The Accountability Report Supporting Excellence in Higher Education Presented by: The State government Improvement Ne

1. The Accountability Report Supporting Excellence in Higher Education Presented by: The State government Improvement Network In Partnership with The Office of the State budget May 5, 2008

2. Presentation Overview Accountability reporting requirement Baldrige and the accountability report Changes to the 2008 Guidelines Key linkages Standardizing the report Approaches to preparing the report Some suggestions Using the report The Organizational Performance and Accountability Team (our function) Feedback reports and observations Questions and answers

3. Accountability Reporting Requirements Sections 1-1-810 and 1-1-820 of the 1976 Code of Laws state: Section 1-1-810.  Each agency and department of state government shall submit an annual accountability report to the Governor and the General Assembly covering a period from July first to June thirtieth, unless otherwise directed by the specific statute governing the department or institution…(more) Suspense Date: September 15, 2008

4. Accountability Reporting Requirements Proviso 72-37 states: Agencies’ annual accountability reports for the prior fiscal year, as required in Section 1-1-810, must be accessible to the Governor, Senate Finance Committee, House Ways & Means Committee, and to the public on or before September 15….(more)

5. Baldrige Criteria An aligned, systematic approach for conducting business that integrates and focuses on: Leadership Strategic Planning Student, Stakeholder, and Market Focus Measurement, Analysis, and Knowledge Management Faculty and Staff Workforce Focus Process Management Organizational Performance Results

6. The Baldrige Systemand the Accountability Report

7. MBNQA Background Created in 1987 Response to Global Competition Public Law 100-107 Malcolm Baldrige National Quality Awards (MBNQA) To improve organizational performance practices To serve as a tool for understanding and managing performance, planning and training To facilitate the sharing of best practices Administered by the National Institute for Standards and Technology (NIST)

8. The Baldrige Program “The Baldrige program has been described by CEO’s as the most important catalyst for transforming American business....and the publication containing the Baldrige criteria has been hailed as probably the most influential document in the history of American business!” The Honorable Sherwood Boehlert (R-NY) Chairman, House Science Committee

9. Why Use the Baldrige Criteria?(Higher Education) To improve student achievement To improve faculty and staff satisfaction To achieve strategic goals To align resources to goals To improve productivity, efficiency, and effectiveness To reduce costs – improve revenues To improve market share To measure performance To meet/exceed legal, regulatory, and accreditation requirements

10. Past Baldrige Winners Higher Education 2005 Richland College - Dallas, Texas 2004 Monfort College of Business, University of Colorado – Greeley, Colorado 2001 University of Wisconsin (Stout) – Menomonie, Wisconsin

11. Application and Linkages in SC State Government Budget Request Process – You will see that we have moved where you address your strategic challenges from the Organizational Profile to the Executive Summary portion of the report. The Ways and Means Committee has asked us to review all the reports to ensure that your strategic challenges are related to your Mission and the subsequent key measures are mission related.Budget Request Process – You will see that we have moved where you address your strategic challenges from the Organizational Profile to the Executive Summary portion of the report. The Ways and Means Committee has asked us to review all the reports to ensure that your strategic challenges are related to your Mission and the subsequent key measures are mission related.

12. 2008 Changes Section I - Executive Summary (up to 3 pages) 1. Added vision to the question. 3. Added this supports the organization’s budget request. 4. Opportunities and barriers that may affect the organization’s success in fulfilling it’s mission and achieving its strategic goals. Moved the strategic challenges question here. 5. Added (describe the process and improvements achieved through the accountability report preparation and self- assessment process.) Section II - Organizational Profile (up to 4 pages) Note after question 4 now refers to “faculty and staff” as workforce.

13. 2008 Changes Section III – Elements of the Malcolm Baldrige Category 5 - Workforce Faculty and Staff Focus Category 7 – Describes the Results expected: Workforce Faculty and Staff Focused Results; Process Organizational Effectiveness Results

14. 2008 Changes Category 1 – Leadership 1. Question 1 replaces: all faculty and staff with to the workforce… 2. Question 2 rewritten: How do senior leaders create a sustainable organization with a focus on action to accomplish the organizations strategic objectives, improve performance and attain your vision? 3. Question 3 adds: How do senior leaders personally promote and support an organizational environment that fosters and requires…

15. 2008 Changes Category 1 – Leadership 4. Question 4 replaces: faculty and staff with workforce. 6. Question 6 rewritten: How do senior leaders communicate with, engage, empower, and motivate the entire workforce all faculty and staff throughout the organization? How do senior leaders take an active role in faculty and staff reward and recognition processes… 7. Question 7 adds: How does your organization evaluate the performance of your senior leaders including the head of the organization,… 8. Question 8 is added: What performance measures do senior leaders regularly review to inform them on needed actions?

16. 2008 CHANGES Category 2 – Strategic Planning 1c – Added – Shifts in technology, student and community demographics, markets, student and stakeholder preferences and competition 1e. Deleted previous 1e and renumbered. 2. Aligns with the move of strategic challenges addressed in the I. Executive Summary.

17. 2008 Changes Category 3 – Student, Stakeholder and Market Focus 3. Question 3 added – How do you use information and feedback from current, former, and future students… Category 4 – Measurement, Analysis, and Knowledge Management The explanation now reads: The Measurement, Analysis, and Knowledge Management Category examines how your organization selects, aggregates, analyzes, manages, and improves its data, information, and knowledge assets and how it manages its information technology. It also examines how your organization reviews and uses reviews to improve its performance. 1. Question 1 added – How do you select which operation, processes and systems to measure to determine student learning and for tracking daily operations and overall organizational performance… 2. Question 2 now reads – How do you select, collect, align, and integrate use data/information for analysis to provide effective support for decision making and innovation throughout your organization?

18. 2008 Changes Category 4 – Measurement, Analysis, and Knowledge Management (cont.) 3. Question 3 – What are your key measures, how do you review them, and How do you keep your measures current with educational service needs and directions?

19. 2008 Changes Category 5 – Workforce Faculty and Staff Focus There are some major changes to this category. The explanation now reads: The Workforce Faculty and Staff Focus Category examines how your organization engages, manages and develops your workforce to enables faculty and staff to develop and utilize its full potential, aligned with the organization’s mission, objectives, strategies, and action plans. It also examines your ability to assess workforce capability and capacity needs to build a workforce environment conducive to high performance. describes how work environment and organizational climate improvement efforts are conducive to performance excellence and to personal and organizational growth. The first “Note” is reworded and there are two added “Notes” explaining the terms capability and capacity. The Workforce Focus category now is examining two additional aspects of the organization - Workforce Capability and Workforce Capacity. The two additional notes explain what the guidelines refer to when describing capability and capacity. The Workforce Focus category now is examining two additional aspects of the organization - Workforce Capability and Workforce Capacity. The two additional notes explain what the guidelines refer to when describing capability and capacity.

20. 2008 Changes Category 5 – Workforce Faculty and Staff Focus cont. 2. Question 2 is deleted. How do you evaluate and improve your organization and human resource related processes? 3. Question 3 is reworded – How does your workforce faculty and staff performance management system, including feedback to and from individual members of the workforce, support high performance work and contribute to the achievement of your action plans?

21. 2008 Changes Category 5 – Workforce Faculty and Staff Focus cont. 4. Questions 4, 8, 10, 11 & 12 – changed the term faculty and staff to workforce. 7. Added question 7 – How do you recruit, hire, and retain new employees? 8. Question 8 is now split into two questions: 8 reads – How does your workforce education, training, and development address your key organizational needs? How do you encourage on the job use of the new knowledge and skills? Question 9 - How do you evaluate the effectiveness of your workforce and leader training and development systems? Question 9 is now worded more specifically to answer both workforce and leaders’ training and development effectiveness as a systematic process.Question 9 is now worded more specifically to answer both workforce and leaders’ training and development effectiveness as a systematic process.

22. 2008 Changes Category 6 – Process Management The explanations and notes have been completely rewritten. The terms “core competencies” and “work systems” replace the term “learning centered processes.” There is an additional focus on organizational success and sustainability. The first “Note” is new and defines core competencies – The term “core competencies” refers to your organization’s areas of greatest expertise…..

23. 2008 Changes Category 6 – Process Management cont. The second “Note” has been rewritten – Your key work processes are the processes that involve the majority of your organization’s workforce and produce student and stakeholder value. Your key work processes are those that are most important to maximizing student success.

24. 2008 Changes Category 7 – Results The introductory paragraph replaces faculty and staff with workforce, operational performance with process effectiveness and adds outcomes to the leadership and social responsibility element.

25. 2008 Changes Category 7 – Results cont. Item 7.4 has been rewritten – What are your performance levels and trends for your key measures of workforce engagement, workforce satisfaction, the development of your workforce, including leaders, workforce retention, workforce climate including workplace health, safety, and security? on work system performance, faculty and staff learning and development, and faculty and staff well being, satisfaction and dissatisfaction? Item 7.5 replaces learning centered and support processes with work system, to align with the change in Category 6, Process Management.

26. KEY LINKAGES Many questions are connected (linked) to other questions in the same or other Categories and the Organizational Profile. These questions, taken together, provide a holistic description of the organization’s: Effectiveness of key processes and degree of organizational deployment Integration of key processes Evidence of continuous learning/improvement Degree of process management, leading to improving performance/results/outcomes Overall effectiveness (systems approach to conducting business)

27. KEY LINKAGES Example 1: Category 2 – Strategic Planning Key linkages to: Strategic Challenges (Executive Summary) Senior leadership direction, participation, communication, review process (Cat. 1) Targeting students and stakeholders, and their requirements (Cat.3) Process for measuring/monitoring/managing performance (Cat. 4) Workforce performance management system/HR goals (Cat.5) Improvement approaches/methodologies (Cat. 6) Key performance results (Cat. 7)

31. KEY LINKAGES Example 2: Category 4 – Measurement, Analysis, and Knowledge Management Key linkages to: Senior management direction setting/key measures determination and review process (Cat.1) Tracking targets for strategic goals, strategies and action plans/deployment of measures (Cat. 2; all others) Maintaining organizational/workforce knowledge (Cat.5) Determination process for improving key processes ( Cat. 6) Reporting of key results (Cat. 7)

32. Standardizing the Report Same format between institutions of higher education Same use of reference numbers Maximum recommended length of 50 pages The desire is for all reports to have the “the same look and feel” as the reports are reviewed and used by individuals external to the organization that prepared the report.

33. Addressing the Categories Categories 1 – 6: Approach Effectiveness of methods and techniques to the criteria requirements Focus on continuous improvement Degree to which approach used is systematic, integrated and consistently applied Categories 1 – 6: Deployment Degree and application of approach to all areas of the organization Degree and application of approach with all relevant students, stakeholders, suppliers and the general public

34. Addressing the Categories Category 7: Results Levels of past and current performance; future projections Linkage to approach/deployment Rate/Speed/Breadth of performance improvement Performance comparisons and benchmarks

35. Use of Reference Numbers Responses Should Be Referenced to the “Questions Asked” Example 1: Category 2 – Strategic Planning Use “2.1a” for Question 1a) What is your Strategic Planning process, including key participants, and how does it address your organization’s strengths weaknesses, opportunities and threats?

36. Use of Reference Numbers Example 2: Category 7 – Results Use “7.1” for Question 1 (What are your performance levels and trends for your key measures on student learning and improvements in student learning? How do your results compare to those of your competitors and comparable organizations?) To show a graph/chart, use “Fig. 7.1-1” If several charts are used to respond to one question show the range. Ex: “7.1-1 through 7.1-3”

37. Category 7 Example

38. MOnfort CollegeCat. 7.1 – Student Learning Results

39. Richland CollegeCat 7.1 – Student Learning Results

40. PREPARING THE REPORT Some Suggestions: Data/information collection Start early Use multiple approaches for collecting data/information Use other internal reports (last year’s AR report, budget request documents, strategic plan, misc. other reports) Distribute prior year’s AR to each Division (highlight prior year’s data submitted) Review AR’s from other agencies Conduct internal surveys Conduct external research for benchmarking information

41. PREPARING THE REPORT Some Suggestions: Writing the AR Coordinate, coordinate, coordinate Include management and those who provided key inputs Use feedback to help make revisions Work with organization’s CFO (relating to financial performance and completion of expenditures/appropriations chart) Consult with executive/senior management often

42. PREPARING THE REPORT Additional thoughts and ideas: Use single person writing style Consider linkages (describe your work syste) Find expert on constructing charts Find good proofreader/editor Person who has overall responsibility for AR needs to be kept informed on organization’s plans and key activities; attend key business meetings Use AR preparation process as a training tool and organizational improvement tool Capture “lessons learned” after report submission

43. Using the Report For self assessment within your organization Identify Strengths Identify Opportunities for Improvement Prioritize Allocate Resources Monitor, Measure, and Manage For state government, state supported institutions of higher education and the general public

44. Key Recommendations

45. Use Report for Self-Assessment Identify Strengths Identify Opportunities for Improvement - Prioritize - Allocate Resources - Monitor, Measure, and Manage

46. WHAT WE DOThe Organizational Performance and Accountability Team Provide feedback on Accountability Reports Key Strengths Key Opportunities for Improvements General Comments Provide consulting services Provide training on organizational improvement topics Provide information to the Ways and Means Staff

47. WHAT WE Have Seen(Improvement suggestions) Use current year’s Guidelines Repeat the question – and answer what is being asked Describe your processes – give examples Link process descriptions from Category 1 – 6 to Category 7 results Include the Results’ chart reference number when discussing Category 7 information in Category 1 – 6

48. WHAT WE Have Seen(Improvement suggestions) Results information should be expressed in terms of outcomes versus outputs Use comparative information – it’s out there! Indicate the direction of improvement on the charts It’s ok to talk about future plans

49. The Accountability Report NOT JUST ANOTHER REPORT! (the potential is too great)

50. For Additional Information

51. Comments and Questions