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Resource Management
Budget Management
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The degree of responsibility for budget management borne by chairs varies greatly by discipline. In some cases, department heads have minimal responsibility or authority, managing little more than a supply budget. In other instances, a chair may be responsible for budgets that include expensive supplies, technical assistants’ employment, and issues that relate to adjunct faculty.
Responsibility also varies by institutional policy. At some institutions, budget authority and control is highly centralized, with both resources and information closely held by a limited number of people. In other cases, the budget is largely transparent—even including salary information.
The materials in this subsection begin with a general overview of the chair’s role as a budget officer, advice to and from department chairs, and an annotated bibliography.
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Higgerson, Mary Lou, McCauliff, Barry.
Managing Tight Budgets
Many chairs assume that their budget authority is so minimal that there is no point in seeking to exert any control in this realm. Here, the authors suggest a broader conceptual approach to budgeting in which chairs can contribute usefully to their institution's efforts in budget management. Posted 9/1/09
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Advice from Other Chairs
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Allen, Michael T., professor and chair, Department of Psychology, University of Mississippi.
“The Department Chair and Budget Management” (29KB; PDF)
Written specifically for the ACE Department Chair Online Resource Center.
The author cites several lessons that he has learned as psychology department chair. Among them are recognizing the added complexity of a budget that includes graduate students and understanding the need to establish three key relationships: with the department’s administrative assistant, the dean’s office, and the budget office. New, electronic bookkeeping methods present an additional challenge. Posted 10/29/03
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Denny, Charles, chair, Division of Science, Mathematics, and Engineering, University of South Carolina–Sumter.
“Tips for Managing the Department Budget” (28KB; PDF)
Written specifically for the ACE Department Chair Online Resource Center.
This author offers good advice on stretching the dollars of a science department.
Posted 10/29/03
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Enneking, Eugene A., chair, Mathematics and Statistics, Portland State University.
“Preparing the Department Budget” (35KB; PDF)
Written specifically for the ACE Department Chair Online Resource Center.
This article provides a systematic overview of the components of the department budget that a chair needs to consider when formulating the annual budget.
Posted 10/29/03
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Fant, Gene C. Jr., and Michael L. Stump.
“An Introduction to Budgetary Oversight for New Department Chairs”
The Department Chair 14, no. 3 (winter 2003): 13-14, 16.
Noting that new chairs generally receive little or no training as budget officers, the authors outline the basics of the budgetary oversight process. For more information, please contact Anker Publishing, Inc.
Posted 4/5/04
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Gialamas, Stefanos, Abour Cherif, and Sofia Hilentzaris.
“Creating an Environment for Minimizing Conflict Between Faculty and the Department Chairperson” (53KB; PDF)
The Department Chair 13, no. 3 (winter 2003): 21-23.
The authors argue for maintaining an open budget process in the department as a means of reducing conflict. For more information, please contact Anker Publishing, Inc.
Posted 10/29/03
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Giard, Jacques.
From Entitlement to Merit: Fiscal Management in a Time of Change. (84KB; PDF)
The Department Chair 16(1) (summer 2005): 1-3. For more information, please contact Anker Publishing.
Fiscal pressure is not a new phenomenon for academic chairs. The issue is how to find an effective response. Giard's advice includes knowing what your department accomplishes, understanding the institution's budgetary system, and being willing to engage in detailed planning.
Posted 11/7/05
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Graham, Steven W., Suzette Heiman, and Rob Williams. “Budget Woes in Higher Education: A Call for Leadership”
Academic Leadership 2, no. 4 (summer 2003)
After briefly introducing the general budget problems faced by colleges and universities, this article details research on the reactions and coping strategies of chairs whose campuses' budget woes devolve to the department level.
Posted 4/2/04
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Holman, R. W.
An Alternative Means to Supplement a Physical Science Department Budget (48KB; PDF)
Written specifically for the ACE Department Chair Online Resource Center, 2005.
While funding in general in higher education is problematic, sustaining a science department presents special issues. Here is a funding solution implemented by one chemistry chair. Posted 9/30/05
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Marquis, Linda M.
“Balancing the Budget: Individual Faculty Development Accounts” (42KB; PDF)
The Department Chair 13, no. 4 (spring 2003): 17-18.
Realizing that her budget decisions were made on an entirely ad hoc basis, Marquis devised a way to link planning, the budget, and faculty development and values through a system of individual faculty development accounts. For more information, please contact Anker Publishing, Inc.
Posted 10/29/03
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Southerland, Wallace.
The Politics of Securing Campus Resources: Suggested Budget Strategies for New Chairs (96KB; PDF).
The Department Chair, 17(3) (winter 2007). For more information, please contact Jossey-Bass, an imprint of Wiley.
Based on careful observation of three chairs who have been highly successful in securing resources for their departments, this article provides some key negotiating techniques for chairs who need help getting their budget priorities funded.
Posted 8/27/07
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Bibliography
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College and University Business Administration
6th ed. Washington, DC: National Association of College and University Business Officers, 2000.
Written with technical sophistication, this volume is nonetheless approachable by nonprofessionals. Chapter 4, “Budgeting,” is a thorough and clear review of how a university budget is put together and how to manage an operating budget. Depending on their degree of responsibility, chairs may use this publication either to glean a rapid overview of the process or to delve in detail into particular aspects of the budget process. Posted 10/29/03
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Barr, Margaret J. The Jossey-Bass Academic Administrator’s Guide to Budgets and Financial Management
San Francisco, CA: Jossey-Bass, 2002.
An excellent review of budgets, their construction, cycles, and management challenges. Chapter 2, “Unraveling the Budget,” provides an excellent overview of the anatomy of a budget, its purposes, variations in institutional budget philosophy, and the relationship of budgets to decision making. Chapter 5, “Dealing with Budget Cuts,” also may be of interest during the current climate of economic stress. Posted 10/29/03
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Caruthers, J. Kent, and Melvin Orwig. Budgeting in Higher Education
AAHE-ERIC Higher Education Research Report, no. 3. Washington, DC: American Association for Higher Education, 1979.
This report provides a good basic overview of budgeting.
Posted 10/29/03
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Gialamas, Stefanos, Abour Cherif, and Sofia Hilentzaris. “Creating an Environment for Minimizing Conflict Between Faculty and the Department Chairperson”
The Department Chair 13, no. 3 (winter 2003): 21-23.
The authors argue for maintaining an open budget process in the department as a means of reducing conflict. For more information, please contact Anker Publishing, Inc.
Posted 10/29/03
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Groccia, James E., & Miller, Judith E. (Eds.). On Becoming a Productive University: Strategies for Reducing Costs and Increasing Quality in Higher Education
Bolton, MA: Anker Publishing, Inc., 2005. For more information, please contact Anker Publishing, Inc.
This volume begins with the premise that higher education "is facing a crisis," manifested by financial pressure, a loss of public trust, and extreme pressure for accountability. To meet this challenge, institutions must both improve their effectiveness while simultaneously enhancing their quality. The remainder of the book presents a series of practical suggestions, analyses, and demonstrations of projects, both from the United States and England, that can inspire particular institutions, departments, and faculty as they attempt to respond to the crisis. Three sections are particularly relevant to department chairs intent upon building the quality of their departments: Faculty Development Strategies, Curricular Strategies, and Classroom Strategies. Posted 8/5/05
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Marquis, Linda M. “Balancing the Budget: Individual Faculty Development Accounts”
The Department Chair 13, no. 4 (spring 2003): 17-18.
Realizing that her budget decisions were made on an entirely ad hoc basis, Marquis devised a way to link planning, the budget, and faculty development and values through a system of individual faculty development accounts. For more information, please contact Anker Publishing, Inc.
Posted 10/29/03
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Meisinger, Richard J. College and University Budgeting: An Introduction for Faculty and Academic Administrators
2nd ed. Washington, DC: National Association of College and University Business Officers, 1994.
This book is useful to any chair with significant budgetary responsibilities or who wants to learn more about institutional processes in order to position the department more favorably in the budgeting process. Following an introduction to the concept of budgeting, Meisinger approaches budgeting from three perspectives: the economic and political environment, the budget process, and allocating resources and increasing flexibility. Chapter 3, “The Budget Process,” provides a clear introduction to the players in the budget process and the factors that shape the process, discusses operating and capital budget, and offers an explanation of the budget cycle. This chapter also includes a useful annotated bibliography. The other three chapters are also interesting and valuable for the chair who is comfortable with budget basics and seeks greater depth of understanding of the broader context of budget management. Posted 10/29/03
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Strauss, Jon C., and John R. Curry. Responsibility-Centered Budgeting: Lessons from 25 Years of Decentralized Management.
Washington, DC: National Association of College and University Business Officers, 2002.
The first five chapters of this monograph provide an overview of the principles and process of responsibility-centered budgeting. The concluding four chapters examine the arguments of critics and analyze the achievements and limitations of this approach to budget construction and management.
Posted 10/29/03
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General Orientation
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Hecht, Irene W. D., senior associate, American Council on Education (ACE).
“Navigating the Institutional Budget” (26KB; PDF)
Written specifically for the ACE Department Chair Online Resource Center.
Every field has its ground rules. And that includes budgeting, which is governed by rules established by accountants. Some accounting rules just “are.” In order to effectively manage the department’s budget, a chair must know the basic rules governing the expenditure of the budget. Posted 10/29/03
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Hecht, Irene W. D., senior associate, American Council on Education (ACE).
“The Budget Cycle” (27KB; PDF)
Written specifically for the ACE Department Chair Online Resource Center.
This article offers a short review of the timeline for developing an annual budget.
Posted 10/29/03
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Hecht, Irene W. D., senior associate, American Council on Education (ACE).
“Budgeting: A Basic Lexicon” (38KB; PDF)
Written specifically for the ACE Department Chair Online Resource Center.
If budget management and supervision are new activities for you, you may want to review this glossary of basic terms.
Posted 10/29/03
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Hecht, Irene W. D., senior associate, American Council on Education (ACE).
“Linkages: Department Connections to Institutional Budgets” (35KB; PDF)
Written specifically for the ACE Department Chair Online Resource Center.
Far from being a standalone task confined to maintaining a balanced ledger, overseeing a departmental budget is a sophisticated process that impacts the department’s relationship with the institution at large. Posted 10/29/03
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Krawitz, Natalie, vice president for finance and administration, University of Missouri System.
“What Is a Budget?” (26KB; PDF)
Written specifically for the ACE Department Chair Online Resource Center.
This article gives a quick introduction to the functions and general management of a budget.
Posted 10/29/03
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Krawitz, Natalie, vice president for finance and administration, University of Missouri System.
“Reading a Budget Document” (26KB; PDF)
Written specifically for the ACE Department Chair Online Resource Center.
Because many chairs emerge from the faculty with no exposure to college and university budget sheets, the first obstacle to learning to manage the department budget may be mastering the skill of reading reports. This article provides a succinct summary of how a basic budget sheet is constructed, with guidance on reading and interpreting its information.
Posted 10/29/03
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Krawitz, Natalie, vice president for finance and administration, University of Missouri System.
“Capital Budgeting” (25KB; PDF)
Written specifically for the ACE Department Chair Online Resource Center.
This article explains the distinct characteristics of capital budgets and how colleges and universities use them. Posted 10/29/03
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Krawitz, Natalie, vice president for finance and administration, University of Missouri System.
Responsibility-Centered Budgeting” (22KB; PDF)
Written specifically for the ACE Department Chair Online Resource Center.
One of the more recent buzzwords in higher education is responsibility-centered budgeting. If, as a chair, you are at an institution that has adopted this approach to budget management, you should both understand what this system entails and adjust your management of the department's budget to that template. Posted 10/29/03
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Meisinger, Richard J.
“The Budget Process” (22KB; PDF)
College and University Budgeting: An Introduction for Faculty and Academic Administrators, 2nd ed. Washington, DC: National Association of College and University Business Officers, 1994.
This chapter provides a clear introduction to the players in the budget process, explains “factors that shape the budget process,” and offers a discussion of operating and capital budget, as well as an explanation of “the budget cycle.” The author also includes a useful annotated bibliography for the chapter. This material will assist any chair who has significant budget responsibilities or who wants to learn more about institutional processes in order to position his or her department better. Posted 10/29/03
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Organizations
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The National Association for College and University Business Officers
http://www.nacubo.org
The National Association for College and University Business Officers' (NACUBO) web site includes a catalog of its publications, as well as links to a number of related sites and resources. Posted 10/29/03
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