RECEIVED AUG 3 1 1995 Office of Desegregation Monitoring LITTLE ROCK SCHOOL DISTRICT______ 810 WEST MARKHAM STREET LITTLE ROCK, ARKANSAS 72201 *<r. w. PROGRAM PLANNING AND BUDGETING PROCESS August 1995 Little Rock School District PROGRAM PLANNING AND BUDGETING August 1995 General Concept A comprehensive program planning and budgeting process (Process) improves the Districts ability to allocate its revenue rationally and, therefore, have maximum impact on achieving the goals of the District. Linking program objectives and program expenditures assures that money is being spent appropriately. This document serves as an explanation of the Little Rock School Districts (LRSD) program planning and budgeting process. 1. 2. 3. 4. 5. During the Process, the following will occur: The needs of the District, particularly legal obligations under the desegregation and settlement plans, will be determined. Goals and objectives will be defined. Programs to achieve those objectives, particularly those required by the desegregation plans, will be defined. Performeince standards and expenditures will be established and measured. Information for corrective decision-making will be prepared. Organizational Structure for Planning and Budgeting Process 1. II. Key Players - The Superintendent leads the Process with direct support from the Cabinet. The Board is the ultimate decision-maiker for the Process. Description - The Process is led by the Superintendent with direct support from the Superintendents Cabinet. The Process is coordinated by the Director of Planning, Research, and Evaluation (PRE) and the Manager for Support Services, who both serve on the Superintendents Cabinet. A. B. C. A Management Tool (described later in this document) serves as a Planning Budget Calendar. The Calendar allows the Board to continuously monitor progress of the Process. The Director of PRE is the lead planning person. He/she ensures that the planning process is conducted according to established time frames, provides technical assistance, coordinates the planning process, collects appropriate reports, coordinates the preparation of related documents, and advises the Superintendent and Board on the Process. In addition, the lead planning person is responsible for ensuring that all requirements from the desegregation plans and court orders are integrated into the Process. The Director of PRE is to be assisted by a Planning, Research, and Evaluation Specialist whose major responsibility is District wide planning.LRSD - PROGRAM PLANNING AND BUDGETING Page 2 III. IV. Outcome - An organizational chart that displays the current lines of authority and responsibility is attached (see Attachment 1). The primary planning and budget development tasks are finalized and included on a Project Management Tool by July (for the July Court submission). Time frame - The organizational chart is reviewed/revised by August to ensure that the configuration is the most effective and efficient arrangement. Necessary revisions and adjustments are made as needed. Program Inventory Prior to the Needs Assessment period, which starts in September for the next budget year, the Program Inventory process begins in July
current desegregation and nondesegregation programs are identified. I. II. III. IV. Key Players - The Superintendent provides overall direction, and the Board reviews the findings. The lead planning person coordinates the collection of basic data and prepares the data into appropriate documents for use in goal setting and program modification eind/or development. The Cabinet and staff collect the necessary data. Description - The list of current programs and services is revised if necessary. New programs and services are identified and merged with the Program Budget Document as necessary. Likewise, programs that are no longer in place or that have met legal obligations are removed from the Program Budget Document. The desegregation plcin and court orders are reviewed to ensure all obligations related to compliance are operative. Primary and secondary responsible persons are identified for each program or service. Outcome - A Program Inventory Report is generated and used during the goals and objectives development process
the program addition, modification, and deletion-process
and the budgeting process. Time frame - The Program Inventory process begins in July. A list of all desegregation and non-desegregation programs is compiled by August. The Program Inventory may be revised as needed. Program Evaluation Program evaluation provides an assessment of performance for decision-making purposes. I. Key Players - The Board and Superintendent with assistance from the Cabinet, as recipients of the extended evaluations, use the information from the evaluation of programs to guide programmatic direction and resource allocation. The lead planning person coordinates the program evaluation process. The Manager for Support Services provides assistance with supporting financial information. TheLRSD - PROGRAM PLANNING AND BUDGETING Page 3 II. III. IV. Cabinet and staff prepare all reporting documents falling within their areas of responsibility. Description - Each program is evaluated through the Districts regular program evaluation component. As programs are developed and implemented, they contain program objectives and evaluation criteria. Special evaluations may be directed by the Superintendent. Programs may also be identified for fast-track evaluation on an as needed basis if they have high impact on the goals and direction of the District. Outcome - Program evaluation information enables the District to make programmatic decisions in the areas of program modifications, additions, and deletions and resource allocation, which are the result of careful planning and thoughtful analysis. Time frame - The program evaluation period for each budget year begins in July and continues through mid-November, leading up to the point of program development (i.e.. Business Cases). Program evaluations are conducted on programs that were operating during the most recently completed school year. Needs Assessment The needs assessment is a process for comparing the current situation with the desired conditions. I. II. Key Players - The Superintendent provides leadership and direction for the Needs Assessment process. The lead planning person coordinates the process. The Superintendent and the Cabinet identify the needs. The Superintendents Cabinet is responsible for directing the staff in the collection of assessment information. Description - Utilizing a combination of district wide perceptual and objective instruments, data are collected and analyzed to determine the needs of the students, parents, teachers, and administrators. Perceptual information is collected through broad-based input sessions such as Town Hall meetings and District Dialogue sessions. A. B. At least three Town Hall meetings are conducted. One town hall meeting each for area schools, magnet schools, and incentive schools are scheduled. Every effort is made to locate strategically the sessions to encourage maximum participation. Additional Town Hall meetings may be scheduled if needed. One District Dialogue is conducted with principals, teachers, classified staff, and central office administrators. Additional District Dialogues may be scheduled if needed.LRSD . PROGRAM PLANNING AND BUDGETING Page 4 C. D. An administrative work session is conducted to review and analyze various District wide reports and objective data. The following kinds of data are reviewed: 1. 2. 3. 4. 5. 6. 7. 8. Stanford Achievement Test Results Planning, Research, and Evaluation Monitoring Reports Desegregation Monitoring Reports Audit from the Office of Desegregation Monitoring Court Orders Audit School Climate/Human Relations Survey Results District wide Facilities Study/Report Proportional Allocation Formulas Study Program Inventory A comparison between identified needs and the Program Inventory is conducted to determine whether or not programmatic gaps and areas of need exist. III. Outcome - The outcome of the administrative work session, town hall meetings, and district dialogue sessions is a list of needs. District desegregation and nondesegregation programs are also evaluated for needs information. The Superintendent and Cabinet identily program(s) in need of an extended evaluation. IV. Time frame - The Needs Assessment process begins in September with a review of the types of data that will be collected. A Needs Assessment report is generated by the end of November based upon findings from the Town Hall Meetings, District Dialogues, studies or reports, and the results of program evaluations. Broad-Based Feedback Broad-based feedback is designed to provide feedback to the various groups who participated in town hall meetings and district dialogues (as a counterpart to the Needs Assessment process). Every effort is made to include other interested groups, if appropriate. I. Key Players - The Board and the Superintendent will provide direction for broad-based feedback. The Director of Communications, with assistance from the lead planning person, will develop a plan for disseminating information. II. Description - Broad-based feedback sessions are designed to provide planning and budgeting process information to the community and LRSD employees. Target populations are the same as those at the broad-based input sessions conducted in September and October.LRSD - PROGRAM PLANNING AND BUDGETING Page 5 Ill. Outcome - Positive community support in recognition of the thoroughly planned budgeting process may be generated. fV. Time frame - Broad-based feedback sessions will be conducted the following March and April. Planning and Budget Goals The goal setting process guides all actions of the administration. The process defines the expected outcomes for a specified period of time. 1. II. Key Players - The Board and Superintendent provide leadership for identifying the mission eind goals of the district. The Cabinet provides assistance and support by defining objectives for programs which will satisfy the accepted goals. The goal setting process is coordinated by the lead planning person. Description - The Board conducts a work session. After reviewing the Needs Assessment Report and the Program Inventory Report, the Board: A. B. C. Reviews and revises, if necessary, the mission statement. Establishes written goals/objectives. The goals and objectives define what the district expects to realistically accomplish for the next fiscal year. Goals and objectives that conflict with the desegregation plan are not adopted. Reviews and provides guidance related to proportional allocation formulas (materials and supplies, staffing, etc.). D. Establishes written priorities. These priorities guide staff in program E. modification, addition, or deletion, as well as help allocate funding and resources during the budgeting process. Considers strategies for funding shortfalls. The Cabinet works to ensure that program goals and evaluation criteria are linked to the established goals. III. Outcome - At the conclusion of the Board Work Session, the Board publishes: A. B. C. A written mission statement Written goals A list of priorities IV. The staff revises program objectives and evaluation criteria as needed for each program, and these are incorporated into the Program Budget Document. Time frame - The goal setting process is dependent on the Needs Assessment and Program Inventory. The Board Work Session is conducted in mid- December. Program objectives and evaluation criteria are subsequently revised as needed by appropriate staff.LRSD - PROGRAM PLANNING AND BUDGETING Page 6 Program Development If a service or program does not exist to support the needs of the District, it may be necessary to develop a program or modify an existing program. Any additions, modifications, or deletions are supported by a business case (see Attachment 2) as outlined in II, A below. 1. II. Key Players - The Superintendent will provide leadership and guidance to ensure that goals are achieved by offering the best possible progreims. The Cabinet will provide direction to staff in developing, modifying, and implementing effective and efficient programs. The lead planning person will monitor and advise the Superintendent throughout the program modification and development phase. Description - Programs may need to be developed to address newly identified needs or fill gaps. Current programs may be modified to meet objectives. Some programs may be eliminated. The District establishes a framework for Program Development. The framework includes, where appropriate, the following
A. Business Case I. 2. 3. 4. 5. 6. 7. 8. 9. 10. Executive Summary Background Problem Definition Analysis of Alternatives Recommended Alternative Objective Impact Analysis Resource Aneilysis Force Field Analysis General Implementation Plan B. Appropriate changes to a Program Budget Document (see Planning Document in the Budgeting section) will be made as a result of program III. IV. additions, modifications, or deletions. Program Development - (i.e., program additions, modifications, or deletions) is conducted by staff with the appropriate Cabinet level official providing oversight to ensure that all tasks are completed in a timely manner. The Superintendent and the Cabinet review Program Development cases to ensure that commitments in the desegregation plan are not hindered by such Program Development Outcome - A business case for each program that is added, modified, or deleted is written. As with existing programs, programs that are added or modified toLRSD - PROGRAM PLANNING AND BUDGETING V. Page 7 satisfy a need include all of the elements for budget development and may be directly placed into the Program Budget Document. Time frame - The Program Development phase begins in November and concludes in February. However, some programs may be identified or recommended for possible addition, modification, or deletion at an earlier or later date (or as part of an ongoing process, if appropriate). Budgeting 1. II. III. Key Players - The Board is the ultimate decision-making authority on the budget. However, the Superintendent ensures that a balanced budget is developed that meets the needs and goals of the school district. The Manager for Support Services coordinates the budget preparation process, and the lead planning person ensures that the planning and budgeting components are linked appropriately. Budget managers provide input relative to his or her area of responsibility. The Manager for Support Services will produce the budget information. Description - Funds, personnel, and facilities are allocated based on the goals and objectives of the district. Directions for budget preparation are issued by the Superintendent with assistance provided by the Manager for Support Services. These directions include the identification of all proportional formulas and exceptions. Outcome - A budget document is developed that satisfies traditional budgeting and accounting requirements with a program planning and budgeting Funding of component that links the program and budget allocations, desegregation requirements is a priority. IV. Time frame - Month November December January February March May______ July August Task Issue instructions for budget preparation at all levels___________ Budget managers begin to submit requests for next school year Begin budget development___________________________________ Continue budget development____________________
__________ Revise financial forecast
Prepare Proposed Budget___________ Prepare Tentative Budget_____________________________________ Prepare Final Budget________________________________________ Board review and adoption of Budget
Submit budget to ADELRSD - PROGRAM PLANNING AND BUDGETING Page 8 Guidelines for Proposed, Tentative, and i The following guidelines help define t, possible, of what is included in the Propoi extent I. Proposed Budget A. B. C. The Proposed Budget should I The Proposed Budget should fiscal year. The Proposed Budget should ent level, edl additions, D. modifications, deletions, and shuuiaii strategies that have been approved to date. The Proposed Budget should reflect, in a separate listing, all additions, modifications, deletions, and shortfall strategies that are under - consideration and should show the budget impact at the function and object level. II. Tentative Budget A. B. C. D. E. The format of the Tentative Budget should be similar to the Proposed Budget but may be modified at a later date, if necessary. The Tentative Budget should be at the detailed level. The Tentative Budget should build upon the Proposed Budget. The Tentative Budget should reflect, at the detail level, all additions, modifications, deletions, and shortfall strategies that have been approved to date. The additions, modifications, deletions, and shortfall strategies should be clearly identified. (Most items should be included at the detail level by this stage.) The Tentative Budget should reflect, in a separate listing, all additions, modifications, deletions, and shortfall strategies that are under consideration, clearly showing the budget impact at the function and object level. III. Final Budget A. B. The format of the Final Budget should be similar to that of the Proposed Budget but may be modified at a later date, if necessary. The Final Budget should be at the detailed level. LRSD - PROGRAM PLANNING AND BUDGETING Page 8 Guidelines for Proposed, Tentative, and Final Budget Development The following guidelines help define the format and expectations, to the extent possible, of what is included in the Proposed, Tentative, and Final Budgets. 1. Proposed Budget A. B. C. D. The Proposed Budget should be at the detailed level. The Proposed Budget should reflect a revised budget for the current fiscal year. The Proposed Budget should reflect, at the detail level, all additions, modifications, deletions, and shortfall strategies that have been approved to date. The Proposed Budget should reflect, in a separate listing, all additions, modifications, deletions, and shortfall strategies that are under - consideration and should show the budget impact at the function and object level. II. Tentative Budget A. B. C. D. E. The format of the Tentative Budget should be similar to the Proposed Budget but may be modified at a later date, if necessary. The Tentative Budget should be at the detailed level. The Tentative Budget should build upon the Proposed Budget. The Tentative Budget should reflect, at the detail level, all additions, modifications, deletions, and shortfall strategies that have been approved to date. The additions, modifications, deletions, and shortfall strategies should be clearly identified. (Most items should be included at the detail level by this stage.) The Tentative Budget should reflect, in a separate listing, all additions, modifications, deletions, and shortfall strategies that are under consideration, clearly showing the budget impact at the function and object level. Ill. Final Budget A. B. The format of the Final Budget should be similar to that of the Proposed Budget but may be modified at a later date, if necessary. The Final Budget should be at the detailed level.LRSD - PROGRAM PLANNING AND BUDGETING Page 9 C. D. The Final Budget should reflect, at the detail level, all additions, modifications, deletions, and shortfall strategies that the District intends to make during the fiscal year. These additions, modifications, deletions, and shortfall strategies should be clearly identified. The Final Budget should reflect what the District intends to deliver to the State Department of Education. Monitoring and Reporting The Program Budget Document provides the means for monitoring program performance and expenditures throughout the fisccd year. 1. Key Players - The Superintendent provides guidance for the maintenance of the Program Budget Document. Program Managers provide program information for their respective areas. The Manager for Support Services provides financial information for each program. The lead planning person coordinates the II. updating of the document. The Board and Superintendent are the recipients of the reports to assist them in oversight and decision-making. The lead planning person coordinates the process and prepares the Program Budget Document. Program Mcinagers prepare all reporting documents within their areas of responsibility. Description - The Program Budget Document is the basis for monitoring and reporting and follows an established format and design. The Program Inventory provides the divisions within the Program Budget Document. Program 111. IV. managers, as primary leaders, are assigned responsibility for identified programs. Secondary leaders are assigned also. Program managers are responsible for accomplishing program objectives, for coordinating the required activities or strategies, and for the preparation and submission of the Program Budget Document. The document reflects both program performance and expenditures quarterly. Programs with poor performance or expenditure problems may be addressed by corrective action during the year rather than after the year is completed. Outcome - A Program Budget Document is maintained that becomes the basis for monitoring and reporting and also serves as a guide for interim decisionmaking. The result is a quarterly composite progress report on identified programs within the District, supported with expenditure information. Time frame - Reports are generated quarterly beginning with the first quarter of the fiscal year.LRSD - PROGRAM PLANNING AND BUDGETING Page 10 Reassessment of Process and Organization Planning and budgeting is a continuing process (see Attachment 3, Planning and Budgeting Cycle). As such, the Program Inventory begins in July, while the Needs Assessment begins in September. A review/revision of the Program Inventory for the future budget year is completed by August. The Reassessment of Process and Organization begins in July of the current year and concludes by August of the following year. The review process requires an examination of the Process for possible changes that prove beneficial to the Districts Program Planning and Budgeting Process. The reassessment requires a review of the Districts organizational stmcture to ensure that it is of the best configuration to meet the Districts needs. The lead planning person reviews the process and makes recommendations for changes to the Superintendent, when appropriate. The lead planning person ensures that the planning process is implemented as designed and coordinates the activities. Management Tool The Management Tool is submitted to the Court by the end of each calendar month. The Management Tool serves as an instmment by which the District may monitor established timelines which are cardinal to the Planning and Budgeting Process. The Management Tool identifies the responsible person(s), activities, and timelines required of--and also serves as--a Planning Budget Calendar. The Management Tool, in addition to the Program Budget Document, is an outgrowth of the concepts described throughout this document. Further, items of significant importance to the District, but not necessarily directly linked to Program Planning and Budgeting, may be added to the tool, at the direction of the Superintendent, to allow the District to monitor additional issues or topics. The Maneigement Tool is numbered to coincide with the Fiscal Year budget for which it is associated. The eight major components of the Management Tool include the following: 1) Program Inventory
2) Program Evaluation
3) Needs Assessment
4) Planning and Budget Goals
5) Program Development
6) Budgeting
7) Monitoring and Reporting
and 8) Reassessment of Planning Process and Organization. Summary One of the primary goals of the long-range planning and budget process is to instill in the minds of the patrons and others interested in the affairs of the District a sense of fiscal responsibility, accountability and internal program evaluation by the District. Such tools as the Program Inventory, Needs Assessment, and quarterly reporting serve not only to strengthen the process, as outlined in the monthly calendar of critical events, but also to increase the communitys awareness of the Desegregation Plan, the commitments it contains and the Districts carefully thought-out process designed to meet those commitments. With commitment comes the responsibility of providing funds and ensuring that the funding levels are sufficient to support those programs thatLRSD - PROGRAM PLANNING AND BUDGETING Page 11 are determined by the planning and evaluation process to be effective toward achieving the desired goals. Increased use and refinement of the Districts Position Control Inventory System software yields valuable data for program evaluation and budget decision making. Quarterly monitoring reports, by way of the Program Budget Document, are provided. This process, plus the program linkages serve as the basis for future funding decisions by the Board and the administration. The intent of these steps and procedures is to identify those programs which can either be modified or eliminated, thereby serving to demonstrate the level of fiscal responsibility needed to gamer community support for future requests for funding. Further, by achieving greater staffing efficiency, reducing over-use of materials and supplies (i.e., through proportional allocations, etc.) and by directing the Districts resources toward those programs which demonstrate track records of success, the District will be able to reduce or eliminate its reliance on non-recurring revenue sources. Accordingly, the long-range planning and budget process is the key component of the Districts strategy to address anticipated funding shortfalls.I LRSD - PROGRAM PLANNING AND BUDGETING Page 12 ATTACHMENTS Attachment 1: Organizational Chart f Attachment 2: Business Case Fomiat Attachment 3: Schematic Planning and Budget CycleO Board 01 Directors 45 Little Rock School District Or C fluaiall Uaya Aiiec. Supariniarrdenl iMatMms SpUAubuniia SujA* SuaiM Vann C amnaurrtca UoA a I Nancy Aara St uOaraAs s^nmarS Dr*.W I SaeSy Raihar O f a J^uon 3 3 Mar^ Smiwani Cwanu WrSv DAjOw kWam VoaxSvars h Pk/sm: S^uoI 3 3 imr|w ftrswJllaM AaA Sept.. Iba. Sadh Ua<lM AsAltfA. IbA 1 Principals 13 Sctveb Principals irScboob Dr. Henry P. Williams Superintendent ZI liA Assistant SuparintsrtoanI Curriculum Support Or.VkiM kn^iMn Ai A *u|t, Gm PwMr n*dln0.an9u0 j&OL Dannb Glaa^w SctunltAhamalla Prlndpats 13 Se>oob _ MarUA.UcrUal Socbl Sludlaa ttadf Oar^rvy labor Ralallona Dr. ni^fd HurUy Human Raau<ca Dr. PaBy KoHer Eaoart tonal Cl^i ten Jo Evalyn Elston Pup Sarvkas SlerUnf Intrant StaN OtvekfMiwrt Pal Priea 3 Earfy aiUtood Lucy Lyon ~ Taehnology/Mdla 5 InoerSbe SchorJ^ Cuti Qrsan Yacariorul Edmiion PsUsas Manin AdiJl Educalton 3 .StQffiU. Catharina OR Param Invokaman^ Martan Shaari HIPPY 0) Wlw UsnlabA AkarruShrslaarTtlna Carter AdrUtica Organizational Structure 1995-96 August 22,1995 (Subjacl Io Ravlalons) FndSmIili Mcns|ti (ar Support SsnriCM Mark Mittolan FIrundal Sarvioat ChsriU Na al Procuantari Dou0 Calon Flam SanAoai Dobby Jones SaaaVy/Mik Marufemerd 3 3 Uary Jana ChaAKam oir.m Transportatton Dbactor Food Sarvtoas Ivry $. RoberUen MthUrt SuparWandarl _ Student He<4^ Osvto CaasoA kttomatian Sanrioaa laoA Adama Fadaral fnautytf Qiarito Lh4a Yourtf Naw FUwas o oq P 3. n P P. O E. n *13 ?0 o Cl I *13 z > H > Cl 2 M 2. o D co c D Cl m z Cl T) P OQ (I MLRSD - PROGRAM PLANNING AND B ^PTiNr. Page 14 (5j (I STCASE02 REVISED 21 APR 93 SHORT TERN GUIDELINESAN A UK 1. BACKGROUND A business case is a written pr features supporting the decision-making proccaa es the main facing the I. organization. The purpose is to put forth in a logical order all the facts surrounding the situation, all the steps in the decision process, impact of the decision, and a general implementation plan for the decision. In addition to being called a business case, this type of document is sometimes referred to as an issue paper, a staff paper, a decision analysis, and a program analysis. While each of these types of presentations may vary slightly in content, the purpose remains essentially the same ... decision support. The format and guidelines provided below give a most inclusive outline for a complex business case. While all of the guidelines should be considered when developing the business case, the nature of the particular situation will, of necessity, dictate a possible modification of these guidelines. However, you must remember the objective. . . . present your process and case in a logical order, providing strong rationale ... SELL YOUR IDEA. EXECUTIVE SUMMARY A. The Executive Summary should be a one to three page overview of the business case. It should highlight only the key points within each of the outline topics in the business case format. It is also advisable that the Executive Summary follow the same formatting as the actual presentation. It should not contain the detailed data to support the topic. Keep it at a high level...what would you want them to know if they were running after a departing flight. II. BUSINESS CASE FORMAT AND GUIDELINES A. Background. 1. Current situation. This section should include a clear statement of the current situation, and should be based on facts. You should consider that the reader may know nothing about the situation at hand.LRSD - PROGRAM PLANNING AND BUDGETING Page 14 ATTACHMENT 2 STCASE02 REVISED 21 APR 93 SHORT TERM PROJECT - BUSINESS CASE GUIDELINES AND FORMAT FOR BUSINESS CASE 1. BACKGROUND A business case is a written presentation which identifies and describes the main features supporting the decision-making process on an issue facing the organization. The purpose is to put forth in a logical order all the facts surrounding the situation, all the steps in the decision process, impact of the decision, and a general implementation plan for the decision. In addition to being called a business case, this type of document is sometimes referred to as an issue paper, a staff paper, a decision analysis, and a program analysis. While each of these types of presentations may vary slightly in content, the purpose remains essentially the same ... decision support. The format and guidelines provided below give a most inclusive outline for a complex business case. While all of the guidelines should be considered when developing the business case, the nature of the particular situation will, of necessity, dictate a possible modification of these guidelines. However, you must remember the objective. . . . present your process and case in a logical order, providing strong rationale ... SELL YOUR IDEA. 1. EXECUTIVE SUMMARY A. The Executive Summary should be a one to three page overview of the business case. It should highlight only the key points within each of the outline topics in the business case format. It is also advisable that the Executive Summary follow the same formatting as the actual presentation. It should not contain the detailed data to support the topic. Keep it at a high level...what would you want them to know if they were running after a departing flight. IL BUSINESS CASE FORMAT AND GUIDELINES A. Background. 1. Current situation. This section should include a clear statement of the current situation, and should be based on facts. You should consider that the reader may know nothing about the situation at hand.LRSD - PROGRAM PLANNING AND BUDGETING 2. Page 15 Background information. Background information should include conditions leading up to the situation, and why the situation is now being considered. Previous attempts to solve the situation should be noted along with their results and short comings. B. Problem Definition. 1. Problem statement. The problem section should be a concise 2. statement which defines and describes the problem or situation. There may be a need to convince the reader that a problem exists. Only one problem should be addressed at a time
avoid letting multiple problems confuse the situation. Considerations. What seems to be the real problem? What are the causes of the problem? To what extent are they known? Who is affected? What is the magnitude of the problem? Who are the primciry actors in the situation? C. Analysis of Alternatives. 1. 2. 3. Process. Provide a written description of how you generated and analyzed your alternatives. Be sure to include the participants. Identification. Identify all of the alternative programs or activities which you considered in your decision-making process. Be sure to describe the characteristics of each in factual terms. REMEMBER ... the do nothing alternative should always be analyzed as a possibility. Analysis. Each ciltemative should be discussed in terms of impact: impact on objective, impact on requirements, impact on legal obligations, impact on personnel, impact on finances. The section should include a statement as to why the alternative was rejected. Each analysis should be brief, but should clearly make its point. While you should have supporting information in your files, each analysis should not be to the level of detail as that in the selected alternative. D. Recommendation. 1. Action recommended. The recommendation follows from the 2. analysis of alternatives. The action recommended should be written in brief, clear, positive statements. Rationale. This section should provide the rationale for selecting a particular alternative, including a summary of the primary factors supporting the decision. E. Objective. 1. Objective of the recommendation. Define the objective of the recommended action, not the immediate physical outputs.I LRSD - PROGRAM PLANNING AND BUDGETING Page 16 2. 3. Goal support. This section should include statements and examples of how this program recommendation will support specific, stated goals of the District. It is important to establish a direct relationship. Evaluation criteria. In this section, you are going to define how you will know if you are meeting the specified objectives. These will become a major component of your future plan. There must be at least one evaluation criteria for each objective, and there are usually several. a) b) c) d) How can estimates of progress against these objectives be made? Identify the appropriate measures of effectiveness. Both quantitative and qualitative criteria may be used. Be sure to consider what data you are going to need to prove the criteria, and how you are going to get the data. Is the criteria going to cost more than it will yield? F. G. 4. Expected benefits. This analysis should include an explanation of the anticipated benefits and when they are expected to be realized. It should also identify the recipients of the expected benefits. Impact Analysis. 1. 2. 3. 4. 5. 6. Program. Describe the impact of the program, both positive and negative. Call in the Expected Benefits above. If you execute this recommendation, how will it impact other programs...will something fall off the tablet?! Who will be the primary actors impacted? Desegregation Plan. How will this recommendation impact the Desegregation Plan? Court Orders. How will this recommendation impact court orders? Political factors. Are there major political factors that seem to affect the situation, and how will you address them? Are your strategies in the implementation plan? Risks. This section should include a discussion of the risks of doing this program, and the risks of not doing this program. Timing. What are the major timing issues, and how will you deal with them? Resources Analysis. 1. Personnel analysis. What is the projected impact on the head count and type of position before and after the recommendation? Include an estimate of support staff required in both numbers and types of positions. Is there a recruiting pool from which to hire the needed personnel? Training requirements should be included.LRSD - PROGRAM PLANNING AND BUDGETING Page 17 2. Financial analysis. All of the financial considerations should be examined at this point. a) All operating costs, including personnel and benefits, for each of the next 1-5 fiscal years should be outlined. An estimate of equipment required should be prepared and should include all hardware and support equipment. Both capital H. 1. b) c) expenditures and a monthly cost over the life of this equipment should be detailed. The source of revenue funding should be identified, along with any requirements. The cost savings forecast for the first year and years 2-5 (if appropriate) should be projected. A discussion of total cost savings potential should also be included. Force Field Aneilysis. 1. 2. 3. Forces For. Who will be the primary supporters of the recommendation? Why will they support the recommendation? How can you maximize the influence of these forces? Forces Against. Who will be the primary detractors of the recommendation? Why will they oppose the recommendation? How can you minimize their influence or win them over? Confidentiality. You should determine if you wcint to include this section in material for public release. General Implementation Plan. 1. 2. 3. Milestones. The general implementation plan should include the milestone events for monitoring. This should not be a detciiled project plan. Timelines. Each milestone event should have a timeline associated with it. Tasking. Each milestone event should have a specific person, identified by name, tasked with ensuring the event is completed on time. A single overall project/program leader should be clearly 4. identified. Reporting. Regular status reporting procedures on the implementation plan should be identified in terms of who, what, when, and where. Status reports should be in the format of the implementation plan or an established standard reporting format. Status reports are usually submitted on a monthly or quarterly basis.LRSD - PROGRAM PLANNING AND BUDGETING Page 18 ATTACHMENT 3 Manning and Budgeting Time Une OC TOT Sff UC'T TET JAN rm TOSR- TOT mRy JDN JGL TOT 1 PROGRAM INVBITORr 2 PROGRAM EVAUMDON 3 rBSASsessiB<r T 4 GOALS 5 PROGRAM DB/BjCPie4T 6 BLCGERNG 7 MQMTOR1NG S RB>ORnNG T T T 8 REASSESSABfT OF PLAMING PROCESS & ORGAMZATION
This project was supported in part by a Digitizing Hidden Special Collections and Archives project grant from The Andrew W. Mellon Foundation and Council on Library and Information Resoources.