Writing and Using the Accountability Report in an Academic Setting Baldrige Criteria in Higher Education Writing and Using the Accountability Report in an Academic Setting Frank Fusco and David McClaskey March 30, 2006

Agenda 1. Accountability Report: Its Purpose 2. Baldrige Overview 3. Assessing Results Items 4. Assessing Approach/ Deployment Items 5. Using the Accountability Report to Improve 6. Writing an Accountability Report

Why has the Legislature chosen the Baldrige system as our guideline for Accountability? "The Malcolm Baldrige Criteria for Performance Excellence are modeled and updated nationally by the private sector by evaluating the best practices of top performing business. The criteria do not tell you one way to manage your organization but assist you in developing a systematic approach that is tailored to the needs of your agency, mission and culture. We can't expect less of government than to use the best practices known to be used by the private sector...like the private sector, we have to be accountable for every dollar we have." The Honorable Robert W. Harrell, Jr. Speaker of SC House of Representatives

How do you see the Accountability report process relating to the Agency Head Evaluation Process? “The agency head evaluation process looks for very similar information…the focus is on how well the agency head is leading the agency, getting results and improving results.” The Honorable Hugh K. Leatherman, Sr. Chairman, Senate Finance Committee Chairman, Agency Head Salary Commission

Why is the accountability report important to the Ways and Means Committee? "Good question...it's not about creating just another report. It is about a reporting process that serves several key purposes. First, for the taxpayers, to whom we in elected office are directly accountable, it gives a publicly documented track record of performance for all of the funds entrusted to each agency and institution of higher education. Importantly, it uses the criteria established by the private sector for maximum efficiency and performance improvement, the Baldrige Criteria. Continued on next page

Why is the accountability report important to the Ways and Means Committee? Second, it provides the Ways and Means Committee a basis to review how well the agency is lead and continuously evaluates and improves its‘ results. Further, it gives the executive in charge of each organization a clear path to self evaluation and continuous improvement for the clients, customers, students, parents and taxpayers they serve.” The Honorable Daniel T. Cooper Chairman, Ways & Means Committee

Objectives Understand the purpose of the Accountability Report How to write the Accountability Report Understand what the Baldrige Criteria is and how it relates to excellence Proven Method to use the Accountability Report to Focus and Improve

Focus Improve Maintain Most Important Uses Focus Improve Maintain

David McClaskey

Baldrige Basics

Organizational Profile 2 Strategic Planning 5 Faculty and Staff Focus 7 Organizational Performance Results 1 Leadership 3 Student, Stakeholder, and Market Focus 6 Process Management 4 Measurement, Analysis, and Review of Org. Performance

Organizational Profile 2 Strategic Planning 5 Faculty and Staff Focus 7 Organizational Performance Results 1 Leadership 3 Student, Stakeholder, and Market Focus 6 Process Management 4 Measurement, Analysis, and Review of Org. Performance

Baldrige Criteria Goals Deliver Ever-Improving Value to Customers, contributing to marketplace success Improvement of overall Organizational Effectiveness and Capabilities Organizational and Personal Learning

Critical Characteristics of companies that are world-class competitors Baldrige Criteria is based on: Critical Characteristics of companies that are world-class competitors

The Processes (Approaches) by Which the Results are Achieved Care about RESULTS AND The Processes (Approaches) by Which the Results are Achieved Processes Results

Two Types of Items Approach/Deployment Results (Process) Describes HOW you do it and WHAT you do Results Outcomes (Data/Charts) Comparisons

Approach/ Deployment Results De Items Baldrige Total Number of Items = 19 De Items A Balance Between Results and Approach/Deployment 6 Items 13 Items (450 Points) (550 Points) All Items in Category 7 Categories 1 - 6

Baldrige Assessment is Contextual based on what is Most Important or Key to the Agency Being Assessed.

Determining what is Important to the Budget and Control Board

Key Performance Requirements Main Educational Programs and Services Mission Customers and their KEY Requirements Key Competitors Key Factors for Competitive Success Key Strategic Challenges Other Factors (Key Suppliers, etc.)

Assessing Results Items

Result Items Results Outcomes (Data/Charts) Comparisons

Evaluating Results Items Outcomes (Data/Charts) Importance - Covers most Key Requirements Trends Comparisons/Levels Benchmark Sustained

Evaluating Results Items Importance 2. Trends 3. Comparisons/Levels 4. Sustained

Best Regardless of Industry Comparison Comparisons Best Regardless of Industry Best Single Competitor Avg. of Group of Competitors Industry Avg.

Approach/Deployment Items Assessing Approach/Deployment Items

Approach/Deployment Items APPROACH --- METHODS DEPLOYMENT -- EXTENT Describes WHAT you do and HOW you do it.

The plural or Anecdotal IS NOT Systematic

Evaluating Approach/Deployment Items 1. Did the response fulfill the purpose of the item including a response that fulfills each areas to address and describes a systematic (repeatable/data driven) process? Deployed - breadth/depth of application; used in all appropriate areas Evaluation and Improvement Cycles Aligned/Integrated with the organizational needs identified in other categories (not a stand alone system) Describes HOW you do it and WHAT you do

A Method to Use Accountability Reports (Baldrige Criteria) to Improve

Baldrige vs SACS I've used Baldrige in both SACS and AACSB self-evaluations and they have been very useful.  Among other things, they demonstrate that the college/university is not limiting its planning and review processes to compliance-based periodic reviews (ie, spooling up a self-study just before SACS arrives back on campus). 

  I'd emphasize that all accrediting reviews, both university, professional school, even NCAA, will want to know how the unit defines quality, how it knows it is doing well, how it defines its metrics and comparative data, etc, and that Baldrige bring a very credible "system"--a "National Quality Award," endorsed by the President--that adds to the school's argument that it is addressing quality. Dr. Robert Bell. President, Tennessee Technological University

“To my knowledge, NO company has obtained world-class quality without top managers taking charge.” J. M. Juran

Top Management-Led means: UNDERSTAND: Top Management needs to understand Baldrige and personally use Baldrige to change their behaviors. FOCUS: Top Management needs to use Baldrige assessments to identify and agree on the key improvement opportunities and to initiate and resource the vital few improvement projects to pursue the selected opportunities. IMPROVE: Top Management needs to personally champion, lead, resource, manage, and reward the vital few improvement projects.

Method to Use Accountability Report to Drive Improvement Write Accountability Report Assess the Accountability Report (Strengths and Areas for Improvement) Identify 1-3 Key Improvement Opportunities Initiative Improvement Projects and Get Results

Improvement Process PDCA Cycle (Plan-Do-Check-Act Cycle) Analyze reason for not making desired results Make changes to better achieve desired results Standardize if desired results achieved Write Assess Id. Major Improvement Opportunities Initiate Improvement Projects Act Plan Check Do See if the desired results were obtained Carry out the Improvement Projects

Example: Project Plan to Use Baldrige to Improve Results and Processes Step Date Form Top Management-Led Category Teams and take Baldrige Training Class to understand Baldrige and how to assess. 2. Category Teams Revise Accountability Report Write-up 3. Category Teams assess their Category of the Accountability Report 4. Category Teams Identify Top 1-3 Improvement Opportunities from their Category

5. Leadership Team selects top 2-3 5. Leadership Team selects top 2-3 improvement opportunities and initiates improvement teams 6. Improvement teams get recommendations implemented. 7. Improvement teams work to get results and replicate improvements. 8. Category Teams work on improvements in their categories (making improvements each month). On-Going 9. Cycle continues with yearly updates and assessments of Accountability Report On-going

Questions/Discussion