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Section II: Organization and Administration

Section II-1: Governing Board Section II-2: Organization and Administration Section II-3:Administrative Policies and Procedures
Administrative Decision-Making Processes
Budget and Finances
FTE Funding and Calculation
Policies and Procedures
Presidential Directives
Institutional Effectiveness Plan
Performance Review and Evaluation


Section II-3: Administrative Policies and Procedures

Administrative Decision-Making Processes

This section describes college administrative decision-making processes including the three interrelated processes of planning, budgeting, and performance review. Each Department and Program Head is responsible for completing the unit's Institutional Effectiveness Plan and update, conducting performance reviews and evaluations of faculty and staff, and preparing budget requests for presentation at annual Planning Briefings the President holds each spring.

The budget provides the financial resources necessary to implement the unit's Institutional Effectiveness Plan, and the faculty and staff provide the skills and competencies required to accomplish the objectives. The college’s mission, goals, and strategic initiatives set the overall priorities; and the unit objectives, which are related to the college’s goals, drive the budget planning process at the department level. During the planning period of the Performance Review and Evaluation (PR & E) process, supervisors and employees develop individual objectives, some of which may relate directly to implementing the unit's institutional effectiveness objectives. More challenging objectives may mean that faculty and staff need to acquire new skills and competencies, and professional development plans outline strategies for gaining those skills and competencies.

Through linking these three processes, units set realistic, measurable objectives and plan for the financial and human resources necessary to achieve their institutional effectiveness objectives. Additional details on these administrative decision-making processes appear in this section of the Employee Handbook.

Budget and Finances

The college receives funds from the following four primary sources: the N.C. General Assembly as allocated by the State Board of Community Colleges; the Durham County Board of Commissioners; the federal government; and through the collection of institutional fees. The college operates on a cash accounting basis. The fiscal year is July 1 to June 30.

At the college level, the budget planning process is in accordance with policies and procedures that the State Board of Community Colleges establishes. Annually, Durham Tech’s Board of Trustees submits a budget resolution to the State Board of Community Colleges outlining how the college’s funds are to be spent each year.

The President, based on recommendations from the Budget Review Committee, determines division and department allocations within the college’s larger budget. As a result of planning that takes place in all units, a Departmental/Program Budget Request form is submitted for items such as personnel, supplies, travel, and equipment. Monies needed for facilities improvements, upkeep, and maintenance are requested through the Facilities Services Department.

During Planning Briefings held in late spring of each year, Unit Heads report on their unit’s accomplishments for the year as well as present their plans and budget requests for the upcoming fiscal year. These Planning Briefings are held with the President and President's Council members. As part of the college’s institutional effectiveness planning process, the Planning Briefings give all Unit Heads opportunities to discuss their plans and explain their financial needs. After the Planning Briefings have been conducted and final budget requests received, the President seeks input from the Budget Review Committee and makes allocations for each department. Based on emerging circumstances, departments may request budget revisions during the fiscal year. These requests are submitted through the appropriate Division Heads to the Budget Review Committee for consideration. Any recommendations for budget revisions go to the President and require his final approval.

The Business Office issues monthly budget reports to all Unit Heads. These reports show total budget allocations by account to include capital outlay and general operating funds. In addition, the budget reports show monthly and year-to-date expenditures and encumbrances by account.

Collection and receipt of funds are the Business Office’s responsibility. The management of all funds is based on rules and regulations as outlined in the State Accounting Procedures Manual.

The Business Office centrally handles all purchasing and inventory control. Departments requisition supplies, materials, and equipment through the state’s E-Procurement system. Purchase orders and final purchasing details are also the responsibility of the Business Office.

FTE Funding and Calculation

Institutions are funded in part on the basis of total annualized curriculum, occupational extension, and basic skills “FTEs.” The N.C. Administrative Code defines a Full-Time Equivalent student (FTE) as a measure of a unit of instruction. Sixteen student membership (“contact”) hours per week for 16 weeks or 256 student membership hours for each semester (fall and spring) enrolled constitute one FTE. This means 512 student membership hours (256 x 2) constitute an annual FTE for curriculum instruction and 688 student membership hours constitute an annual FTE for occupational extension (or “continuing education”) and basic skills instruction. This second figure is derived by adding a summer term of 11 weeks to 2 typical semesters of 16 weeks (fall and spring).

  • Annual FTE - 10,000 student membership hours ÷ 512 = 19.53 Annualized FTEs (curriculum).
  • Annual FTE - 10,000 student membership hours ÷ 688 = 14.53 Annualized FTEs (occupational extension and basic skills).

Policies and Procedures

Policies are general statements of principles enacted by the college's Board of Trustees or enacted by the State Board of Community Colleges and endorsed by the college's Board of Trustees. Policy statements are guidelines for thought and action enabling the college to carry out its mission and purpose.

Procedures describe the step-by-step actions that faculty and staff follow in implementing policies or in carrying out the work of the college. Durham Tech's administration is responsible for enacting procedures that implement Board policies and carry out the college's work.

After a policy is adopted, it is published and disseminated to all employees. Policies relating to faculty and staff are published in the Employee Handbook, which is available on the college’s intranet website, and policies relating to students are published in the Catalog and Student Handbook, which is available on the college’s website or on a DVD or USB drive upon request.

Presidential Directives

The President may, on occasion, issue specific directives designed to implement definitive practices or prescribe specific procedures to ensure compliance with policies of the Board of Trustees and the State Board of Community Colleges. Presidential directives have the strength of policies and are an extension of relevant policies in that they constitute the administrative practices or procedures that must be followed by college personnel to ensure compliance.

Institutional Effectiveness Plan

The biennial Institutional Effectiveness Plan (IEP) integrates planning at the department and program levels with the college’s overall strategic plan. In addition, the IEP connects college-wide planning activities with the budgeting and resource reallocation process.

First implemented in 1986, the two-year planning cycle is reflected in a detailed Institutional Effectiveness Plan that guides institutional activities. The process begins with a review of the mission and goals by the President’s Council, composed of senior administrators. This body, with initial input from the Executive Council, Leadership Council, and college employees, is responsible for reviewing the mission, goals, and the Vision for a Learning College; adopting a set of planning assumptions; and establishing college priorities. The President establishes strategic initiatives for the college and prepares a planning outline that includes the college's updated mission and goals as well as instructions for completing the two-year unit plans using the Online Planning System. The President sends this document, along with any special instructions for developing the divisional plans, to Executive Council members for distributing to employees in their departments and programs. Plans are then prepared at the unit, department, and division levels to address the college's mission, goals, and strategic initiatives.

Each unit plan begins with the unit purpose, a description of the unit planning process, an analysis of external trends and events impacting the unit, needs of the unit’s customers, and the unit’s projected growth.

  • Specific objectives linked to the college's goals, strategic initiatives, performance standards, and specialized plans for technology, diversity, and distance education;
  • Expected outcomes or educational results and the method of assessment;
  • Strategies to accomplish the objectives;
  • Resources required to accomplish the objectives,
  • Progress at mid-cycle and at end of cycle including evidence for use in evaluating the accomplishment of the objective;
  • Person responsible;
  • Target date for completion; and
  • Use of results of the evaluation.

Unit heads prepare mid-cycle and end-of-cycle reports assessing the accomplishment of objectives. The Institutional Effectiveness Plan, prepared by the college's planning office, contains these reports as well as a description of the planning and evaluation process, educational needs of the service area, mission and goals, vision statement, planning assumptions, accomplishments, and use of results from the previous plan. The IEP also includes specialized plans for Technology, Distance Education, and Diversity with action items drawn from the integrated planning system. Each Program, Department, and Division Head uses the planning outlines, planning assumptions, budget request forms, and evaluations of the previous plan to prepare a new biennial action plan.

Division, Department, and Program Heads identify the critical needs for supporting the action plans including personnel, staff training, equipment, facilities and renovations, and other support. The annual budget requests, which are linked to the objectives and critical needs identified in the planning process, are described in the “Budget and Finances” section of this Employee Handbook.

Performance Review and Evaluation

An effective performance appraisal process is a necessary component in the pursuit of institutional goals. All full-time and continuing part-time employees participate in the Performance Review and Evaluation process. The process currently in place includes the following:

  • An annual performance planning period where employees meet with their immediate supervisor(s) to set individual objectives and development plans;
  • A mid-year review to review and document progress toward objectives and plans; and
  • A final review and evaluation.

Each Supervisor is responsible for setting clear objectives for the planning period, scheduling meetings with his/her staff to conduct the evaluations, and documenting performance for the planning period. Both the employee and his/her immediate Supervisor sign the evaluations during the initial, mid-year, and final reviews. The Performance Review and Evaluation form is used in this process. Employees should contact their immediate supervisor(s) for more information on the Performance Review and Evaluation process.

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Durham Technical Community College
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Durham, NC 27703

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