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25 June 2011

PRINCIPAL AND VICE-CHANCELLOR

Mr. William Young Chair, Board of Trustees Queens University Kingston, ON K7L 3C5

Richardson Hall, Room 351 Queens University Kingston, Ontario, Canada K7L 3N6 Tel 613 533-2200 Fax 613 533-6838

Re: Principals/Senior Administrative Teams Annual Goals and Priorities for period July 1 2011 June 30 2012 Dear Bill This document contains the annual goals and priorities for the senior administrative team and me for 2011-2012. It incorporates feedback received in our discussions of June 16 and June 23 2011, and comments by the Board Human Resources Committee on my Self-Evaluation and Report. The goals in this document build on my accomplishments from the past two years. As has been our past practice, I would anticipate a summary of this document, duly adjusted for a public audience, being posted to the Principals website in due course following approval by the Board. Three preliminary points: a. The goals and priorities outlined here should be understood as ones involving not only me but also the Provost and Vice-Principals. Repeating a process we started last year, my colleagues will be asked to formulate their priorities for the next year based on my agreedupon goals. This ensures alignment of the portfolios and agreement on highest priorities. While I ultimately am accountable for all of these, I will have varying degrees of direct involvement in them, with key responsibility for some being delegated to my colleagues. In short, what are here presented for brevity as my goals should be considered as cascading down through the senior administration. b. As we move further into a Provostial model of administration, the Principals role will continue to diminish in some of the daily operations. This is as it should be and as it already is in our peer institutions. We are not fully there yet, and have a new full-time Provost starting August 1, but it is important that the momentum that has been created on the external and fund-raising side (as a demand on my time) not be lost.

c. That said, I have organized the goals and priorities below into a top tier of 3 and a secondary tier of 5. Priorities for 2011-12 In my first two years as Principal I have had a vast array of disparate issues and topics to contend with. At the beginning I had to deal with all manner of operational issues (now alleviated by introduction of the Principal/Provost model). It was necessary completely to rebuild, and reorganize, the senior management team (each VP is newer to his or her position than I am to mine). I began an academic planning process that is now entering its final stage; while this process is now in the hands of the Senate, I will likely have to devote somewhat more of my time, along with the Provost, to ensuring that the exercise is concluded successfully. It was important to reconnect the Queens community to its Principal, something I have gone to great lengths to do through meetings of every level, and through the use of social media (I have over two thousand registered blog/twitter followers and am recognized as a leader in this area among Canadian University executive heads). I needed to re-establish Queens presence with both the provincial and federal governments, improve town/gown relations and create a labour relations team capable of effective strategy and negotiation to restrain the increases to our compensation bill and effect the needed changes to the pension plan. Having made significant progress on these disparate issues, I am now able to focus increasingly on targeted priorities for my third year as Principal. This goal-setting document outlines key considerations for the year ahead. Instead of creating a compendium of what will or may happen at Queens in the coming twelve months, I am choosing to set goals on what I see as most important for the university. It should be noted that several goals set in previous years will continue to be worked on but are not laid out as 20112012 goals. For example, major strides were achieved in creating a focused agenda for the senior leadership team over the past year and this will continue to occur in the year ahead but it is not necessary to elaborate further on that in this document. Similarly, I will continue to ensure that progress is made on governance reform, (which with the Board piece nearing conclusion, will now turn to Senate and Council), that clear communications remain a priority, and that planning for longer term university goals is realized. The goals/priorities below are limited to critical efforts needed for 2011-2012.

Group A Priorities
1. Negotiate Successful Labour Group Agreements

To my mind, this is the critical, number one goal for the year, success in which will position the university to move ahead in its thoroughly unionized environment, and, I hope, re-calibrate labour relations here in the longer term. In my second year, as you will know from my previously submitted report, I prioritized establishing a strong and experienced labour relations team. This included several key hires: Al Orth as Associate VP HR to lead staff bargaining; Marie Doherty as Associate Director, Faculty Relations to support faculty bargaining; Lisa Newton as Director and Counsel, Employee and Labour Relations to manage labour law issues; and Tim Abray-Nyman on a contract basis to coordinate labour relations communications. (I was personally responsible for the recruitment of Mr. Orth and Ms Newton). This team has already proved to be a major asset: for the first time in Queens history a clear mandate for bargaining with unions was established and endorsed by the Board of Trustees, and a comprehensive compensation strategy for all employee groups was developed. My goal for the year ahead is to realize agreements in light of the approved mandate and compensation strategy. This will not be easy. QUFA has already refused to consider any significant proposal from the administration and several new staff unions have been formed over the past fifteen months. As of the submission of this document, we are in conciliation with QUFA and with the 3 CUPE bargaining units. As I have previously signaled to the Finance and HR committees of the Board, the fall of 2011/winter 2012 could prove to be a time of major labour disruption at the university. (Apart from QUFA we have several other units in bargaining or about to go there; the winter may also see the Steelworkers who now represent most support staff in that situation, and the complexities of that first agreement should not be lost sight of in all the attention being paid to QUFA). I appreciate the Boards understanding that these disruptions, should they occur, will be unpleasant and potentially reputational-damaging in the short term, but they may be a necessary step in order to achieve success in salary restraint and pension reform. Having established a professional labour relations team that has been assiduously strategizing and negotiating with the unions gives us our best chance of reaching agreements that will help to reduce our financial difficulties. I should note one warning here. The imperative to

reduce the deficit at all costs within a short time frame is a major obstacle to completion of the HR rebuild, just as it is inhibiting the completion of QUASR. 2. Progress on Financial Stabilization/Cost control While the labour piece is an essential part of the return to financial sustainability, we will continue to look at other forms of cost-reduction and revenue-generation. In 2010, PricewaterhouseCoopers (PwC) was contracted to find areas of cost savings for Queens. Several were identified, some easier to implement than others. While some of the easier cost savings have been achieved, there remain others (especially in the area of procurement) that will take major project management effort and time but will ultimately result in significant savings. My goal is to realize at least $1M of these additional savings over the next twelve months. Longer-term solutions for our financial situation need to be identified, which should include revenue generation. Cost savings opportunities have also been identified by groups and task forces in recent years that have not been fully explored. I have asked incoming Provost Harrison to review these opportunities with the operations committee that he intends to establish to identify those with greatest potential for success and to prioritize their implementation. Similarly, numerous revenue generation ideas have been identified from a senior administration Blue Sky session, a revenue generation task force headed by the Dean of the Business School, and from Principals Innovation Fund submissions. A goal for the year ahead is to have ideas assessed for their revenue generating potential and to begin implementing those of greatest merit. In his recent address to the Association of Universities and Colleges of Canada, Dominic Barton, Global Managing Director of McKinsey & Company noted that finding new and different sources of funding is a key imperative for Canadian universities. As examples he cited partnerships between leading American universities and industry such as that existing between Stanford & IBM and MIT & Nokia. In the short term, Queens may not secure such coveted partnerships but we do have to think outside of the traditional funding box. The past two decades have seen a complete reversal of the funding model for Ontario universities: 20 years ago 74% of our operating budget was provided by the province; today, that figure has flipped to 47%. When one considers the size of the provincial deficit and the looming health care costs associated to our aging population, it is not difficult to predict that the provincial funding situation is only going to get worse. At Queens, where the financial situation is particularly acute, the 4

quality that once defined the institution is clearly being compromised. It would have been unthinkable 20 years ago that the quality reputation of undergraduate education at Queens would be challenged by Waterloo and McMaster (schools that have long been our equal in research), to say nothing of Guelph but it is clearly happening. Consequently, a key strategic goal for the year ahead is to initiate a longerterm business plan that: 1) consolidates and clearly explains all financial pressure facing Queens, and; 2) provides macro-level options for a different budget model. The Provost, working with the VP (Finance and Administration) will be the lead on this project. At the same time Queens must maximize what provincial funding is available. Although our overall provincial funding is likely to continue its two-decade trend of diminution, the good news is that Queens may not have to grow dramatically just to get what little provincial funding there is. In late May, at a speech I attended in Toronto, the Hon. John Milloy, Ontarios Minister of Training, Colleges and Universities, announced plans of replacing some per-student funding with performance-based support. It is not yet clear what the ministry has in mind, but this echoed some signals we had been getting in meetings with senior departmental officials earlier this spring. The apparent goal of this plan would be to have universities specialize more in their own strengths and core programs, spending more on excellence in teaching and the student experience on campus, while also providing as much choice and flexibility as possible in the style of learning available. We may revise our growth projections to take advantage of such a change, should it occur. Of course, a change in government could very quickly derail this initiative and create a very different, even paradigmshifting, set of circumstances. In this shifting context, it is a good time to be concluding an Academic Planning exercise. 3. Conclude the Academic Planning Exercise The Academic Planning Exercise initiated shortly after I took office is now at a crucial juncture. There has been 18 months of discussions, an Academic Writing Team (last summer) and a Senate Task Force. The latter should have its report finalized in the fall term. I am hoping to have it through Senate and available for discussion at Board at the December meeting. I would anticipate that a fair bit of my time, and that of the Provost and the Vice-Principal (Research) in particular will be spent on both getting it through Senate and subsequently developing an operational scheme by

which the Academic Plans goals and aspirations can be implemented over the next five to ten years. It might be timely for me to clarify here what the Academic Plan will and wont be. The Plan itself should be a statement of institutional values, priorities and ambitions; it will not identify particular faculties or units for closure or expansion, which is not the domain of Senate but of management; nor will it get down to the microscopic level and indicate that we need more sections of first year Accounting. It will provide the hub for the development of related documents such as the campus/capital plan and the tri-council driven Strategic Research Plan. In order to ensure that the plan becomes more than a set of platitudes, however, it will be important to generate a set of milestones and metrics as we move to the execution phase. These, too, will require some internal discussion. As you know, we have been working with Institutional planning on moving reporting at Board meetings and elsewhere to a dashboard format. I envisage a set of university-wide metrics and others that are much more Faculty and Department-specific. As stated in last years goals document, the ultimate purpose of this exerciseand the accompanying capital, advancement, research and advancement plans---is to allow us to develop a long term vision for a reinvigorated, innovative and internationally recognized Queens over the next ten to twenty years. This should include some bold and transformative plans to differentiate Queens in the sea of sameness that postsecondary education in Canada has become, and ideally to make us less dependent on the vagaries of government funding.

Group B Priorities
4. Continue to Build Campaign Momentum

Recruitment for the Campaign Cabinet was completed in January and the top 100 prospects for major campaign donations have now been identified. Means to fund the campaign effort have been secured and for the past two months I have been hosting a series of roundtables across Canada with influential alumni to share our vision for the campaign. This spring VP Harris hired a proven fundraiser, Tom Hewitt, to fill the critical Chief Development Officer position. 2011 continues, as planned, the quiet phase of the campaign. As many Board members will be aware, the public phase of a campaign represents the stage of a campaign which has achieved 50% or 6

better of its goal. Fundraising to date has gone well and is on target for the expected launch of the public phase of the campaign in the second half of 2012. My goal for the next year is to increase, again, my time commitment to the campaign and help secure some major gifts. Through more roundtable appearances, alumni gathering attendance and donor visits, it is likely that 20%-25% of my time in the coming year, the last year of our silent phase will be devoted to fundraising. This has been made possible in large part by the successful initiation of a Provost Office under Bob Silverman. In succeeding him as Provost in August, Alan Harrison will bring a wealth of experience to the role of running the operational side of the university, allowing me to focus increasingly on external and strategic priorities, in particular the campaign. One caveat to this commitment is essential: labour unrest in the fall or winter would necessitate my focus to be at Queens and not on the campaign trail. Should this occur, I would hope that it prove not to be a disruption of great length so I can quickly resume the campaign effort.
5. Targeted Government Advocacy and Institutional Relations Activity

Re-engagement with the Province, with the Federal Government, and with the intermediary agencies (COU, AUC, U15) has been a standing goal of mine for the past two years and significant gains have been made. I have become the chair of the Association of Universities and Colleges of Canada Standing Committee on International Relations, re-established connections to provincial and federal ministries and created a Public and Government Affairs Office at Queens. More by unfortunate circumstance than design I appear in addition to have become the executive head lead on the emerging issue of campus mental health. Apart from the Principals Commission on Mental Health, which I announced at the May Senate meeting, and another AUCC initiative which I have been asked to participate in, I plan to leverage this profile to establish Queens as a leader in this area. It crosses directly into fund-raising, as there are corporations with a keen interest in this area (including Bell, which has already funded a Chair in the area (to be announced publicly in the fall). A goal for the year ahead is to use this increased Queens presence for the targeted areas of research funding and increased teaching space. The research institute on military and veterans health will advance with Queen's continuing to exercise national leadership by engaging 20+ committed universities, solidifying relationships with government partners and industry, 7

initiating a multi-discipline research program and acquiring multi-sector support (government, granting council, industry, foundation/philanthropic). A second national research forum is planned for November with the goal of engaging ministerial level representation, senior military leaders and international partners, and increasing capacity by 60% to 400 participants. Moreover, concerted advocacy efforts will continue to be made to secure provincial funds for a teaching space complex to alleviate classroom overpopulation at Queens and kick-start some of the course-delivery model changes that we need to see here (currently being worked on by Prof Brenda Ravenscroft of Arts and Science). Success on either initiative would be a major achievement for Queens in a period of provincial and federal government restraint. I anticipate that 3 major external commitments will also occupy time: my chairing of the AUCC Strategic Committee on International Relations (and likely participation in its mission to Brazil next spring); my chairing of a Royal Society of Canada Task Force on Institutional Membership; and my membership on the COU executive committee.
6. Further Internationalization Progress

We have yet to develop a strategic plan on internationalization. Apart from planned trips to Germany, China and Brazil, I would like to make further progress toward a more coherent and comprehensive plan for internationalization. This should necessarily dovetail with the Academic Plan and with the emerging Strategic Research Plan that VP Liss will be submitting to the granting councils, as we are required to do. The current Vice-Provost (International), John Dixon, will retire at the end of the 2011/12 academic year. Provost-designate Harrison and I will have to reach a decision on whether to continue that kind of role or move to a different model. I anticipate two or more international trips during the year, including an AUCC expedition to Brazil and U-15 trip to Germany, as well as potential trips to China and Southeast Asia. Given the likelihood of labour disruptions in the fall, it has been prudent to schedule these for the winter term. Although I see this as among my most important goals for the full term of my principalship, I am including internationalization in the 2nd tier of priorities for the year simply because I continue to see internal activities (labour and the Academic Plan) occupying more of my time than they would in a normal year.
7. Rebuild Internal Relationships

While I have maintained significant contact with the Queens community over the past year, the upcoming six months of labour negotiations will inevitably take its toll on employee/administration relations. In the year ahead I will continue my outreach efforts that include meetings of the Principals Advisory Committee comprised of faculty, staff and students, meetings with Departments and Department Heads as well as my newly initiated Staff lunch meetings. However, additional effort will need to be made to reconnect with staff and faculty once hard-fought labour agreements are finally reached. My goal in the second half of my third year (once negotiations are concluded) is to start rebuilding trust between employees and the administration. This will take some time: as mentioned previously, never before has Queens established a firm bargaining mandate or prepared so vigorously for labour negotiations. The ill feeling that a strike may engender should not be underestimated (I speak from past experience on both sides of the fence). Efforts to rebuild the working relationship will include customer service improvements provided by the Human Resources unit (see my above note about financial challenges in the way of doing this) as well as refocusing the mandate of the labour relations team that was created for this negotiation period. The recent orientation of our HR team to bargaining, assuming we achieve some multiyear agreements, will shift to best practices in career development and training (on the staff side) with the complementary goals of rebuilding employee workplace satisfaction and improving the skills of Queens employees.

8. Continued Reputational Leveraging

Because of the current financial and labour challenges, and the above-noted erosion of classroom-quality, it is easy to forget the incredible education and experience that Queens students still enjoy. It is time to capitalize strategically on our competitive advantages and make them known. If Queens fails to be forward-looking in this difficult period, we will continue to lose ground to our competitors. We cannot afford, in both the literal and metaphorical sense, to allow financial fear to freeze forward thinking. Queens should aspire to be the top Canadian university choice for a premier educational experience. It is time to leverage our assets to achieve international recognition. No other Canadian university can offer its students a term or even a year towards their degree by studying at its own castle in England. Furthermore, the distinctive small-town Ivy League experience of a

Queens education, with its excellence in both teaching and research, should be embraced it is this cachet that attracts students from around the world to Cornell and Dartmouth in the US. In Canada Queens is arguably the only university with this pedigree. Finally, it is time to tout the incredible quality of students attending Queens. It is this combination of qualities that situates Queens as the elite balanced academy of Canada. In the year ahead we will promote the Queens brand beyond Ontario. Queens is already known as the Ontario leader in significant areas: highest admission standard, highest retention rate, the most A and A+ ratings for student satisfaction, and the highest ratio of faculty with major research awards. Although other Ontario universities have made significant gains in the past decade, Queens continues to attract many more qualified Ontario applicants than it can accept. I aspire to extend the reach of our reputation to attract many more international students (which is the longer term key both to greater revenue and greater global reputation). Both conventional and unconventional student markets beckon: tuition has tripled in England, many university endowments have collapsed in the US, and India, Brazil and China do not have the capacity to educate all of their best and brightest. In May, the brand idea presented by the Marketing and Communications department was approved by the Board of Trustees and endorsed by University Council. This year we will begin to use this tool to promote Queens to the world. I look forward to any further feedback on the above goals from the Board. Sincerely

Daniel R. Woolf Principal and Vice-Chancellor

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