5P3 Operational Effectiveness

• Building budgets to accomplish institutional goals
• Monitoring financial position and adjusting budgets (5.A.5)
• Maintaining a technological infrastructure that is reliable, secure, and user-friendly
• Maintaining a physical infrastructure that is reliable, secure, and user-friendly
• Managing risks to ensure operational stability, including emergency preparedness
• Tracking outcomes/measures utilizing appropriate tools

Building Budgets to Accomplish Institutional Goals

The Institute’s strategic plan, inclusive of its stated goals and objectives, provides the framework from which annual budgets are adopted, and budget development is directly integrated into the Institute’s Annual Planning process (4P2).  Therefore, throughout the Budget process description below (Figure 5P3.1), references are made to the specific associated step in the Annual Planning process (Figure 4P2.1). 

Budget requests are formulated at the cost center (program/department level) during the capture stage of the Annual Planning process (AP1). Prior to these meetings, immediate supervisors provide employees with prior year budget documents and cost center data sheets (which include measures and targets specific to the cost center).  Information from other sources, including Advisory Committees, student, graduate and employer survey results, Southeast Tech Cares, Capital Improvement, Capital Equipment and Technology plans, etc. are also gathered by the supervisor and cost center employees.  The supervisor then meets with the employees to discuss anticipated needs to maintain current operations, achievements of stated goals, and new program initiatives.

Cost Center employees then develop a proposed cost center budget (AP2), based on Institutional and cost center goals and the needs of the area.  Major initiatives requiring increased funding must support one of the Institute’s strategic goals or the mission/vision of the Institute and requires documentation of need and purpose.

Cost center budget proposals are approved by the immediate supervisor and are submitted to the Institute’s Office of Finance for inclusion in the aggregated budget requests. The Finance Office then prepares a projected revenue report for the Institute, which also disaggregates revenue by cost center.

Prior to and during budget development, the Administrative Team reviews revenues. Through reviews of current and potential enrollment growth, adjustments in local/program fees, and expected state appropriations and other revenue sources, the Team develops projected revenues for the coming fiscal year. Southeast Tech takes a conservative approach to revenues and requires that the Institute’s operational expenditures not exceed revenue projections unless such expenditures are justified and are in-line with the Institute’s long-range planning and goals.

A multi-level review and decision (AP3) process is used to ensure budgets reflect adopted guidelines and support stated goals and objectives. The process begins with the Administrative Team, which reviews the proposed budgets and adjusts accordingly to assure it is balanced with revenues. Frequently, this requires cost center budget adjustments that eliminate funding in some areas and increases funding in others. As the Team makes these adjustments, communications continue with cost center employees to inform them of these adjustments.

The Budget Committee, consisting of the Adminstrative Team and a faculty and staff representative, review the final budget and make additional adjustments.  

Formal adoption of the completed budget begins with the Council, which reviews the budget during its April meeting, adjusts it accordingly, and recommends the final version to the Board for approval (5.A.5). 

The budget is preliminary reviewed by the Board during its April meeting, and then formally approved during its July meeting.  This provides additional opportunities for public input.

Once adopted, the budget is deployed (AP4) by the immediate supervisor and the cost center employees. 

Monitoring Financial Position and Adjusting Budgets (5.A.5)

The Institute has implemented several budget monitoring and evaluation (AP5) processes that occur throughout the year. First, the Institute maintains budgetary controls to ensure compliance with the legal provisions of the annual appropriation approved by the Board. This includes monthly budget reports that are provided to, and approved by, the Board. Second, user-generated reports are available to immediate supervisors and employees for review and monitoring of cost center expenditures. Third, expenditures require the approval of the immediate supervisor, who has the responsibility of assuring that the budget is adhered to. Fourth, the Vice President of Finance reviews the budget with the Administrative Team at weekly meetings and with all employees during Monthly Meetings, assuring that expenditures are within allocations. Fifth, the Board receives more detailed revenue and expenditure reports on at least a quarterly basis.

Budgets may be revised through a transfer request or supplemental appropriation. Immediate supervisors may request budget transfers in the amounts of $1,000 to $10,000 with the approval of the President.  Budget transfers in excess of $10,000 or involving any salary budget account must be approved by the Board.

Supplements to the budget are also allowed if revenues are in excess of anticipated levels or if there is a request to utilize existing cash reserves.  All budget supplements, regardless of dollar amount or funding source, must be approved by the Board.

A final review of budget revenue and expenditures is provided to the Board and Council and occurs as part of the Institute’s Strategic and Annual Plan reflection (AP7, SP8)  (5.A.5)    

Maintaining a Technological Infrastructure that is Reliable, Secure, and User-Friendly

Redundancy, data security and ease of use are vital to any technological infrastructure. Table 5P3.1 provides information on how the Institute maintains these areas. Reliability is ensured through redundant systems that provide back-up of data and multiple data paths should one pathway be blocked. A strong bandwidth also assures that data is accessible when it is needed. Security of the Institute’s data center is assured through keycard/code entry and limited access, as well as established processes for obtaining usernames and passwords and permissions on an as-needed basis controlled by IT help assure that the institute keeps data secure. Using the most up-to-date software also provides additional security.  Finally, assuring that technology is user-friendly by providing remote access and an LMS system that is easy to navigate provides for a better customer experience. 

To assure that the Institute continues to be on the cutting edge of its technology infrastructure, IT personnel participate in regional educational and non-educational IT groups as well as vendor software panels and committees.

Additional information regarding technological infrastructure is provided in 5P1.

Maintaining a Physical Infrastructure that is Reliable, Secure and User-Friendly

Through the use of required R&M funding, Southeast Tech has the on-going ability to maintain its physical infrastructure to be consistently reliable in meeting the needs of its stakeholders.  The Institute’s five-year CIP plan (5P1) provides for additional facility updates to further improve the physical infrastructure.  Security of the facilities is a priority of the Institute. All buildings have established hours of operation with external doors opened and closed by custodians or campus security according to these established hours. Employee access (by keycard) is limited, requiring the approval of the immediate supervisor and the President, and is monitored by the President’s Office.  To further improve security, Southeast Tech contracts with the local Sheriff’s Department for security officers on campus during the day and in on-campus housing during the evening.  The Institute also has security cameras placed throughout the campus and monitored by the security officers. All facilities are ADA compliant and therefore user-friendly.    

Managing Risks to Ensure Operational Stability, Including Emergency Preparedness

Southeast Technical Institute maintains an Emergency Operations Plan (EOP) that includes procedures, guidance, and checklists to aid in the handling of a wide variety of emergencies, including medical, active threat, weather, fire, workplace violence, etc.  The EOP plan has been derived from, and conforms to, the Department of Homeland Security’s National Incident Management System (NIMS).  NIMS provides a consistent, flexible and adjustable national framework within which government and private entities at all levels can work together to manage domestic incidents, regardless of their cause, size, location, or complexity.  The EOP plan is reviewed and updated every three years as part of the Institute’s policy review process.     

The Institute has also implemented an emergency alert system that allows designated employees to send alerts to the Southeast Tech campus community (all employees and all students) when an emergency has occurred or may be imminent. The emergency alert system notifies community members through phone, email and text messages. Rights to send alert messages are password protected and controlled by IT.  

Southeast Tech also maintains a Safety Committee which meets monthly to address safety issues and develop and review procedures for emergency responses. Security officers from the Minnehaha Sheriff’s Department provide on-campus security and support during emergency situations.

Tracking Outcomes/Measures Utilizing Appropriate Tools

Beyond the success of the Institute as outlined in the results sections of this Portfolio, Southeast Tech uses the following stakeholder measures of Operational Effectiveness:

• Employer – Facilities and Equipment
• Students – Labs and Campus Maintenance
• Employees – Budget and Staffing