The Promise Of Baldrige For K-12 Education
The Promise of Baldrigefor K–12 EducationACT POLICY REPORTMARYBETH WALPOLERICHARD J. NOETH
THE PROMISE OF BALDRIGEFOR K–12 EDUCATIONACT Policy ReportMaryBeth WalpoleRichard J. Noeth
2002 by ACT, Inc. All rights reserved.IC 0508020302910
CONTENTSACT Policy Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ivPreface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vExecutive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vi1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 The Quality Movement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Education and Baldrige . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 Implementing TQM and Baldrige Strategies in Schools . . . . . . . . . . . . . 105 Baldrige Multiple Institution Studies . . . . . . . . . . . . . . . . . . . . . . . . . . 156 Recent Large-Scale Baldrige Efforts. . . . . . . . . . . . . . . . . . . . . . . . . . . 177 A Model with Promise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Bibliography. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
ACT POLICY RESEARCHPolicy Research Advisory PanelJohn C. BarnhillDirector of AdmissionsFlorida State UniversitySuellen K. ReedSuperintendent of Public InstructionIndiana Department of EducationJulie D. BellProgram Director of EducationNational Conferenceof State LegislaturesCarolynn Reid-WallacePresidentFisk UniversityDon W. BrownCommissioner of Higher EducationTexas Higher EducationCoordinating BoardAntonio R. FloresPresidentHispanic Association ofColleges and UniversitiesPatricia M. McDonoughAssociate ProfessorUCLA Graduate School of EducationJohn H. StevensExecutive DirectorTexas Business andEducation CoalitionGerald N. TirozziExecutive DirectorNational Association ofSecondary School PrincipalsMolly J. TovarChief Operating OfficerAmerican Indian Graduate CenterOffice of Policy Research StaffivRichard J. NoethDirectorGeorge L. WimberlyResearch AssociateSusan C. LoomisSenior Research AssociateBraden J. P. RoodAdministrative Assistant
PREFACEThe stated mission of the ACT Office of Policy Research is to inform policymakers and the general public on important issues in education by providingtimely information that can directly enhance knowledge, dialogue, anddecision making. The current ACT Policy Research Agenda focuses on fourspecific areas: Developing the Applicant Pool Increasing Diversity in College Remedial Education in College Retention in CollegeACT policy reports can also be viewed and printed from ACT’s website(www.act.org). For additional information about ACT’s policy research work,copies of ACT policy studies, or to contact the ACT Office of Policy Researchstaff, please e-mail us at policy@act.org.This study, The Promise of Baldrige for K–12 Education, was completed aspart of the ACT Awards Program. Quality Education New Jersey and AsburyPark High School (NJ) had applied for an ACT Award for the 2001–02 cycleby requesting a “what works” review of what was known about applicationsof the Baldrige criteria to K–12 education. Asbury Park High School wasbeginning to use the Baldrige Model as part of its educational reform initiativeand wanted to learn how others had applied the model, how to developbenchmarks, and what some of the effects of Baldrige applications had beenin other settings. Professor MaryBeth Walpole of the Department ofEducational Leadership at Rowan University in Glassboro, New Jersey,was commissioned by ACT to lead this “what works” review.This study and resulting policy report have greatly benefited from thecontributions of many individuals. Several external-to-ACT educators providedconsiderable help in formulating the study and reviewing draft manuscripts.These individuals include: Robert Cooper (UCLA), Robert Dalton (IndianaDepartment of Education), Joseph Tomaselli (Quality Education New Jersey),and Cheryl Wild (Wild & Associates). The ACT Policy Research AdvisoryPanel provided recommendations about the formulation of the study andreviews of draft manuscripts.Numerous ACT staff members were involved in various stages of the study.The following ACT staff provided help on study formulation and/ormanuscript review: Donald Carstensen, Patricia Farrant, Richard Ferguson,Julie Noble, Wayne Patience, Nancy Peterson, Rose Rennekamp, RichardSawyer, Cynthia Schmeiser, Vicki Vernon, and Ann York. Christina Aicher,Kathleen Lynch, Jacqueline Snider, Peggy Weih, and Andrew Welch providedassistance in manuscript preparation and bibliographic review.We are grateful for the assistance and support of the aforementionedindividuals but accept sole responsibility for any errors of omission orcommission.MaryBeth WalpoleRichard J. Noethv
EXECUTIVE SUMMARYIn 1983, A Nation at Risk reported that American students were failing tolearn critical knowledge and skills at all levels of the educational system andwere being surpassed by students in every other industrial nation. Since thislandmark study, a significant number of educational efforts to raise studentachievement have been initiated. However, few of these reform strategieshave been successful and American school children continue to lag behindmuch of the world in educational achievement.Although not without controversy, efforts focused on improving qualityprocesses based upon the Malcolm Baldrige Education Criteria forPerformance Excellence may hold promise for fundamentally improvingK–12 education. The Baldrige criteria address many issues other failededucational efforts have not—including leadership, systems thinking, changesin school culture, and data-driven decision making. This report examines theinformation available on improving school quality through implementationof the Baldrige criteria. It is intended to provide useful information about thecurrent state of Baldrige applications and to make specific recommendationsregarding potential Baldrige K–12 implementation, evaluation, and research.The quality movement in the United States began in the 1970s as Americanindustry began losing ground to international competitors. When Japan beganto challenge American manufacturing superiority in the 1970s, Americansbegan to investigate how Japanese production and management methodscould prove useful in this country. As business leaders were re-engineeringcorporate structures and focusing on high quality processes, the quality ofAmerican education was coming under increasing fire. Given the publicity thegrowing quality movement in industry was receiving, political, business, andeducation leaders began investigating the application of quality principlesto education. They focused on school core operating processes, includingteaching, learning, administration, operations, and personnel. The NationalMalcolm Baldrige Education Criteria for Performance Excellence werepiloted, and education was adopted as a category for the Malcolm BaldrigeNational Quality Award.The Baldrige Education Criteria for Performance Excellence embodyeleven core values, from which all methods, criteria, and measures in anyimplementation derive: 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 Public Responsibility and Citizenship Focus on Results and Creating Value Systems Perspectivevi
Evolving from these eleven core values are seven categories that schools anddistricts can use for self-assessments, Baldrige criteria implementations, andBaldrige applications: Leadership Strategic Planning Student, Stakeholder, and Market Focus Information and Analysis Faculty and Staff Focus Core Process Management Organizational Performance ResultsDespite the myriad interpretations and models, there are few empirical studiesof the outcomes of Baldrige improvement implementations. Many publishedTQM (Total Quality Management) and Baldrige articles, which often describea single school or district implementation and some of the results theseimplementations have achieved, include surprisingly little detail.One large user survey focused on the implementation of TQM across58 districts in 25 states. Some schools reported significant change as a resultof improving the quality of processes. One district that examined its highschool student attendance process reported an increase in attendance ratefrom 86% to 92%. An urban high school, with more than half of its studentsliving in poverty and single-parent homes, reduced class cutting by almost40% and the number of failing students from 151 to 11. The same schoolreduced its dropout rate from almost 13% to 2%. These results wereaccomplished through a series of steps that included identifying causes,keeping statistical records, implementing student and parent contracts,and incorporating lunchtime peer tutoring.Many Baldrige schools described implementation strategies that focusedon improvements of core processes with a long-term outlook. Training wascritical, as was the use of teams. The schools that focused on Baldrige oftenhighlighted the significance of planning. Forming partnerships with businessesusing Baldrige provided many schools with resources, such as facilities,access to technology, and knowledge of quality principles and quality tools.Partnerships have also assisted schools with Baldrige training initiatives.One Illinois school district saw benefits from implementing Baldrige andpartnered with Motorola to focus on improvement. Motorola was the firstBaldrige Award winner and provided knowledge and assistance in the district’simplementation. Sixty-nine percent of the district’s subject-area and grade-levelscores increased on the state achievement test, English as a second languagetest scores increased, the number of worker compensation claims and studentand staff accident reports dropped, and library book circulation doubled.New Jersey formed a statewide consortium to improve education throughimplementing the Baldrige criteria. The consortium encouraged a businesspartnership model to provide knowledge and training in quality improvements,and sponsored state-level training workshops for districts focused onimplementing the Baldrige criteria. Several districts in the consortiumvii
increased student achievement after implementing Baldrige criteria. Onedistrict narrowed the gap between scores of African American and whitestudents on statewide fourth-grade language arts tests from 41% to 9%.The two 2001 winners of the Malcolm Baldrige National Quality Award inEducation were Pearl River School District in New York and Chugach SchoolDistrict in Alaska. Pearl River achieved a 23% gain in students graduating witha New York State Regents diploma, dramatically increased the percentage ofstudents taking AP courses, and improved the percentage of students passingthe AP Examinations by 42%. The Chugach District increased its achievementtest scores in all areas, student use of the Internet increased from 5% to 93%(critically important given the district’s geographical challenges), and 70% ofthe seniors took college admissions tests, a dramatic increase from 1998 whenno students took the exams.Two notable studies attempted to investigate process change across multipleinstitutions. Both included urban, suburban, and rural districts of diversesizes. One examined leadership processes in districts strictly focused onimplementing Baldrige; the other considered quality implementation morebroadly by focusing on those districts committed to quality improvements.The 30 districts in the first study had been working on implementing theBaldrige criteria for an average of 3.6 years, with 87% beginning their effortsat the district level. The majority of districts received training in continuousimprovement principles, and leadership teams of administrators, teachers,and support staff focused on the implementation. The study noted that akey weakness was the failure of schools to provide evidence of actual coreprocess change, high performance levels, positive trend data, and relatedschool comparisons. While this report provides much needed informationon implementations in multiple districts, much more definition andsubstantiation are needed.The second study focused on ten high schools over four years, usingboth quantitative and qualitative methods. Finding that state-mandatedassessments often prompted a focus on quality, it concluded that such testscan complement a focus on improving the quality of school processes.Overall, the data showed a low to moderate level of implementation byteachers. However, teachers spoke of improving the quality of processes as atask separate from their teaching. When improvement efforts were made inclassrooms, teachers often focused on discipline and classroom managementprocesses rather than on improved teaching and learning. Moreover, districtscollected substantial data on many of their core processes, which should havebeen used to guide decision making. Yet, because little systematic analysis andreporting of those data occurred, teachers reported making decisions basedon intuition, not data.Following the establishment of the Baldrige Award for Business, Baldrigebegan to transfer to education in two ways: (1) some districts began totranslate and apply the criteria and (2) states began to include educationalinstitutions in the eligibility for state quality awards based on the criteria.viii
States have involved schools in Baldrige in different ways. New Mexico,Tennessee, North Carolina, New York, Florida, and New Jersey have providedstatewide support and specific initiatives encouraging the use of Baldrige inschools. North Carolina’s partnerships with businesses encouraging Baldrigeimplementation in schools have incorporated 45 districts and 70% of studentsstatewide. New Jersey’s statewide consortium has encouraged Baldrige criteriaimplementation. New Mexico and Tennessee have generated interest inBaldrige by creating multi-tiered state level awards.Both New Jersey and North Carolina have encouraged partnerships betweenbusinesses and schools to assist with a Baldrige adoption. Businesses havetrained school personnel in quality management principles and tools, and haveoften provided resources such as materials, facilities, and technology. NewJersey and New Mexico have offered training sponsored by the state qualityorganization. These sessions can be advantageous as they offer ongoingtraining specific to education and educational issues and can lend assistancewith state level applications.New Mexico, North Carolina, and Michigan have distributed guides and kitsthat assist and encourage schools embarking on an implementation. Severalstates, including Florida, New Jersey, and Arizona, have sponsored statewidequality conferences that give schools and districts the opportunity to formnetworks and learn from others’ efforts and successes.Many states and organizations have encouraged districts and schools to adoptBaldrige. Illinois, Indiana, Maryland, New Mexico, Ohio, and Texas are partof the Baldrige in Education Initiative (BiE IN). This national initiative seeksto improve educational management and student achievement by acceleratingthe adoption of Baldrige. Its goals include (1) forging a national leadershipinfrastructure of key business and education organizations to align educationalreform policies and successful practice and (2) helping states and communitiesto use Baldrige to lead and sustain long-term improvement efforts.Detailed information and comprehensive data are the keys to fulfilling thepromise of Baldrige. Although some information and data are now available,much more are required. As the literature reviewed for this report reveals,implementing Baldrige successfully involves a long-term perspective and afocus on changing core processes, especially teaching and learning. Trainingin Baldrige concepts and utilizing quality tools are essential, as is workingtogether in diverse and dedicated teams toward common objectives.Leadership, particularly the principal’s role, is crucial for success.Successful implementations are not easy to achieve. Educators have found thatutilizing accumulated data in decision making is difficult. Efforts to actuallychange the teaching-learning process are arduous and often unsuccessful.Information about the effects of Baldrige implementation is limited. Verylittle empirical data exist that detail how, why, or in which contexts animplementation can succeed. Although training is considered critical, fewspecifics regarding training are provided. Outcomes and results are oftenreported with insufficient detail about what specifically changed and howoutcomes were achieved.ix
Although often anecdotal, the results reported for projects that focus onquality improvements, TQM, and Baldrige are intriguing. However, theseresults are often provided with little explanation of how the informationwas generated and with little context for the actual implementation of coreprocesses in the school or district. Given these findings and conclusions,there appear to be several recommendations for educators, policymakers,and researchers to consider.Educators. There is clearly the need for more information and data regardingthe efficacy of implementing Baldrige in K–12 education. Until suchinformation and data are available, there may be value in involving districtsand schools in Baldrige on an introductory or perhaps pilot level. Onesuggestion is: The eleven core values for the 2002 Education Criteria for PerformanceExcellence and the seven categories for education offer a useful paradigmto analyze, evaluate, and consider as the basis for the essential elementsof school reform.Policymakers. While difficult and complex, educational problems are notunsolvable, and the Baldrige Model offers policymakers and legislators severalopportunities for consideration. For example: As an information-based model that focuses on numerous educationalprocesses, Baldrige is compatible with many assessments, including thosethat are state and federally mandated.Researchers. As outcomes are difficult to measure, focusing on core processchange and improvement and linking those processes to outcomes is moremanageable. One essential issue is: Empirical studies of Baldrige substantiating the available anecdotal reportsare needed to legitimize the reported changes in performance, dropoutrates, and other areas.x
1INTRODUCTIONIn 1983, A Nation at Risk (National Commission on Excellence in Education)reported that American students were failing to learn critical knowledge andskills at all levels of the educational system and were being surpassed bystudents in every other industrial nation. These findings drastically changedAmerican attitudes toward education. Worry and demands for change andimprovement replaced complacency and confidence in the nation’seducational system.Since this landmark study, a significant number of educational efforts to raisestudent achievement have been initiated in the United States. Although oftenpopular, few of these reform strategies have been successful and Americanschool children continue to lag behind much of the world in educationalachievement (Glasser, 1998; National Research Council, 1999; NationalScience Board, 1998; Sarason, 1990).There is a likely range of reasons for thefailure of educational reform sinceA Nation at Risk was published. Manyattempted reforms have focused onoutcomes, accountability, and local control,including site-based management, outcomesbased administration, charter schools, andprivatization. More recently
Malcolm Baldrige Education Criteria for Performance Excellence were piloted, and education was adopted as a category for the Malcolm Baldrige National Quality Award. The Baldrige Education Criteria for Performance Excellence embody eleven core values, from which all methods, criteria, and me
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