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Format Guidelines
Institutional Effectiveness Reports and Resource Requests
Reflecting Data Compiled for
2014-2015 Academic Year
OVERVIEW
What are Institutional Effectiveness Reports and Resource Requests?
The Institutional Effectiveness Reports (IE) and Resource Requests are commonly referred to as
IE Reports. The IE Reports document the results of assessment and planning activities as they
apply to the IE Report for the unit. The IE Report for a unit is comprised of the university goals
(formerly Imperatives) and objectives the unit seeks to achieve and the assessment measures
used to evaluate progress towards those imperatives and objectives. All unit goals should match
the goals of the University’s Strategic Plan. These goals have been provided in the IE Reporting
Template.
Why are IE Reports done?
IE Reports for each department, college, and support unit are submitted annually as a way to
document progress toward achieving unit goals and collectively document progress toward
achieving the university’s goals as enumerated in the 2016-2020 Strategic Plan. IE Reports state
each unit’s intentions to continue current actions or to implement new objectives, strategies, or
assessment measures. New budgetary needs to support unit objectives are itemized in IE
Reports.
Who does the IE Report?
Any unit head whether academic or service including Assistant or Associate Vice Presidents, Vice
Presidents, Deans, Chairs, and Directors (See Table 1 for report due dates).
Who receives the IE Report?
The IE Reports are sent to a Co-Chair of the CAP Committee and to the appropriate administrator
(Assistant or Associate Vice Presidents, Vice Presidents and Deans).
How are reports submitted to CAP?
Two options are available for IE report submission. To facilitate the review by CAP committee,
please include your last name and a short description of your department in your IEP file name,
such as Zhuang_OPA_OIR.docx or Hearon_EDKN.docx if in Microsoft Word format.
 Reports can be submitted by email to either of the CAP Co-Chairs, at
miao.zhuang@tamuk.edu or kim.mccuistion@tamuk.edu;
 A share folder has been created named IEP Share for all unit heads who are responsible
for IEP reports. It should be listed with C drive as shown in figure 1. The report submission
can be as easy as moving your submission file into this shared folder. This option is
RECOMMENDED. As a unit head, you have full control of your IEP report without seeing
reports of other departments. It allows you to make changes in your own report for
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unlimited times before the deadline, directly in the folder. It can also avoid the case of
email submission being rejected due to full mailbox.
Figure 1. The location of the shared folder of IEP Share (Windows Users)
REPORTING SCHEDULE
Table 1. Submission due dates and routing procedure for Institutional Effectiveness Report and
Resource Request Reports.
Reporting Units
Due Dates
Report Recipients
Academic Departments
Monday, November 16, 2015
Dean and *CAP
Support or Service Units
Monday, November 16, 2015
AVP and *CAP
Colleges
Friday, December 18, 2015
Provost and *CAP
AVPs
Friday, December 18, 2015
Vice President and *CAP
Vice Presidents
Friday, February 5, 2016
President and *CAP
*Please refer to the above-mentioned submission methods
What does an IE Report include?
The IE Report must contain the following four sections. These include:
I. The Executive Summary is a brief synopsis of accomplishments from AY 2014-2015 and
planning activities for subsequent years.
II. The Resource Requests are prioritized listings of specific near-term resource requests for AY
2016-2017 and long-term resource requests for AY 2017-2018 and 2018-2019. These dates
are included in the IE Report Template (updated annually).
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III. The Assessment of the Institutional Effectiveness Report includes the IE Report in effect
for AY 2014-2015 and the results thereof.
IV. The Revised Institutional Effectiveness Plan outlines goals (formerly imperatives),
objectives, and assessment measures instituted for AY 2016-2017.
GUIDELINES FOR INDIVIDUAL SECTIONS OF THE IE REPORT
I. Executive Summary
The Executive Summary should be brief (bullet lists are preferred) and highlight:
(1) Significant accomplishments, outcomes, and results of the unit for AY 2014-2015;
(2) Changes, improvements, and plans implemented during AY 2014-2015 from the
assessment results of previous years; and
(3) Plans for improvement to be implemented (if so indicated) during subsequent years,
based on assessment results collected during AY 2014-2015. This third component is
crucial for demonstrating that the unit has assessed performance and responded to the
results of assessment measures, thereby closing the loop in the evaluation/planning
process. An example of an Executive Summary is provided below.
EXAMPLE: EXECUTIVE SUMMARY
EXECUTIVE SUMMARY
2014-2015
1.
Significant Accomplishments/Outcomes/Results for Academic Year 2014-2015.
 Three faculty members received grants from federal agencies;
 Students achieved a pass rate of 90% on licensure exam.
 Retention rates for first-time freshmen increased from 55 to 60%.
2.
Changes/Improvements/Plans for Academic Years 2014-2015 Resulting from Assessment
Outcomes from Previous Years.
 First-time freshmen retention rates increased from 55% in 2006 to 60% in 2014 as a
result of high participation in our mentoring program.
 Grant-writing workshops helped to improve grants success for 2014;
 Recruiting outreach efforts by faculty and graduate students appears to have helped
enrollment increase 5% in fall of 2014.
3.
Plans for improvement in Subsequent Years based on assessment results of Academic Year
2014-2015.
 Results from the Educational Testing Service Field Exam show low performance in the
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area of Hyperspace Dynamics. As a result, the department will now require Hyperspace
Dynamics (ASTR 4302, currently listed as an elective) as part of the required curriculum.
II. Resource Requests
The Resource Request tables begin on a new page after the Executive Summary. Resource
Requests pertain only to new budgetary needs, over and above the recurring unit budgets. The
first table provides a summary of near-term (immediate) budgetary requests for AY 2016-2017.
The second table provides a summary of long-term budgetary requests for the subsequent two
academic years (2017-2018 and 2018-2019). The Resource Request tables should contain the
following items:
1. Priority: The listed order of requested items will reflect their overall and within category
priority (see examples.
2. Request: The Request identifies the specific item requested. Examples might include
additional operating funds, a new photocopier, etc.
3. Category: Requests are Personnel, Operating, or Equipment. Personnel costs are those
associated with salaries. Operating costs include supplies, equipment rentals,
maintenance contracts, travel, and other expenses associated with the day-to-day
operation of the unit. Equipment costs are one-time expenditures for new equipment
purchases. Checkboxes have been provided in the IE Report Template.
4. Justification: The Justification is a brief explanation of why you need the requested
budget increase. The Justification must be related to at least one Objective from Section
III or Section IV.
5. Cost: The dollar cost should be listed for each request.
6. Near-Term/Long-Term: In both the Near-term and the Long-term Resource Request
tables, specify whether the cost of each requested item is one-time or recurring.
Checkboxes have been provided in the IE Report Template.
7. When Needed: Please note the initial date for which the item is requested. Checkboxes
have been provided in the IE Report Template.
NOTE: For illustration purposes our examples list requests and assessments for a hypothetical
Department of Astrophysics. Requests and assessment for non-academic units will be
similar.
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EXAMPLE: NEAR-TERM RESOURCE REQUESTS
Near-Term Resource Requests for AY 2016-2017
Department of Astrophysics
Priority
Request
Category
Justification
aligned to objective(s)
Cost ($)
One-Time or When Needed?
Recurring?
☐ One-time
☒ Fall 2016
☒ Recurring
☐ Spring 2017
☐ Summer 2017
1
Additional office staff ☒ Personnel
☐ Equipment
☐ Operating
Assessment Result for
Objective 3.3 indicates
increased workload in
the office.
$20,000 +
benefits
2
New wide-carriage
printer
☐ Personnel
☒ Equipment
☐ Operating
Revised Objective 2.1
requires more
presentations, many of
which will be posters.
$2,500
☒ One-time
☐ Recurring
☒ Fall 2016
☐ Spring 2017
☐ Summer 2017
3
LCD projector
☐ Personnel
☒ Equipment
☐ Operating
Assessment Result for
$2,000
Objective 1.4 shows need
to deliver lectures using
PowerPoint.
☒ One-time
☐ Recurring
☐ Fall 2016
☒ Spring 2017
☐ Summer 2017
EXAMPLE: LONG-TERM RESOURCE REQUESTS FOR ACADEMIC UNITS
Long-Term Resource Requests for AY 2017-2018 and 2018-2019
Department of Astrophysics
Priority
Request
Category
Justification
aligned to objective(s)
Cost ($)
One-Time or
Recurring?
☐ One-time
☒ Recurring
When Needed?
1
New faculty: assistant ☒ Personnel
☐ Equipment
professor
☐ Operating
2
Two new computers
☐ Personnel
☒ Equipment
☐ Operating
Assessment Result for $3,000
Objective 4.1 indicates
that 2 faculty have
computers older than
4 years
☒ One-time
☐ Recurring
☐ Fall ☐ 2017
☒ Spr. ☒ 2018
☐ Sum. ☐ 2019
3
Photocopier
☐ Personnel
☐ Equipment
☒ Operating
Poor copy quality and
frequent breakdowns
of existing copier
affected Assessment
Result for Objective
2.6
☐ One-time
☒ Recurring
☐ Fall ☐ 2017
☒ Spr. ☒ 2018
☐ Sum. ☐ 2019
4
Laboratory technician ☒ Personnel
☐ Equipment
☐ Operating
Assessment Result for $35,000 +
Objective 3.2 on
benefits
enrollment shows that
average class sizes
exceed the target by
50% for the last three
years
$6,000
rental
Negative Assessment $14,000 +
Result for Objective
benefits
1.1 supports this need
☐ One-time
☒ Recurring
☒ Fall
☒ 2017
☐ Spr. ☐ 2018
☐ Sum. ☐ 2019
When prior
contract expires in
January 2018
☐ Fall ☐ 2017
☒ Spr. ☐ 2018
☐ Sum. ☒ 2019
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In the above example of long-term resource requests, the department’s highest overall priority is
staffing a position and the second most important budgetary item is the acquisition of new
computers. However within equipment needs, acquiring computers is top priority. This may be
important if funds are available for equipment but not for personnel. Conversely, staffing a
position might be funded if there are no equipment funds but monies for personnel are available.
Thus, items should be listed in order of their overall importance.
III. Assessment of the Institutional Effectiveness Report
The Assessment of the IE Report should include in a taxonomic structure: (1) statement and
number of Imperative; (2) statement and number of Objective; (3) statement of the Assessment
Measure; (4) description of Assessment Cycle; (5) report of Assessment Result; and (6) Narrative.
1. Imperative: Imperatives come directly from the 2011-2015 Strategic Plan. If an
imperative is not appropriate for the unit (e.g., the Department of Finance likely has little
involvement with the development of scholarly endeavors), the report should note “Not
Applicable” under the Imperative heading, and then proceed to the next Imperative.
2. Objective: Objectives are quantifiable targets that describe actions that lead to meeting
the Imperative. Each unit imperative must have at least one objective and most will have
more than one. Objectives are measurable steps that should be indicators of your
successful attainment of the Unit Imperative. The first numeral assigned to an Objective
ties the Objective to the Imperative; the second numeral uniquely identifies the
Objective. For example, Objective 2.3 refers to the third Objective of Imperative 2.
3. Assessment Measure: Assessment Measures tell what is acceptable as an indicator of
successful achievement of the Objective. It provides a benchmark measure from which
the success of achieving the Objective is evaluated. Objectives should be written as
quantifiable statements. The Assessment Measure describes a value that allows the
determination of the degree that the Objective is met. Each Objective must have at least
one Assessment Measure. Many ways to measure a given Objective may be available;
and Objectives should generally be assessed by more than one Assessment Measure.
Assessment Measures need not be numbered.
For the Assessment Measure to be useful in planning, a benchmark should be built into
the measure. For example, stating that students will “do well on the ETS field test” is not
a quantifiable measure. Stating that 75% of students will score above the 70 th percentile
provides a quantifiable benchmark against which progress at achieving the objective can
be measured. Thus, after applying the Assessment Measure, you know whether or not
you met the Objective.
4. Assessment Cycle: An assessment cycle denotes the time or deadline that will be used to
collect data and assess a related assessment measure. For example, an assessment
measure that has an assessment cycle of one year, it means that at the completion of one
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year the data should be completed and analyzed to observe if the associated objective
was met, not met, or partially met if there are multiple assessment measures.
5. Assessment Result: The Assessment Result is the outcome of the Assessment Measure.
There should be an Assessment Result for each Assessment Measure. Graphs, charts,
and/or tables may be used, as appropriate. Assessment Results need not be numbered.
Checkboxes have been provided in the IE Report template to note if the objective has
been Achieved, Partially Achieved, Not Achieved, or Other. Please explain why you’ve
selected this.
6. Narrative (optional): The Narrative should interpret and provide context for Objectives or
Results. Special circumstances may affect the interpretation of the data. For example, an
Objective might be so new that data are unavailable. Another example is this report is
not coincident with the Assessment Cycle. Where appropriate, suggest actions or
planning changes that will lead to successful achievement of the Objective. If an
objective is not met the narrative should spell out how it will be met in the future. This
should be done in concrete and specific language. Also, budgetary implications for the
planning recommendations could be noted here.
An example portion of an Assessment of an IE Report is provided below.
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EXAMPLE: ASSESSMENT OF IE REPORT
III. ASSESSMENT OF INSTITUTIONAL EFFECTIVENESS REPORT
2014-2015
Imperative 3: Support the development and maintenance of nationally prominent undergraduate, graduate
and professional programs.
Objective 3.1: Students will demonstrate mastery of the astrophysics curriculum.
Assessment Measure: 75% of seniors who take the Educational Testing Service Field Exam in
Astrophysics will score above the 70th percentile nationally.
Assessment Cycle: Yearly
Assessment Results: (☐ Achieved, ☐ Partially Achieved, ☒ Not Achieved, or ☐ Other)
Outcomes: 30 of 60 (50%) seniors who took the ETS test were above the 70th percentile.
Assessment Measure: 80% of freshmen will correctly identify and classify all bodies in the Solar
System as specified in ASTR 1301.
Assessment Cycle: Fall semester
Assessment Results: (☒ Achieved, ☐ Partially Achieved, ☐ Not Achieved, or ☐ Other)
Outcomes: 68 of 80 (85%) of freshmen fulfilled this requirement.
Narrative: Freshmen performance was acceptable. Most of our seniors did poorly in Hyperspace
Dynamics on the Field Exam. The department will require all students to take Hyperspace
Dynamics (ASTR 4302) as part of the curriculum for the major.
IV. Revised Institutional Effectiveness Plan
The Revised IE Plan section should include: (1) a brief listing of the unit’s Goals (formerly
Imperatives), (2) Objectives, (3) Assessment Measures that will be in effect for AY 2016-2017,
and (4) Assessment Cycle. Note that the time period of the Revised IE Plan corresponds to the
time period of the near-term Resource Requests.
1. Goal: Formerly known as University Imperatives under the old Strategic Plan.
ATTENTION: The University’s 2016-2020 Strategic Plan becomes effective AY 2015-2016.
This plan replaces the Imperatives from the 2010-2015 Strategic Plan with a new set of
University Goals. DO NOT continue using the old imperatives.
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2. Use the following Goals from the 2016-2020 Strategic Plan:
Goal 1: Experiences that prepare students intellectually, creatively, ethically and socially
Goal 2: Scholarly work that contributes to the quality of life and the body of knowledge
Goal 3: An evolving campus conducive to life, learning and success for a diverse student
body
Goal 4: Renowned programs, faculty, staff and students
Goal 5: Strategic increases in student enrollment, institutional influence and campus
resources
3. Objective: Restructured unit Objectives, and should take into account Assessment Results
from AY 2014-2015. Report authors should note whether Objectives are new, revised, or
continuing (check boxes provided on the IE Report Template).
4. Assessment Measure: Restructured Assessment Measures should also take into account
Assessment Results from AY 2014-2015.Report authors should note whether the
Assessment Measures are new, revised, or continuing (check boxes provided on the IE
Report Template).
5. Assessment Cycle: An assessment cycle denotes the time or deadline that will be used to
collect data and assess a related assessment measure.
The example below illustrates portions of a Revised IE Plan.
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EXAMPLE: REVISED IE PLAN
REVISED INSTITUTIONAL EFFECTIVENESS PLAN
2016 - 2017
Goal 1: Experiences that prepare students intellectually, creatively, ethically and socially
Objective 1.1 (☐ New, ☐ Revised, or ☒ Continuing): Students will demonstrate mastery of the
astrophysics curriculum.
Assessment Measure(s) (☐ New, ☒ Revised, or ☐ Continuing): 65% of seniors who take the
Educational Testing Service
Field Exam in astrophysics will score above the 70th percentile nationally.
Assessment Cycle: Yearly
Assessment Measure(s) (☐ New, ☒ Revised, or ☐ Continuing): 85% of freshmen will correctly identify
and classify all bodies in the solar system as specified in ASTR 1301.
Assessment Cycle: Fall semester
Goal 2: Scholarly work that contributes to the quality of life and the body of knowledge
Objective 2.1 (☐ New, ☐ Revised, or ☒ Continuing): Faculty participation and performance in research
and scholarly work will improve.
Assessment Measure(s) (☐ New, ☐ Revised, or ☒ Continuing): 75% of faculty will publish research.
Assessment Cycle: Yearly
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