2003 Education Criteria

8/2/2019 2003 Education Criteria

1/76

Baldrige National Quality Program

EducationCriteria for

PerformanceExcellence

2003Celebrating 15 Years


2/76

A Public-Private Partnership

Building active partnerships in the private sectorandbetween the private sector and all levels of governmentisfundamental to the success of the Baldrige National QualityProgram in improving national competitiveness. Private-sector support for the Program in the form of funds,volunteer efforts, and participation in information transfercontinues to grow.

To ensure the continued growth and success of thesepartnerships, each of the following organizations plays animportant role.

Foundation for the Malcolm Baldrige

National Quality Award

The Foundation for the Malcolm Baldrige National QualityAward was created to foster the success of the Program.The Foundations main objective is to raise funds to per-

manently endow the Award Program.

Prominent leaders from U.S. organizations serve asFoundation Trustees to ensure that the Foundationsobjectives are accomplished. A broad cross section oforganizations throughout the United States providesfinancial support to the Foundation.

National Institute of Standards and

Technology

The U.S. Department of Commerce is responsible for theBaldrige National Quality Program and the Award. The

National Institute of Standards and Technology (NIST), anagency of the Departments Technology Administration,manages the Baldrige Program. NIST promotes U.S.economic growth by working with industry to develop anddeliver the high-quality measurement tools, data, andservices necessary for the nations technology infrastructure.NIST also participates in a unique, government/privatesector partnership to accelerate the development of high-risk technologies that promise significant commercial andeconomic benefits. Through a network of technologyextension centers and field offices serving all 50 states andPuerto Rico, NIST helps small- and medium-sized busi-nesses access the information and expertise they need to

improve their competitiveness in the global marketplace.

American Society for Quality

The American Society for Quality (ASQ) assists in adminis-tering the Award Program under contract to NIST. ASQ isdedicated to the ongoing development, advancement, andpromotion of quality concepts, principles, and techniques.ASQ strives to be the worlds recognized champion andleading authority on all issues related to quality. ASQrecognizes that continuous quality improvement will helpthe favorable positioning of American goods and services inthe international marketplace.

Board of Overseers

The Board of Overseers advises the Department of Com-merce on the Baldrige National Quality Program. Theboard is appointed by the Secretary of Commerce andconsists of distinguished leaders from all sectors of the U.Seconomy.

The Board of Overseers evaluates all aspects of the Pro-gram, including the adequacy of the Criteria and processesfor determining Award recipients. An important part of theboards responsibility is to assess how well the Program isserving the national interest. Accordingly, the board makesrecommendations to the Secretary of Commerce and to theDirector of NIST regarding changes and improvements inthe Program.

Board of Examiners

The Board of Examiners evaluates Award applications and

prepares feedback reports. The Panel of Judges, part of theBoard of Examiners, makes Award recommendations to thDirector of NIST. The board consists of leading U.S.business, education, and health care experts. NIST selectsmembers through a competitive application process. For2003, the board consists of about 400 members. Of these,9 (who are appointed by the Secretary of Commerce) serveas Judges, and approximately 75 serve as Senior ExaminersThe remainder serve as Examiners. All members of theboard must take part in an Examiner preparation course.

In addition to reviewing applications, board members playa significant role in sharing information about the Baldrige

Program. Their membership in hundreds of professional,trade, community, and state organizations helps them dis-seminate this information.

Award Recipients

Award recipients are required to share information on theisuccessful performance and quality strategies with otherU.S. organizations. However, recipients are not required toshare proprietary information, even if such information wapart of their Award application. The principal mechanismfor sharing information is the annual Quest for ExcellenceConference.

Award recipients in the 15 years of the Award have beenextremely generous in their commitment to improving U.Scompetitiveness and furthering the U.S. pursuit of perfor-mance excellence. They have shared information withhundreds of thousands of companies, education institutionshealth care organizations, government agencies, and othersThis sharing far exceeds expectations and Program requirements. Award recipients efforts have encouraged manyother organizations in all sectors of the U.S. economy toundertake their own performance improvement efforts.

THE MALCOLM BALDRIGE NATIONAL QUALITY AWARD PROGRAM


3/76

Baldrige National Quality ProgramNational Institute of Standards and Technology Technology Administration Department of Commer

To: U.S. Education Community

From: Harry S. Hertz, Director

Baldrige National Quality Program

Subject: An Updated Baldrige Challenge

The Baldrige Education Criteria are being used increasingly by U.S. education organizations to improve their perfor-mance. For todays education environment, the Criteria have been updated to help organizations respond to currentchallenges: the need to create value for students, stakeholders, and the organization; openness and transparency ingovernance and ethics; and the challenges of rapid innovation and capitalizing on your knowledge assets. Whetheryour organization is small or large, is involved in PreK12 or higher education, or has one facility or multiple sites,the Criteria provide a valuable framework that can help you plan in an uncertain environment. Use the Criteria toassess performance on a wide range of key indicators: student learning outcomes, student and stakeholder satisfaction

results, budgetary and financial results, faculty and staff performance, and operational outcomes. The Criteria canhelp you align resources; improve communication, productivity, and effectiveness; and achieve strategic goals.

How to begin that first Baldrige assessment? Take a few minutes and scan the questions in the Organizational Profileon pages 1416. A discussion of the answers to these questions might be your first Baldrige assessment. For additionalguidance, refer to our free booklet Getting Started with the Baldrige National Quality Program Criteria for PerformanceExcellence: A Guide to Self-Assessment and Action.

If you are ready to take the full Baldrige challenge, you can perform a self-assessment as an internal improvementeffort, or you can use your self-assessment as the basis for an Award application. Assessment against all sevenCategories of the Criteria (see pages 1734) allows you to identify strengths and to target opportunities for improvingyour processes and results.

Do you need to know what your faculty and staff think? Do you believe you have been making progress but want toaccelerate or better focus your efforts? Try using our simple questionnaire,Are We Making Progress?This question-naire, available in English and Spanish, addresses topics important to your faculty and staff and is organized accordingto the seven Baldrige Criteria Categories. It helps you check your progress toward meeting your organizational goalsand will improve communication among your faculty, staff, and leadership team.

Even if you dont expect to win the Baldrige Award, submitting an Award application has valuable benefits. Everyapplicant receives a detailed feedback report based on an independent, external assessment conducted by a panel ofspecially trained and recognized experts.

The Criteria are in your hands . . . so is an incredible opportunity. Why not take the challenge? Regardless of yourorganizations past success, when you turn these pages, you turn the corner toward performance excellence. If youwant more information, contact me at [email protected].

Baldrige National Quality Program NIST Administration Building, Room A600 100 Bureau Drive, Stop 1020 Gaithersburg,MD 20899-1020

Telephone (301) 975-2036 Fax (301) 948-3716 E-mail: [email protected] Web site:www.quality.nist.gov

Need some useful tools to meet the Baldrige challenge? Try using Getting Started with the Baldrige National Quality Program

E-Baldrige Organizational Profile found on our Web site at

www.quality.nist.gov/eBaldrige/Step_One.htm

Are We Making Progress?

Contact the Baldrige National Quality Program or visit our Web site for these and other educational materials


4/76ii

QUEST FOR EXCELLENCE

The Malcolm Baldrige National Quality Award

The Award crystal, composed of two solid crystal prismaticforms, stands 14 inches tall. The crystal is held in a base ofblack anodized aluminum with the Award recipients nameengraved on the base. A 22-karat gold-plated medallion iscaptured in the front section of the crystal. The medal bearsthe inscriptions Malcolm Baldrige National QualityAward and The Quest for Excellence on one side andthe Presidential Seal on the other.

The President of the United States traditionally presentsthe Awards at a special ceremony in Washington, DC.

Crystal by Steuben

Quest for Excellence XV Conference

Each year, Quest for Excellence, the official conferenceof the Malcolm Baldrige National Quality Award,provides a forum for Baldrige Award recipients to share

their exceptional performance practices with worldwideleaders in business, education, health care, and not-for-profit organizations. Quest for Excellence XV willshowcase the year 2002 Award recipients.

For the last 14 years, executives, managers, and qualityleaders have come to this conference to learn how theserole model organizations have achieved performanceexcellence. CEOs and other leaders from the Awardrecipient organizations give presentations covering allseven Categories of the Baldrige Criteria, their journey toperformance excellence, and their lessons learned. At thisthree-day conference designed to maximize learning

and networking opportunities, attendees will be ableto interact with Award recipients.

The Quest for Excellence XV Conference will be heldMarch 30April 2, 2003, at the Marriott Wardman ParkHotel in Washington, DC. For further information,contact the Baldrige Program by mail: Baldrige NationalQuality Program, NIST, Administration Building, RoomA600, 100 Bureau Drive, Stop 1020, Gaithersburg, MD20899-1020; telephone: (301) 975-2036; fax: (301) 948-3716; or E-mail: [email protected]. For a general overview ofthe Baldrige National Quality Program, visit its Web site:www.quality.nist.gov.

The Malcolm Baldrige National Quality Award logo and the phrases Quest for Excellence

and Performance Excellence are trademarks and service marks of the

National Institute of Standards and Technology.


5/76iii

CONTENTS

1 2003 Education Criteria: Core Values, Concepts, and Framework

7 Key Characteristics of the Education Criteria

8 Integration of Key Education Themes

10 Changes from the 2002 Education Criteria

13 2003 Education Criteria for Performance ExcellenceItem Listing

14 2003 Education Criteria for Performance Excellence

14 Preface: Organizational Profile

17 1 Leadership

20 2 Strategic Planning

22 3 Student, Stakeholder, and Market Focus

24 4 Measurement, Analysis, and Knowledge Management

26 5 Faculty and Staff Focus29 6 Process Management

31 7 Organizational Performance Results

35 Glossary of Key Terms

42 2003 Education Criteria: Category and Item Descriptions

58 Scoring System

59 Scoring Guidelines

61 2003 Education Criteria Response Guidelines

65 Applying for the Malcolm Baldrige National Quality Award

66 Summary of Education Eligibility and Restrictions

67 How to Obtain Copies of Baldrige Program Materials

68 Fees for the 2003 Award Cycle

If you plan to apply for the Award in 2003, you also will need the booklet Baldrige AwardApplication Forms. Ordering instructions are given on page 67.

The first step in the Award application process is to provide the Eligibility CertificationPackage, which is due April 15, 2003. If you would like to recommend a senior member of

your organization for the Board of Examiners, the package is due March 14, 2003.

Award applications are due May 29, 2003.

We are easy to reach. Our Web address is www.quality.nist.gov.

Business and health care organizations should use the appropriate Criteria

booklets for their respective sectors. See pages 6768 for ordering information.


6/76

This page intentionally left blank


7/761

Criteria Purposes

The Criteria are the basis for organizational self-assessments,for making Awards, and for giving feedback to applicants. Inaddition, the Criteria have three important roles:

to help improve organizational performance practices,capabilities, and results

to facilitate communication and sharing of best prac-tices information among U.S. organizations of all types

to serve as a working tool for understanding andmanaging performance and for guiding organizationalplanning and opportunities for learning

Education Criteria for Performance Excellence Goals

The Criteria are designed to help organizations use anintegrated approach to organizational performancemanagement that results in

delivery of ever-improving value to students andstakeholders, contributing to education quality

improvement of overall organizational effectivenessand capabilities

organizational and personal learning

Core Values and Concepts

The Criteria are built upon the following set of interrelatedCore Values and Concepts:

visionary leadership

learning-centered education

organizational and personal learning

valuing faculty, staff, and partners

agility

focus on the future

managing for innovation

management by fact

social responsibility

focus on results and creating value

systems perspective

These values and concepts, described below, are embeddedbeliefs and behaviors found in high-performing organiza-tions. They are the foundation for integrating key require-ments within a results-oriented framework that creates abasis for action and feedback.

Visionary Leadership

An organizations senior leaders should set directions andcreate a student-focused, learning-oriented climate, clearand visible values, and high expectations. The directions,values, and expectations should balance the needs of all your

stakeholders. Your leaders should ensure the creation ofstrategies, systems, and methods for achieving excellence,stimulating innovation, and building knowledge and capabilities. The values and strategies should help guide all activi-ties and decisions of your organization. Senior leadersshould inspire and motivate your entire workforce andshould encourage all faculty and staff to contribute, todevelop and learn, to be innovative, and to be creative.Senior leaders should be responsible to your organizationsgovernance body for their actions and performance. Thegovernance body should be responsible ultimately to allyour stakeholders for the ethics, vision, actions, and perfor-mance of your organization and its senior leaders.

Senior leaders should serve as role models through theirethical behavior and their personal involvement in planningcommunications, coaching, development of future leaders,review of organizational performance, and faculty and staffrecognition. As role models, they can reinforce ethics,values, and expectations while building leadership, commit-ment, and initiative throughout your organization.

In addition to their important role within the organization,senior leaders have other avenues to strengthen education.Reinforcing the learning environment in the organizationmight require building community support and aligning

community and business leaders and community serviceswith this aim.

Learning-Centered Education

In order to develop the fullest potential of all students,education organizations need to afford them opportunitiesto pursue a variety of avenues to success. Learning-centerededucation supports this goal by placing the focus of educa-tion on learning and the real needs of students. Such needsderive from market and citizenship requirements.

A learning-centered organization needs to fully understandthese requirements and translate them into appropriate

curricula and developmental experiences. For example,changes in technology and in the national and world eco-nomies are creating increasing demands on employees tobecome knowledge workers and problem solvers, keepingpace with the rapid market changes. Most analysts concludethat to prepare students for this work environment, educa-tion organizations of all types need to focus more on stu-dents active learning and on the development of problem-solving skills. Educational offerings also need to be builtaround effective learning, and effective teaching needs tostress promotion of learning and achievement.

2003 EDUCATION CRITERIA: CORE VALUES, CONCEPTS, AND FRAMEWORK


8/762

Learning-centered education is a strategic concept thatdemands constant sensitivity to changing and emergingstudent, stakeholder, and market requirements and to thefactors that drive student learning, satisfaction, and persis-tence. It demands anticipation of changes in the educationmarket. Therefore, learning-centered education demandsawareness of development in technology and competitorsprograms and offerings, as well as rapid and flexible re-sponses to student, stakeholder, and market changes.

Key characteristics of learning-centered education includethe following:

High developmental expectations and standards are setfor all students.

Faculty understand that students may learn in differentways and at different rates. Student learning rates andstyles may differ over time and may vary depending onsubject matter. Learning may be influenced by support,guidance, and climate factors, including factors thatcontribute to or impede learning. Thus, the learning-centered organization needs to maintain a constantsearch for alternative ways to enhance learning. Also,the organization needs to develop actionable informa-tion on individual students that bears upon theirlearning.

A primary emphasis on active learning is provided.This may require the use of a wide range of techniques,materials, and experiences to engage student interest.Techniques, materials, and experiences may be drawnfrom external sources such as businesses, communityservices, or social service organizations.

Formative assessment is used to measure learning earlyin the learning process and to tailor learning experi-ences to individual needs and learning styles.

Summative assessment is used to measure progressagainst key, relevant external standards and normsregarding what students should know and should beable to do.

Students and families are assisted in using self-assessmentto chart progress and to clarify goals and gaps.

There is a focus on key transitions such as school-to-school and school-to-work.

Organizational and Personal Learning

Achieving the highest levels of organizational performancerequires a well-executed approach to organizational andpersonal learning. Organizational learning includes bothcontinuous improvement of existing approaches andadaptation to change, leading to new goals and/or ap-proaches. Learning needs to be embedded in the way yourorganization operates. This means that learning (1) is aregular part of daily work; (2) is practiced at personal, workunit, department, and organizational levels; (3) results in

solving problems at their source (root cause); (4) isfocused on sharing knowledge throughout your organiza-tion; and (5) is driven by opportunities to effect significantchange and to do better. Sources for learning include ideasfrom faculty and staff, education and learning researchfindings, students and stakeholders input, best practicesharing, and benchmarking.

Improvement in education requires a strong emphasis oneffective design of educational programs, curricula, andlearning environments. The overall design should includeclear learning objectives, taking into account the individualneeds of students. Design must also include effective meansfor gauging student progress. A central requirement ofeffective design is the inclusion of an assessment strategy.This strategy needs to emphasize the acquisition of forma-tive informationinformation that provides an earlyindication of whether or not learning is taking placetominimize problems that might arise if learning barriers arenot promptly identified and addressed.

Faculty and staff success depends increasingly on havingopportunities for personal learning and practicing newskills. Organizations invest in personal learning througheducation, training, and other opportunities for continuinggrowth. Such opportunities might include job rotation andincreased pay for demonstrated knowledge and skills. Educa-tion and training programs may benefit from technologies,such as computer- and Internet-based learning and satellitebroadcasts.

Personal learning can result in (1) more satisfied andversatile faculty and staff who stay with the organization,


9/763

(2) organizational cross-functional learning, and (3) animproved environment for innovation.

Thus, learning is directed not only toward better educa-tional programs and services but also toward being moreresponsive, adaptive, and flexible to the needs of students,stakeholders, and the market.

Valuing Faculty, Staff, and PartnersAn organizations success depends increasingly on theknowledge, skills, creativity, and motivation of its faculty,staff, and partners.

Valuing faculty and staff means committing to their satisfac-tion, development, and well-being. Increasingly, thisinvolves more flexible, high-performance work practicestailored to faculty and staff with diverse workplace andhome life needs. For faculty, development means buildingnot only discipline knowledge but also knowledge of stu-dent learning styles and of assessment methods. Facultyparticipation might include contributing to the organiza-

tions policies and working in teams to develop and executeprograms and curricula. Increasingly, participation is be-coming more student focused and more multidisciplinary.Organization leaders should work to eliminate disincentivesfor groups and individuals to sustain these important,learning-focused professional development activities.

For staff, development might include classroom and on-the-job training, job rotation, and pay for demonstrated skills.Increasingly, training, education, development, and organ-izational structure need to be tailored to a more diverseworkforce and to more flexible, high-performance workpractices.

Major challenges in the area of valuing faculty and staffinclude (1) demonstrating your leaders commitment to thesuccess of your faculty and staff, (2) providing recognitionthat goes beyond the regular compensation system, (3) en-suring development and progression within your organiza-tion, (4) sharing your organizations knowledge so yourfaculty and staff can better serve your students and stake-holders and contribute to achieving your strategic objec-tives, and (5) creating an environment that encouragescreativity.

Education organizations need to build internal and externalpartnerships to better accomplish overall goals. Internal

partnerships might include cooperation among leadership,faculty, and staff, such as agreements with unions. Partner-ships with faculty and staff might entail faculty and staffdevelopment, cross-training, or new organizational struc-tures such as high-performance work teams. Internal part-nerships also might involve creating network relationshipsamong your work units to improve flexibility, responsive-ness, and knowledge sharing.

External partnerships might be with other schools, suppli-ers, businesses, business associations, and community and

social service organizationsall stakeholders and potentialcontributors. Strategic partnerships or alliances are increas-ingly important kinds of external partnerships. Such part-nerships might offer entry into new markets or a basis fornew programs or services. Also, partnerships might permitthe blending of your organizations core competencies orleadership capabilities with the complementary strengthsand capabilities of partners.

Successful internal and external partnerships developlonger-term objectives, thereby creating a basis for mutualinvestments and respect. Partners should address the keyrequirements for success, means for regular communicationapproaches to evaluating progress, and means for adaptingto changing conditions.

Agility

Agility is an increasingly important measure of your organi-zational effectiveness. It requires a capacity for faster andmore flexible response to the needs of your students andstakeholders. Many organizations are learning that anexplicit focus on and measurement of response times helpdrive the simplification of the organizational structure andwork processes.

All aspects of time performance are becoming increasinglyimportant and should be among your key process measures.Other important benefits can be derived from this focus ontime; time improvements often drive simultaneous improve-ments in organization, quality, and cost.

Focus on the Future

In todays education environment, a focus on the futurerequires understanding the short- and longer-term factorsthat affect your organization and the education market.Pursuit of educational excellence requires a strong futureorientation and a willingness to make long-term commit-ments to key stakeholdersyour community, employers,faculty, and staff. Your organizations planning shouldanticipate many factors, such as changes in educationalrequirements, instructional approaches, resource availabilitystudent/stakeholder expectations, new partnering opportu-nities, technological developments, the evolving Internetenvironment, new student and market segments, demo-graphics, community/societal expectations, and strategicchanges by comparable organizations. Strategic objectives

and resource allocations need to accommodate theseinfluences. A major longer-term investment associated withyour organizations improvement is the investment increating and sustaining a mission-oriented assessmentsystem focused on learning. This entails faculty educationand training in assessment methods. In addition, theorganizations leaders should be familiar with researchfindings and practical applications of assessment methodsand learning style information. A focus on the futureincludes developing faculty and staff, creating opportunitiesfor innovation, and anticipating public responsibilities.


10/764

Managing for Innovation

Innovation means making meaningful change to improvean organizations programs, services, and processes and tocreate new value for the organizations stakeholders. Inno-vation should lead your organization to new dimensions ofperformance. Innovation is no longer strictly the purview ofresearch; innovation is important for providing ever-improvingeducational value to students and for improving all educa-tional and operational processes. Organizations should beled and managed so that innovation becomes part of theculture and is integrated into daily work.

Management by Fact

Organizations depend on the measurement and analysis ofperformance. Such measurements should derive from theorganizations needs and strategy, and they should providecritical data and information about key processes and results.Many types of data and information are needed for perfor-mance management. Performance measurement shouldfocus on student learning, which requires a comprehensive

and integrated fact-based systemone that includes inputdata, environmental data, performance data, comparative/competitive data, data on faculty and staff, cost data, andoperational performance measurement. Measurement areasmight include students backgrounds, learning styles, aspi-rations, academic strengths and weaknesses, educationalprogress, classroom and program learning, satisfaction withinstruction and services, extracurricular activities, dropout/matriculation rates, and postgraduation success.

Analysis refers to extracting larger meaning from data andinformation to support evaluation, decision making, andoperational improvement. Analysis entails using data to

determine trends, projections, and cause and effect thatmight not otherwise be evident. Analysis supports a varietyof purposes, such as planning, reviewing your overallperformance, improving operations, change management,and comparing your performance with comparable organi-zations or with best practices benchmarks.

A major consideration in performance improvement andchange management involves the selection and use ofperformance measures or indicators. The measures or indica-tors you select should best represent the factors that lead toimproved student, operational, and financial performance.A comprehensive set of measures or indicators tied to student,

stakeholder, and/or organizational performance requirementsrepresents a clear basis for aligning all processes with yourorganizations goals.Through the analysis of data from yourtracking processes, your measures or indicators themselvesmay be evaluated and changed to better support your goals.

Social Responsibility

An organizations leaders should stress responsibilities to thepublic, ethical behavior, and the need to practice good citizen-ship. Leaders should be role models for your organization infocusing on ethics and the protection of public health,

safety, and the environment. Protection of health, safety,and the environment includes your organizations opera-tions. Planning should anticipate adverse impacts that migharise in facilities management, laboratory operations, andtransportation. Effective planning should prevent problems,provide for a forthright response if problems occur, andmake available information and support needed to maintainpublic awareness, safety, and confidence.

Organizations should not only meet all local, state, andfederal laws and regulatory requirements, but they shouldtreat these and related requirements as opportunities forimprovement beyond mere compliance. Organizationsshould stress ethical behavior in all stakeholder transactionsand interactions. Highly ethical conduct should be a re-quirement of and should be monitored by the organizationsgovernance body.

Practicing good citizenship refers to leadership and sup-portwithin the limits of an organizations resourcesofpublicly important purposes. Such purposes might include

improving education in your community, environmentalexcellence, resource conservation, community service, andsharing quality-related information. Leadership also entailsinfluencing other organizations, private and public, topartner for these purposes.

Managing social responsibility requires the use of appropriatemeasures and leadership responsibility for those measures.

Focus on Results and Creating Value

An organizations performance measurements need to focuson key results. Results should be used to create and balancevalue for your students and for your key stakeholdersthe

community, employers, faculty and staff, suppliers andpartners, and the public. By creating value for students andstakeholders, your organization contributes to improvingoverall education performance and builds loyalty. To meetthe sometimes conflicting and changing aims that balancingvalue implies, organizational strategy should explicitlyinclude key stakeholder requirements. This will help ensurethat actions and plans meet differing stakeholder needs andavoid adverse impacts on any stakeholders. The use of abalanced composite of leading and lagging performancemeasures offers an effective means to communicate short-and longer-term priorities, monitor actual performance, andprovide a clear basis for improving results.

Systems Perspective

The Baldrige Criteria provide a systems perspective formanaging your organization to achieve performance excel-lence. The Core Values and the seven Baldrige Categoriesform the building blocks and the integrating mechanism forthe system. However, successful management of overallperformance requires organization-specific synthesis,alignment, and integration. Synthesis means looking at yourorganization as a whole and builds upon key educationalrequirements, including your strategic objectives and action


11/765

2StrategicPlanning

1Leadership

5Faculty andStaff Focus

6Process

Management

4Measurement, Analysis, and Knowledge Management

Organizational Profile:Environment, Relationships, and Challenges

3Student,

Stakeholder,

and Market Focus

7OrganizationalPerformance

Results

Baldrige Education Criteria for Performance Excellence Framework: A Systems Perspective

plans. Alignment means using the key linkages amongrequirements given in the Baldrige Categories to ensureconsistency of plans, processes, measures, and actions.Integration means the individual components of yourperformance management system operate in a fully inter-connected manner.

These concepts are depicted in the Baldrige framework

below. A systems perspective includes your senior leadersfocus on strategic directions and on your students andstakeholders. It means that your senior leaders monitor,respond to, and manage performance based on your keyresults. A systems perspective also includes using yourmeasures and indicators to link your key strategies withyour key processes and align your resources to improveoverall performance and satisfy students and stakeholders.

Thus, a systems perspective means managing your wholeorganization, as well as its components, to achieve success.

Linkage of the Education Criteria to the

Baldrige Business Sector Criteria

The 2003 Education Criteria incorporate the CoreValues and Concepts described above and are built uponthe seven-part framework used in the Business Criteria.The rationale for the use of the same framework is that

it is adaptable to the requirements of all organizations,including education organizations. However, this adapta-tion does not assume that these requirements are neces-sarily addressed in the same way. This adaptation toeducation, then, is largely a translation of the languageand basic concepts of business excellence to similarlyimportant concepts in education excellence. A majorpractical benefit derived from using a common frameworkfor all sectors of the economy is that it fosters cross-sectorcooperation and sharing of best practices information.


12/766

Education Criteria for Performance

Excellence Framework

The Core Values and Concepts are embodied in sevenCategories, as follows:

1 Leadership

2 Strategic Planning

3 Student,Stakeholder, and Market Focus

4 Measurement, Analysis, and Knowledge

Management

5 Faculty and Staff Focus

6 Process Management

7 Organizational Performance Results

The figure on page 5 provides the framework connectingand integrating the Categories.

From top to bottom, the framework has the following basicelements.

Organizational Profile

Your Organizational Profile (top of figure) sets the contextfor the way your organization operates. Your environment,key working relationships, and strategic challenges serve asan overarching guide for your organizational performancemanagement system.

System Operations

The system operations are composed of the six BaldrigeCategories in the center of the figure that define youroperations and the results you can achieve.

Leadership (Category 1), Strategic Planning (Category 2),and Student, Stakeholder, and Market Focus (Category 3)represent the leadership triad. These Categories are placedtogether to emphasize the importance of a leadership focuson strategy and on students and stakeholders. Senior leadersset your organizational direction and seek future opportuni-ties for your organization.

Faculty and Staff Focus (Category 5), Process Management(Category 6), and Organizational Performance Results(Category 7) represent the results triad. Your organizationsfaculty and staff and its key processes accomplish the workof the organization that yields your performance results.

All actions point toward Organizational PerformanceResultsa composite of student, stakeholder, budgetary,

financial, and operational performance, including resultsrelated to faculty and staff and to social responsibility.

The horizontal arrow in the center of the framework linksthe leadership triad to the results triad, a linkage critical toorganizational success. Furthermore, the arrow indicates thecentral relationship between Leadership (Category 1) andOrganizational Performance Results (Category 7). The two-headed arrow indicates the importance of feedback in aneffective performance management system.

System Foundation

Measurement, Analysis, and Knowledge Management

(Category 4) are critical to the effective management ofyour organization and to a fact-based system for improvingperformance. Measurement, analysis, and knowledge serveas a foundation for the performance management system.

Criteria Structure

The seven Criteria Categories shown in the figure aresubdivided into Items and Areas to Address.

Items

There are 19 Items, each focusing on a major requirement.Item titles and point values are given on page 13. The Item

format is shown on page 61.

Areas to Address

Items consist of one or more Areas to Address (Areas).Organizations should address their responses to the specificrequirements of these Areas.


13/767

KEY CHARACTERISTICS OF THE EDUCATION CRITERIA

1. The Education Criteria focus on organizational

performance results.

The Education Criteria focus on the key areas of organi-zational performance given below.

Organizational performance areas:

(1) student learning results

(2) student- and stakeholder-focused results

(3) budgetary, financial, and market results

(4) faculty and staff results

(5) organizational effectiveness results, including keyinternal operational performance measures

(6) governance and social responsibility results

The use of this composite of indicators is intended to

ensure that strategies are balancedthat they do notinappropriately trade off among important stakeholders,objectives, or short- and longer-term goals.

2. The Criteria are nonprescriptive and adaptable.

The Criteria are made up of results-oriented require-ments. However, the Criteria do notprescribe

that your organization should or should not havedepartments for quality, planning, or otherfunctions;

how your organization should be structured; or

that different units in your organization should bemanaged in the same way.

These factors differ among organizations, and they arelikely to change as needs and strategies evolve.

The Criteria are nonprescriptive for the following reasons:

(1) The focus is on results, not on procedures, tools, ororganizational structure. Organizations are encour-aged to develop and demonstrate creative, adaptive,and flexible approaches for meeting basic require-ments. Nonprescriptive requirements are intendedto foster incremental and major (breakthrough)

improvements, as well as basic change.(2) The selection of tools, techniques, systems, and organ-

izational structure usually depends on factors suchas organization type and size, organizational rela-tionships, your organizations stage of development,and faculty and staff capabilities and responsibilities.

(3) A focus on common requirements, rather than oncommon procedures, fosters better understanding,communication, sharing, and alignment, whilesupporting innovation and diversity in approaches.

3. The Criteria support a systems perspective to

maintaining organization-wide goal alignment.

The systems perspective to goal alignment is embeddedin the integrated structure of the Core Values and Con-cepts, the Organizational Profile, the Criteria, and the

results-oriented, cause-effect linkages among theCriteria Items.

Alignment in the Criteria is built around connecting andreinforcing measures derived from your organizationsprocesses and strategy. These measures tie directly tostudent and stakeholder value and to overall performanceThe use of measures thus channels different activities inconsistent directions with less need for detailed proce-dures, centralized decision making, or process manage-ment. Measures thereby serve both as a communicationstool and a basis for deploying consistent overall perfor-mance requirements. Such alignment ensures consistency

of purpose while also supporting agility, innovation, anddecentralized decision making.

A systems perspective to goal alignment, particularlywhen strategy and goals change over time, requiresdynamic linkages among Criteria Items. In the Criteria,action-oriented cycles of learning take place via feedbackbetween processes and results.

The learning cycles have four, clearly defined stages:

(1) planning, including design of processes, selection omeasures, and deployment of requirements

(2) execution of plans

(3) assessment of progress and capturing new knowl-edge, taking into account internal and externalresults

(4) revision of plans based upon assessment findings,learning, new inputs, and new requirements

4. The Criteria support goal-based diagnosis.

The Criteria and the Scoring Guidelines make up a two-part diagnostic (assessment) system. The Criteria are a seof 19 performance-oriented requirements. The ScoringGuidelines spell out the assessment dimensions

Approach, Deployment, and Resultsand the key factorsused to assess each dimension. An assessment thus pro-vides a profile of strengths and opportunities for improve-ment relative to the 19 basic requirements. In this way,assessment leads to actions that contribute to performanceimprovement in all areas, as described in the shaded boxabove. This diagnostic assessment is a useful managementtool that goes beyond most performance reviews and isapplicable to a wide range of strategies and managementsystems.


14/768

INTEGRATION OF KEY EDUCATION THEMES

For the adaptation of the Business Criteria for PerformanceExcellence to education, several important education con-cepts have been given careful consideration and are addressedthroughout the Education Criteria.

Mission SpecificityAlthough education organizations typically share commonaims, individual organizational missions, roles, and pro-grams vary greatly. Use of a single set of Criteria to cover allyour organizational requirements means that these require-ments need to be interpreted in terms of your own organi-zational mission. This is necessary because specific require-ments and critical success factors differ from organization toorganization. For this reason, effective use of the Criteriadepends on putting these mission requirements into opera-tion consistently across the seven Categories of the Criteriaframework. In particular, Strategic Planning (Category 2)

needs to address your key mission requirements, setting thestage for the interpretation of your other requirements. Forexample, results reported in Organizational PerformanceResults (Category 7) need to reflect results consistent withyour organizations mission and strategic objectives.

The Education Criteria are most explicit in the area ofstudent learning, as this requirement is common to alleducation organizations regardless of their larger missions.Despite this commonality, the focus of student learning anddevelopment depends on your organizational mission. Forexample, results reported by trade schools, engineeringschools, and music schools would be expected to differ

because they would reflect each organizations mission.Nevertheless, all three types of organizations would beexpected to show year-to-year improvements in theirmission-specific results to demonstrate the effectivenessof their performance improvement efforts.

Customers

The Business Criteria for Performance Excellence use thegeneric term customers to describe the users of productsor services. Although market success depends heavily onuser preference, other stakeholders must be considered aswell when setting overall organizational requirements. In

the Education Criteria, the focus is on students and stake-holders, the key beneficiaries of educational programs,offerings, and services.

As do businesses, education organizations must respond to avariety of requirementsall of which should be incorpo-rated into responses to the Education Criteria. The adapta-tion of the Business Criteria to education includes a specificapproach for defining key student requirements. Thisapproach distinguishes between students and stakeholdersfor purposes of clarity and emphasis. Stakeholders includeparents, employers, other schools, and communities. The

requirements for current students differ from those forfuture students. Requirements for current students are moreconcrete, specific, and immediate; determining requirementfor future students is part of the organizations planning andshould take into account changing student populations and

changing requirements future students must be able tomeet. A major challenge organizations face is bridgingcurrent student needs and the needs of future students. Thisrequires an effective organizational learning and changestrategy.

Education organizations must also address the variety ofrequirements of their various stakeholders. Stakeholdersrequirements are of two types: (1) requirements directlyrelated to your organizations educational services and(2) requirements of the stakeholders themselves. Forexample, parents might request services related to theirchildrens educational program, such as integration of mathand science curricula (type 1), and the parents might alsorequest special meeting times with the school to accommo-date their work schedules (type 2). Many of the needs ofbusinesses and other stakeholders are actually needs thatmust be addressed in your organizations educationalservices for students. The Education Criteria place primaryemphasis on such needs because your organizations successdepends heavily on translating these needs into effectiveeducational services and experiences. In addition, successfuloperation of an organization may depend on satisfyingaccreditation, environmental, legal, and other requirements


15/769

Thus, meaningful responses to the Criteria need to incorpo-rate all relevant requirements that organizations must meetto be successful.

Concept of Excellence

The concept of excellence built into the Criteria is that ofvalue-added demonstrated performance. Such perfor-

mance has two manifestations: (1) year-to-year improvementin key measures and indicators of performance, especiallystudent learning, and (2) demonstrated leadership in perfor-mance and performance improvement relative to compara-ble organizations and to appropriate benchmarks.

This concept of excellence is used because (1) it places themajor focus on teaching and learning strategies; (2) it posessimilar types of challenges for all organizations regardless ofresources and incoming student preparation and abilities;(3) it is most likely to stimulate learning-related researchand to offer a means to disseminate the results of suchresearch; and (4) it offers the potential to create an expand-

ing body of knowledge of successful teaching and learningpractices in the widest range of organizations.

The focus on value-added contributions by your organiza-tion does not presuppose manufacturing-oriented, mecha-nistic, or additive models of student development. Also, theuse of a value-added concept does not imply that yourorganizations management system should include docu-mented procedures or attempt to define conformity orcompliance. Rather, the performance concept in theEducation Criteria means that your organization shouldview itself as a key developmental influence on students(though not the only influence) and that your organization

should seek to understand and optimize its influencingfactors, guided by an effective assessment strategy.

Assessment Strategy

Central and crucial to the success of the concept of excel-lence in the Education Criteria is a well-conceived and well-executed assessment strategy. The characteristics of such astrategy should include the following:

Clear ties should be established between what is assessedand your organizations mission and objectives. Thismeans not only what your students know but also whatthey are able to do.

There should be a strong focus on improvementofyour students performance, your facultys capabilities,and your organizations program performance.

An embedded, ongoing assessment with prompt feed-back should be an integral component.

The assessment also should be based on curricula, ref-erence appropriate criteria, and address your key learn-ing goals and your overall performance requirements.

Clear guidelines should be established regarding howyour assessment results will be used and how they willnot be used.

There should be an ongoing evaluation of your assess-ment system itself to improve the connection betweenassessment and student success. Success factors shouldbe developed on an ongoing basis based on externalrequirements such as those derived from your marketsand from other organizations.

Primary Focus on Teaching and Learning

Although the Education Criteria framework is intended toaddress all organizational requirements, including research

and service, primary emphasis is placed on teaching andlearning. This is done for three main reasons:

(1) Teaching and learning are the principal goals ofeducation organizations. Thus, sharing successfulteaching and learning strategies and methods wouldhave the greatest impact on improving the nationseducation organizations.

(2) Those who encouraged the creation of a BaldrigeAward category for education cited improvement inteaching and learning as their primary or onlyrationale for such an award.

(3) Only a small percentage of education organizationsengage in research. Peer review systems exist toevaluate research. Funding organizations and busi-nesses provide avenues to channel the directions ofmuch research. Numerous excellent forums andmedia already exist for sharing research results. Muchof the research performed in education organizationsinvolves students as part of their own overall educa-tion. Thus, the educational role of research is incor-porated in the Education Criteria as part of teachingand learning. Other important aspects of researchfaculty development and student and faculty recruit-mentare also addressed in the Criteria.


16/7610

The Education Criteria for Performance Excellence con-tinue to evolve, to help educators address a dynamic envi-ronment, to focus on strategy-driven performance, toconsider the needs of all students and stakeholders, and toaccommodate important changes in organizational needs

and practices. The increasing importance of a focus ongovernance and ethics, the need to capitalize on knowledgeassets, and the alignment of all aspects of your performancemanagement system with your results measurements receivegreater attention in the 2003 Education Criteria. In addi-tion, the Education Criteria emphasize the roles of organi-zational and personal learning and motivation as keydifferentiators in high-performing organizations. TheEducation Criteria continue to emphasize the central rolethat students and other key stakeholders play in definingand achieving performance excellence.

Criteria questions have been better aligned throughout

the seven Categories and in the Organizational Profile.These changes have been made to improve Baldrige self-assessment and external assessment, the determination oforganizational gaps and alignment in approach and deploy-ment (Categories 16), and the determination of organiza-tional gaps and strength of performance in results areas(Category 7).

Two underlying concepts framed the overall thoughtprocess that led to this years Education Criteria changes.The first is the need to have a set of Education Criteria forevidence-based management. The Criteria and thelinkages among the Organizational Profile, Approach-Deployment Items (Categories 16), and Results Items(Category 7) have been strengthened to better provide thatframework. The second is the need to have a set of Criteriathat focuses on the dual challenges of running the organi-zation and changing the organization, to pursue currentand future success, and to focus on opportunities forinnovation.

The most significant changes in the Education Criteria andthe Criteria booklet are summarized as follows:

The number of Areas to Address has been increasedfrom 30 to 32.

All Criteria language has been converted to questionformat. Questions have been simplified to aid inunderstanding. Related questions have been groupedunder one number (e.g., 1.1a[1]) and do not requireseparate responses. These multiple questions serve as aguide in understanding the full meaning of the infor-mation being requested.

Category 1, Leadership, now includes an increasedfocus on organizational governance and leadershipsresponsibility for your organizations legal and ethicalbehavior.

Category 4,Measurement, Analysis, and KnowledgeManagement, has been given an expanded title andcontent to reflect the growing importance of capturingprotecting, and disseminating organizational knowledge

Category 6, Process Management, now addresses all

key processes in two Items. These Items cover yourorganizations learning-centered processes that createvalue (programs, offerings, and student services) andyour support processes (supporting learning-centeredprocesses).

Category 7, Organizational Performance Results,now includes a separate Results Item on governanceand social responsibility to encourage ongoing moni-toring of these areas of importance.

Five terms have been added to the Glossary of KeyTerms: governance, key, knowledge assets, persistence,

andvalue creation. Whenever a key term appears ineither the Criteria or Scoring Guidelines sections ofthis booklet, it now is presented in SMALL CAPS/SANS SERIto indicate that more information on the term isavailable in the glossary.

There have been some changes in all Criteria Items; themost significant changes are highlighted and discussedbelow.

Preface:Organizational Profile

Item P.1, Organizational Description, now includes adescription of your governance system and a descrip-tion of the role of suppliers in your key organizationalprocesses. These additions help set the context foryour later Criteria Item responses.

Item P.2, Organizational Challenges, now includes arequest for available sources for comparative data toemphasize the need to develop these sources and toprovide a context for your later description of how youselect your sources of comparative data. A note hasbeen added to Item P.2 that organizational approachesto process improvement might include using the Plan-Do-Study-Act process and other performance im-provement methodology.

Category 1: Leadership

Item 1.1, Organizational Leadership, has beenmodified to emphasize your senior leaders andgoverning/policy-making bodys roles in creating anenvironment that fosters and requires legal and ethicalbehavior.

Item 1.2, now Social Responsibility, has been modifiedto include your key processes and measures for monitoring ethical behavior throughout your organization.

CHANGES FROM THE 2002 EDUCATION CRITERIA


17/7611

Category 2:Strategic Planning

Item 2.2, Strategy Deployment, has an added focuson continuity. In particular, the Item addresses howyou will sustain changes accomplished through youraction plans.

Category 3:Student,Stakeholder, and Market Focus

The language in this Category has an enhanced focuson students and stakeholders, with the addition ofspecific references to building loyalty and exceedingexpectations, as well as meeting their absolute require-ments.

Category 4: Measurement,Analysis, and Knowledge

Management

Item 4.1,Measurement and Analysis of Organi-zational Performance, in recognition of the continu-ously changing measurement and analysis needs oforganizations, has an enhanced emphasis on address-ing innovation and organizational changes throughout

the academic community. Item 4.2, now Information and Knowledge Manage-

ment, has a new Area to Address on the managementof organizational knowledge, in recognition of itsgrowing importance.

Category 5: Faculty and Staff Focus

Item 5.1,Work Systems, now has three Areas toAddress to focus attention on its three importantaspects: Organization and Management of Work,Faculty and Staff Performance Management System,and Hiring and Career Progression.

Item 5.2, now Faculty and Staff Learning andMotivation, has two Areas to Address, with an en-hanced emphasis on faculty and staff motivation andcareer development.

Category 6: Process Management

Item 6.1, Learning-Centered Processes, is a newItem that replaces Items 6.1 (Education Design andDelivery Processes) and 6.2 (Student Services) fromthe 2002 Criteria. This new Item addresses all theprocesses your organization considers important forcreating value for the organization, your students, and

other key stakeholders. They are the processes mostimportant to maximizing student learning and successand achieving a sustainable competitive advantage.

Item 6.2, now Support Processes, was Item 6.3 in2002. It asks you to identify and describe your keyprocesses that support your learning-centeredprocesses.

Category 7: Organizational Performance Results

Item 7.6, Governance and Social ResponsibilityResults, is a new Results Item in 2003. This Item wasadded to reflect the need to build stakeholder trust in

the governance of your organization and to ensureethical behavior and legal compliance.

Are We Making Progress?

If you have been using the Baldrige Criteria in yourorganization and want to evaluate how much progresshas been made, consider using our questionnaire,AreWe Making Progress?Available in English and Spanish,this short questionnaire is organized according to theseven Baldrige Criteria Categories and is suitable fordistribution to your faculty and staff, your supervisors,

or your senior leaders.You may download a PDF version ofAre We MakingProgress? from the Baldrige Web site at www.quality.nist.govor request a paper copy of the document by calling(301) 975-2036.


18/76


19/7613

P Preface: Organizational Profile

P.1 Organizational Description

P.2 Organizational Challenges

2003 Categories and Items Point Values

1 Leadership 120

1.1 Organizational Leadership 70

1.2 Social Responsibility 50

2 Strategic Planning 85

2.1 Strategy Development 40

2.2 Strategy Deployment 45

3 Student, Stakeholder, and Market Focus 85

3.1 Student, Stakeholder, and Market Knowledge 403.2 Student and Stakeholder Relationships and Satisfaction 45

4 Measurement, Analysis, and Knowledge Management 90

4.1 Measurement and Analysis of Organizational Performance 45

4.2 Information and Knowledge Management 45

5 Faculty and Staff Focus 85

5.1 Work Systems 35

5.2 Faculty and Staff Learning and Motivation 25

5.3 Faculty and Staff Well-Being and Satisfaction 256 Process Management 85

6.1 Learning-Centered Processes 50

6.2 Support Processes 35

7 Organizational Performance Results 450

7.1 Student Learning Results 150

7.2 Student- and Stakeholder-Focused Results 60

7.3 Budgetary, Financial, and Market Results 60

7.4 Faculty and Staff Results 60

7.5 Organizational Effectiveness Results 60

7.6 Governance and Social Responsibility Results 60

TOTAL POINTS 1000

2003 EDUCATION CRITERIA FOR PERFORMANCE EXCELLENCEITEM LISTING

Note: The Scoring System used with the Criteria Items

in a Baldrige assessment can be found on pages 5860.


20/7614

The Organizational Profile is a snapshot of your organization, the KEY influences on HOWyou operate and the KEY

challenges you face.

P.1 Organizational Description

Describe your organizations environment and yourKEY relationships with students, STAKEHOLDERS, suppliersand otherPARTNERS.

Within your response, include answers to the following questions:

a. Organizational Environment

(1) What are your organizations main educational programs, offerings, and services? What are the deliverymechanisms used to provide your educational programs, offerings, and services to students?

(2) What is your organizational culture? What are your stated PURPOSE, VISION, MISSION, and VALUES?

(3) What is your faculty and staff profile? What are your faculty and staff education LEVELS? What are yourorganizations workforce and job diversity, organized bargaining units, use of contract employees, andspecial health and safety requirements?

(4) What are your major technologies, equipment, and facilities?

(5) What is the regulatory environment under which your organization operates? What are the mandatedfederal, state, and local standards, curricula, programs, and assessments; applicable occupational health andsafety regulations; accreditation requirements; administrator and teacher certification requirements; andenvironmental and financial regulations? What are your district boundaries and service offering restrictions

b. Organizational Relationships

(1) What are your organizational structure and GOVERNANCE system? What are the reporting relationshipsbetween your governing board(s) and your SENIOR LEADERS, as appropriate?

(2) What are your KEY STUDENT SEGMENTS, STAKEHOLDER groups, and/or market segments, as appropriate? Whatare their KEY requirements and expectations for your programs, offerings, and services? What are thedifferences in these requirements and expectations among STUDENT SEGMENTS, STAKEHOLDER groups, andmarket segments?

(3) What role do suppliers and PARTNERS play in your learning-centered PROCESSES? What are your mostimportant types of suppliers and PARTNERS? What are your most important requirements for yoursuppliers?

(4) What are your KEY supplier, PARTNER, student, and STAKEHOLDER relationships and communicationmechanisms?

2003 EDUCATION CRITERIA FOR PERFORMANCE EXCELLENCE

P Preface: Organizational Profile

Importance of Beginning with Your Organizational Profile

Your Organizational Profile is critically important because

it is the most appropriate starting point for self-assessment and for writing an application;

it helps you identify potential gaps in KEY information and focus on KEY PERFORMANCE requirements and organizational

PERFORMANCE RESULTS; it is used by the Examiners and Judges in application review, including the site visit, to understand your organization and

what you consider important; and

it also may be used by itself for an initial self-assessment. If you identify topics for which conflicting, little, or no informationis available, it is possible that your assessment need go no further and you can use these topics for action planning.


21/7615

Notes:

N1.The term organization, as used in the Criteria,refers to the unit being assessed. The unit might be aschool, a school district, a postsecondary organization,or a major academic unit within a college or univer-sity.

N2.The term suppliers/partners, as used in the

Criteria, refers to providers of student services such associal services, before-/after-school day care, externalbookstores, and transportation; partners such as futureemployers of students; and suppliers of goods foroperations such as computing, photocopying, andgrounds maintenance.

N3. Delivery of education programs, offerings, andservices to your students and stakeholders (P.1a[1])might be provided directly or through partners.

N4. Student segments, stakeholder groups, andmarket segments (P.1b[2]) might be based on educa-tion programs, offerings, services, or features; geogra-phy; volume; or other factors that allow your organi-zation to define related market characteristics.

N5. Student segment and stakeholder group require-

ments (P.1b[2]) might include special accommodationcustomized curricula, reduced class size, customizeddegree requirements, student advising, dropoutrecovery programs, and electronic communication.

N6. Communication mechanisms (P.1b[4]) should betwo-way and might be in person, electronic, bytelephone, and/or written. For many organizations,these mechanisms might change as requirementschange.

For definitions of key terms presented throughout the Criteria and Scoring Guidelines text inSMALL

CAPS/SANS SERIF, see the Glossary of Key Terms on pages 3541.Frequently, several questions are grouped under one number (e.g., P.1a[3]). These questions are relatedand do not require separate responses. These multiple questions serve as a guide in understanding the fulmeaning of the information being requested.

Item notes serve three purposes: (1) to clarify terms or requirements presented in an Item, (2) to giveinstructions on responding to the Item requirements, and (3) to indicate key linkages to other Items. Inall cases, the intent is to help you respond to the Item requirements.


22/7616

Page Limit

For Baldrige Award applicants, the Organizational Profile is limited to five pages. These pages are not counted in theoverall application page limit. Typing and format instructions for the Organizational Profile are the same as for theapplication. These instructions are given in the Baldrige Award Application Formsbooklet. Ordering information isgiven on page 67.

N1. Factors (P.2a[2]) might include differentiatorssuch as academic program leadership, services,student-to-faculty ratio, student and stakeholdersatisfaction, recruitment and retention of faculty andstaff, geographic proximity, and program options.

N2. Challenges (P.2b) might include electronic com-munication with key stakeholders; reduced educa-tional program introduction cycle times; studenttransitions; special programming needs; achievementgaps for segmented groups; time allotment for profes-sional development, planning, instruction, andlearning; restructuring of schools; costly tasks in-volved in reforming educational structures, instruc-tion, curricula, and programming; entry into newmarkets or segments; changing demographics and

competition; student persistence; and faculty/staffretention.

N3. Performance improvement (P.2c) is an assessmendimension used in the Scoring System to evaluate the

maturity of organizational approaches and deploy-ment (see pages 5860). This question is intended tohelp you and the Baldrige Examiners set a context foryour approach to performance improvement.

N4. Overall approaches to process improvement(P.2c[1]) might include implementing the Plan-Do-Study-Act process; completing accreditation self-studies; applying nationally validated systems toimprove teaching performance; or performingindependent institutional/departmental/programassessments.

P.2 Organizational Challenges

Describe your organizations competitive environment, yourKEY STRATEGIC CHALLENGES, and your system forPERFORMANCE improvement.


a. Competitive Environment

(1) What is your competitive position? What is your relative size and growth in your education sector ormarkets served? What are the numbers and types of competitors for your organization?

(2) What are the principal factors that determine your success relative to your competitors and comparableorganizations delivering similar services? What KEY changes are taking place that affect your competitivesituation?

(3) What are your KEY available sources of comparative and competitive data from within the academiccommunity? What are your KEY available sources of comparative data for applicable analogous PROCESSESoutside the academic community? What limitations, if any, are there in your ability to obtain these data

b. STRATEGIC CHALLENGES

What are your KEY education and learning, operational, human resource, and community-related STRATEGICCHALLENGES?

c. PERFORMANCE Improvement System

(1) What is the overall APPROACHyou use to maintain an organizational focus on PERFORMANCE improvementand to guide SYSTEMATIC evaluation and improvement ofKEY PROCESSES?

(2) What is your overall APPROACH to organizational learning and sharing your KNOWLEDGE ASSETSwithin theorganization?

Notes:


23/7617

1 Leadership (120 pts.)

TheLeadership Category examines HOWyour organizations SENIOR LEADERS address your organizational VALUES, direc-tions, and PERFORMANCE expectations, as well as a focus on students and STAKEHOLDERS, student learning, faculty and staffEMPOWERMENT, INNOVATION, and organizational learning. Also examined are your organizations GOVERNANCE and HOWyourorganization addresses its public and community responsibilities.

1.1 Organizational Leadership (70 pts.) Approach-Deployment

Describe HOW SENIOR LEADERS guide your organization. Describe your organizations GOVERNANCE system.Describe HOW SENIOR LEADERS review organizational PERFORMANCE.


a. Senior Leadership Direction

(1) HOW do SENIOR LEADERS set and deploy your organizational VALUES, short- and longer-term directions, andPERFORMANCE expectations? HOW do SENIOR LEADERS include a focus on creating and balancing VALUE forstudents and other STAKEHOLDERS in their PERFORMANCE expectations? HOW do SENIOR LEADERS communicateorganizational VALUES, directions, and expectations through your LEADERSHIP SYSTEM, to all faculty and staff,and to KEY suppliers and PARTNERS? HOW do SENIOR LEADERS ensure two-way communication on thesetopics?

(2) HOW do SENIOR LEADERS create an environment for EMPOWERMENT, INNOVATION, safety, equity for all students,and organizational agility? HOW do they create an environment for organizational and faculty and stafflearning? HOW do they create an environment that fosters and requires legal and ethical behavior?

b. Organizational GOVERNANCE

HOW does your organization address the following KEY factors in your GOVERNANCE system?

management accountability for the organizations actions

fiscal accountability

independence in internal and external audits, as appropriate

protection of stockholder and STAKEHOLDER interests, as appropriate

c. Organizational PERFORMANCE Review

(1) HOW do SENIOR LEADERS review organizational PERFORMANCE and capabilities? HOW do they use these reviewto assess organizational success, PERFORMANCE relative to competitors and comparable organizations, andprogress relative to short- and longer-term GOALS, including student achievement GOALS? HOW do they usthese reviews to assess your organizational ability to address changing organizational needs?

(2) What are the KEY PERFORMANCE MEASURES regularly reviewed by your SENIOR LEADERS? What are your KEYrecent PERFORMANCE review findings?

(3) HOW do SENIOR LEADERS translate organizational PERFORMANCE review findings into priorities for continuousand breakthrough improvement ofKEY organizational RESULTS and into opportunities for INNOVATION? HOWare these priorities and opportunities deployed throughout your organization? When appropriate, HOWare they deployed to your feeder and/or receiving schools and to your suppliers and PARTNERS to ensureorganizational ALIGNMENT?

(4) HOW do you evaluate the PERFORMANCE of your SENIOR LEADERS, including the head of the organization?HOW do you evaluate the PERFORMANCE of members of your governing/policy-making body, e.g., board ofdirectors, trustees, or school board, as appropriate? HOW do SENIOR LEADERS use organizational PERFOR-MANCE review findings to improve both their own leadership effectiveness and your LEADERSHIP SYSTEM, asappropriate?


24/7618

N1. Societal responsibilities in areas critical to yourorganization also should be addressed in StrategyDevelopment (Item 2.1) and in Process Management(Category 6). Key results, such as results of regulatory,legal, and accreditation compliance or environmentalimprovements through use of green technology orother means, should be reported as Governance andSocial Responsibility Results (in Item 7.6).

N2.Measures or indicators of ethical behavior (1.2b)might include evidence that policies, public disclosure

of information, staff training, and monitoring systemsare in place with respect to conflict of interest,acceptable use of technology, use of active funds, orappropriate selection of vendors. Other measures orindicators might include the integrity of testing,faculty and staff accreditation, and equal access toresources.

N3. In describing your organizations support of keycommunities in 1.2c, include the contribution of yoursenior leaders, faculty and staff, and students. Areas of

N1. Organizational directions (1.1a[1]) relate tocreating the vision for the organization and to settingthe context for strategic objectives and action plansdescribed in Items 2.1 and 2.2.

N2. Senior leaders organizational performancereviews (1.1c) should be informed by organizational

performance analyses described in 4.1b and guided bystrategic objectives and action plans described inItems 2.1 and 2.2. Senior leaders organizational

performance reviews also might be informed byinternal or external Baldrige assessments.

N3. Leadership performance evaluation (1.1c[4])might be supported by peer reviews, formal perfor-mance management reviews (5.1b), and formal and/orinformal feedback and survey data from faculty, staff,

and other stakeholders.N4.Your organizational performance results shouldbe reported in Items 7.17.6.

Item responses are assessed by considering the Criteria Item requirements; your KEY organization factors presentedin your Organizational Profile; and the maturity of your APPROACHES, breadth of their DEPLOYMENT, and strength ofyour improvement PROCESS and RESULTS relative to the Scoring System. Refer to the Scoring System information onpages 5860.

For additional description of this Item, see page 42.

1.2 Social Responsibility (50 pts.) Approach-Deployment

Describe HOWyour organization addresses its responsibilities to the public, ensures ethical behavior, andpractices good citizenship.


a. Responsibilities to the Public

(1) HOW do you address the impacts on society of your programs, offerings, services, and operations? Whatare your KEY compliance PROCESSES, MEASURES, and GOALS for achieving and surpassing regulatory, safety,accreditation, and legal requirements, as appropriate? What are your KEY PROCESSES, MEASURES, and GOALSfor addressing risks associated with your programs, offerings, services, and operations?

(2) HOW do you anticipate public concerns with current and future programs, offerings, services, andoperations? HOW do you prepare for these concerns in a proactive manner?

b. Ethical Behavior

HOW do you ensure ethical behavior in all student and STAKEHOLDER transactions and interactions? What areyour KEY PROCESSES and MEASURES or INDICATORS for monitoring ethical behavior throughout your organization,with KEY PARTNERS, and in your GOVERNANCE structure?

c. Support ofKEY Communities

HOW does your organization actively support and strengthen your KEY communities? HOW do you identifyKEYcommunities and determine areas of emphasis for organizational involvement and support? What are yourKEY communities? HOW do your SENIOR LEADERS and your faculty and staff contribute to improving thesecommunities?

Notes:

Notes:


25/7619

community support appropriate for inclusion mightinclude your efforts to strengthen local communityservices, community education, the environment, andpractices of professional associations.

N4.The health and safety of faculty and staff are notaddressed in Item 1.2; you should address thesefactors in Item 5.3.

For additional description of this Item, see pages 4243.


26/7620

The Strategic PlanningCategory examines HOWyour organization develops STRATEGIC OBJECTIVES and ACTION PLANS. Alsoexamined are HOWyour chosen STRATEGIC OBJECTIVES and ACTION PLANS are deployed and HOW progress is measured.

2.1 Strategy Development (40 pts.) Approach-Deployment

Describe HOWyour organization establishes its STRATEGIC OBJECTIVES, includingHOW it addresses learning-

centered education to ensure student achievement, addresses KEY student and STAKEHOLDER needs, enhancesits PERFORMANCE relative to competitors and comparable organizations, and enhances its overall PERFORMANCEand future success.


a. Strategy Development PROCESS

(1) What is your overall strategic planning PROCESS? What are the KEY steps? Who are the KEY participants?What are your short- and longer-term planning time horizons? HOW are these time horizons set? HOWdoes your strategic planning PROCESS address these time horizons?

(2) HOW do you ensure that strategic planning addresses the KEY factors listed below? HOW do you collect andanalyze relevant data and information to address these factors as they relate to your strategic planning:

your student, STAKEHOLDER, and market needs, expectations, and opportunities, including student

achievement

your competitive environment and your capabilities relative to competitors and comparable organization

your educational reform, technological INNOVATIONs, or other KEY changes that might affect yourprograms, offerings, services, and HOWyou operate

your strengths and weaknesses, including faculty and staff and other resources

your opportunities to redirect resources to higher priority programs, offerings, services, or areas

your capability to assess student learning and development

budgetary, societal, ethical, regulatory, and other potential risks

changes in the local, regional, or national economic environment

factors unique to your organization, including PARTNERS and suppliers needs, strengths, and weaknesses

b. STRATEGIC OBJECTIVES

(1) What are your KEY STRATEGIC OBJECTIVES and your timetable for accomplishing them? What are your mostimportant GOALS for these STRATEGIC OBJECTIVES?

(2) HOW do your STRATEGIC OBJECTIVES address the challenges identified in response to P.2 in your Organiza-tional Profile? HOW do you ensure that your STRATEGIC OBJECTIVES balance short- and longer-term chal-lenges and opportunities? HOW do you ensure that your STRATEGIC OBJECTIVES balance the needs of allstudents and KEY STAKEHOLDERS?

Notes:

2 Strategic Planning (85 pts.)

N1. Strategy development refers to your organiza-tions approach (formal or informal) to preparing forthe future. Strategy development might utilize varioustypes of forecasts, projections, options, scenarios,and/or other approaches to envisioning the future forpurposes of decision making and resource allocation.

N2. Strategy should be interpreted broadly. Strategymight be built around or lead to any or all of thefollowing: addition or termination of services andprograms; redirection of resources; modifications in

instructional design; use of technology; changes in test-ing or adoption of standards; services to new, changing,and special student populations; geographic challenges;research priorities; and new partnerships and alliances.

N3. Strategies to address key challenges (2.1b[2])might include rapid response, customization ofeducational offerings, understanding a changingeducation market, rapid innovation, and informationmanagement. Responses to Item 2.1 should focus onyour specific challengesthose most important to


27/7621

N1. Strategy and action plan development anddeployment are closely linked to other Items in theCriteria. Examples of key linkages are

Item 1.1 for how your senior leaders set andcommunicate directions;

Category 3 for gathering knowledge of students,stakeholders, and markets as input to your strategyand action plans and for deploying action plans;

Category 4 for measurement, analysis, and knowl-edge management to support your key informationneeds, to support your development of strategy, toprovide an effective basis for your performancemeasurements, and to track progress relative toyour strategic objectives and action plans;

Category 5 for your work system needs; facultyand staff education, training, and development

needs; and related human resource factors result-ing from action plans;

Category 6 for process requirements resultingfrom your action plans; and

Item 7.5 for specific accomplishments relative toyour organizational strategy and action plans.

N2. Human resource plans might include faculty,

academic staff members, nonacademic staff members,contract employees, and volunteers.

N3.Measures and indicators of projected performance(2.2b) might include changes resulting from innovationin education delivery or use of technology, redirectionof resources, effectiveness of research and services,improved performance of administrative and othersupport functions, improvement in safety, and signifi-cant anticipated innovations in services or technology.



2.2 Strategy Deployment (45 pts.) Approach-Deployment

Describe HOWyour organization converts its STRATEGIC OBJECTIVES into ACTION PLANS. Summarize your organizations ACTION PLANS and related KEY PERFORMANCE MEASURES orINDICATORS. Project your organizations futurePERFORMANCE on these KEY PERFORMANCE MEASURES orINDICATORS.


a. ACTION PLAN Development and DEPLOYMENT

(1) HOW do you develop and deployACTION PLANS to achieve your KEY STRATEGIC OBJECTIVES? HOW do youallocate resources to ensure accomplishment of your ACTION PLANS? HOW do you ensure that the KEYchanges resulting from ACTION PLANS can be sustained?

(2) What are your KEY short- and longer-term ACTION PLANS? What are the KEY changes, if any, in your pro-

grams, offerings, and services; your anticipated or planned student andSTAKEHOLDER

markets; andHOW

youwill operate?

(3) What are your KEY human resource plans that derive from your short- and longer-term STRATEGIC OBJEC-TIVES and ACTION PLANS?

(4) What are your KEY PERFORMANCE MEASURES or INDICATORS for tracking progress on your ACTION PLANS? HOW doyou ensure that your overall ACTION PLAN measurement system reinforces organizational ALIGNMENT? HOW doyou ensure that the measurement system covers all KEY DEPLOYMENT areas, students, and STAKEHOLDERS?

b. PERFORMANCE PROJECTION

For the KEY PERFORMANCE MEASURES or INDICATORS identified in 2.2a(4), what are your PERFORMANCE PROJECTIONS foboth your short- and longer-term planning time horizons? HOW does your projected PERFORMANCE comparewith the projected PERFORMANCE of competitors and comparable organizations? HOW does it compare with KEYBENCHMARKS, GOALS, and past PERFORMANCE, as appropriate?

Notes:

your students success and to strengthening yourorganizations overall performance.

N4. Item 2.1 addresses your overall organizationalstrategy, which might include changes in educational

programs and services. However, the Item does notaddress educational program and service design; youshould address these factors in Item 6.1, as appropriate


28/7622

N1.Your responses to this Item should include thestudent segments, stakeholder groups, and marketsegments identified in P.1b(2).

N2. Educational program, offering, and servicefeatures (3.1a[2]) refers to all important characteris-tics of programs, services, and offerings availablethroughout the period of time students attend yourorganization. This includes the period from studentsinitial decisions to enroll in your organization throughthe time of their departures. The focus should be onfeatures that affect students and stakeholders prefer-ences, general and special needs, and other require-

ments. These features might include curricular focus,

student placement following completion of the edu-cational goal or training objective, faculty and staffcomposition, extracurricular activities, or tuition andother associated costs.

N3. Listening and learning (3.1a[2]) might includegathering and integrating surveys, focus groupfindings, and Web-based and other data and informa-tion that bear upon students and stakeholderseducation decisions. Keeping your listening andlearning methods current with educational serviceneeds and directions (3.1a[3]) also might include useof current and new technology, such as Web-based

data gathering.


3 Student, Stakeholder, and Market Focus (85 pts.)

The Student, and Market Focus Category examines HOWyour organization determines requirements,expectations, and preferences of students, STAKEHOLDERS, and markets. Also examined is HOWyour organization buildsrelationships with students and STAKEHOLDERS and determines the KEY factors that attract students and PARTNERS and leadto student and STAKEHOLDER satisfaction, loyalty, and PERSISTENCE and to increased educational services and programs.

3.1 Student, Stakeholder, and Market Knowledge (40 pts.) Approach-Deployment

Describe HOWyour organization determines requirements, expectations, and preferences of students,STAKEHOLDERS, and markets to ensure the continuing relevance of your educational programs, offerings, andservices; to develop new opportunities; and to crea

Documents

2003 Education Criteria