Baldrige Education:
Sample Organizational Self-assessment

By Mark L. Blazey, Ed.D.

Version 2000.1 Bald-short-0-6

No part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording, or by any information storage and retrieval systems, without permission in writing from Quantum Performance Group, Inc. Inquires should be addressed to:

Quantum Performance Group, Inc
3336 Fallbrook Park,
Canandaigua, New York 14424.

Published by Quantum Performance Group, Inc. in the United States of America

ISBN: 0-9657708-4-2

This organizational assessment instrument/workbook is based on the Malcolm Baldrige National Quality Award Criteria for Performance Excellence. The author wishes to recognize the hard work and dedication of the entire Award Office staff led by Dr. Harry Hertz. Their efforts are making a significant difference in the quality of life and business competitiveness in the United States.

Customized Demographic Profile

Each participating organization completes a customized Demographic Profile (a generic sample follows). In this way, survey data can be analyzed by these variables to help pin-point specific areas needing improvement. This allows the extent of use (deployment) of management systems to be examined.

Please circle one selection from EACH column below to indicate your position within the organization.

Position	Location	Function	Years of Service
Administrator Teacher /Instructor Support Staff Clerical Staff Contractual Staff	Primary Elementary Secondary Main Campus Branch Campus Central Office	Human Resources Finance Info Technology Math Science Language Arts Other	0 < 1 1 < 3 3 < 5 5 < 10 10+

The Performance Improvement Assessment is a confidential assessment. Do not write your own name or other personally identifiable information on this questionnaire. We will compile performance information feedback results. This assessment will be used to help evaluate the progress of your organization toward developing high performance systems.

Please return the completed survey to:

stop sign National Council for Performance Excellence
480 Hercules Drive
Colchester, VT 05446

If you have any questions please call Laurie Emerson at (802) 655-1922.

Do not proceed until you have CIRCLED THE APPROPRIATE SELECTIONS ABOVE.

Baldrige In-Depth for Education Instructions

This survey consists of 57 themes or questions that relate to the 2004 Baldrige Performance Excellence Criteria. It is organized into seven ?sections,? one for each of the seven Performance Excellence Criteria Categories.

To the best of your knowledge, select a rating (1 to 6) that describes the level of development in your organization. Note that all of the elements of a statement must be true before you can select that level. If one or more is not true, you must go to a lower level. After you have selected the rating level, please enter the value in the empty box to the right of the row of statements.
Accuracy Tip: The rating scale involves your assessment about the extent of use of the required management processes. The following definitions should help you rate this consistently:

Few less than 15%
Some 15% to less than 30%
Many 30% to less than 50%
Most 50% to less than 80%
Nearly All 80% to less than 99%
All 100%

F¸ Time Saving Tip: Start reading at level 3. If all parts of the statement are true, go to level 4, if not, drop back to read level 2. After a few answers, save even more time by starting at the number you select most often. Don?t waste time by reading from row 1 each time (unless most of your answers are 1).

If you do not know an answer, enter NA (Not Applicable/Does Not Apply) or ? (Don?t Know). If you are unsure of the meaning of a word or phrase, please check the glossary at the end of this booklet.

After all statements in each category have been rated, you will be directed to identify two areas you believe are the most important to improve in your organization now. Then, go back to the space below each row of statements you identified as vital to improve and describe briefly the activities your organization conducts that relate to the topic. Also, please suggest steps that your organization or its leaders could take to improve the processes. Your thoughtful comments are as helpful as the rating itself. If you want to comment on more themes, please do so.
Continue in the same way to complete all seven categories.

Summary of Category 1: Leadership

This category contains 10 themes.

The first part (seven questions 1A through 1G) looks at how senior leaders guide the organization by setting directions and monitoring performance to help assure the long-term success of the organization. Senior leaders should express clear values and set high performance expectations that address the needs of all stakeholders. In addition, an effective governance structure must be in place to ensure management accountability and the protection of stakeholder interests.

You are asked to comment on the extent to which senior leaders set directions, communicate, and deploy values and performance expectations, and take into account the expectations of students and other stakeholders. This includes how leaders create an environment for empowerment, innovation, safety, equity for all students, and organizational agility.
You are asked how the organizational governance structure ensures accountability for fiscal and management integrity as well as the protection of stakeholder interests.
You also are asked how senior leaders review organizational performance, what key performance measures they regularly review, and how review findings are used to drive improvement and change, including improving leaders? effectiveness.

The second part (three questions 1H through 1J) looks at how well the organization meets its responsibilities to the public, ensures ethical behavior, and practices good citizenship.

You are asked how the organization addresses current and future impacts on society in a proactive manner and how it ensures ethical educational service practices in all student and stakeholder interactions. The impacts and practices are expected to cover all relevant and important areas ? programs, offerings, services, and operations.
You also are asked how the organization, senior leaders, and faculty and staff identify, support, and strengthen key communities as part of good citizenship practices.

1A	Communicating Values and Performance Expectations [Baldrige ref: 1.1a(1)] How well do leaders communicate values, performance goals, and clear expectations throughout the organization in their words and actions?
1 Not Evident		2 Beginning	3 Basically Effective	4 Mature	5 Advanced	6 Role Model	Level
Top-level leaders do not systematically communicate values, directions, or expectations for the organization. Leaders react to problems and no consistency is evident.		A few leaders have started to communicate values, directions, and expectations to the top levels of the organization. The process is not very effective since it is not used widely in the organization. The process is not evaluated to see how it could be improved.	Some leaders effectively communicate values, directions, and expectations through a few written notes or memos and large group meetings. Their actions sometimes match their words. They are starting to gather data about the effectiveness of some of these processes.	Many leaders effectively communicate values, directions, and performance expectations in many ways. Their actions usually match their words. They sometimes check to see if their messages are understood. They gather data to evaluate the effectiveness of these processes but do not usually use the information to make improvements.	Most leaders effectively communicate values, short- and long-term directions, and performance expectations in many ways. Their actions usually match their words. They regularly check to see if their messages are understood and sometimes improve communications as a result. Some sharing of effective practices within the organization is done.	Nearly all leaders effectively communicate values, short- and long-term directions, and performance expectations in many ways. They live by these values and their actions nearly always match their words. They promote two-way communication with faculty and staff and regularly check to see if their messages are understood and consistently improve communications as a result. They routinely innovate and share the best practices across the organization.
Comments: Describe how the leaders communicate goals and set performance expectations. Are the performance expectations tied to strategic objectives? How widely are they understood? Describe improvements to the communication process, if any. Suggest ways to improve this process.

1B	Leadership Commitment to Providing Maximum Value for Students and Other Stakeholders[Baldrige ref: 1.1a(1)] How serious are top leaders about providing maximum value to students and stakeholders? Do they make it clear that producing value for all students and stakeholders is critical for success?
1 Not Evident		2 Beginning	3 Basically Effective	4 Mature	5 Advanced	6 Role Model	Level
Leaders focus on short-term educational service issues, not on value for students and other stakeholders. Leaders react to problems and no consistency is evident.		A few leaders are just beginning to focus on value for students and other stakeholders. The process is not very effective since it is not used widely in the organization. The process is not evaluated to see how it could be improved.	Some leaders effectively focus occasionally on value for students and other stakeholders through their written and verbal communication. They are starting to gather data about the effectiveness of some of these processes.	Many leaders and supervisors effectively focus on providing maximum value to many student and other stakeholder groups. They sometimes check on the effectiveness of these activities but do not usually use the information to make improvements.	Most leaders and supervisors effectively focus on providing maximum value to most types of students and stakeholders. They regularly check on the effectiveness of student and stakeholder activities. They sometimes make improvements. Some sharing of effective practices within the organization is done.	Nearly all leaders and supervisors effectively focus on providing maximum value to all types of students and stakeholders. They regularly check on the effectiveness of student and stakeholder activities. They make ongoing improvements. They routinely innovate and share the best practices across the organization.
Comments: Describe how the leaders commit to providing and balancing value to their many different types of students and stakeholders. How widely is this done? Describe improvements to this process, if any. Suggest ways to improve this process.

1C	Empowering Faculty and Staff and Establishing a Climate for Empowerment, Innovation, Learning, Equity for All Students, Organizational Agility, and Ethical Behavior [Baldrige ref: 1.1a(2)] To what extent are leaders and supervisors committed to faculty and staff empowerment, innovation, learning, equity, organizational agility and ethical behavior? Do they encourage faculty and staff to make decisions about their work and promote legal and ethical behavior?
1 Not Evident		2 Beginning	3 Basically Effective	4 Mature	5 Advanced	6 Role Model	Level
Top leaders do not value innovation and learning. Leaders do not encourage faculty and staff to make decisions about their work. Leaders react to problems and no consistency is evident.		A few top leaders talk about the importance of learning and innovation. A few of these leaders encourage faculty and staff to make decisions about their work. The process is not very effective since it is not used widely in the organization. The process is not evaluated to see how it could be improved.	Some top leaders and supervisors effectively encourage their faculty and staff to make decisions about their work and encourage learning and innovation. They are starting to gather data about the effectiveness of some of these processes.	Many top leaders and supervisors effectively encourage faculty and staff to make decisions about their work and encourage learning and innovation. These leaders work to reduce ?red tape? and improve organizational responsiveness. They sometimes check to see if efforts are effective but do not usually use the information to make improvements.	Most top leaders and supervisors effectively encourage faculty and staff to make decisions about their work and encourage learning and innovation. These leaders work to reduce ?red tape? and improve organizational flexibility or agility. They regularly check to see if their efforts are effective and they sometimes make improvements as a result. Some sharing of effective practices within the organization is done.	Nearly all top leaders and supervisors effectively encourage faculty and staff to make decisions about their work and encourage learning and innovation. These leaders work to reduce ?red tape? and improve organizational flexibility and agility. They also create an environment that requires legal and ethical behavior. They regularly check to see if their efforts are effective and they make ongoing improvements as a result. They routinely innovate and share the best practices across the organization.
Comments: Describe how the leaders commit to faculty and staff empowerment, innovation, learning, equity for all students, organizational agility, and ethical behavior. How widely is this done? Describe improvements to this process, if any. Suggest ways to improve this process.

1D	Ensuring Management Accountability To Protect Stakeholder Interests through Effective Governance [Baldrige ref: 1.1b] How well does the governing board ensure management is held accountable for the organization?s actions and stakeholder interests are protected?
1 Not Evident		2 Beginning	3 Basically Effective	4 Mature	5 Advanced	6 Role Model	Level
The organization?s governing board is not well informed or systematically involved in important fiscal and management matters. They are a rubber stamp for management. Leaders react to problems and no consistency is evident.		The governing board is beginning to hold management accountable for the organization?s actions in areas of fiscal accountability. The process is not very effective since it is not used widely in the organization. The process is not evaluated to see how it could be improved.	The governing board is involved in occasional reviews to hold management accountable for the organization?s actions and protect stakeholder interests against serious problems. They are starting to gather data about the effectiveness of some of these processes.	The governing board systematically holds management accountable for the organization?s actions. The governance structure also ensures the protection of shareholder interests. The board sometimes checks the effectiveness of their governance processes but does not usually use the information to make improvements.	The governing board has effective processes in place to ensure fiscal and management accountability. Independent audits provide accurate information to help ensure stakeholder interests are protected. The effectiveness of governance processes is regularly checked and sometimes refinements are made to the system. Some sharing of effective practices within the organization is done.	The governing board has effective processes in place to ensure management and fiscal accountability. Independent audits provide accurate information to help ensure stakeholder interests are protected. The effectiveness of governance processes is regularly checked and ongoing refinements are made to the system. They routinely innovate and share the best practices across the organization.
Comments: Describe how the governance system ensures management is held accountable for the organization?s actions and stakeholder interests are protected. How widely is this done? List the key processes in place to do this. Describe improvements to these processes, if any. Suggest ways to improve this process.

1E	Assessing Organizational Performance and Progress Relative to Goals [Baldrige ref: 1.1c(1)] How well do leaders check organizational performance and capabilities against goals and competitive performance?
1 Not Evident		2 Beginning	3 Basically Effective	4 Mature	5 Advanced	6 Role Model	Level
Top leaders do not systematically review organizational performance. Leaders react to problems and no consistency is evident.		Top leaders are beginning to systematically review organizational performance against goals in student achievement. The process is not very effective since it is not used widely in the organization. The process is not evaluated to see how it could be improved.	Top leaders effectively review organizational performance and capabilitiesagainst goals in at least two of the following areas: student learning, student- and stakeholder-focused results, faculty and staff results, and budgetary, financial and market results. They are starting to gather data about the effectiveness of some of these processes.	Top leaders effectively review organizational performance and capabilitiesagainst goals in at least three of the following areas: the ability to address changing organizational needs, student learning, student- and stakeholder-focused results, faculty and staff results, budgetary, financial and market results and student and stakeholder compliance with laws and regulations. They sometimes check the accuracy of their reviews but do not usually use the information to make improvements.	Top leaders effectively review organizational performance and capabilities against short- and long-term goals and some competitors in at least four of the following areas: the ability to address changing organizational needs, student learning, student- and stakeholder-focused results, faculty and staff results, budgetary, financial and market results and compliance with laws and regulations. They regularly check the accuracy of their reviews and sometimes make improvements. The approach they use is consistent with organizational needs. Some sharing of effective practices within the organization is done.	Top leaders effectively review organizational performance and capabilitiesagainst short- and long-term goals and some competitors in all of the following areas: the ability to address changing organizational needs, student learning, student- and stakeholder-focused results, faculty and staff results, budgetary, financial and market results and compliance with laws and regulations. They regularly check the accuracy of their reviews and make ongoing improvements. They routinely innovate and share the best practices across the organization.
Comments: Describe how the leaders review organizational performance and capabilities against goals and competitor performance. List the key performance measures they use. How widely is this done? Describe improvements to this process, if any. Suggest ways to improve this process.

1F	Setting Priorities and Making Improvements Based on Progress Reviews [Baldrige ref: 1.1c(3)] How effectively do leaders use the results of progress reviews to identify priorities for improvement and innovation? How are these priorities deployed throughout the organization and to appropriate feeder/receiving schools, suppliers and partners to ensure action and alignment?
1 Not Evident		2 Beginning	3 Basically Effective	4 Mature	5 Advanced	6 Role Model	Level
Leaders do not systematically review progress to spot areas that need improvement. Leaders react to problems and no consistency is evident.		Top leaders review progress to spot priorities for improvement. The process is not very effective since it is not used widely in the organization. The process is not evaluated to see how it could be improved.	Top leaders effectively review progress to spot priorities for improvement or innovation. They are starting to gather data about the effectiveness of some of these processes.	Top leaders effectively review progress to spot priorities for improvement or innovation. They sometimes share these findings throughout the organization to drive appropriate action. They sometimes check the accuracy of their reviews. They gather data to evaluate the effectiveness of these processes but do not usually use the information to make improvements.	Top leaders effectively review progress to spot priorities for improvement or innovation. They usually share these priorities throughout the organization and with key schools, feeder/receiving schools, and other suppliers and partners to drive appropriate action. They regularly check the accuracy of their reviews and sometimes make improvements in the review process. Some sharing of effective practices within the organization is done.	Top leaders effectively review progress to spot priorities for improvement or innovation. They frequently share these priorities throughout the organization and with key schools, feeder/receiving schools, and other suppliers and partners to drive appropriate action. They regularly check the accuracy of their reviews and make ongoing improvements in the review process. They routinely innovate and share the best practices across the organization.
Comments: Describe how leaders identify priorities for improvement and innovation. How widely is this done? List key performance measures they review. List some recent priorities for improvement or innovation. How are these priorities shared with those who need to take action? Describe improvements to this process, if any. Suggest ways to improve this process.

1G	Improving Leadership Effectiveness Throughout the Organization [Baldrige ref: 1.1c(4)] How well do senior leaders, and supervisors at all levels evaluate and improve their effectiveness?
1 Not Evident		2 Beginning	3 Basically Effective	4 Mature	5 Advanced	6 Role Model	Level
Leaders do not systematically check their own effectiveness or bother to become more effective. Leaders react to problems and no consistency is evident.		A few leaders use budget results to check their own effectiveness but do not make improvements based on this information. The process is not very effective since it is not used widely in the organization. The process is not evaluated to see how it could be improved.	Some leaders and supervisors effectively use learning, financial and budget results to check their own effectiveness. They use this information to set personal improvement goals but do not consistently make improvements.	Many leaders and supervisors effectively use learning, financial and budget results, and other performance results. They use this information to set personal improvement goals. A few have improved their own effectiveness.	Most leaders and supervisors effectively use learning, financial and budget results, and other key performance results to evaluate their own effectiveness. They use this information to set personal improvement goals. Many have improved their own effectiveness. The system to evaluate and improve leadership effectiveness is routinely checked and some refinements have been made. Some sharing of effective practices within the organization is done.	Nearly all leaders and supervisors effectively use key performance results and faculty and staff feedback to evaluate their own effectiveness. They use this information to set personal improvement goals. Most have improved their own effectiveness. The system to evaluate and improve leadership effectiveness is routinely checked and ongoing refinements have been made. They routinely innovate and share the best practices across the organization.
Comments: Describe how the leaders and supervisors at all levels use performance data to improve their own effectiveness. List the usual measures that are used to assess leadership effectiveness. How widely is this done in the organization? Describe improvements to this process, if any. Suggest ways to improve this process.

1H	Following Laws and Regulations and Reducing Public Risks and Concerns [Baldrige ref: 1.2a(1&2)] How well does the organization comply with laws and regulations and anticipate and reduce risks to the public that may come from its programs and offerings, services, and operations?
1 Not Evident		2 Beginning	3 Basically Effective	4 Mature	5 Advanced	6 Role Model	Level
The organization does not systematically consider how its programs and offerings, services, facilities, or operations are likely to affect the public. It does not work consistently to meet legal requirements. Leaders react to problems and no consistency is evident.		The organization is just beginning to consider how its current programs and offerings, services, facilities, or operations are likely to affect the public. Some efforts are made to meet legal requirements. The process is not very effective since it is not used widely in the organization. The process is not evaluated to see how it could be improved.	The organization effectively considers how some current programs and offerings, services, facilities, or operations are likely to affect the public. It does little to address concerns. Some effective processes have been put in place to meet legal requirements. They are starting to gather data about the effectiveness of some of these processes.	The organization effectively considers how many of its current programs and offerings, services, facilities, or operations are likely to affect the public. It acts to reduce potential problems and sometimes checks how well these actions work. Effective processes have been put in place to meet legal requirements. They gather data to evaluate the effectiveness of these processes but do not usually use the information to make improvements.	The organization effectively considers how most of its current and future programs and offerings, services, facilities, or operations are likely to affect the public. It usually reduces or eliminates potential problems. Fully effective processes have been put in place to meet legal requirements and even exceed some. It regularly checks the effectiveness of these steps and sometimes makes improvements. Some sharing of effective practices within the organization is done.	The organization effectively considers how nearly all of its current and future programs and offerings, services, facilities, or operations are likely to affect the public. It effectively reduces or eliminates potential problems. Fully effective processes have been put in place to meet legal requirements and even exceed many. It regularly checks the effectiveness of these steps and makes ongoing improvements. They routinely innovate and share the best practices across the organization.
Comments: Describe how the organization consistently follows legal requirements and anticipates and reduces public risks or concerns. How widely is this done? Describe improvements to these processes, if any. Suggest ways to improve these processes.

1I	Ensuring Ethical Behavior [Baldrige ref: 1.2b] How well do all parts of the organization, including the board, top leaders, and key educational service partners, make sure ethical practices are followed?
1 Not Evident		2 Beginning	3 Basically Effective	4 Mature	5 Advanced	6 Role Model	Level
The organization does not systematically monitor or prevent ethical problems. Leaders react to problems and no consistency is evident.		Organizational policies and practices reflect a general commitment to ethical practices. Few organized steps are taken to monitor behavior and ensure compliance. The process is not very effective since it is not used widely in the organization. The process is not evaluated to see how it could be improved.	Policies and practices across some parts of the organization reflect a commitment to ethical practices. Organized and effective steps are taken to monitor behavior and ensure compliance in some areas.	Policies and practices across many parts of the organization including top leaders reflect a commitment to ethical practices with students and stakeholders most of the time. Organized and effective action is taken to monitor behavior and ensure compliance in many areas. The effectiveness of these policies and practices is sometimes checked. They do not usually use the information to improve.	Policies and practices across most parts of the organization, including top leaders and the governing board, reflect a commitment to ethical practices with students and stakeholders nearly all of the time. Organized and effective action is taken to monitor behavior and ensure compliance in most areas. The effectiveness of these policies and practices is regularly checked and improvements are sometimes made. Some sharing of effective practices within the organization is done.	Policies and practices across nearly all parts of the organization, including top leaders and the governing board, reflect a commitment to ethical practices with all students and stakeholders all the time. Organized and effective action is taken to monitor behavior and ensure compliance in nearly all areas. The effectiveness of these processes is regularly checked and ongoing improvements are made. They routinely innovate and share the best practices across the organization.
Comments: Describe how the organization makes sure ethical practices are followed with all students and stakeholders. How widely is this done? Describe improvements to this process, if any. Suggest ways to improve this process.

1J	Providing Community Support [Baldrige ref: 1.2c] How committed is the organization, its leaders, and faculty and staff to supporting the communities in which the organization works?
1 Not Evident		2 Beginning	3 Basically Effective	4 Mature	5 Advanced	6 Role Model	Level
Senior leaders and faculty and staff do not systematically provide support to community groups. No consistency is evident.		The organization provides minimal support to key community groups. Most of this support is provided by a few senior leaders, faculty, and staff without the support of the organization. The process is not very effective since it is not used widely in the organization. The process is not evaluated to see how it could be improved.	The organization provides some support to key community groups by involving some senior leaders, faculty, and staff. The organization has identified a few areas of emphasis to support. They are starting to gather data about the effectiveness of some of these processes.	The organization provides some support to key community groups by involving many senior leaders, faculty, and staff. The organization has identified some areas of emphasis to support. It sometimes checks the effectiveness of its efforts. They gather data to evaluate the effectiveness of these processes but do not usually use the information to make improvements.	The organization provides appropriate support to key community groups. It involves most senior leaders, faculty, staff, and leaders in planned and structured ways. The organization has identified many key areas of emphasis to support. It regularly checks the effectiveness of its support efforts. It sometimes makes improvements. Some sharing of effective practices within the organization is done.	The organization is a community role model and provides extensive support to key community groups. It involves nearly all senior leaders, faculty, staff, and leaders in planned and structured ways. The organization has identified many key areas of emphasis to support. It regularly checks the effectiveness of its support efforts and makes ongoing improvements. They routinely innovate and share the best practices across the organization.
Comments: Describe how the leaders, faculty, and staff work to support key communities where they work. How widely is this done? Describe improvements to this process, if any. Suggest ways to improve this process.

Text Box: Review text

Do not proceed until you have CHECKED THE TWO THEMES TO IMPROVE ABOVE.

Baldrige In-Depth for Education Instructions

1A

Communicating Values and Performance Expectations [Baldrige ref: 1.1a(1)]

How well do leaders communicate values, performance goals, and clear expectations throughout the organization in their words and actions?

Beginning

1B

1C

Empowering Faculty and Staff and Establishing a Climate for Empowerment, Innovation, Learning, Equity for All Students, Organizational Agility, and Ethical Behavior [Baldrige ref: 1.1a(2)]

1D

1E

1F

Setting Priorities and Making Improvements Based on Progress Reviews [Baldrige ref: 1.1c(3)]

1G

How well do senior leaders, and supervisors at all levels evaluate and improve their effectiveness?

1H

1I

1J