellar, and make suggestions to improve services as/if needed. Report of the committee's activities will be made to the OAS Board of Directors

Damascene Book Cellar is implementing a textbook rental program, one of the suggestions put forth by the committee. Meetings were held as scheduled and reports made to the OAS Board of Directors

Goal 2: To provide essential auxiliary services to the SUNY College at Oneonta community. 2A. Analyze current OAS services and explore new auxiliary services

a. Collaborate with Sodexo to develop a dining concept for Fitzelle Hall

12/31/12 None OAS Executive Director, Sodexo GM, Associate VP of Facilities, Architect

Ability to articulate concept and begin sharing with stakeholders.

OAS and Sodexo are in the process of developing the concept and collaborating with the building architect and Facilities to further define the project.

2B. Identify areas for partnership opportunities involving academic departments

a. Support Forest Stewardship committee and plan

On-going $1000 OAS Executive Director, Marketing manager, Maintenance manager, College Camp caretaker, FSP committee

A comprehensive plan for College Camp forest management will be developed in cooperation with faculty, students, staff & alumni. Plan will be submitted to Board for final approval by 5/13

Plans are now underway for a student intern to work with OAS management, stakeholders, and the DEC to develop the College Camp Master Plan

b. Support and promote the concept of Cuisine Diversity through collaboration with campus groups to celebrate and educate the campus community on cuisines of other cultures

On-going Sodexo GM, marketing specialist, Sodexo dining staff, OAS Executive Director, marketing staff, CME Staff, Food and Nutrition Association, International

Two visiting chefs will promote cultural understanding by preparing meals and offering presentations on varied cultural cuisines. Participation by campus community will be documented.

OAS provided support & funding for the Food and Nutrition Club ‘s International Food Fair, with 500+ attending. Indian Chef Satish Kumar visited campus, prepared meals for 3200 students & taught Sodexo chefs how

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Students Outcomes of events will be reported to the OAS Board.

to prepare Indian cuisine. Highlight of Chef Kumar’s visit was a collaborative event with Ninash Foundation. Chef Kumar will be working with Ninash in India to provide meals for the school children.

Goal 3: Maintain level of financial support to SUNY College at Oneonta. 3A. Analyze financial return of current OAS services

a. Determine overall net assets for 2011 - 2012. Develop budget and project net assets and campus need for 2012-2013.

5/9/12 None OAS Finance Committee, Executive Director, Controller, Manager Of Business Operations

Sound fiscal plan maintaining current support to college and providing exceptional services while maintaining dining prices among the lowest in SUNY.

The 12-13 budget was developed after analyzing 11-12 projected performance and the ongoing needs of the College. The cost of the Unlimited Dining Plan was not increased, allowing us to continue offering the lowest 3C. Implement

new services to benefit the campus community

a. Contract with The Shipping Room to provide Resident Mail Services for campus residence halls

10/15/11 None OAS Executive Director, Controller, Manager of Business Operations

Resident mail will be delivered accurately and timely, according to contract specifications. Services will be evaluated by Residential Life staff.

Resident Mail Services were successfully implemented. Services provided came in under budget, and the contract was renewed for 12-13. Feedback from residence Life has b. Implement Hertz on

Demand to provide 2 cars for the campus car-sharing program

8/15/11 None OAS Exec. Dir., OAS Auxiliary committee, Controller, Marketing & Customer Relations Mgr., Business Operations Mgr.

Utilization goal of 30% and membership goal of 125 will be met.

We ended the 11-12 academic year with: 348 Members, and utilization of 39.03%

Goal 4: Utilize technology to support OAS functions and services

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4B. Provide secure and accurate transactional services to student customers

a. Minimize downtime of CBORD system (dining database) by resetting servers monthly, maintaining and reviewing event logs.

On-going None Manager of Business Operations, Controller, Business Manager. ID/Dining Card Office Manager

CBORD will be fully functional 99% of the time, except for scheduled downtime for maintenance.

CBORD operations were fully functional 99% of the time as planned.

b. PCI compliance standards will be implemented and maintained for all OAS credit card transactional services

On-going None Controller, Mgr of Business Operations,

IT Security

OAS will satisfy all compliance requirements and obtain attestation of compliance whenever new services (ie. Shop 24) are added. This is an on-going process.

OAS continues to work towards PCI compliance & obtaining attestations of such from appropriate vendors.

c.. Dining/Controllers office will work with Student Accounts to ensure accurate accounting for dining and Dragon Dollars accounts recorded in both systems.

5/20/2012 None Dining Office staff, Controller, Student Accounts staff

Dining and Dragon Dollar accounts in the CBORD and Banner databases will be reconciled to the dollar.

As anticipated, all accounts are reconciled to the penny.

4C. Ensure that pertinent staff is educated on upcoming technologies and systems upgrades

a. Provide workshops and training as needed as OAS explores possibility of installing new Odyssey upgrade

On-going None Manager of Business Operations, Controller, Business Manager, ID/Dining Card Office Manager

Based on feedback from staff, strengths and weaknesses of the Odyssey upgrade will be analyzed, resulting in determination of whether or not to purchase the web-based application

Project has been postponed

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Closing the Loop for 11/12 Activities

The overarching goal and mission of every Oneonta Auxiliary Services employee is to provide exceptional customer service while operating programs and services for the benefit of the SUNY Oneonta community. Nowhere is this more evident than when we examine our assessment plan for the 2011-2012 academic year. Our goals and objectives are directly linked to our mission and that of the College. Our action steps and anticipated outcomes insure that we remain focused on our mission.

Overall, our actual outcomes matched our anticipated outcomes. We originally anticipated creating a Forest Stewardship Plan this past year, but have instead decided to develop a comprehensive College Camp Master Plan. We will collaborate with stakeholders, DEC and other interested parties. Our only other differing outcome concerns the Odyssey upgrade. We are still in the process of evaluating the upgrade options and will be making a decision when the research is completed.

The 2011-2012 assessment did not reveal any prominent weaknesses within the OAS unit. We know our customers and strive to maintain that knowledge through surveys, focus groups and one-on-one communications. Using this knowledge we are able to plan effectively to develop new services and continue to enhance current services. Over the past several years, OAS has become a very streamlined company. Our greatest strength is our employees, contracted business partners and board leadership, and the expertise they bring to OAS.

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Goal 1: To maintain exceptional customer service to the Oneonta College Community, including students, families, faculty, staff and alumni.Teaching, Learning & Scholarship, Student EngagementObjective A: Provide up-to-date and comprehensive web-based information on OAS servicesObjective B: Ensure that staff is trained in customer service and knowledgeable of all OAS activities Objective C: Promote an inclusive atmosphere for staff, faculty & customersObjective D: Assess and analyze customer satisfaction*

Goal 2: To provide essential auxiliary services and facilities to the SUNY College at Oneonta community.Community Partnership, Student Engagement, Sustainability, DiversityObjective A: Analyze current OAS services and explore new auxiliary servicesObjective B: Identify areas for partnership opportunities involving other departments and divisionsObjective C: Identify areas for partnership opportunities involving the greater Oneonta community*Objective D: Employ students in appropriate roles within OAS operations

Goal 3: Maintain level of financial support to SUNY College at Oneonta.Community Partnership, Sustainability, Student Engagement, Teaching, Learning & ScholarshipObjective A: Analyze financial return of current OAS services Objective B: Examine new, fiscally sound services to offer College Community*Objective C: Implement new services to benefit the College Community

Goal 4: Utilize technology to support OAS functions and servicesTeaching, Learning & ScholarshipObjective A: Provide updated online services Objective B: Provide secure and accurate transactional services to student customers.*Objective C: Ensure that pertinent staff is educated on upcoming technologies and systems upgrades

Asterisk indicates objectives to be assessed in 12/13

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12/13 Assessment Action Plan Table

Goal 1: To maintain exceptional customer service to the Oneonta College Community, including students, families, faculty, staff and alumni.


CompletionDate

Resources

Required

Person(s) Responsible Measure/Expected Outcome

Actual Outcome

1D. Assess and analyze customer satisfaction

a. Implement Resident Dining Survey to measure customer satisfaction with dining experience, including food items and quality, customer service, cleanliness of facility, etc.

2/28/2013 $2500 Sodexo General Manager, Marketing Director, OAS Executive Director, Manager of Business Operations, Manager of Marketing and Customer Relations

Our 2012 survey indicates that 93% of our resident dining customers have a consistent and reliable dining experience in Wilsbach and Hulbert Halls, a 2% increase over 2011. Mills Hall remained stable at 96%. We would like to see these numbers increase or remain stable

b. Construct and implement a survey focusing on the eating habits and needs of SUNY Oneonta’s non-resident students.

12/15/2012 $2500 Sodexo General Manager, Marketing Director, OAS Executive Director, Manager of Business Operations, Manager of Marketing and Customer Relations

The data obtained from this survey will enable OAS and Sodexo to determine what types of dining options should be available for non-resident students, as well as determine from current habits what areas of non-resident dining should be focused on.

Goal 2: To provide essential auxiliary services to the SUNY College at Oneonta community.2 C. Identify areas for partnership opportunities involving the greater Oneonta community

a. Assess relationships with local not-for-profit organizations. Determine possible areas for support or collaboration. OAS currently supports Catskill Symphony Orchestra, Habitat for Humanity, United Way, Saturday’s Bread.

6/30/2013 None OAS Executive Director, Manager of Business Operations, Auxiliary Services Comm.

Positive feedback we are making a positive impact on these organizations; OAS employees gaining awareness of these organizations & sense that they are making a tangible contribution to the community.

Goal 3: Maintain level of financial support to SUNY College at Oneonta.3B. Examine new, fiscally sound services to offer College Comm

a. Analyze the two Shipping Room contracts to consider consolidating the two contracts into one.

6/30/2013 None OAS Executive Director, Controller, Mgr of Business Operations

One contract which will streamline services and eliminate redundancy.

ective Actions/Strategies Target Resourc Person(s) Responsible Measure/ Actual 3B. Examine a. Analyze the two Shipping Room 6/30/2013 None OAS Executive Director, One contract which will streamline

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Goal 4: Utilize technology to support OAS functions and services4B. Provide secure & accurate transactional services to student customers

a. Complete D-2 Self-Assess. Questionnaire, focusing on specific areas of PCI compliance

b. Installation of IP (Internet Protocol) vending (readers and wires) in all 120+ vending machines

1/10/2013

8/1/2012

None

$30,000

Controller, Manager of Business Operations, IT Security

Manager of Business Operations, Vendors, Telecom

Completing the questionnaire is another step in the process as we work towards becoming PCI compliant.

Vending transactions will be faster and more secure, using a more stable technology. There will be decreased downtime of online vending.

Supplemental 12/13 Action Plan TableGoal 2: To provide essential auxiliary services and facilities to the SUNY Oneonta community.Community Partnership, Student Engagement, Sustainability and Diversity


CompletionDate

Resources Required Person(s) Responsible Measure/

Expected OutcomeActual

Outcome

2A./2B. Develop a comprehensive College Camp Master Plan to develop, maintain, and operate high quality facilities that are consistent with the educational and recreational needs of the college community and the character of camp facilities.

Working with a student intern, we will analyze funding sources, buildings and grounds, trails, animal life, and usage by constituency. Students, faculty and staff who utilize the facility will be consulted throughout the process, and we will rely on the expertise of the DEC to analyze our forest and develop a sustainable Forest Stewardship Plan that includes recommendations for future logging.

June 2013 $1000 Executive Director, Student Intern, Camp Caretaker,Manager of Business Operations, Camp Advisory Committee, Maintenance Manager, Marketing Manager

A roadmap for successful and efficient operations; a strategic plan to rehabilitate and improve facilities and infrastructure critical to the educational and recreational opportunities; a plan to protect and sustain a diversity of habitats – both vegetation and wildlife; a rational time-table for future logging of certain areas of the forest.

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2A. and 2C.

Upgrade Hulbert Hall with a new O’Healthy Station

A new cooking station is being developed and installed in Hulbert Dining Hall that will feature healthy dining options, freshly prepared in front of our customers.

August 2012

$40,000 Contractor,

Executive Directors,

Manager of Business Operations, Sodexo GM

The O’Healthy station will meet needs of our athletes, as well as other students who focus on nutritional meals for maximum performance. We anticipate that students will respond favorably in future dining surveys, increasing customer knowledge and satisfaction.

Goal 3: Maintain level of financial support to SUNY College at OneontaCommunity Partnership, Student Engagement, Sustainability, Teaching, Learning & Scholarship


CompletionDate

Resources Required



3A, 3B. and 3C.

Study and update the 10-year Capital Plan for OAS to address future facility improvements, new construction, new services, and equipment replacement.

Analyze and project student enrollment, as well and our anticipated income and assets over the next ten years. Study the College’s Facilities Master Plan to determine how to align our plan with the planned initiatives of the College.

May 2013 NA Executive Director, Controller, Finance Committee, VP of Facilities,

Sodexo GM

A rational plan that guides us in developing our annual budget; maintains the appropriate level of support to the College; allows OAS to provide exceptional services at reasonable prices; explore new services to meet the changing needs of our diverse student population; maintain our exceptional facilities and equipment.

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The 2011-2012 academic year has been a productive and profitable year for OAS. Through strategic planning, data-driven decisions and sound fiscal practices, we have effectively contained the cost of resident dining plans, and built a dining program – both resident and retail – that is the envy of both private and public colleges and universities. Sodexo has recently recognized SUNY Oneonta as a “Showcase Account,” which will give us access and preference to new dining concepts and programs, such as the Seasons venue in Fitzelle Hall. Sodexo’s support of Oneonta through their visiting global chef’s program has enabled us to showcase the cuisine of our diverse student population. We have increased our support of scholarships to the College Foundation, which has a great impact on our College’s commitment to academic excellence and diversity. The program support that OAS provides each division supports teaching, learning, student engagement, and campus enrichment. Our leadership in green initiatives and sustainability practices is exemplary, and contributes to Oneonta’s inclusion in the Princeton Review of 311 Greenest Colleges. OAS has built several community partnerships with local businesses and not-for-profit organizations that have strengthened town-gown relations and enriched the community. All of this could not have been accomplished without the dedicated teamwork of our employees, contracted business partners, and the commitment and support of the OAS Board of Directors. We remain dedicated to “Providing the Comforts of Home” to our SUNY Oneonta family, and look forward to maintaining our high level of customer satisfaction in the coming year.

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SICAS Center Bill, Grau, Interim Executive Director


The 2011-2012 year was highlighted by several changes in leadership. Charlie Young announced his retirement in November of 2010. Following a search, Tom Hull was named Executive Director in May of 2011. Mr. Hull resigned at the end of June and Bill Grau was name Interim Executive Director. A search is underway as of June 2012 for a permanent Executive Director.

The BI program stalled and then stopped this year. Marco Cestaro left SICAS for a position with the University System of Georgia. The kickoff of the BI Pilot was delayed while a search was conducted for his replacement. During that period of time, two of the campuses indicated that they needed to move faster and decided to pull out. That did not leave enough campuses to finically support the program so it was placed on hold. It is possible that a “BI lite” program could be started in the future. This program would be a “hosting only” program where multiple campuses utilized the same ODS environment hosted at ITEC.

The largest new project that SICAS is involved in is the SUNY Degree Works implementation. SICAS is working with each campus cohort to provide continuity in the implementation process. We are serving as the help desk, providing assistance in brining student data from each campus SIS to Degree Works and altering the Student Outcome modification so that it works with degree works. Each campus will be involved in this project, so for the first time every SUNY campus will receive some service from the SICAS Center.

The outstanding receivable issue began to see some resolution this year. To date we have collected over $1.2 million leaving just under $1 million to be collected. We continue to work with the campus to resolve outstanding issues and provide documentation where it is missing. Our goal is to have the issue resolved by the end of the calendar year.

Below is a listing of other events that occurred during the 2011-2012 year.

The SICAS program continues to be referred to a model shared services. SunGard HE and Datatel merged to form a new company named Ellucian. This company will continue to

offer Banner, Powercampus and Datatel software systems. SUNY has begun discussions with Ellucian about a “Seamless SIS” solution involving a combination of the

SIS’s that Ellucian holds. The purpose of this is the make the transfer of data easier, make it easier and more transparent for students to move from one campus to another, and make it easier for backend office work to be performed in a common location rather than on each campus. Coupled with the “Seamless SIS” discussion is a discussion of a common core set of data that each campus will adopt. SICAS has been involved in both of these discussions.

Bill Grau represented SICAS on the SUNY Information Technology Transformation Team (ITTT) which is discussing how best to transform technology in SUNY and be more efficient in how work gets done. The “Seamless SIS” discussion is also taking place during these committee meetings.

SICAS membership fee rose 6.4% in 2011-2012. Much of that increase was due to a lack of fund balance draw down

SUNY Purchase joined the SICAS program and is currently implementing Banner. Skidmore College joined as an Associate Member

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The SICAS bylaws were amended and adopted by the Governance Board. Many of the changes that occurred were simply updates in terminology and practice. It had been 6 years since the bylaws were updated.

The Database Administration Team was renamed Database Application Administrators to draw a distinction between the work that ITEC DBA’s do and the work that SICAS does.

In the past 12 months the remote application administration team completed three Banner 8 upgrades, seven campus operating system migrations, twenty four 11G database upgrades and four WebLogic upgrades.

Packaged and delivered over 500 releases and patches for both SICAS and Ellucian software. Held a very successful conference in September 2011, SICAS Summit, with over 250 participants and 8

vendors. Participated as a Beta site for Banner 9 extensibility. This process helped us gain an understanding of one

way to add modifications in the Banner 9 environment. This is not the only path that can be taken and we continue to work with Ellucian to gain an understanding of the product and how best to add the SICAS modifications to it.

Collaborated with ITEC to stand up a test environment for Luminis 5 for Oswego to use. Created an emergency broadcast list at ITEC to provide continuity in the event that all email is down at

Oneonta. Created a general announcement list comprised of the members of all of our email lists for general

announcements to the SICAS Community.

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Section II: 12/13 Assessment & Planning Documents Description Actions Time

FrameEval Measures Comments Expected outcomes

1. Membership Growth

Assist any institutions interested in becoming members

Ongoing New additional members

SUNY Purchase joined as a regular member and Skidmore joined as an Associate member

Reduced member costs. Effective/efficient use of SICAS resources. Systemness”

2. Application development and Support

Develop SUNY and NYS mandated applications and FAUG requested applications

Ongoing Timely delivery of software

Delivered 5 new Banner applications Improved Banner functionality for member campuses

3. Banner Technical Support

Provide level one technical and applications support for Banner and Associated Products

Ongoing Provide level one technical and applications support

Provided DBA support for 28 campuses. Also provided technical assistance to campuses who needed help with Banner and SICAS apps

Improved Banner technical support for member campuses

4. Software Distribution

Prepare and distribute bundled software releases of Ellucian and/or SICAS software

Ongoing Software will be distributed

Packaged and released over 500 releases and patches

Timely and efficient distribution of software patches and releases

5. ODS/EDW Product Support

Technical support for ODS/EDW products

Ongoing Technical support will be provided

12 campuses currently subscribe to SICAS ODS/EDW installation services

Timely installation of ODW/EDW upgrades.

6. ODS/EDW Development

Development of SICAS views for ODS/EDW

Complete SICAS customized version ODS/EDW deliv

Task completed. All views that have been developed are available for campus use

Improved reporting

7. Luminis Product Support

Technical support for Luminis portal

Ongoing Provide Luminis support for 8 campuses.

Continue to work with campuses and Ellucian to provide assistance and understanding of the Luminis product

Efficient/effective technical support of Luminis for member campuses.

8. New Banner User Interface and Architecture

Continue participation with Ellucian in Banner & User Interface reengineering project.

Ongoing Participate in focus groups. Early access to application & architecture design. Create/share training. Redesigned SICAS apps

Continued involvement with Ellucian. This has given us the ability to provide crucial direction.

Improved product. Incorporation of SICAS apps into Banner baseline. Advance understanding of impact to SICAS and members.

9. Agile Product Development

Continue use of Agile (SCRUM) product development

Ongoing Quicker development lifecycle. Fewer problems /bugs in software

Faster, more flexible easier to test method of development.

10. Business Expand and promote use of BI On hold Feedback from This is on hold due to timing and Improved data drive 109

Intelligence Initiative

for improved campus decision making

member campuses lack of interest from member campuses. This will be removed from the goals for next year.

decisions by member campuses

11. Improve/ Expand Training

Continued focus on delivery of timely & useful training. Training schedule that is useful & predictable for member campuses

Ongoing Published training schedule that will be kept updated to provide best information for campuses

Need to provide training on a consistent basis

Better trained users and a published training schedule.

12. Published release schedule

Publish schedule of when SICAS will release versions of Banner

New Feedback from Member campuses

Must be predictable to help campus plan their own upgrade schedule

More satisfied customers.

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The SICAS program continued to deliver quality service during the 2011-2012 year. The Degree Works project has gotten off to a very good start and the SICAS program is heavily involved. When this implementation is done, each SUNY campus will receive some service from the SICAS Center. The outstanding receivable issue is being resolved and we continue to make progress each week. We continue to work on our communication to campuses so that everyone stays informed. We are working closely with Ellucian on the process of modifying Banner 9. , we strive every day to improve our service to our member campuses.

We have made good progress this year, but we still have room to improve. During the next year we need to do even better in our communication with campuses. We need to perform better tests on our software and also involve our campuses more in design and testing. We need to be more predictable & provide a schedule of releases, & stick to it.

The SICAS program is the model for shared services in SUNY. We take great pride in our ability to provide a cost effective solution to our members.

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Figure 1 Finance and Administration Organizational Chart

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Figure 2 State Support multi-year trend

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Figure 3 All Funds Budget 2011-2012

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Figure 5 Cost of Attendance

Actual Actual PROJECTEDPer

SemesterFall 2010 Fall 2011 Fall 2012 $ Change % Change

In-State Undergraduate Tuition $2,485 $2,635 $2,785 $150 5.7%

Dorm Room (excl. new doubles) $2,767 $2,935 $3,003 $68 2.3%new doubles incr =

4.8%Dining Plan (Unlimited) $1,875 $1,925 $1,940 $15 0.8%

Tuition, Room & Board Subtotal $7,127 $7,495 $7,728 $233 3.1%annual cost $14,254 $14,990 $15,456 $466 3.1%

Athletic Fee $181 $188 $188 $0 0.0%Technology Fee $196 $197 $197 $0 0.0%Health Fee $142 $147 $147 $0 0.0%College Fee $13 $13 $13 $0 0.0%Transcript Fee $5 $5 $5 $0 0.0%Transportation Fee $0 $0 $0 $0 n/a

Comprehensive Fee Subtotal $536 $549 $549 $0 0.0%annual cost $1,072 $1,097 $1,097 $0 0.0%

Student Activity Fee $94 $96 $100 $4 4.2%Alumni Fee $10 $10 $10 $0 0.0%

subtotal $104 $106 $110 $4 3.8%

SEMESTER GRAND TOTAL $7,767 $8,150 $8,387 $237 2.9% v. 2.3% 2011 HEPIAnnual Cost $15,535 $16,299 $16,773 $474 2.9%

Annual % increase 2.9% 4.9% 2.9%Other Fees:Summer Orientation Fee (1-time freshman/transfer charge) $120 $120 $120 $0 0.0% Vehicle Registration Fee (annual user fee) $10 $20 $20 $0 100.0%

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Figure 6 Proportion of Student Bills Cleared via Web

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Figure 7 Annual Web Payment Receipts

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Figure 8 Research Foundation 5-year spending history

Revenue comparisons through May 31:

Direct Indirect Total Change

2011-12 $5,541,616 $530,051 $6,071,667 14.5% Total, 4.9% Indirect increase

2010-11 $4,793,436 $504,993 $5,298,429

Comparing this year to the past five years using an estimate for our June 30, 2012 revenue:

Expenditure History

Fiscal Year Direct Indirect Total

Percent change over prior year

2011-12 $6,406,569 $615,782 $7,022,350 19%

2010-11 $5,335,217 $553,326 $5,888,543 -11%

2009-10 $5,931,811 $657,497 $6,589,308 26%

2008-09 $4,724,727 $490,000 $5,214,728 4%

2007-08 $4,541,175 $488,750 $5,029,925 4%

2006-07 $4,368,390 $463,456 $4,831,846

Figure 9 Research Foundation staffing trend

Employee Data 2008-09 2009-10 2010-11 2011-12Total # of Employees 157 157 147 162Regular & Summer employees 86 91 87 101Student Employees 71 66 60 61Underrepresented minorities 30% 25% 31% 29.50%

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