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Transforming the University of Wisconsin-Stout with a grassroots strategic planning process

Charles W. Sorensen speaks with Higher Education Digest

Grassroots, giving power to the masses, is a bold, democratic concept; one in which the University of Wisconsin-Stout recently embraced with strategic planning. A severe shortfall in state funding contributed to a political crisis at UW-Stout necessitating this new system, one that emphasized short-term responses, long-term structural changes, and adoption of the Baldrige criteria.

Back in the 1990s, the University of Wisconsin System’s budget was cut five percent. The Board of Regents looked at innovative strategies for managing the financial crisis, and discussed the concept of a university withdrawing from the system and becoming a "charter school." With its market-driven career-oriented programs and relationships with employers, Chancellor Sorensen volunteered UW-Stout.

In 1995, Chancellor Sorensen, along with the interim Vice Chancellor for Administration and a small group of staff, drafted the charter proposal. Looking back on it, Chancellor Sorensen says, "I made key mistakes: the Provost was not pulled into the planning process; I was away from campus often lobbying for our budget; and finally, I did not communicate that the proposal was merely a request to study the issue in greater detail."

Turmoil erupted at UW-Stout leading to a no confidence vote. Chancellor Sorensen met with departments, held open forums, and conducted face-to-face meetings, establishing short and long-term strategies. As Chancellor Sorensen says, "I was accessible to everyone and listened carefully to what they said. Involving the Faculty Senate became my second short-term tactic, and I asked to meet with their Executive Committee. One thing stands out about that meeting; the faculty truly wanted to discuss how to open up the lines of communication."

Four issues emerged from these early grassroots meetings, which called for organizational change; open communication, an inclusive decision-making process, a participative budget process, and effective technology management. Within months, UW-Stout made significant advances in all four areas, positioning the university to receive the Malcolm Baldrige National Quality Award. In summarizing these changes, Chancellor Sorensen states that, "I relinquished power to gain authority, respect, and influence."

Higher Education Digest recently interviewed Charles Sorensen, Chancellor of University of Wisconsin-Stout, winner of the 2001 Malcolm Baldrige National Quality Award, to get his perspective on UW-Stout’s successful strategic planning process.

Sorensen: University staff met with key members of the university community to identify common themes and concerns so that the strategic planning process would fit the culture and needs of the campus. The strategic planning process was developed and deployed over a sixyear period with the university implementing improvements that allowed for early and dramatic change. One of the early changes in 1996 was the establishment of a new leadership structure, the Chancellor's Advisory Council (CAC). This 21-member council includes representatives from: the Senate, the classified staff, the students, and the administration, and meets bi-weekly to review planning and discuss budget issues. CAC distributes the leadership among all campus groups.

Formal team building is a key component of this leadership system. Each stakeholder has the opportunity to influence the direction of the campus.

Sorensen: Following the turmoil on campus in 1996, the Office of Budget, Planning, and Analysis (BPA) was formed. The BPA developed a new open budget process for establishing priorities. In the first year of the budget process, over 250 faculty, staff and students attended ten facilitated group sessions. There was about 20% employee participation.

The Chancellor’s Advisory Council (CAC) reviewed the themes and recommended final campus priorities and funding. Facilitated focus group sessions are held annually and, since 1996, 45 priorities have been identified and funded or are in the process of being funded. A recommendation is not discussed unless there is adequate support. All priorities are aligned with the strategic plan.

Sorensen: As stated in UW-Stout’s application for the Baldrige award, the Strategic Planning Committee (SPC) performs several critical tasks in the strategy development process including: vision, values, mission review, situation analysis (SWOT), five-year goal setting, action plans review, and performance measurement identification.

By systematically aligning people, process, and technology, the university can see if funding a goal is possible. If there are not enough resources, it does not become a goal. Each year the university establishes four to six priorities for funding. In examining a priority, the university asks the following questions:

1. What issue is being addressed?

2. What solution is being proposed?

3. Can you demonstrate a linkage to the strategic plan, proving it matters?

4. What has to be done?

5. Who is going to do it?

6. What is the timeline?

7. What is needed to succeed? Are fiscal or other resources needed?

8. What information will be collected to benchmark / measure the success?

Every six months the SPC reports updates on progress to the Chancellor, CAC, and the university community.

Sorensen: Our priority setting is a campus-wide function based on everyone’s involvement. It is top down, and bottom up. To make it work, you have to have strong planning support, leadership and an open process. The process involves communication, commitment, leadership, and support.

This systematic approach means that budget choices are determined by the team.

The university’s budget is on the Web. Budget decisions are not hidden. This creates trust in how the university spends its money.

Sorensen: As cited in UW-Stout’s application for the Baldrige award, the SPC defines and develops institutional performance measures, called ‘Strategic Indicators.’ These performance targets are based upon strategic goals, and are derived from projecting past performance into the future.

The University examines its strategic indicators against 25 peer schools nationwide. For example, UW-Stout is a technology campus and regularly tracks the use of computers in the classroom compared to its peers.

Sorensen: The CAC is democratic and holds nine facilitated sessions on campus annually. CAC meets regularly to communicate or make decisions. Constituents, both external and internal, have several opportunities to influence and participate in university planning.

• Internal stakeholders have the opportunity to participate in focus group sessions each fall: through their governance/organizational structures, as individuals, or by logging on to the university priority message board.

• External stakeholder participation is also important to the university, and stakeholder visioning is held periodically to identify strengths and opportunities for our institution.

One issue constituents have brought up is the need for supporting technology, specifically laptops. This helped drive the university to become a wireless campus. The same thing happened with the university’s new computer network. Back in 1997, the need for a new network was brought up at a CAC meeting and logged as a budgetary priority.

Now, participation in campus open forums is at 30%, a high rate compared to grassroots politics, which average around 2%.

In giving power to the people, the University of Wisconsin-Stout has proved this way of working together is not just a concept for politics, but a viable approach for university strategic planning.

Dr. Charles W. Sorensen has served as Chancellor of the University of Wisconsin-Stout since 1988. Under his leadership, the university has experienced significant success in program development, distance education efforts, the use of technology in the classroom, private fundraising, and a vibrant technology transfer program. UW-Stout was selected by the U.S. Department of Commerce for the prestigious 2001 Malcolm Baldrige National Quality Award in the education category.