ED 761 Higher and Postsecondary Education Institutions as Complex Organizations

ED 863 Planning, Policy Analysis and Institutional Research -- Dr. Marvin W. Peterson
Winter 2001

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This seminar focuses on the organizational intelligence and adaptive functions of institutions of higher education. It examines the interface of the governance, management and planning functions; the institutional research and policy analysis process; and the information technology and decision support system. The focus is on how planning and management are informed by data collection, analysis and information utilization strategies in order to improve the educational, research and service functions of colleges and universities.

Purposes and Rationale

The purposes and objectives of the course are:

1. To understand the nature and role of planning, the varied conceptual models and strategies or approaches to planning, and the relationship of planning to institutional governance.

2. To examine the nature and role of institutional research and policy analysis, their utilization strategies, and their relationship to planning and management.

3. To examine the rapidly changing nature of telematics (data and information systems, computing, and telecommunications) and decision support strategies that undergird planning, policy analysis, and institutional research.

4. To develop skill in designing, critiquing and administering an institution's planning, policy analysis, and/or institutional research function.

There is an extensive literature on governance and management in higher education. Planning has a more recent, but ever expanding, conceptual and applied literature base. In practice, planning is a function which receives attention at the system, institutional, and intra-institutional levels. In an increasingly complex and competitive higher education environment, informed governance, management and planning demand increasingly sophisticated analytic support.

Institutional research has grown rapidly as an important analytic support activity of governance, planning and management for almost five decades. In the past decade three influences have led to the expansion of institutional research. First, an increased emphasis on planning related studies and policy analysis has emerged either as a new analytic activity or as an extension of institutional research. Second, an extensive interest in assessment has led to the establishment of assessment offices or it's inclusion in institutions as a resource. Concurrently, internal and external demands for and capacity to provide more comprehensive and readily accessible data and information has also expanded.

Data bases and information systems to support these analytic activities have been a focus of development in higher education for over three decades. More recently, the introduction of mini- and microcomputers and the development of "user-friendly" software has expanded the capacity both to develop data bases and to analyze management and planning issues. The converging advances in large scale data bases, micro-computing, and telecommunications has led to the increasing emphasis on designing more sophisticated decision support systems. The Internet and the Web have increased the accessibility of external databases for planning, policy analysis and institutional research and enhanced the exchange of data among institutions and between institutions and systems.

Understanding these developments in planning, in institutional research and policy analysis, and in the decision support arena are critical to understanding the changing organizational intelligence function of an institution. This is necessary for individuals interested in roles as planners, policy analysts, institutional researchers, chief information system officers and computer or communications managers who direct these technical activities. It is also important to senior administrators or executive officers who must understand these activities and decide how to organize and utilize them to strengthen governance and management and ultimately to improve institutional performance.

The primary concern of this course is to develop an integrated perspective of planning, institutional research and policy analysis, and information and decision support systems as they relate to governance and management. It is not designed to develop technical proficiency in any single area.

For Whom Intended

This is an advanced doctoral seminar for higher education students who are concentrating in Research, Evaluation and Assessment or in Organizational Behavior and Management. It is useful for students in the Academic Affairs and Public Policy Concentrations. It is also appropriate for graduate students from other programs who have a background in organizational and administrative behavior, computer and information systems, or policy analysis and research and a good understanding of the organization and administration of colleges and universities. Non Higher Education students should have completed Ed 761, "Postsecondary Institutions as Complex Organizations", or its equivalent.

The seminar is designed for students planning administrative, public policy, or scholarly careers in higher education. For potential administrators, it is particularly appropriate for those interested in positions as directors of planning, policy analysis, institutional research, and computer or information systems and for those interested in public policy or senior administrative or executive officer roles who must decide how to organize and utilize these activities. Students interested in a scholarly career in this area should plan a strong cognate in organizational psychology or sociology; political science or public policy; organizational behavior; or information and decision sciences.

Persons with an intensive career interest in this area should discuss their program with the instructor. They should plan an intensive internship experience and are advised to take related course sequences such as:

1. Advanced statistics and research methods.

2. Information systems design and analysis.

3. An advanced sequence in organizational behavior in psychology, sociology or the business school.

4. An advanced sequence in political science, public policy, public administration, or economics is appropriate for those with state or system level interests.

Content of the Seminar

A list of topics addressed in this seminar is appended.

Procedures and Requirements

Seminar sessions will include lecture and discussion, special student preparation
and presentations, guest presentations, field trips, case studies, and/or simulations exercises. Extensive background reading and special preparation are required for most classes.

In addition to regular seminar contribution, students are expected to complete a major written assignment done individually or in small groups. It may be a field-based design or development project, an in-depth research project, or a literature review of a focused topic. Suggestions include:

1. Critical analysis of an institution's planning, policy analysis and institutional research function or a more focused analysis of one of these activities.

2. Design of a planning, policy analysis, and/or institutional research process for an institution.

3. Conduct a specific planning, policy analysis, or institutional research study for an institution.

4. Prepare a literature based critique of different strategies of, approaches to, or techniques used in planning, policy analysis or institutional research.

Students are particularly encouraged to consider projects that may lead to publications, conference presentations or future research projects.

Relation to Other Courses

This course assumes the student has taken Ed 761, Postsecondary Institutions as Complex Organizations, or has equivalent academic work or practical experience. Related courses include Ed 763, Financial Management in Postsecondary Education, Ed 861, Personnel Administration in Higher Education, and Ed 865, Evaluation and Assessment in Higher Education. These courses deal with organizational, financial and human resource analysis issues, with faculty and staff issues, and with academic and educational research and evaluation issues. For students interested in state level planning and policy analysis, this course is a useful adjunct to Ed 764, Public Policy in Postsecondary Education and to Ed 872, State Government and Higher Education.

Texts Recommended

Peterson, M.; Mets, L.; Dill, D.; and Trice, A. ASHE Reader on Planning and Institutional Research. Simon and Schuster, 1999.

Bryson, J.M. Strategic Planning for Public and Non-Profit Organizations (2nd Edition). Jossey-Bass, 1995

Middaugh, M.F., Trusheim, D.W., & Bauer, K.W. Strategies for the Practice of Institutional Research, AIR, 1994.

Peterson, M.; Dill, D.; and Mets, L. Planning and Management for a Changing Environment: A Handbook for Redesigning Postsecondary Institutions, 1997.

Useful Reference Texts

Balderston, F.E. Managing Today's University (Second Edition). Jossey-Bass, 1995.

Jedamus, P. and Peterson, M. Improving Academic Management: Handbook of Institutional Research and Planning. Jossey-Bass, 1989.

Keller, G. Academic Strategy. Johns Hopkins University Press, 1983.

New Directions in Institutional Research series. Jossey-Bass.

Massy, W.F. (Ed.) Resource Allocation in Higher Education. Ann Arbor: University of Michigan Press, 1996.

Peterson, M. and Mets. L. Key Resources for Higher Education Governance, Management and Leadership. Jossey-Bass, 1987.

Schmidtlein, F.A. and Milton, T.H. Adapting Strategic Planning to Campus Realities. NDIR, Vol. 64. Jossey-Bass 1990.

Smart, J. (Ed.) Higher Education: Handbook of Theory and Research. Volumes I-XV. Agathon Press, 1985-1999.

AIR & SCUP Publications

Dolence, M.G. and Norris, D.M. Transforming Higher Education, SCUP, 1995.

Fendley, W. and Seeloff, L. (Eds.) Reference Sources: An Annotated Bibliography for Institutional Research. AIR, 1993.

Middaugh, M.F., Trusheim, D.W., & Bauer, K.W. Strategies for the Practice of Institutional Research, AIR, 1994.

Muffo, J. and McLaughlin, G. A Primer on Institutional Research. AIR, 1987.

Norris, D. and Poulton, N. A Guide for New Planners. SCUP, 1991

Saupe, J. The Functions of IR (2nd Edition). AIR, 1990.

Whiteley, M., Porter, J., and Fenske, R. The Primer for Institutional Research. AIR, 1992.

AIR & SCUP Journals and Monographs

AIR Professional File Series
New Directions in Institutional Research, AIR
Planning for Higher Education, SCUP
Research in Higher Education, AIR

On The Horizon. This serial publication is a useful reference published by Jossey-Bass Publisher. It is available through my online subscription at http://horizon.unc.edu/harizon/

Tentative Calendar for Ed 863; Winter 2001

Date Topics*

Overview and Perspective

Jan. 8 Course purposes, content, and requirements. Brief history of planning, policy analysis, institutional research, and decision support and their relationship to governance and management.

I. Institutional Research and Policy Analysis

Jan. 15 Roles, organizing patterns, and utilization strategies.

Jan. 22 Studies of faculty and faculty programs.

Jan. 29 Studies of students and enrollments.

Feb. 5 Financial and Organizational studies.

Feb. 12 Nature and role of policy analysis.

II. Institutional Planning

Feb. 19 Planning Strategies and Models: Relationship to governance and analytic studies.

Feb. 26 Winter Break

March 5 Environmental analysis and futures research in planning.

March12 Academic Program planning and evaluation.

March 19 Capital and facilities planning.

III. Supporting and Embedding Planning and IR

March 26 Management information, computing and telecommunications.

Apr.2 Linking Planning and IR to Management Functions.

Apr. 9 Case Study and Critique.

IV. Future Directions of Planning, Policy Analysis and Institutional Research

Apr. 16 Planning for Academic Challenges

External Planning, Accrediting and Accountability; planning and accrediting agencies, policy analysis groups, data resource and exchange networks.

Apr. 23 Wrap up and Project Brieifngs

*This topic list assumes that financial and budget analysis; student, curricular and program evaluation and assessment; and faculty and staff studies are examined in greater detail in related CSHPE courses.