EXCELLENCE IN HIGHER EDUCATION WORKBOOK AND SCORING GUIDE
EXCELLENCE IN HIGHER EDUCATION WORKBOOKAND SCORING GUIDEdeveloped by Brent D. Ruben, Ph.D.Self-assessment leads to stronger performance in our nation’s colleges and universities. That’s the premise ofExcellence in Higher Education, a model self-assessment program that has earned accolades from the highereducation community. More than 100 academic and administrative departments at California-Berkeley, MiamiEXCELLENCE IN HIGHER EDUCATIONLead Your College or University to Higher Performance.of Ohio, MIT, Penn State, Rutgers, Texas A&M, Toledo, and Wisconsin-Madison, and 35 other colleges anduniversities have implemented the EHE model to advance their institutions.Based on the Malcolm Baldrige National Quality Award framework, the fourth edition of this bestseller is thedefinitive tool for college and university administrators in defining mission, assessing stakeholders, measuringoutcomes, gauging performance against other institutions, and ensuring continuous improvement. The new EHEprovides a framework that integrates the Baldrige criteria with the standards and language developed and usedThe flexibility of the EHE model makes it appropriate for use with administrative or academic departments, withadministrative or faculty councils or senates, and with programs, centers, or institutes. Moreover, the frameworkcan be used by an entire college or university, or with a particular department, division, or campus.The EHE program includes everything you need to conduct a self-assessment workshop. The book providesfacilitators with a solid understanding of the EHE model, providing detailed guidance in each of seven areas: leadershipWORKBOOK AND SCORING GUIDEby accrediting associations.Excellence inHigher EducationWorkbook andScoring GuideBRENT D. RUBEN, PH.D. strategic planning beneficiaries and constituenciesAn Integrated Approach to Assessment, Planning, programs and services faculty, staff, and workplaceand Improvement in Colleges and Universities assessment and information use outcomes and achievementsThe Workbook and Scoring Guide and Facilitator's Guide CD-ROM both include generously illustratedPowerPoint presentations for use in facilitating workshops. The scoring guidelines will help you interpret resultsand gauge your institution’s performance.NACUBOISBN 978-1-56972-041-7NC3086
Excellence inHigher EducationWorkbookandScoring InstructionsBRENT D. RUBEN, PH.D.An Integrated Approach to Assessment, Planning,and Improvement in Colleges and Universities
2007 by NACUBOAll rights reserved. No portion of this book may be reproduced or transmitted in any form or byany means, electronic or mechanical, including photocopying, recording, or by any informationstorage and retrieval system, without permission in writing from the publisher.National Association of College and University Business OfficersWashington, D.C.www.nacubo.orgPrinted in the United States of AmericaFor information on use of Excellence in Higher Education Workbook and Scoring Instructions: An Integrated Approach to Assessment, Planning, and Improvement in Colleges and Universities program ormaterials contact Dr. Brent D. Ruben, Executive Director, Center for Organizational Developmentand Leadership, Rutgers University, 57 U.S. 1, New Brunswick, NJ 08901-8554.ISBN 987-1-56972-042-4
ContentsWorkbook .5The Evaluation and Scoring Process . 134Forms and Guides . 139Form A. Percentage Rating Guide . 140Form B. Excellence in Higher Education Rating Sheet .141Form C. 3.0 Beneficiaries and Constituencies Scoring Form . .142Form D. 1.0 Leadership Scoring Form . .142Form E. 2.0 Purposes and Plans Scoring Form . .143Form F. 5.0 Faculty/Staff and Workplace Scoring Form . .143Form G. 6.0 Assessment and Information Use Scoring Form . 144Form H. 4.0 Programs and Services Scoring Form . .144Form I. 7.0 Outcomes and Achievements Scoring Form . .145Form J. Excellence in Higher Education Scoring Form . .146Contentsiii
Excellence in Higher EducationAn Integrated Approach to Assessment, Planning,and Improvement in Colleges and UniversitiesFacilitator’s GuideBrent Ruben, Ph.D.Rutgers UniversityCopyright 2007 NACUBO All rights reserved 1Workbook
Challenges Facing HigherEducation Institutions Meeting increasing demands with few new resources Responding meaningfully to external critiques Creating a shared sense of purpose and direction that unites faculty andstaff and bridges academic and administrative cultures Learning from the best practices of other educational institutions andorganizations in other sectors Developing enhanced leadership capability Responding proactively to accountability and performance measurementpressure Creating a culture of ongoing self-assessment, planning, and improvement Providing a guide to institutional effectiveness and excellence for leadersCopyright 2007 NACUBO All rights reserved 2 EXCELLENCE IN HIGHER EDUCATION
The Malcolm Baldrige Framework:A Systematic Method for Addressing Many ofHigher Education’s Challenges Baldrige National Quality Program initiated in 1987 by theNational Institute of Standards and Technology (PL 100-107)Named after Secretary of Commerce Malcolm Baldrige(served 1981 to 1987)Goals of the Baldrige National Quality Program: Identify criteria for organizational effectiveness Recognize leading organizations Promote the dissemination of effective practices Parallel programs in 40 statesVersions for health care and educationFor more information on the Baldrige National QualityProgram, see www.quality.nist.gov/.Copyright 2007 NACUBO All rights reserved 3Workbook
What Research Tells Us about theBaldrige Framework “Almost all of the national awards have used Baldrige as the benchmark Basically, criteria and award processes are either direct adaptations orminor modifications of the Baldrige Approach.” (Bell & Keys 1998, 6).“Companies that demonstrate their commitment to Baldrige core valuesand concepts generate solid returns that ultimately benefit shareholders.”(Rajan & Tamimi 1999, 42).“The evidence from this [modeling studies] research supports the generaltheory behind the MBNQA criteria.” (Wilson & Collier 2000, 379).“Results indicate that the theory is sound and [the framework] hasimproved since its inception.” (Flynn & Saladin 2001, 642).During the past decade (except in one year), the collected Baldrige awardwinners have outperformed—about 2 5 times better—than the Standard &Poor’s 500 index (Baldrige National Quality Program 2000).The Baldrige framework and core values provide a useful foundation foreducational planning and implementation (Belohlav, Cook & Heiser 2004).Research indicates that the Baldrige/Excellence in Higher Educationframework, when used as the basis of organizational self-assessmentprograms, broadens knowledge, clarifies strengths and priorities forimprovement, and motivates change (Ruben et al. 2006).Copyright 2007 NACUBO All rights reserved 4 EXCELLENCE IN HIGHER EDUCATION
Accreditation Processes and Standards “Accreditation is a process of external quality review used to scrutinize colleges, universities and educational programsfor quality assurance and quality improvement.”*Accrediting associations articulate standards of academicquality for colleges and universities as well as qualitystandards for the business, engineering, health care,education, and other specialized fields.Accreditation is conducted by associations recognized by theU.S. Department of Education or the Council for HigherEducation Accreditation.Goals of accreditation: Ensure qualityGain access to federal fundsEase transferEngender employer confidence*For more information on (and links to) accrediting standards, see the followingCouncil for Higher Education Accreditation Web sites:www.chea.org/ and www.chea.org/pdf/fact sheet 1 profile.pdf.Copyright 2007 NACUBO All rights reserved 5Workbook
Similarities between Baldrige and AccreditationBoth emphasize a broad definition of excellence;leadership and planning;clear, shared, and measurable goals;a focus on faculty, staff, students, and other externalconstituencies;systematic assessment of the effectiveness of the institutionor organization as a whole, as well as the effectiveness ofspecific programs, services, and other organizationalactivities and functions;comparisons with peers and leaders;a focus on outcomes; anditerative cycles of review, planning, and continuousimprovement.Copyright 2007 NACUBO All rights reserved 6 EXCELLENCE IN HIGHER EDUCATION
Common ThemesCopyright 2007 NACUBO All rights reserved 7Workbook
Excellence in Higher Education—An Integrated Framework Integrates the Baldrige and accreditation frameworks, language,and standardsIs appropriate for an entire institution and for departments,programs, centers, advisory councils, or governing groupsIs applicable to academic, student life, service, andadministrative organizationsProvides a method for systematic, high-level assessmentApplies accepted standards of organizational excellenceHighlights strengths and priorities for improvementCreates baseline measuresFacilitates comparisons with other organizationsProvides a framework for sharing effective practicesAsks questions; does not prescribe methods or strategiesBroadens participation in leadership and problem solvingCopyright 2007 NACUBO All rights reserved 8 EXCELLENCE IN HIGHER EDUCATION
Excellence in Higher Education:The Framework and CategoriesDimensions of Institutional Effectiveness 2.0PURPOSES &PLANS6.0ASSESSMENT &INFORMATION USE1.04.0PROGRAMS &SERVICESLEADERSHIP5.0FACULTY/STAFF &WORKPLACE7.0OUTCOMES &ACHIEVEMENTS3.0BENEFICIARIES &CONSTITUENCIESCopyright 2007 NACUBO All rights reserved 9Workbook
Excellence in Higher Education:Framework, Categories, and Point Structure2.0PURPOSES &PLANS85 pts.6.0ASSESSMENT &INFORMATION USE90 pts.4.01.0PROGRAMS &SERVICES85 pts.LEADERSHIP120 pts.5.0FACULTY/STAFF &WORKPLACE85 pts.7.0OUTCOMES &ACHIEVEMENTS450 pts.3.0BENEFICIARIES &CONSTITUENCIES85 pts.Total: 1,000Copyright 2007 NACUBO All rights reserved 1010EXCELLENCE IN HIGHER EDUCATION
The EHE Process15Complete Projects andReport ProgressAssess24Prioritize Areas forImprovement3ImplementProjectsPlan ImprovementProjectsCopyright 2007 NACUBO All rights reserved 11Workbook11
Steps in the EHE Self-Assessment Process3.0 Beneficiaries and Constituencies2.0 Purposes and Plans1.0 Leadership4.0 Programs and Services5.0 Faculty/Staff and Workplace6.0 Assessment and Information Use7.0 Outcomes and Achievements For each category: Review and discuss.Identify “strengths” and “areas for improvement.”Consider exemplary practices.Rate and score.Copyright 2007 NACUBO All rights reserved 1212EXCELLENCE IN HIGHER EDUCATION
Sample Profile1Leadership2Purposes& Plans34Beneficiaries & Programs &ServicesConstituencies567Faculty/Staff Assessment && Workplace Information UseOutcomes &AchievementsMost80Many60Few 0%Copyright 2007 NACUBO All rights reserved 13Workbook13
0.0 Overview: Program, Department, or InstitutionTopics to be Considered0.1Mission, Structure, PersonnelList and Describe: Organization being assessed (e.g., Is it aprogram, department, college, division, oran entire institution?) Purpose/mission of your organization Organizational and leadership structure Faculty and staff demographics Facilities Legal, regulatory, licensing, or accreditingenvironment Advisory bodies Recent assessments or reviews0.2Programs, Services, andConstituencies0.3Peers and ComparisonsList and Describe: Peers, competitors, leaders Stature or standing of yourprogram, department, college,division, or institution comparedwith peers and others Key factors influencing the rank,reputation, or standing of yourorganization0.4Challenges and OpportunitiesList and Describe:List and Describe: Major programs and/or services Challenges Groups and organizations benefiting from your Opportunitiesprograms and services Groups/organizations with which you collaborate or partnerCopyright 2007 NACUBO All rights reserved 1414EXCELLENCE IN HIGHER EDUCATION
Beneficiaries and Constituencies—Focusing on the Groups That Are Important to Your Work2.0PURPOSES &PLANS6.0ASSESSMENT &INFORMATION USE1.04.0PROGRAMS &SERVICESLEADERSHIP5.0FACULTY/STAFF &WORKPLACE7.0OUTCOMES &ACHIEVEMENTS3.0BENEFICIARIES &CONSTITUENCIESCopyright 2007 NACUBO All rights reserved 15Workbook15
Beneficiaries and Constituencies Aregroups and organizations that are not a formal part ofyour organization but are critical because: they benefit directly from programs, services, or activities youprovide; orthey influence, or are influenced by, the work of your program,department, or institution.Why all of these groups and organizations are important: Traditionally, higher education quality was defined primarilybased on the perspectives and standards of peers andprofessionals.More recently, increasing attention is also being devoted to theperspectives of students, alumni, employers, taxpayers, and thegeneral public, and to outcomes related to learning, satisfaction,reputation, and support.Copyright 2007 NACUBO All rights reserved 1616EXCELLENCE IN HIGHER EDUCATION
Who Are Your Beneficiaries andConstituencies?Any or all of the following: Those who benefit from your organization’s programs orservicesThose who influence, or are influenced by, your organizationor its programs or servicesThose who provide resources or expertise essential to yourorganization’s workThose who can choose to use or not use your programs orservicesThose who pay for your programs or servicesThose upon whom your organization’s existence dependsThose whose assessment of your performance and/orprograms or services translates into financial or moralsupport, or a lack thereofCopyright 2007 NACUBO All rights reserved 17Workbook17
3.0 Exercise What external groups or organizations* benefitfrom, influence, or are influenced by yourorganization or its programs or services?What methods do you use to assess the needs,expectations, perceptions, and/or satisfactionlevels of each of those groups?*Faculty and staff, and others employed by an institution areconsidered internal groups, and are the focus of Category 5. All othergroups and organizations should be considered in Category 3.Copyright 2007 NACUBO All rights reserved 1818EXCELLENCE IN HIGHER EDUCATION
Your Most Important Beneficiaries and Constituencies,and How You Monitor the Quality and Effectiveness ofYour Relationship with ThemBeneficiary and ConstituencyGroupMethods*Example: AlumniFive-Year SurveyCopyright 2007 NACUBO All rights reserved 19* You will also use this information in Category 6Workbook19
3.0 Beneficiaries and ConstituenciesTopics to be Considered (85 pts.)3.1Needs and Expectations3.2Relationship Enhancement(40 pts.)(45 pts.) Is there clarity and consensus as to thegroups that benefit, influence, or areinfluenced by your work? What systematic methods are in place todetermine the needs, expectations, andperceptions of each of these groups? Are the needs, expectations, andperceptions of the groups known? Are there strategies for determining theirfuture needs and expectations?Copyright 2007 NACUBO All rights reserved 2020EXCELLENCE IN HIGHER EDUCATION Are there methods for translatinginformation about needs, expectations,and experiences into improved practicesand procedures? Are effective communication processesand channels in place to addressbeneficiary and constituency needs? Are the important “front-line” contactsituations identified and emphasized? Are there procedures for routinelyhandling requests for special assistance,recommendations, and complaints andfor capturing themes for futureimprovement?
Strengths and Areas for Improvement in theBeneficiaries and Constituencies CategoryStrengths Areas for ImprovementCopyright 2007 NACUBO All rights reserved 21Workbook21
Strategies for Enhancing Relationships withBeneficiaries and Constituencies Identify groups for which you provide programs, services,materials, or resources.Use interviews, focus groups, surveys, liaisons, and othermethods to gain a clear understanding of the needs,perspectives, expectations, priorities, experiences, andsources of satisfaction and dissatisfaction of those groups.Analyze information about unmet needs and expectations,sources of dissatisfaction, and other gap areas.Do the following to address gaps: Improve programs and services.Use communication and education to negotiate new expectations.Blend the two strategies.Copyright 2007 NACUBO All rights reserved 2222EXCELLENCE IN HIGHER EDUCATION
Exemplary Practices . . .Beneficiaries and Constituencies Has a genuine commitment to improving the experiences of beneficiaryand constituency groupsDisplays an organization-wide service ethic, with a commitment toprofessionalism, courtesy, and responsiveness visible throughout theorganizationHas systematic approaches in place to learn about the needs,expectations, perceptions, and satisfaction (and dissatisfaction) levelsof all beneficiary and constituency groupsDisseminates information about beneficiary and constituency needs,expectations, and perceptions throughout the organization, using it toguide planning, day-to-day decision making, and improvementPuts emphasis on “front-line,” people-to-people encounters, enhancingcommunication, and building the organization’s reputation with campusand external groupsRoutinely responds to questions and special requestsViews suggestions and complaints as opportunities, not problemsIs widely recognized as a standard setter in building and maintainingstrong relationships with beneficiary and constituency groupsCopyright 2007 NACUBO All rights reserved 23Workbook23
The Rating ProcessApproach: Methods and strategiesImplementation: The way approaches are put into practice Are all aspects of the category addressed? To what extent are the approach and implementation efforts . . . Effective? Systematic? Integrated?(Nothing in Place) 0% Consistently applied? In place in all areas? Regularly reviewed and improved?50%Copyright 2007 NACUBO All rights reserved 2424EXCELLENCE IN HIGHER EDUCATION100% (The Best Anywhere)
Percentage Rating nOutcomes and Achievements A superior approach; systematically addressingall dimensions of the category/item. Fully implemented without significant weaknessor gaps in any area. Widely recognized leader in the category/item. Systematic approach and commitment toexcellence and continuous improvement fullyingrained in the organization and its culture. Exceptional, documented current andsustained outcomes and achievements relatedto leadership, purposes and plans,beneficiaries and constituencies, programsand services, faculty/staff and workplace,and measurement and information use. Clear and documented evidence that theinstitution, department, or program is a leaderboth in higher education and in general. A well-developed, systematic, tested, and refinedapproach in most areas, addressing mostdimensions of the category. A fact-based assessment and improvementprocess throughout most of the organizationwith few significant gaps. Innovative; recognized as a leader in thecategory/item. Clear evidence of excellence and continuousimprovement throughout most of theorganization and its culture. Favorable, documented current and sustained
The Baldrige framework and core values provide a useful foundation for educational planning and implementation (Belohlav, Cook & Heiser 2004). Research indicates that the Baldrige/Excellence in Higher Education framework, when used as the basis of organizational self-assessment programs, broadens knowledge, clarifies strengths and priorities for
The Council on Higher Education (CHE) is an independent body established by the Higher Education Act, No. 101 of 1997. The CHE is the Quality Council for Higher Education. It advises the Minister of Higher Education and Training on all higher education issues and is responsible for quality assurance and promotion through the Higher Education .
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RTU APPROACH TO PURSUING EXCELLENCE The principles defined in the EFQM Excellence Model and various higher education and quality standards are horizontally integrated with the stages of RTU Excellence Approach. These principles characterize the approach to pursuing excellence and sustainable development that organizations adopt5 (see Fig. 3).
Excellence in higher education guide : an integrated approach to assessment, planning, . Many thanks to my colleagues at Rutgers who have participated in the Excellence in Higher Edu . and yet as the Association of
Goal Setting & Action Workbook: A simple process that works! Find more about this workbook This workbook is a supplement to the post Get Your Free 2019 Weekly Planning and Goal Setting Guides and works hand-in-hand with the Weekly Planning Workbook. Guidance: Every magnificent accomplishment, discovery or transformation
5.1 Customizing Your SWMOR-Alt Workbook . To begin customizing your SWMOR -Alt workbook, refer to Chapter 1 for instructions on accessing and opening a blank copy of an MOR workbook. Save a blank copy of the workbook on your desktop. After you open the workbook, select [Enable Content
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Interactive Workbook. as a team to understand the nature of this tool. Decide how your team will use the. Interactive Workbook. Because the. Interactive Workbook. allows multiple team members to input plan information for a school EOP, your team will need to decide how to record plan information into the workbook. Will
