The
Accountability
Report
Supporting Excellence
in Higher Education
Presented by:
The State government Improvement Network
In Partnership with
The Office of the State budget
May 14, 2009
Presentation Overview
Part 1
 Accountability reporting requirement
 Changes to the 2009 Guidelines
 Standardizing the report
 Using the report
 Feedback reports and our observations
 Questions and Answers
Part 2
 Baldrige and the accountability report
 Key linkages
 Approaches to preparing the report
 The Organizational Performance and Accountability Team
(our function)
 Questions and Answers
Accountability
Reporting Requirements
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Sections 1-1-810 and 1-1-820 of the 1976 Code
of Laws state:
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Section 1-1-810. Each agency and department of
state government shall submit an annual
accountability report to the Governor and the General
Assembly covering a period from July first to June
thirtieth, unless otherwise directed by the specific
statute governing the department or
institution…(more)
Suspense Date: September 15, 2009
Accountability
Reporting Requirements
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Proviso 89-37 states:
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Agencies’ annual accountability reports
for the prior fiscal year, as required in
Section 1-1-810, must be accessible to
the Governor, Senate Finance
Committee, House Ways & Means
Committee, and to the public on or
before September 15….(more)
2009 Changes
Section III – Elements of the Malcolm
Baldrige Criteria as follows:
Category 2 – Note:
The Key Action Plan/Initiative(s) column
in the Strategic Planning Chart should
include your initiatives, and plans, and
timelines to accomplish the
goals/objectives for FY 08 – FY 09 and
beyond listed in the second column….
2009 Changes
Category 1 – Senior Leadership,
Governance, and Social Responsibility
Question 2: How do senior leaders create a
sustainable organization with a focus on action to
accomplish the organization’s mission, strategic
objectives…..
Additional Information:
The term “senior leadership” refers to an
organization’s senior management group or team. In
many organizations, senior leaders include the head
of the organization and his or her direct reports.
2009 Changes
Category 2 – Strategic Planning
Question 1d: human resources workforce
capabilities and needs
Note following Question 7: List your key
strategic objectives (goals), and your key
action plans/initiatives and timelines in the
Strategic Planning Chart.
2009 CHANGES
Category 3 – Student, Stakeholder, and
Market Focus
Question 6 (added): How does your student
and stakeholder complaint management
system ensure that complaints are resolved
promptly and effectively?
2009 Changes
Category 4 – Measurement, Analysis,
and Knowledge Management
New Question 5: How do you make needed
data and information available? How do
you make them accessible to your
workforce, students, and stakeholders?
Standardizing the Report
 Same
format between institutions of higher
education
 Same use of reference numbers
 Maximum recommended length of 50 pages
The desire is for all reports to have the “the same
look and feel” as the reports are reviewed and
used by individuals external to the organization
that prepared the report.
Addressing the Categories
Categories 1 – 6: Approach
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Effectiveness of methods and techniques to the criteria
requirements
Focus on continuous improvement
Degree to which approach used is systematic, integrated
and consistently applied
Categories 1 – 6: Deployment
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Degree and application of approach to all areas of the
organization
Degree and application of approach with all relevant
students, stakeholders, suppliers and the general public
Addressing the Categories
Category 7: Results
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Levels of past and current performance;
future projections
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Linkage to approach/deployment
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Rate/Speed/Breadth of performance
improvement
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Performance comparisons and
benchmarks
Use of Reference
Numbers
Responses Should Be Referenced to the
“Questions Asked”
Example 1: Category 2 – Strategic Planning
Use “2.1a” for Question 1a) What is your Strategic
Planning process, including key participants, and
how does it address your organization’s strengths
weaknesses, opportunities and threats?
Use of Reference Numbers
Example 2: Category 7 – Results
Use “7.1” for Question 1 (What are your
performance levels and trends for your key
measures on student learning and improvements
in student learning? How do your results
compare to those of your competitors and
comparable organizations?)
 To show a graph/chart, use “Fig. 7.1-1”
 If several charts are used to respond to one
question show the range.
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Ex: “7.1-1 through 7.1-3”
Use Report
for Self-Assessment
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Identify Strengths
Identify Opportunities for Improvement
- Prioritize
- Allocate Resources
- Monitor, Measure, and Manage
Our Observations
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Use of outdated Guidelines
Responses to questions do not answer the
question or are too vague
Limited or no comparative information presented
Limited or no response/action plans to “key
challenges” presented
Some action plans linked to strategic goals are
too general in nature to determine specific
targets and/or timelines
It’s OK to talk about future plans
Our Observations
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References made to surveys, but no data
presented
Survey results depicted appear to present
responses to only select survey questions
Too many Category 7 measures consisting of
“counts of things” or just “workload” related
Don’t ignore other operating locations
throughout the state
Shading on charts/use of colors difficult to
distinguish when printed in black and white
Our Observations
A couple of specific examples
Segmentation: The university has
segmented its student population by place
of origin (i.e. high school, state, country),
by major area of study, and by type of
program delivery and location (i.e.
attendance in residence, commuter, and
long distance learning).
Our Observations
Actions linked to the Strategic Plan:
While employee well-being is one of the
organization’s strategic goals, related
action plans and measures are not
evident. Without this information, it is not
clear how the organization addresses and
supports this strategic goal.
Questions & Answers
Part 2
to follow
Baldrige Criteria
An aligned, systematic approach for
conducting business that integrates and
focuses on:
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Leadership
Strategic Planning
Student, Stakeholder, and Market Focus
Measurement, Analysis, and Knowledge Management
Faculty and Staff Workforce Focus
Process Management
Organizational Performance Results
The Baldrige System
and the Accountability Report
MBNQA Background
Created in 1987
 Response to Global Competition
 Public Law 100-107
Malcolm Baldrige National Quality Awards
(MBNQA)
 To improve organizational performance practices
 To serve as a tool for understanding and
managing performance, planning and training
 To facilitate the sharing of best practices
 Administered by the National Institute for
Standards and Technology (NIST)
The Baldrige Program
“The Baldrige program has been described by
CEO’s as the most important catalyst for
transforming American business....and the
publication containing the Baldrige criteria
has been hailed as probably the most
influential document in the history of
American business!”
The Honorable Sherwood Boehlert (R-NY)
Chairman, House Science Committee
Why Use
the Baldrige Criteria?
(Higher Education)
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To improve student achievement
To improve faculty and staff satisfaction
To achieve strategic goals
To align resources to goals
To improve productivity, efficiency, and effectiveness
To reduce costs – improve revenues
To improve market share
To measure performance
To meet/exceed legal, regulatory, and accreditation
requirements
Past Baldrige Winners
Higher Education
2005 Richland College - Dallas, Texas
2004 Monfort College of Business,
University of Colorado – Greeley,
Colorado
2001 University of Wisconsin (Stout) –
Menomonie, Wisconsin
Application and Linkages
in SC State Government
 Agency Accountability Report
Addresses all 7 Baldrige categories
Baldrige “light” version
 Budget Request Process
Linked to Accountability Report
 Agency Head Salary Review Commission
Linked to “Performance Excellence” (Baldrige Criteria)
 Organizational Self Assessment Tool
report for continuous improvement
Use
KEY LINKAGES
Many questions are connected (linked) to other
questions in the same or other Categories and
the Organizational Profile. These questions,
taken together, provide a holistic description of
the organization’s:
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Effectiveness of key processes and degree of
organizational deployment
Integration of key processes
Evidence of continuous learning/improvement
Degree of process management, leading to
improving performance/results/outcomes
Overall effectiveness (systems approach to
conducting business)
KEY LINKAGES
Example 1: Category 2 – Strategic Planning
Key linkages to:
 Strategic Challenges (Executive Summary)
 Senior leadership direction, participation,
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communication, review process (Cat. 1)
Targeting students and stakeholders, and their
requirements (Cat.3)
Process for measuring/monitoring/managing
performance (Cat. 4)
Workforce performance management system/HR
goals (Cat.5)
Improvement approaches/methodologies (Cat. 6)
Key performance results (Cat. 7)
KEY LINKAGES
Example 2: Category 4 – Measurement, Analysis, and
Knowledge Management
Key linkages to:
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Senior management direction setting/key measures
determination and review process (Cat.1)
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Tracking targets for strategic goals, strategies and action
plans/deployment of measures (Cat. 2; all others)
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Maintaining organizational/workforce knowledge (Cat.5)
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Determination process for improving key processes
( Cat. 6)
Reporting of key results (Cat. 7)
Organizational Performance - Linkages
(Accountability Report)
Strategic Plan
EPMS
Training Plan
Category 7 Example
On-Time Payables
Processing (%)
Current Level/Trend/Benchmarks
100
95
Agency A
90
Overall Organization
85
Industry Standard
80
Agency B
75
70
2003
2004
2005
Year
2006
2007
MOnfort College
Cat. 7.1 – Student Learning Results
Richland College
Cat 7.1 – Student Learning Results
PREPARING THE REPORT
Some Suggestions:
Data/information collection
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Start early
Use multiple approaches for collecting data/information
 Use other internal reports (last year’s AR report,
budget request documents, strategic plan, misc. other
reports)
 Distribute prior year’s AR to each Division (highlight
prior year’s data submitted)
 Review AR’s from other agencies
 Conduct internal surveys
 Conduct external research for benchmarking
information
PREPARING THE REPORT
Some Suggestions:
Writing the AR
 Coordinate, coordinate, coordinate
 Include management and those who provided
key inputs
 Use feedback to help make revisions
 Work with organization’s CFO (relating to
financial performance and completion of
expenditures/appropriations chart)
 Consult with executive/senior management often
PREPARING THE REPORT
Additional thoughts and ideas:
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Use single person writing style
Consider linkages
Find expert on constructing charts
Find good proofreader/editor
Person who has overall responsibility for AR needs
to be kept informed on organization’s plans and
key activities; attend key business meetings
Use AR preparation process as a training tool and
organizational improvement tool
Capture “lessons learned” after report submission
……and use them to drive improvement
Key Recommendations
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Have a plan
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Start early
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Have a strategic plan
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Agree on key measures
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Make report a living document
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Active participation by management
The
Accountability Report
NOT JUST ANOTHER
REPORT!
(the potential is too great)
WHAT WE DO
The Organizational Performance
and Accountability Team
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Provide feedback on Accountability Reports
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Key Strengths
Key Opportunities for Improvements
General Comments
Provide consulting services
Provide training on organizational improvement
topics
Provide information to the Ways and Means Staff
For Additional
Information
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Office of the State Budget
www.budget.sc.gov/OSB-forms.phtm
Suzie Rast (734 – 0647)
srast@budget.sc.gov
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Garry Monjo (734 – 0919)
gmonjo@budget.sc.gov
SC State Government Improvement Network
www.scsgin.org
Baldrige National Quality Program
www.quality.nist.gov
Questions
and
Answers