The Accountability The Accountability

ReportReportSupporting ExcellenceSupporting Excellence in Higher Educationin Higher Education

Presented by:Presented by:The State government Improvement NetworkThe State government Improvement Network

In Partnership withIn Partnership withThe Office of the State budgetThe Office of the State budget

May 14, 2009May 14, 2009

Presentation OverviewPresentation OverviewPart 1Part 1 Accountability reporting requirementAccountability reporting requirement Changes to the 2009 GuidelinesChanges to the 2009 Guidelines Standardizing the reportStandardizing the report Using the reportUsing the report Feedback reports and our observationsFeedback reports and our observations Questions and AnswersQuestions and Answers

Part 2Part 2 Baldrige and the accountability reportBaldrige and the accountability report Key linkagesKey linkages Approaches to preparing the reportApproaches to preparing the report The Organizational Performance and Accountability The Organizational Performance and Accountability

Team (our function)Team (our function) Questions and AnswersQuestions and Answers

Accountability Reporting Accountability Reporting RequirementsRequirements

Sections 1-1-810 and 1-1-820 of the 1976 Sections 1-1-810 and 1-1-820 of the 1976 Code of Laws state:Code of Laws state:

Section 1-1-810.  Each agency and department Section 1-1-810.  Each agency and department of state government shall submit an annual of state government shall submit an annual accountability report to the Governor and the accountability report to the Governor and the General Assembly covering a period from July General Assembly covering a period from July first to June thirtieth, unless otherwise directed first to June thirtieth, unless otherwise directed by the specific statute governing the by the specific statute governing the department or institution…(more)department or institution…(more)

Suspense Date: September 15, 2009Suspense Date: September 15, 2009

Accountability Reporting Accountability Reporting RequirementsRequirements

Proviso 89-37 states:Proviso 89-37 states: Agencies’ annual accountability Agencies’ annual accountability

reports for the prior fiscal year, as reports for the prior fiscal year, as required in Section 1-1-810, must required in Section 1-1-810, must be accessible to the Governor, be accessible to the Governor, Senate Finance Committee, House Senate Finance Committee, House Ways & Means Committee, and to Ways & Means Committee, and to the public on or before September the public on or before September 15….(more)15….(more)

2009 Changes2009 Changes

Section III – Elements of the MalcolmSection III – Elements of the MalcolmBaldrige Criteria as follows:Baldrige Criteria as follows:

Category 2Category 2 – – Note:Note:The Key Action Plan/Initiative(s) The Key Action Plan/Initiative(s) column in the Strategic Planning column in the Strategic Planning Chart should include your initiatives,Chart should include your initiatives, and and plans,plans, and timelinesand timelines to to accomplish the goals/objectivesaccomplish the goals/objectives for for FY 08 – FY 09 and beyondFY 08 – FY 09 and beyond listed in listed in the second column….the second column….

2009 Changes2009 Changes

Category 1 – Senior Leadership, Category 1 – Senior Leadership, Governance, and Social Governance, and Social ResponsibilityResponsibility

Question 2:Question 2: How do senior leaders create a How do senior leaders create a sustainable organization with a focus on action sustainable organization with a focus on action to accomplish the organization’s to accomplish the organization’s missionmission,, strategic objectives…..strategic objectives…..

Additional Information:Additional Information: The term “senior leadership” refers to an The term “senior leadership” refers to an organization’s senior management group or organization’s senior management group or team. In many organizations, senior leaders team. In many organizations, senior leaders include the head of the organization and his or include the head of the organization and his or her direct reports.her direct reports.

2009 Changes2009 Changes

Category 2 – Strategic PlanningCategory 2 – Strategic Planning

Question 1d: Question 1d: human resourceshuman resources workforceworkforce capabilities and needscapabilities and needs

Note following Question 7: Note following Question 7: List your key List your key strategic objectives (goals), strategic objectives (goals), and yourand your key action plans/initiatives key action plans/initiatives and timelinesand timelines in the Strategic Planning Chart.in the Strategic Planning Chart.

2009 CHANGES2009 CHANGES

Category 3 – Student, Category 3 – Student, Stakeholder, and Market FocusStakeholder, and Market Focus

Question 6 (added):Question 6 (added): How does your How does your student and stakeholder complaint student and stakeholder complaint management system ensure that management system ensure that complaints are resolved promptly and complaints are resolved promptly and effectively?effectively?

2009 Changes2009 Changes

Category 4 – Measurement, Analysis, Category 4 – Measurement, Analysis, and Knowledge Managementand Knowledge Management

New Question 5: New Question 5: How do you make How do you make needed data and information available? needed data and information available? How do you make them accessible to How do you make them accessible to your workforce, students, and your workforce, students, and stakeholders?stakeholders?

Standardizing the ReportStandardizing the Report

Same format between institutions of higher Same format between institutions of higher educationeducation

Same use of reference numbersSame use of reference numbers Maximum recommended length of 50 pagesMaximum recommended length of 50 pages

The desire is for all reports to have the “the The desire is for all reports to have the “the same look and feel” as the reports are same look and feel” as the reports are

reviewed and used by individuals external to reviewed and used by individuals external to the organization that prepared the report.the organization that prepared the report.

Addressing the CategoriesAddressing the Categories

Categories 1 – 6: ApproachCategories 1 – 6: Approach Effectiveness of methods and techniques to the Effectiveness of methods and techniques to the

criteria requirementscriteria requirements Focus on continuous improvementFocus on continuous improvement Degree to which approach used is systematic, Degree to which approach used is systematic,

integrated and consistently appliedintegrated and consistently applied

Categories 1 – 6: DeploymentCategories 1 – 6: Deployment Degree and application of approach to all areas of Degree and application of approach to all areas of

the organizationthe organization Degree and application of approach with all Degree and application of approach with all

relevant students, stakeholders, suppliers and the relevant students, stakeholders, suppliers and the general publicgeneral public

Addressing the CategoriesAddressing the Categories

Category 7: ResultsCategory 7: Results Levels of past and current Levels of past and current

performance; future projectionsperformance; future projections

Linkage to approach/deploymentLinkage to approach/deployment

Rate/Speed/Breadth of performance Rate/Speed/Breadth of performance

improvementimprovement

Performance comparisons and Performance comparisons and

benchmarksbenchmarks

Use of Reference Use of Reference NumbersNumbers

Responses Should Be Referenced to the Responses Should Be Referenced to the

““Questions Asked”Questions Asked”

Example 1: Category 2 – Strategic PlanningExample 1: Category 2 – Strategic Planning

Use “2.1a” for Question 1a) What is your Use “2.1a” for Question 1a) What is your Strategic Planning process, including key Strategic Planning process, including key participants, and how does it address your participants, and how does it address your organization’s strengths weaknesses, organization’s strengths weaknesses, opportunities and threats?opportunities and threats?

Use of Reference NumbersUse of Reference Numbers

Example 2: Category 7 – ResultsExample 2: Category 7 – Results

Use “7.1” for Question 1 (What are your Use “7.1” for Question 1 (What are your performance levels and trends for your key performance levels and trends for your key measures on student learning and measures on student learning and improvements in student learning? How do improvements in student learning? How do your results compare to those of your your results compare to those of your competitors and comparable organizations?)competitors and comparable organizations?) To show a graph/chart, use “Fig. 7.1-1”To show a graph/chart, use “Fig. 7.1-1” If several charts are used to respond to one If several charts are used to respond to one

question show the range. question show the range. Ex: “7.1-1 through 7.1-3”Ex: “7.1-1 through 7.1-3”

Use Report Use Report for Self-Assessmentfor Self-Assessment

Identify StrengthsIdentify Strengths Identify Opportunities for ImprovementIdentify Opportunities for Improvement

- Prioritize- Prioritize

- Allocate Resources- Allocate Resources

- Monitor, Measure, and Manage- Monitor, Measure, and Manage

Our ObservationsOur Observations

Use of outdated GuidelinesUse of outdated Guidelines Responses to questions do not answer the Responses to questions do not answer the

question or are too vaguequestion or are too vague Limited or no comparative information Limited or no comparative information

presentedpresented Limited or no response/action plans to “key Limited or no response/action plans to “key

challenges” presentedchallenges” presented Some action plans linked to strategic goals Some action plans linked to strategic goals

are too general in nature to determine are too general in nature to determine specific targets and/or timelinesspecific targets and/or timelines

It’s OK to talk about future plansIt’s OK to talk about future plans

Our ObservationsOur Observations References made to surveys, but no data References made to surveys, but no data

presentedpresented Survey results depicted appear to present Survey results depicted appear to present

responses to only select survey questionsresponses to only select survey questions Too many Category 7 measures consisting Too many Category 7 measures consisting

of “counts of things” or just “workload” of “counts of things” or just “workload” relatedrelated

Don’t ignore other operating locations Don’t ignore other operating locations throughout the statethroughout the state

Shading on charts/use of colors difficult to Shading on charts/use of colors difficult to distinguish when printed in black and whitedistinguish when printed in black and white

Our ObservationsOur Observations

A couple of specific examplesA couple of specific examples

Segmentation: The university has Segmentation: The university has segmented its student population by segmented its student population by place of origin (i.e. high school, state, place of origin (i.e. high school, state, country), by major area of study, and country), by major area of study, and by type of program delivery and by type of program delivery and location (i.e. attendance in location (i.e. attendance in residence, commuter, and long residence, commuter, and long distance learning). distance learning).

Our ObservationsOur Observations

Actions linked to the Strategic Plan:Actions linked to the Strategic Plan:

While employee well-being is one of While employee well-being is one of the organization’s strategic goals, the organization’s strategic goals, related action plans and measures related action plans and measures are not evident. Without this are not evident. Without this information, it is not clear how the information, it is not clear how the organization addresses and supports organization addresses and supports this strategic goal.this strategic goal.

Questions & Questions & AnswersAnswers

Part 2Part 2to followto follow

Baldrige CriteriaBaldrige Criteria

An An alignedaligned, , systematicsystematic approach for approach for conducting business that integrates conducting business that integrates and focuses on:and focuses on: Leadership Leadership Strategic Planning Strategic Planning Student, Stakeholder, and Market FocusStudent, Stakeholder, and Market Focus Measurement, Analysis, and Knowledge Measurement, Analysis, and Knowledge

ManagementManagement Faculty and Staff Workforce FocusFaculty and Staff Workforce Focus Process ManagementProcess Management Organizational Performance ResultsOrganizational Performance Results

The Baldrige SystemThe Baldrige Systemand the Accountability Reportand the Accountability Report

MBNQA BackgroundMBNQA Background

Created in 1987Created in 1987 Response to Global CompetitionResponse to Global Competition Public Law 100-107Public Law 100-107Malcolm Baldrige National Quality Awards Malcolm Baldrige National Quality Awards

(MBNQA)(MBNQA) To improve organizational performance To improve organizational performance

practicespractices To serve as a tool for understanding and To serve as a tool for understanding and

managing performance, planning and trainingmanaging performance, planning and training To facilitate the sharing of best practicesTo facilitate the sharing of best practices Administered by the National Institute for Administered by the National Institute for

Standards and Technology (NIST)Standards and Technology (NIST)

The Baldrige ProgramThe Baldrige Program

““The Baldrige program has been The Baldrige program has been described by CEO’s as the most described by CEO’s as the most important catalyst for transforming important catalyst for transforming American business....and the publication American business....and the publication containing the Baldrige criteria has been containing the Baldrige criteria has been hailed as probably the most influential hailed as probably the most influential document in the history of American document in the history of American business!”business!”

The Honorable Sherwood Boehlert The Honorable Sherwood Boehlert (R-NY)(R-NY)

Chairman, House Science CommitteeChairman, House Science Committee

Why Use Why Use the Baldrige Criteria?the Baldrige Criteria?

(Higher Education)(Higher Education) To improve student achievementTo improve student achievement To improve faculty and staff satisfactionTo improve faculty and staff satisfaction To achieve strategic goalsTo achieve strategic goals To align resources to goalsTo align resources to goals To improve productivity, efficiency, and To improve productivity, efficiency, and

effectivenesseffectiveness To reduce costs – improve revenuesTo reduce costs – improve revenues To improve market shareTo improve market share To measure performanceTo measure performance To meet/exceed legal, regulatory, and accreditation To meet/exceed legal, regulatory, and accreditation

requirementsrequirements

Past Baldrige Winners Past Baldrige Winners Higher EducationHigher Education

2005 Richland College - Dallas, Texas2005 Richland College - Dallas, Texas

2004 Monfort College of Business, 2004 Monfort College of Business, University of Colorado – Greeley, University of Colorado – Greeley, ColoradoColorado

2001 University of Wisconsin (Stout) – 2001 University of Wisconsin (Stout) – Menomonie, Wisconsin Menomonie, Wisconsin

Application and Linkages Application and Linkages in SC State Governmentin SC State Government

Agency Accountability ReportAgency Accountability ReportAddresses all 7 Baldrige categoriesAddresses all 7 Baldrige categoriesBaldrige “light” versionBaldrige “light” version

Budget Request ProcessBudget Request ProcessLinked to Accountability ReportLinked to Accountability Report

Agency Head Salary Review CommissionAgency Head Salary Review CommissionLinked to “Performance Excellence” (Baldrige Criteria)Linked to “Performance Excellence” (Baldrige Criteria)

Organizational Self AssessmentOrganizational Self Assessment Tool ToolUse report for continuous improvementUse report for continuous improvement

KEY LINKAGESKEY LINKAGES

Many questions are connected (linked) to Many questions are connected (linked) to other questions in the same or other other questions in the same or other Categories and the Organizational Profile. Categories and the Organizational Profile. These questions, taken together, provide These questions, taken together, provide a holistic description of the organization’s:a holistic description of the organization’s: Effectiveness of key processes and degree of Effectiveness of key processes and degree of

organizational deploymentorganizational deployment Integration of key processesIntegration of key processes Evidence of continuous learning/improvementEvidence of continuous learning/improvement Degree of process management, leading to Degree of process management, leading to

improving performance/results/outcomesimproving performance/results/outcomes Overall effectiveness (systems approach to Overall effectiveness (systems approach to

conducting business)conducting business)

KEY LINKAGESKEY LINKAGESExample 1: Category 2 – Strategic PlanningExample 1: Category 2 – Strategic PlanningKey linkages to:Key linkages to: Strategic Challenges (Executive Summary)Strategic Challenges (Executive Summary) Senior leadership direction, participation, Senior leadership direction, participation,

communication, review process (Cat. 1)communication, review process (Cat. 1) Targeting students and stakeholders, and their Targeting students and stakeholders, and their

requirements (Cat.3)requirements (Cat.3) Process for measuring/monitoring/managing Process for measuring/monitoring/managing

performance (Cat. 4)performance (Cat. 4) Workforce performance management system/HR Workforce performance management system/HR

goals (Cat.5)goals (Cat.5) Improvement approaches/methodologies (Cat. Improvement approaches/methodologies (Cat.

6)6) Key performance results (Cat. 7)Key performance results (Cat. 7)

KEY LINKAGESKEY LINKAGES

Example 2: Category 4 – Measurement, Analysis, Example 2: Category 4 – Measurement, Analysis, and Knowledge Managementand Knowledge ManagementKey linkages to:Key linkages to:

Senior management direction setting/key measures Senior management direction setting/key measures determination and review process (Cat.1)determination and review process (Cat.1)

Tracking targets for strategic goals, strategies and Tracking targets for strategic goals, strategies and action plans/deployment of measures (Cat. 2; all action plans/deployment of measures (Cat. 2; all others)others)

Maintaining organizational/workforce knowledge Maintaining organizational/workforce knowledge (Cat.5)(Cat.5)

Determination process for improving key processes Determination process for improving key processes ( Cat. 6)( Cat. 6)

Reporting of key results (Cat. 7)Reporting of key results (Cat. 7)

Strategic Plan

Training PlanEPMS

Organizational Performance - Linkages

(Accountability Report)

Category 7 ExampleCategory 7 Example

Current Level/Trend/Benchmarks

70

75

80

85

90

95

100

2003 2004 2005 2006 2007

Year

On-

Tim

e P

ayab

les

Pro

cess

ing

(%) Agency A

Overall Organization

Industry Standard

Agency B

MOnfort CollegeMOnfort CollegeCat. 7.1 – Student Learning ResultsCat. 7.1 – Student Learning Results

Richland CollegeRichland CollegeCat 7.1 – Student Learning ResultsCat 7.1 – Student Learning Results

PREPARING THE REPORTPREPARING THE REPORT

Some Suggestions:Some Suggestions:Data/information collectionData/information collection Start earlyStart early Use multiple approaches for collecting Use multiple approaches for collecting

data/informationdata/information Use other internal reports (last year’s AR report, Use other internal reports (last year’s AR report,

budget request documents, strategic plan, misc. budget request documents, strategic plan, misc. other reports)other reports)

Distribute prior year’s AR to each Division Distribute prior year’s AR to each Division (highlight prior year’s data submitted) (highlight prior year’s data submitted)

Review AR’s from other agenciesReview AR’s from other agencies Conduct internal surveysConduct internal surveys Conduct external research for benchmarking Conduct external research for benchmarking

informationinformation

PREPARING THE REPORTPREPARING THE REPORT

Some Suggestions:Some Suggestions:Writing the ARWriting the AR Coordinate, coordinate, coordinateCoordinate, coordinate, coordinate Include management and those who Include management and those who

provided key inputsprovided key inputs Use feedback to help make revisionsUse feedback to help make revisions Work with organization’s CFO (relating to Work with organization’s CFO (relating to

financial performance and completion of financial performance and completion of expenditures/appropriations chart)expenditures/appropriations chart)

Consult with executive/senior management Consult with executive/senior management oftenoften

PREPARING THE REPORTPREPARING THE REPORTAdditional thoughts and ideas:Additional thoughts and ideas: Use single person writing styleUse single person writing style Consider linkagesConsider linkages Find expert on constructing chartsFind expert on constructing charts Find good proofreader/editorFind good proofreader/editor Person who has overall responsibility for AR Person who has overall responsibility for AR

needs to be kept informed on organization’s needs to be kept informed on organization’s plans and key activities; attend key business plans and key activities; attend key business meetingsmeetings

Use AR preparation process as a training tool Use AR preparation process as a training tool and organizational improvement tooland organizational improvement tool

Capture “lessons learned” after report Capture “lessons learned” after report submissionsubmission

…………and use them to drive improvementand use them to drive improvement

Key RecommendationsKey Recommendations

Have a planHave a plan

Start earlyStart early

Have a strategic planHave a strategic plan

Agree on key measuresAgree on key measures

Make report a living documentMake report a living document

Active participation by managementActive participation by management

The The Accountability ReportAccountability Report

NOT JUST ANOTHER NOT JUST ANOTHER REPORT!REPORT!

(the potential is too great)(the potential is too great)

WHAT WE DOWHAT WE DOThe Organizational Performance The Organizational Performance

and Accountability Teamand Accountability Team

Provide feedback on Accountability Provide feedback on Accountability ReportsReports Key StrengthsKey Strengths Key Opportunities for ImprovementsKey Opportunities for Improvements General CommentsGeneral Comments

Provide consulting servicesProvide consulting services Provide training on organizational Provide training on organizational

improvement topicsimprovement topics Provide information to the Ways and Provide information to the Ways and

Means StaffMeans Staff

For Additional InformationFor Additional Information

Office of the State BudgetOffice of the State Budgetwww.budget.sc.gov/OSB-forms.phtmwww.budget.sc.gov/OSB-forms.phtm

Suzie Rast (734 – 0647) Garry Monjo (734 – 0919)srast@budget.sc.gov gmonjo@budget.sc.gov

SC State Government Improvement SC State Government Improvement Network Network www.scsgin.orgwww.scsgin.org

Baldrige National Quality ProgramBaldrige National Quality Programwww.quality.nist.govwww.quality.nist.gov

Questions Questions andand

Answers Answers