CORNERSTONES
Task Force #3 -- "Institutional Integrity, Performance and Accountability"
Draft Report -- March, 1997
The California State University is committed to being fully accountable as a public institution, both internally and externally for the quality and integrity of the learning experience. Our dedication to accountability is driven internally by the desire to continue to provide an education that is both affordable and of the highest quality. We believe that as an institution, we must focus our energy on
constant internal improvement. Our primary motivation for strengthening accountability is the desire to know the extent to which the CSU is doing what it professes to do. Measuring the contributions
of an institution by how much and how well its students are learning
and how their educational experience is affecting their values
and attitudes, speaks directly to the concerns of state government
and the public at large. This philosophy is part of the CSU mission.
We are clearly committed to being accountable for the value added
to our students lives as a result of their CSU experience.
A variety of factors
contribute to the increased interest in accountability and assessment.
The public now commonly perceivesÓ that diplomas
and degrees from American schools and colleges no longer guarantee
basic literacy or numeracy. Thoughtfully developed assessment
programs demonstrate significant potential for improving communication
between faculty and students, for enhancing learning, and for
helping faculty and staff reach consensus on changes that will
improve program quality and performance. Governing boards have
the right and responsibility to receive timely, accurate and useful
information about the effectiveness of institutions. Elected
officials who are forced to make painful choices want clear, comprehensible
evidence of institutional effectiveness upon which to base their
decisions. In this context, we
examine the basis on which accountability has been defined in
the past and seek both clarification of and improvement in the
means by which our performance is evaluated. In particular, we
focus on the linkage between internal program assessment and external
communication of that performance. The goals are to discover information
to help guide continuing internal improvement and to demonstrate
to external constituents the results of the states investment.
The public also needs effective education as to the important
role the CSU plays in the economic and political future of both
the state and nation. This report takes the disparate CSU activities
designed to ensure accountability and transforms them into a comprehensive
array of recommendations designed to improve performance of the
institution and to affirm to the public the CSU's commitment
to excellence and accountability.
Accountability is the
intersection of goals, policies, programs and performance. An
essential element of the Cornerstones effort is the integration
of an effective system of accountability into the fabric of institutional
planning and resource allocation . To do that requires clearly
articulated, measurable educational goals, which are the subject
of much of the work of Task Forces #1 and #4, and a system of
accountability itself which has been reengineered to meet the
needs of the future rather than building on the systems of the
past. CSU is already "accountable"
in a number of ways and to a range of constituents. But this approach
to accountability has been incremental rather than comprehensive,
with myriad reporting systems and controls being built successively
on top of one another. There has been no systematic effort to
link the internal systems of assessment and improvement with effective
external communication of performance on goals. Finally there
is a need for a fresh look at the whole regulatory system within
which the university operates, both from the perspective of the
State of California in relation to the CSU as a whole, and within
the institution from the campuses to the Chancellor's Office.
While CSU has come a long way from its origins as a wholly state-controlled
agency, with heavy central controls from Sacramento and from the
Chancellor's Office to the campuses, there is a need for an explicit
re-mapping of the accountability relations as they should exist
in a decentralized, deregulated environment. For purposes of demonstrating
accountability as a teaching and learning institution, we believe
it useful to focus on two dimensions of accountability, which
we have chosen to call performance accountability and regulatory
accountability. Performance accountability as we have defined
it is the alignment of system goals and purposes with overarching
system performance. It is goal-oriented and assessment-centered.
To achieve performance accountability requires clarity about goals
and expectations, and sharp assessment of performance using a
variety of measures. Performance-centered accountability speaks
to institutional achievement, not control of the means by which
goals are obtained. Although performance
accountability is clearly focused on educational outcomes, it
also covers institutional culture and its effects on performance.
For example, campus climate with respect to racial, cultural,
and gender diversity and administrative style with respect to
communication and shared governance are key elements of institutional
culture that can impact the performance of a university in achieving
its stated goals. Regulatory accountability
is quite different. Regulatory accountability is control of the
means by which the institution uses resources, to ensure that
they are fully accounted for and used legally. Regulatory accountability
covers topics such as personnel transactions and fiscal accounting,
where there is a need to show to government or other regulators
that the transactions are legal and appropriate and meet the minimum
standards of conformity to the law. The CSU needs to be
and is accountable in both the performance and regulatory dimensions
of accountability. One goal of a realigned accountability policy
is a better match between the goals of any set of activities
and the means by which performance is assured. The problems we
find with our current systems of accountability and strategies
for improvement are detailed below.
Purpose and improvement:
A fundamental driving force for our fresh approach to accountability
is a dedication to providing the highest quality and highest value
education. CSU is prepared to ask itself some simple but very
probing questions about the extent to which we are doing what
we profess to do, and to use the answers to identify where and
how to do better. The purpose and mission of the CSU, and the
hallmarks of excellence in our teaching and learning environments,
have not been as crisply stated and precisely communicated in
the past as they need to be in the future. We believe that the
quality of the teaching and learning experience in the state university
is as good or better than that in many institutions with whom
we compete for resources and for students. An effective system
of performance accountability, which links goals and performance,
will define the terms of excellence for which the CSU will be
accountable.
Reducing the bureaucracy: Higher
education in general, and CSU in particular, has suffered from
a tendency towards too much regulatory accountability and too
little performance accountability. The result is an institution
which too often seeks to influence not just that things get done,
but how they get done. Examples of these types of regulations
range from classroom space standards, to the calculation of student
credit units as a proxy for student learning, to restrictions
on use of tuition revenues. Regulations emanate not only from
the state and federal governments, but from within the CSU, which
is itself a major source of internal regulation. By its nature,
regulation promotes compliance with minimum standards rather than
imagination in the service of excellence. While regulatory accountability
may be useful in ensuring legal use of resources, it has a profound
and largely negative effect on the culture of an institution,
and on means of communication, decision-making, and the core element
of trust and mutual respect that is integral to shared governance.
As a result, we believe that regulation -- whether by government
or within the CSU -- should be an accountability tool of last,
and not first, resort. There are other creative and more flexible
means by which performance and accountability can be demonstrated
which, in combination with selective regulation of resource use,
can ensure accountability. Issues of the relative balance between
central control and campus autonomy are an essential element of
this within the CSU. As the institution achieves greater differentiation
among the campuses, for accountability to be maintained the system
will need to continually monitor each campus for how it is achieving
statewide goals of access, equity and quality. Recognizing that
each campus will meet these missions in more sharply differentiated
ways, depending on its mix of students, programs and community
needs, the public mission of the institution demands that there
be systemwide net accountability among and between them on behalf
of the entire state. Achievements and not inputs:
Measures of performance and achievement in higher education have
generally been oriented to inputs - particularly entering student
enrollment data and the quality of prior student preparation -
and not to achievements. The CSU as a teaching and learning institution
must find evidentiary ways of documenting its achievement in
multiple dimensions, including learning outcomes among other measures
of performance. Multiple dimensions of success:
It is important for CSU to take the initiative in defining the
terms under which it believes it should be held accountable. A
passive approach to accountability invites others - particularly
government - to set out those terms instead, with a tendency to
define success as a simple function of graduation rates. CSU's
commitment to quality, access and success means that preparation,
enrollment, retention, and graduation all need to be monitored
over time. Disparities between the campuses on these key measures
need to be monitored, to ensure that differences do not lead to
inequalities. Effective competition for resources:
Declining public resources at both the state and federal level
mean that higher education must compete for funding with other
social priorities. We believe that the evidence is available
to show that investment in higher education in the CSU is a very
effective use of tax dollars. We must be prepared to bring this
evidence together and to use it effectively in the political environment.
Distinguish between assessment and accountability:
CSU has been an early proponent of collegiate assessment, and
has been a national leader in developing complex measures such
as the Student Needs and Priorities Survey (SNAPS). Assessment
systems by their nature serve internal audiences, not external
ones, and increased effective accountability to external audiences
is one of our needs and priorities. In our view, assessment and
accountability are complementary, and can be mutually reinforcing,
but one is not a substitute for the other. Strengthen the quality of stakeholder information:
A powerful non-regulatory means of accountability is effectiveness
in the competitive environment in higher education, by contributing
to a better system of stakeholder information to students, families
and employers. Without robust stakeholder information informing
choice in the competitive environment , decisions will be made
on the basis of reputation, rumor, or price without regard to
quality. And without complex measures of excellence, including
effectiveness of the teaching and learning environment, the single
model of institutional prestige that tends to perpetuate itself
is the elite research university model. We think there is a need
to improve the effectiveness of the competitive environment in
higher education, by contributing to a better system of stakeholder
information to students, families and employers. A more mission-oriented,
teaching and learning outcomes basis for measuring institutional
effectiveness will improve the quality of information students
have to make decisions about where to enroll. Dimensions of accountability
What does it mean in practical terms for CSU to initiate a fresh approach to accountability?
The following chapters of our report describe the essential elements
of a comprehensive accountability system. The specific dimensions
of accountability -- including both "performance accountability"
and "regulatory accountability" -- that we suggest should
be in place in a comprehensive system. These elements include
the following:
The first recommendation from the Task Force is that CSU embrace a variety of "report cards" to integrate the disparate pieces of an accountability system. The term "report card" is generic rather than specific, as it has been used in other settings to embrace a wide variety of different types of reporting formats. What all report cards have in common is linking goals with performance on a subset of indicators. They can be data-driven but need not be data-centered, meaning that a successful "report card" for a general public audience might look more like a brochure than like a corporate report. Improved communication about expectations and performance within the CSU is an important element of institutional accountability, and report cards can be a helpful device for facilitating that communication. They thus can be oriented to internal as well as external audiences. Regardless of format or audience, CSU will use report cards to forge the linkage between goals, performance and communication which is the essential synthesis needed for accountability to occur.
Functions of Report Cards
We recommend a variety of different report cards, appropriately formatted to reach different audiences, which can serve a variety of functions:
The Pyramid of Report Cards
We imagine a pyramid of different types of report cards that should be developed which are customized for different audiences and reflecting different purposes:
Principles for Report Cards
The crafting of detailed
recommendations about what types of report cards should be developed
and the benchmarks for performance that should be included in
them, goes beyond the charge to this task force. A high priority
for continued work that should precede any Trustee action on these
policies is the elaboration of specific recommendations for concrete
system policies on report cards. To guide that work,
however, we suggest some general principles that should be used
in the development of CSU report cards:
As noted above, the
third reason for assessment is as a base from which to begin examining
traditional forms of learning and the accumulation of credit toward
a degree. Some of the newest ideas about learning look at the
form of delivery, such as the virtual classroom. Other ideas look
at how units are calculated, possibly detaching seat-time from
credit hours or encouraging students to learn at their own pace.
Still other ideas might require faculty to evaluate individual
students' prior learning, life experience and mastery as contributing
to degree attainment. All of these approaches have implications
for faculty roles as non-traditional teaching and learning require
non-traditional ways of assigning units, potentially dictating
changes in CSU policies and resource allocation. The task force has organized its recommendations into three sets: The first two sets
deal with evaluating the institution through assessing both student
learning and the institutional environment. The third set of recommendations
relates to the overall interaction of assessment to improved internal
and external communication.
The purpose of this examination of our policies and practices is to improve employee
performance at every level. The expectation is that the Cornerstones recommendations will serve
as the conceptual basis for this review process. The relationships of current policy and practice concerning evaluation of employees
to the broader issue of institutional improvement is the focus of this chapter. Task Force #3 examined four groups concerning
the issue of employee performance measures and evaluation: campus presidents, Management Personnel Plan employees, tenured faculty, and staff. After reviewing Retention, Tenure, and Promotion policies from several campuses, the Task Force concluded that substantial change in this area is not necessary at this time. Several issues were addressed regarding the adequacy of employee evaluations for all four constituencies: The issue of how performance specifically related to compensation and other rewards has not been addressed
in this phase of the analysis. General Recommendations for Improvement
Specific Recommendations for Improvement
Review of Presidents
The Chancellor has agreed to work with the presidents and Board of Trustees to strengthen the review process in the following areas: Management Personnel Plan Evaluations
Two research projects have already been established in an attempt to improve the MPP evaluation process.
First, the Corporate Leadership Council will provide a range of specific best practice evaluation instruments. The
work by the Council is to be completed by January 1997. Second, a group headed by Dr. Fred Evans, Dean of the School of Business, CSU Fresno will take the Councils suggested best practices and use them as the basis for an MPP performance evaluation model. This work will be completed during the summer 1997. Task Force #3 also urges for the MPP evaluation policy: Faculty Roles and Evaluation
The use of workload measures that truly reflect the nature and scope of faculty work has been a consistent problem in the CSU. Currently, the CSU and CFA are working on this issue. The task force recommends the following: Staff
The Task Force encourages the current range of activities underway on the campuses to update evaluation and development processes for staff. The expectation is that the Cornerstones outputs will serve as the conceptual basis for the review process. In this regard a recent workshop sponsored by the office of the Chancellor and conducted by Mercer, Inc. emphasized performance planning, interim progress reports and a year end performance review. These concepts are congruent with the General Recommendations listed earlier. Based on a review of some of the current plans on the campuses any future work should consider greater emphasis on linking unit and/or systems contributions to individualized performance characteristics.
Accreditation performs a dual role of assuring minimum institutional standards and helping established institutions to improve themselves. The latter role of institutional quality improvement and change, rather than conformity to minimum standards, becomes the more important focus in the future of the CSU. There are two issues within the broader scope of accreditation review that are addressed in this chapter: Current Board policy on specialized accreditation in the CSU was approved in 1968 and encourages all campuses to seek specialized accreditation for its programs. The task force has concluded that the current Board policy requires changes for several reasons. First, the 1968 policy is obsolete including language requiring at least three specialized professional accreditations in order to carry the "university" identifier. Other changes in the overall circumstances of higher education and in the accreditation arena necessitate a review of this policy. Second, and most importantly, we challenge the underlying assumption of the 1968 policy that specialized accreditation is always a positive undertaking with good outcomes. While we recognize that some specialized accreditations are necessary for licensure to work in a professional area in a state, not all specialized accreditations have this established link. In addition, the current policy is silent on the link between regional (institutional) accreditation and the specialized program accreditations. The recommendations around regional accreditation are oriented towards change in the way CSU interacts with the Western Association of Schools and Colleges (WASC). Currently, WASC is examining the standards it employs in its accreditation procedures to stress institutional improvement for established institutions, and to encourage the use of a variety of types of evidence to evaluate quality. The changes in WASC practices provide the CSU an opportunity to use accreditation in creative ways, particularly in linking a variety of assessment tools and in relation to planning and program review. Accreditation in its most useful form should be a non-bureaucratic, collegial endeavor. It provides an opportunity for colleges and universities to improve based on recommendations from their peers. The changing environment in California demands greater public accountability. A stronger public role for accreditation in accountability is preferable to an expanded governmental regulatory role, which by its nature is control-oriented and can lead to excessive standardization. Specialized accreditation
Regional Accreditation
The formal requirement for a qualitative review of existing academic programs has been in place in the California State University since 1971, when the Board of Trustees directed that each campus review each academic
degree program on a periodic basis. While the requirement to review all degree and general education programs is systemwide policy, criteria and procedures for conducting the review are unique to the respective campuses. The summaries of the results are presented to the Board along with the Academic Master Plan. The task force engaged in long, comprehensive discussions about program review. The cumbersome and time consuming nature of the current process was resoundingly criticized. Also criticized was the lack of systems focus in the process. It does not appear to encourage departments or programs under review to plan and evaluate in the context of the overall academic program. The third major criticism was an apparent lack of outcome or consequence (positive or negative) from the process. Finally, the program review process was criticized for its focus on compliance rather than performance or planning. Also discussed was the absence of a link between program planning and planning for individual faculty within a department. The planning and evaluation processes are entirely separate and quite disjointed. Recommendations for Improvement