<%BANNER%>
HIDE
 Title Page
 Acknowledgement
 Table of Contents
 Abstract
 Introduction
 Review of literature
 Research methodology
 Results
 Conclusions and recommendation...
 Appendix A: Institutional self...
 Appendix B: Occupational personality...
 Appendix C: Occupational personality...
 Appendix D: Interview with...
 Appendix E: Institutional self-assessment...
 References
 Biographical sketch














A model for effective leadership in community colleges committed to Continuous Quality Improvement
CITATION THUMBNAILS PAGE IMAGE ZOOMABLE
Full Citation
STANDARD VIEW MARC VIEW
Permanent Link: http://ufdc.ufl.edu/AA00013640/00001
 Material Information
Title: A model for effective leadership in community colleges committed to Continuous Quality Improvement
Physical Description: viii, 253 leaves : ; 29 cm.
Language: English
Creator: Sloan, Barbara Robinson
Publication Date: 2002
 Subjects
Subjects / Keywords: Educational Leadership, Policy and Foundations thesis, Ph. D   ( lcsh )
Dissertations, Academic -- Educational Leadership, Policy and Foundations -- UF   ( lcsh )
Genre: bibliography   ( marcgt )
theses   ( marcgt )
non-fiction   ( marcgt )
 Notes
Thesis: Thesis (Ph. D.)--University of Florida, 2002.
Bibliography: Includes bibliographical references (leaves 238-251).
Statement of Responsibility: by Barbara Robinson Sloan.
General Note: Printout.
General Note: Vita.
 Record Information
Source Institution: University of Florida
Rights Management: All rights reserved by the source institution and holding location.
Resource Identifier: aleph - 028836899
oclc - 50421122
System ID: AA00013640:00001

Table of Contents
    Title Page
        Page i
    Acknowledgement
        Page ii
        Page iii
    Table of Contents
        Page iv
        Page v
        Page vi
    Abstract
        Page vii
        Page viii
    Introduction
        Page 1
        Page 2
        Page 3
        Page 4
        Page 5
        Page 6
        Page 7
        Page 8
        Page 9
        Page 10
        Page 11
        Page 12
        Page 13
        Page 14
        Page 15
    Review of literature
        Page 16
        Page 17
        Page 18
        Page 19
        Page 20
        Page 21
        Page 22
        Page 23
        Page 24
        Page 25
        Page 26
        Page 27
        Page 28
        Page 29
        Page 30
        Page 31
        Page 32
        Page 33
        Page 34
        Page 35
        Page 36
        Page 37
        Page 38
        Page 39
        Page 40
        Page 41
        Page 42
        Page 43
        Page 44
        Page 45
        Page 46
        Page 47
        Page 48
        Page 49
        Page 50
        Page 51
        Page 52
        Page 53
        Page 54
        Page 55
        Page 56
        Page 57
        Page 58
        Page 59
        Page 60
        Page 61
        Page 62
        Page 63
        Page 64
        Page 65
        Page 66
        Page 67
        Page 68
        Page 69
        Page 70
        Page 71
        Page 72
        Page 73
        Page 74
        Page 75
        Page 76
        Page 77
        Page 78
    Research methodology
        Page 79
        Page 80
        Page 81
        Page 82
        Page 83
        Page 84
        Page 85
        Page 86
        Page 87
        Page 88
        Page 89
        Page 90
        Page 91
        Page 92
        Page 93
        Page 94
        Page 95
    Results
        Page 96
        Page 97
        Page 98
        Page 99
        Page 100
        Page 101
        Page 102
        Page 103
        Page 104
        Page 105
        Page 106
        Page 107
        Page 108
        Page 109
        Page 110
        Page 111
        Page 112
        Page 113
        Page 114
        Page 115
        Page 116
        Page 117
        Page 118
        Page 119
        Page 120
        Page 121
        Page 122
        Page 123
        Page 124
        Page 125
        Page 126
        Page 127
        Page 128
        Page 129
        Page 130
        Page 131
        Page 132
        Page 133
        Page 134
        Page 135
        Page 136
        Page 137
        Page 138
        Page 139
        Page 140
        Page 141
        Page 142
        Page 143
        Page 144
        Page 145
        Page 146
        Page 147
        Page 148
        Page 149
        Page 150
        Page 151
        Page 152
        Page 153
        Page 154
        Page 155
        Page 156
        Page 157
        Page 158
        Page 159
        Page 160
        Page 161
        Page 162
        Page 163
        Page 164
        Page 165
        Page 166
        Page 167
        Page 168
        Page 169
        Page 170
        Page 171
        Page 172
        Page 173
        Page 174
        Page 175
        Page 176
        Page 177
    Conclusions and recommendations
        Page 178
        Page 179
        Page 180
        Page 181
        Page 182
        Page 183
        Page 184
        Page 185
        Page 186
        Page 187
        Page 188
        Page 189
        Page 190
        Page 191
        Page 192
        Page 193
        Page 194
        Page 195
        Page 196
        Page 197
        Page 198
        Page 199
        Page 200
        Page 201
    Appendix A: Institutional self assessment
        Page 202
        Page 203
        Page 204
        Page 205
        Page 206
        Page 207
        Page 208
        Page 209
        Page 210
        Page 211
        Page 212
        Page 213
    Appendix B: Occupational personality questionnaire
        Page 214
        Page 215
        Page 216
        Page 217
        Page 218
        Page 219
    Appendix C: Occupational personality questionnaire result samples
        Page 220
        Page 221
        Page 222
        Page 223
        Page 224
        Page 225
        Page 226
        Page 227
    Appendix D: Interview with presidents
        Page 228
        Page 229
        Page 230
        Page 231
    Appendix E: Institutional self-assessment results
        Page 232
        Page 233
        Page 234
        Page 235
        Page 236
        Page 237
    References
        Page 238
        Page 239
        Page 240
        Page 241
        Page 242
        Page 243
        Page 244
        Page 245
        Page 246
        Page 247
        Page 248
        Page 249
        Page 250
        Page 251
    Biographical sketch
        Page 252
        Page 253
        Page 254
        Page 255
        Page 256
        Page 257
Full Text









A MODEL FOR EFFECTIVE LEADERSHIP IN COMMUNITY COLLEGES
COMMITTED TO CONTINUOUS QUALITY IMPROVEMENT















By

BARBARA ROBINSON SLOAN


A DISSERTATION PRESENTED TO THE GRADUATE SCHOOL
OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT
OF THE REQUIREMENTS FOR THE DEGREE OF
DOCTOR OF PHILOSOPHY

UNIVERSITY OF FLORIDA















ACKNOWLEDGMENTS

The support and assistance of many individuals helped make this research project

possible. I greatly appreciate the encouragement and guidance of my chair, Dr. Dale F.

Campbell, who supported me throughout this study. My appreciation also goes to Dr.

James L. Doud, Dr. David S. Honeyman, and Dr. Richard K. Scher, my supervisory

committee members. Each provided support, expertise, and guidance as I developed and

shaped this study. Thanks also go to all the professors with whom I studied over the last

few years; they generously shared their time both in and after classes. For all I learned

and continue to lear from them, I extend my appreciation.

Special thanks go to my colleagues and mentors in the community college system.

Particular thanks go to Dr. Robert K. Myers, Dr. Heijia L. Wheeler, and Dr. Debra

Austin, all of whom have been both friends and mentors who encouraged and supported

me throughout the years. I am also appreciative of the many, many colleagues at Santa Fe

Community College and at Tallahassee Community College, many of whom have also

taken or are taking this journey, and all of whom have patiently and enthusiastically

encouraged me. Special thanks go to Cynthia Kachik, who processed the various OPQ

reports used in this study.

Without the loving support of friends and family, this project would have never

begun or come to completion. To friends who have watched over me and encouraged me

to finish so that I could "be more fun again," I am grateful. To my three children, all of

whom have entered or completed their own degree programs since I began this venture, I








am humbly thankful. Their patience, love, and support have been immeasurable. My

husband has been a supportive partner, never complaining about the innumerable

weekends that I stayed buried in reading or glued to the computer screen.

Most importantly, I owe all I have accomplished to my wonderful mother. She

has been the example I follow, and her belief in me has always been absolute. She taught

me to work hard and to be grateful for what I have and for who I am.















TABLE OF CONTENTS

page
ACKN OW LED GM ENTS ............................................................. .............................. ii

A B ST R A C T ................................................................................ ...................... .......... vii

IN TR O D U C TIO N ........................................................................... .............................

Background and Rationale......................................................... ......................... 3
Continuous Quality Improvement............................................... ........................ 5
Leadership Studies................................................................. ........................ 7
State ent of the Problem ............................................................. ....................... 9
Purpose of the Study........................................ ....................... ........................ 10
Significance of the Study........................ ................................... ....................... 12
Definition of Terms ............................................................................ ........... 13
L im station s ................................................................................ ............................. 14
Sum m ary .................................................. ......................... .............. ......... 14

REVIEW OF LITERATURE ................................................... ........................16

Continuous Quality Improvement................................................ 17
Theoretical Basis for Quality Management............................ ........................... 17
History of Quality in the United States.............................................................. 19
Common Quality Principles.................................................. 21
Malcolm Baldrige National Quality Award....................................... ........... .... 22
Appropriateness of Continuous Quality Improvement to Education........................ 23
Implementation in Education................................................. 27
Studies of CQI in Educational Institutions ....................... ............. ........... ... 28
Studies of Barriers to Implementation................................... ........................ 35
The Malcolm Baldrige Award Criteria in Education..................... ........... .... 41
Summary of Continuous Quality Improvement in Education.................................. 43
Study of Leadership ................................................................... ....................... 44
Theories of Leadership ................................................................. 45
Leadership and Organizational Change............................. ...................... 50
Leadership in Educational Institutions....................... ......................... 56
Studies of Community College Leadership......................... ............ .......... ... 58
Leadership Team s ........................ ....................................................... 69
Continuous Quality Improvement Leadership.............................................. 72
Studies of Leadership and Continuous Quality Improvement................................ 74
Summary of Review of Literature ................................... ........................ 77









RESEARCH METHODOLOGY..................................................79

Purpose of the Study ................................................................ ......................... 79
R research Problem ..................................................................... ........................ 81
R research D esign........................................................................ ........................ 83
R research Instrum ents................................................................. .......... ............. 86
Population ................................................................................. ............................. 90
D ata C collection .......................................................................... ............................. 92
D ata A analysis ................................................................... ......... ...................... 93

R E SU LT S ..........................................................................................................................96

Institutional Self-Assessment................................................. 96
C ase Study O ne........................................................................ ............................. 104
Situational V ariables............................... ............................................ ........ 104
Personality A ttributes............................................................ ......... ............. 107
Leadership Styles ...................................... ......... 116
Team Types....................................................................... ......................... 122
Intervening V ariables....................... .. ..................................................... 126
Case Study Tw o............................................................ .................................. 130
Situational Variables .................................... ......... 130
Personality A ttributes........................................................................................ 134
Leadership Styles ...................................... ......... 143
Team T ypes......................................................................... ........................ 148
Intervening V ariables.......................................................... ........................ 151
Cross-Case Analysis ............................................ 157
Situational V ariables........................................................ .. ......... .............. 157
Personality A ttributes........................................................... ............................. 160
Leadership Styles .................................................. 168
T eam Types........................................................................ ........................ 172
Intervening Variables ..................................... .......... 175

CONCLUSIONS AND RECOMMENDATIONS ................... ........................178

C onclusions......................................................... .................................................. 179
Situational V ariables............................................................................ 180
Personality Attributes of Presidents and Senior leaders....................................... 181
Leadership Styles of Presidents and Senior Leaders ......................................... 187
Team Types of Presidents and Senior Leaders.................................................... 188
Intervening Variables................................. ................ ....... 189
Findings Related to Previous Research......................................................... 190
L im stations ................................................................................ ............................ 194
Theoretical Construct ...................................... ........ 195
Implications for Practice......................................................................... 199
Recommendations for Further Study .................................................................. 200









APPENDIX

A INSTITUTIONAL SELF ASSESSMENT .......................... ............................202

Letter to Participate.......................................... ............................................... 203
Self-Assessment Survey Instructions................ .......................................... 204
Institutional Self-Assessment Instrument ......................................................... .... 205
Institutional Self-Assessment Response Sheet ............................................... 209
Background Information Sheet....................................................... ........................ 210
Informed Consent Process for Adult Participants Form for Baldrige Survey............ 213

B OCCUPATIONAL PERSONALITY QUESTIONNAIRE ......................................214

Letter to Participate.................................................................. ............ ........... 215
On Line Instructions Sample Email........................................................... 217
Informed Consent Process for Adult Participants for OPQ...................................... 218
Work Profile Informed Consent Process for Adult Participants............................... 219

C OCCUPATIONAL PERSONALITY QUESTIONNAIRE RESULT SAMPLES.....220

Letter Accompanying Results.......................................... .............. 221
Structure of the OPQ Concept Model............................... ......... ........... ... 223
Sam ple Individual Results ................................................... ........................... 224
Leadership Styles Descriptors........................................ ............ 225
Associate Styles Descriptors............................................ ............ 226
Sample Team Types Results........................................ ............ .. 227

D INTERVIEW WITH PRESIDENTS ........................................................228

E-mail Request for Presidential Interview.......................... ............. ............ 229
Follow Up Interview Questions.................................................... .... 230
President Review of Interview ......................................... ............ 231

E INSTITUTIONAL SELF-ASSESSMENT RESULTS .............................................232

Quality Index Rating Sheet........................................ ........... .... 233
Rating Results for All Schools Combined............................................................... 234
Overall Frequency of Responses to Institutional Self-Assessment .......................... 235

LIST OF REFERENCES.................. ..............................................................238

BIOGRAPHICAL SKETCH ...........................................................252














Abstract of Dissertation Presented to the Graduate School
of the University of Florida in Partial Fulfillment of the
Requirements for the Degree of Doctor of Philosophy

A MODEL FOR EFFECTIVE LEADERSHIP IN COMMUNITY COLLEGES
COMMITTED TO CONTINUOUS QUALITY IMPROVEMENT

By

Barbara Robinson Sloan

May 2002
Chairman: Dale F. Campbell
Major Department: Educational Leadership, Policy and Foundations

To remain competitive in the future, community colleges must embrace change

and respond to worldwide influences. Continuous Quality Improvement (CQI) is an

organizational and philosophical approach to addressing change through continuous

improvement, yet the successful implementation of CQI has been difficult for many

colleges. Proponents of CQI have emphasized the central importance of leadership, but

very little research has been conducted to explore what leadership attributes and styles

best complement a continuous quality organization. To address the complexities of

leadership and the leadership situation in a CQI college, this study considered multiple

criteria including the leadership situation and intervening variables affecting the

leadership situation as well as the personality attributes, leadership styles, and team styles

of the presidents and other senior leaders.

The purpose of this study was to develop a theoretical construct of effective

leadership in a community college that has adopted or wants to adopt the principles of








continuous quality improvement. Two institutions were identified as successful based on

an assessment of their degree of implementation of the Malcolm Baldrige Education

Criteria for Performance Excellence. The Occupational Personality Questionnaire (OPQ)

was used to determine the critical personality attributes, team types, and leadership styles

of the presidents and their senior team members. Questionnaires, institutional reports and

semi-structured interviews were used to understand the practices of the CEO's and to

explore the organizational structure.

The results of the study suggest a number of leadership traits and behaviors

important to successful implementation of CQI. Although CQI can be successful in

diverse environments, implementation requires a long-term commitment, as much as 10

to 15 years. The president should be committed to empowering others and should

embrace the concept of leadership in which leaders and followers exert mutual influence.

Cross-functional teams and horizontal work structures should be developed. A CQI

environment requires a relations-oriented leadership. The colleges studied exhibited a

high level of shared leadership; therefore, the leadership attributes of both presidents and

other college leaders were examined.













CHAPTER 1
INTRODUCTION

Community colleges, which enroll nearly 6 million students nationwide (U.S.

DOE, 2001), prospered in decades of dramatic growth. Now, they are a major sector of

higher education, and their leaders face new challenges as society and government turn to

community colleges for solutions to today's problems (Pierce & Pedersen, 1997).

Increasingly, community college leaders are expected to adapt their institutions to

the needs of a new society. They face increasing demands to tailor courses to the needs of

the workplace, to provide new delivery methods, and to address diverse learning styles

(Nunley, 2001). In the current context of continuous change and of the shift from an

industrial-based to an information-based economy, community colleges must be

structured to respond to a changed and changing environment (Rowley, 2001; Vaughan,

2000); they must be organized to address the factors of demand, competition, and quality

(Alfred & Carter, 2000); and they must be positioned to address the effects of

globalization (Levin, 2001). Community college faculty and administrators identified

funding workforce development, using outcome measures for accountability, and meeting

the cost of technology as critical issues facing their institutions (Campbell & Evans,

2001). To meet these challenges successfully, community college leaders must adopt new

organizational structures and develop a new understanding of leadership and the roles of

leaders (Cain, 1999; Pierce & Pedersen, 1997; Tiemey, 1999).

Townsend (2000) identified four values that determine educational policy: choice,

quality, efficiency, and equity. She stated that these values sometimes conflict with one








another. In the environment of demand for new services, limited resources, and possible

conflicts in values, community college leaders must seek ways to define institutional

roles and to focus on the community college's core mission of teaching and learning.

Over the last 10 years, a number of college and university leaders have turned to

the principles of total quality management (TQM) or continuous quality improvement

(CQI)' as a philosophical and structural base for addressing the challenges of changing

roles and organizational structures (Axland, 1992; Bonstingl, 2001; Holmes, 1997).

Benefits of CQI for educational institutions include applying quality principles to

teaching and learning, benchmarking, empowering individuals, emphasizing

improvement, and implementing change (Barth et al., 2000; Marchese, 1993). However,

CQI requires long-term commitment and is difficult to implement primarily because its

use requires a change in philosophical approach for all areas of an organization (Peterson,

1993).

Deming (1986), Juran (1989), and Crosby (1979), three major quality

management theorists, stressed the responsibility of top leadership in quality

organizations. Community college researchers (Fisher, J. L., 1993; Freed, 1998; Gratton,

1993; Seymour, 1992) have also described effective leadership as fundamental to

successful implementation of CQI. Despite the key role of leadership in organizations, no

clear understanding exists of what distinguishes effective leadership (Bennis & Nanus,

1997; Bimbaum, 1988; Elsner, 1984; Fisher, J. L. & Koch, 1996; Gratton, 1993). It is

still uncertain what styles and characteristics are needed to promote successful

implementation of CQI (Haire, 1997).









The purpose of this study was to develop a theoretical construct of effective

leadership for a community college that has adopted or wants to adopt the principles of

continuous quality improvement. The study presents a case analysis of leaders in colleges

that have demonstrated high levels of success in implementing CQI. The study examined

the personality and leadership traits and behaviors of key leaders as well as the situational

and intervening variables present in these colleges. Specifically, this study determined the

level of implementation of the 1998 Malcolm Baldrige Quality Award Education Criteria

for Performance Excellence in member institutions of the Continuous Quality

Improvement Network (CQIN). Using both quantitative and qualitative data, the study

then presented the personality attributes, leadership styles, and team profiles of the

presidents and senior team members in institutions that scored highest on the criteria. The

situational and intervening factors associated with successful implementation of CQI

were determined and explored. Based on the analysis of this data, a theoretical construct

for community college leadership in CQI colleges was developed.


Background and Rationale

Challenges to community colleges include increased demands for serving a

diverse student population, for minimizing the need for developmental education, for

providing new information and learning technologies, and for addressing unemployment

and workforce retraining needs (Alfred & Carter, 2000; Cohen & Brawer, 1994; Nunley,

2001; Wharton, 1997). In addition to these demands to expand educational roles,

community colleges leaders must also address the realities of changing student



'The terms TQM and CQI and CQA (Continuous Quality Assurance) are used interchangeably in this
study, reflecting the trend in educational literature to emphasize quality improvement and quality assurance
rather than management (Freed & Klugman, 1997).








expectations, reduced resources, increased accreditation requirements, and legislative

mandates for outcome-based accountabilities (Alfred & Carter, 2000; Nunley, 2001;

Rowley, 2001; Tuttle, 1994; Wharton, 1997).

Three of the problems that community college leaders must confront as they

prepare their institutions to meet these challenges are recognizing and addressing the

changes that must occur (Alfred & Carter, 2000; Leslie & Fretwell, 1996; Lorenzo &

Zajac, 1996), accommodating the shift from an industrial-based to an information-based

economy (Rowley, 2001), and addressing the effects of a global economy (Levin, 2001).

Carter and Alfred (1996) described the significant changes that colleges must undergo.

Colleges must shift their cultures from an ivory tower mentality to being service oriented;

leaders must abandon static structures in favor of dynamic relationships, and faculty must

replace discipline-focused, compartmentalized education with holistic, integrated

learning. Napier, Sidle, Sanaghan, and Reed (1998) said colleges are being pushed into

consumer-driven markets by the new information age. They believe the new technologies

will transform teaching, research, and delivery systems. Carter and Alfred (1996) claimed

that "today's challenges are significantly more turbulent and threatening than those faced

in the past" (p. 4). Raisman (1994) stated that planning for the future means planning

with state, national, and international environments in mind; community colleges that

focus only on the local community will end up reacting to trends that are reshaping their

communities rather than helping to plan the future of those communities. In addition, the

public expects higher education to provide its graduates with the skills and knowledge

necessary to compete in a rapidly changing and complex global job market (Fisher, M.

C., 1990; Hull & Souders, 1996; Jones, 1996). Graff(1995) described new workers as








"knowledge workers who must shift from reliance on manual skills to use of theoretical

and analytical knowledge that can be acquired only through formal schooling" (p. 5).

Lorenzo and LeCroy (1994) claimed that institutions that intend to remain competitive in

the information age must undergo fundamental reinvention. Napier et al. (1998)

described the transformation needed as a metamorphosis. Godbey (1993) stressed the

need for institutions to be agile, to be able to adapt new technologies, and to form new

partnerships in order to maintain and enhance the institution.

Levin (2001) studied seven institutions that have made progress in responding to

the various marketplace communities and stakeholders and found that often "a balanced

recognition of human achievement" (p. xx) was neglected. In order to survive,

community colleges must provide the best opportunities for student success and must

establish friendly relationships with other entities in the education market including other

educational systems; local, state, and federal governments and their agencies; local

communities and community organizations; and private funding organizations (Roueche

& Roueche, 2000).

Continuous Oualitv Improvement

Despite differences in purpose and structure between business and education,

successful business models have attracted the attention of higher education leaders.

Numbers of colleges are adapting the quality management approaches that successfully

transformed many American businesses (Horine & Hailey, 1995). The work of Deming

(1986), Juran (1989), and Crosby (1979) provided a theoretical and practical basis for

quality management in American business and industry. More recently these principles

have been adopted and adapted by educational institutions. Change and the use of data

are primary tenets of a quality organizational structure, and quality organizations stress








outputs and assessment. Burgdorf (1992) described continuous quality improvement as "a

customer-oriented philosophy of management that utilizes total employee involvement in

the relentless, daily search for improvement of quality of products and services through

the use of statistical methods, employee teams, and performance management" (p. 1).

Total quality is a systems approach to management that encompasses all levels of

an organization in a focused, ongoing effort to provide products or services that meet or

exceed customer demands. Leaders use quality tools to control costs, improve staff

productivity and service, and meet customers' expectations (Burgdorf, 1992). Because

CQI requires continuous assessment and improvement, it occurs in a climate of change

and requires changes in institutional culture (Freed, 1998). Because it is output driven, it

addresses demands for outcome-based accountabilities (Coleman, 1995).

The national standard for measuring the success of TQM in industry is the

Malcolm Baldrige National Quality Award (MBNQA) (Juran, 1995). The United States

Congress passed legislation in 1987 that authorized the U.S. Department of Commerce to

develop the award. Public law 100-107 states, in part, that foreign competition has

challenged United States leadership in productivity and that poor quality has been a

primary cause. The law states that the award would help improve quality and productivity

in the United States by recognizing those companies that meet the rigorous standards of

the award (BNQP, 2001). Knotts, Parrish, and Evans (1993) concluded that business,

service, and industry leaders agree that the Baldrige Award provides the best framework

for a total quality management system.

Recently, Baldrige criteria were developed for education. The Malcolm Baldrige

National Quality Award Education Criteria for Performance Excellence were piloted in








1995 and revised in 1998. Educational institutions first became eligible to apply in 1999

(NIST, 1998). Like the criteria for business and industry, the criteria for education can be

used to guide and assess quality initiatives (Holmes, 1997; Moore, 1996; Paris, 1996;

Thompson, 1995). The criteria provide a means for an educational institution to be

measured on its successful implementation of quality principles. The educational award

criteria have been shown to be appropriate to the philosophy and goals of educational

institutions (Holmes, 1997; Moore, 1996; Thompson, 1995; Watwood, 1996; Winn &

Cameron, 1998).

Effective leadership is the key to successful implementation of TQM (Freed, Fife,

& Klugman, 1994; Leffel et al, 1991; Norton, 1994; Seymour 1992; Walton, 1986).

Quality theorists Deming (1986), Juran (1989), and Crosby (1979) emphasized the

importance of leadership in a quality organization. Unsuccessful implementation has

occurred primarily when top administrators are not involved in the processes (Satterlee,

1997). The CEO must play the role of the chief quality officer; must be directly involved

in the organization, both internally and externally; and must also delegate operations and

develop teams with leadership responsibilities (Peterson, 1993).

Leadership Studies

The proponents of CQI have stressed the importance of leadership, but the

leadership characteristics and abilities required for successful CQI implementation are

undefined (Culp 1992; Fisher, J. L. & Koch, 1996; Haire, 1997). Elsner (1984) stated that

by failing to define and characterize the kind of leadership needed for the 21st century,

the community college movement has failed to invest in its future. Birnbaum (1988)

claimed that there is no agreement on how to define or assess leadership. In her research

on leadership for the learning organization, Gratton (1993) identified a leadership crisis








and claimed that current concepts of leadership, "dominated by power and profit motifs,"

(p. 94) are outmoded. In 1997, Bennis and Nanus repeated their conclusions from 1985:

Decades of academic analysis have given us more than 850 definitions of
leadership. Literally thousands of empirical investigations of leaders have
been conducted in the last seventy-five years alone, but no clear and
unequivocal understanding exists as to what distinguishes leaders from
nonleaders, and perhaps more important, what distinguishes effective
leaders from ineffective leaders and effective organizations from
ineffective organizations. (p. 4)

Leadership studies have focused on particular traits, behaviors, or situations, or

they have examined leaders or groups of leaders who have been perceived to be effective

by other leaders or experts.

The confused state of the field [leadership research] can be attributed in
large part to the sheer volume of publications, the disparity of approaches,
the proliferation of confusing terms, the narrow focus of most research,
the preference for simplistic explanations, the high percentage of studies
on trivial questions, and the scarcity of studies using strong research
methods. (Yukl, 2001, pp. 423-24)

More recently, some leadership research has begun to address a combination of factors

that include the situation, the leader, the followers, and the culture and organizational

structure of an organization. Bass (1990) emphasized that factors affecting leadership

include leadership traits, situational effects, and the interaction of traits and situation.

"The similarities of results [in trait studies] make it reasonable to conclude that

personality traits differentiate leaders from followers, successful from unsuccessful

leaders, and high-level from low-level leaders" (p. 87). Yukl (2001) suggested that the

various lines of research need to converge and that the various approaches should be

viewed as part of a larger network of interacting variables. Yukl argued that leadership

characteristics and behaviors are both the independent and dependent variables and that

leaders affect and are affected by other variables. Yukl also recognized that situational








and intervening variables could mediate the effects of leader behavior and that an

institution's success criteria are another important factor.

The success of an institution involved in continuous quality improvement can be

determined using the Malcolm Baldrige National Quality Award Education Criteria

(Holmes, 1997; Moore, 1996; Paris, 1996; Thompson, 1995; Winn & Cameron, 1998).

The traits and leadership styles of the leaders as well as the situational and intervening

variables affecting leadership effectiveness in successful CQI institutions need to be

studied.


Statement of the Problem

To remain competitive in the future, community colleges must undergo

fundamental reinvention (Lorenzo & LeCroy, 1994). The current trends and demands in

society require agile institutions (Godbey, 1993) whose leaders can identify and respond

to globally connected communities (Levin, 2001; Schein, 1992). As society turns to the

community college for solutions to problems, the expectations for presidential leadership

have become complex, demanding, and sometimes contradictory (Pierce & Pedersen,

1997). Community colleges must be led by "exceptional leaders who can deal with

change and revitalize the institutions of America" (Roueche, Baker, & Rose, 1989, p. 10).

Continuous Quality Improvement is an organizational and philosophical approach

to addressing change through continuous improvement, yet the successful

implementation of CQI has been difficult for many institutions. Proponents of CQI have

emphasized the central importance of leadership in a CQI organization (Freed, et al 1994;

Leffel et al 1991; Norton, 1994; Seymour 1992; Walton, 1986). However, "very little

empirical evidence exists to help understand how leadership styles best complement and








assure success of CQI implementation" (Haire, 1997, p. 2). Jameson and Soule (1991)

noted that over the past years it has become apparent that the knowledge of leadership

styles was not sufficient to meet the demands of today's management innovations, such

as TQM and other strategies. Bass (1990) and Yukl (2001) have argued that leadership

studies must broaden, rather than narrow, the factors considered.


Purpose of the Study

The purpose of this study was to develop a theoretical construct of effective

leadership in a community college that has adopted or wants to adopt the principles of

continuous quality improvement. The study presents a case analysis of leaders in colleges

that have demonstrated success as measured by the Baldrige Education Award criteria.

This study explored leadership characteristics and behaviors as well as situational and

intervening factors in institutions that have committed to the principles of CQI. The

major research questions that were addressed in the study are as follows:

* Is there a difference in the situational variables in colleges with similar levels of
implementation of CQI?

* Is there a difference in the personality traits of leaders in colleges with similar levels
of implementation of CQI?

* Is there a difference in the leadership styles used by leaders in colleges with similar
levels of implementation of CQI?

* Is there a difference in the team types used by leaders in colleges with similar levels
of implementation of CQI?

* Is there a difference in the intervening variables affecting CQI implementation in
colleges with similar levels of implementation of CQI?

This study determined the leadership traits and styles found in presidents and

senior team members of institutions that have demonstrated effective implementation of








CQI strategies. Situational and intervening factors were also identified and explored.

Specifically, this study determined the level of implementation of the 1998 Malcolm

Baldrige Quality Award Education Criteria for Performance Excellence in member

institutions of the Continuous Quality Improvement Network. The colleges with the

highest performance were selected for further study. Both quantitative and qualitative

inquiry methods were used to answer the research questions. The Occupational

Personality Questionnaire was used to determine the critical traits, team types, and

leadership styles of the leaders and their senior team members. Questionnaires,

institutional reports, and other documents were used to gather information about the

situational and intervening factors that are associated with successful implementation of

CQI. Semi-structured interviews were used to further explore the contextual conditions.

Based on the analysis of this data, a theoretical construct for community college

leadership in CQI organizations was developed.

This study explored the nature of leadership exhibited by presidents in community

colleges that have demonstrated successful implementation of continuous quality

improvement principles. The research instruments included the Baldrige Quality Index

Rating Self-Assessment Survey; the Occupational Personality Questionnaire (OPQ)

developed by Saville and Holdsworth, Limited (SHL) in 1984; background

questionnaires profiling the institution, the president, and senior team members; analysis

of college documents; and individual interviews. A detailed description of the

methodology is presented in Chapter 3.








Significance of the Study

Current knowledge of leadership styles is not sufficient to meet the demands of

today's management innovations such as TQM (Jameson & Soule, 1991). Many

researchers (Bass, 1990; Bennis & Nanus, 1997; Bimbaum, 1988; Eisner, 1984; Fisher, J.

L. & Koch, 1996; Gratton, 1993; Yukl, 2001) have stated the need for a more complete or

comprehensive study of leadership.

Studies of CQI in community colleges have often focused on levels of

implementation (De Los Santos, 1996; Fallo, 1997; Paris, 1996) or on the appropriateness

of CQI to educational institutions (Carpino, 1995; Zagorski, 1994). Only a few studies

have focused on leadership in CQI colleges (Brigham & Carusone, 1996). Neither Lappas

(1996) nor Haire (1997) found any correlation between transformational leadership styles

and continuous quality improvement efforts. Kyle's (1995) results did not show a strong

relationship between the visionary leader and a total quality culture. Lockwood (1995)

found a significant relationship between the frequency of lateral decision-making of

academic deans and a stated commitment to total quality in a community college.

Lockwood indicated that further research on decision-making in total quality institutions

is needed. There has been no study that has focused on leadership in institutions with a

high level of quality implementation or that has examined a broad range of factors

affecting leadership.

The results of this research will enrich the existing body of knowledge about

leadership and quality theory and will provide a baseline of information for further

research. This study adds to the theoretical knowledge of leadership, organizational

change, and team functions, and it offers a new approach for studying successful leaders








by selecting those to be studied based on institutional success. The results should also be

of interest to practitioners who wish to implement CQI in their institutions.


Definition of Terms

Total Oualitv Management is a management philosophy that focuses on

developing, maintaining, and adapting processes that promote continuous improvement

of all aspects of the organization in order to meet a clearly defined vision based on

customer satisfaction.

Continuous Quality Improvement is sometimes regarded as the processes

involved in improving quality, but it is most often used interchangeably with total quality

management. Continuous Quality Improvement is the term for TQM more commonly

used in institutions of higher education.

Leadership has been defined in terms of individual traits and behaviors, influence

over others, interactions with others, and responses to the situation or environment. This

study sought to explore these various concepts of leadership within a CQI organization.

Personality is that which is concerned with a person's typical or preferred ways of

behaving, thinking, and feeling (Saville & Holdsworth, 1996, p. 1-4).

Leadership Attributes are those personality traits relevant to effective leadership

(Saville & Holdsworth, 1996, p. 10-5).

Leadership/Associate Styles are the result of a combination of attributes. They

indicate the behavior of an individual in vertical relationships with supervisors and with

subordinates (Saville & Holdsworth, 1996, p. 10-7).

Team Types identify the roles that individuals are most likely to assume when

they are part of a group or team (Saville & Holdsworth, 1996, p. 10-5).









Leadership Situational Variables consist of the contextual and organizational

conditions that exist within a leadership setting.

Leadership Intervening Variables concern internal or external interventions that

the leader can influence.


Limitations

The target population was limited to the member community colleges of the

Continuous Quality Improvement Network. The case studies were further limited to the

presidents and senior leaders in the two colleges that scored highest on the Self-

Assessment survey. The Self-Assessment instrument, the Occupational Personality

Questionnaire, and the interviews were all self-reporting instruments. Although no

conclusions were drawn from any information obtained from only one source in the case

study, the self-report instruments were subject to individual response errors. The

conclusions are based on qualitative analysis and cannot be generalized to other

populations.


Summary

Community colleges face new challenges as society, government, and industry

look for solutions to today's problems within a context of continuous change and of a

shift from an industrial-based to an information-based economy (Rowley, 2001). In

recent years, several colleges have adopted the principles and practices of total quality

management as the framework for organizational change. Total Quality Management

provides the flexibility and tools that colleges need to adapt and remain flexible, and thus

viable (Godbey, 1993). The successful implementation of CQI principles can be

measured using the Malcolm Baldrige National Quality Award Education Criteria for






15

Performance Excellence (Holmes, 1997; Moore, 1996; Thompson, 1995; Watwood,

1996; Winn & Cameron, 1998).

Proponents of CQI have stressed the importance of leadership in successful

implementation, but the leadership characteristics and abilities required for successful

CQI implementation are undefined (Culp 1992; Fisher, J. L. & Koch, 1996; Haire, 1997).

For this study data were collected to develop a theoretical construct that identifies the

leadership traits, team types, and leadership styles that are present in presidents and other

senior leaders in colleges that have successfully implemented CQI in particular settings.

This construct adds to the theoretical knowledge of leadership, organizational change,

and team functions. It should also be of interest to practitioners who wish to implement

CQI in their institutions or who are interested in the influence of situational variables on

leadership.













CHAPTER 2
REVIEW OF LITERATURE

This chapter includes a review of the literature on applying TQM/CQI principles

in an academic setting as well as a review of the literature on leadership theory. The first

section examines the theoretical and historical basis for the quality movement in the

United States, the common principles of the quality process, and the development and use

of the Malcolm Baldrige National Quality Award (MBNQA). The first section also

examines the appropriateness of CQI to education, studies of implementation of CQI in

education, and studies of barriers to implementation. Both the theoretical support and

successful practice of CQI in education and the concerns and cautions were examined.

The development and use of the MBNQA in education was also described. A review of

the literature on the use and appropriateness of the award criteria was included.

The second section examines leadership theory and studies of the application of

leadership theory to higher education and to implementation of continuous quality

improvement in higher education institutions. This section also reviews studies of

community college leadership including the theoretical basis for leadership

characteristics and abilities needed for future community college leaders. This section

also examines theories and principles of change in an organization and the theory and

practice of team leadership, particularly in continuous quality improvement

organizations.








Continuous Ouality Improvement

Theoretical Basis for Quality Management

The principles underlying the structural and philosophical approaches to quality

management in the United States are rooted in the works of three major theorists, W.

Edwards Deming, Dr. J. M. Juran, and Philip B. Crosby. Deming first worked with

Japanese businesses in the 1950s and became recognized in Japan as the primary

contributor to the improvement of the Japanese economy. Deming's book, Out of the

Crisis, (1986) written to transform American management, was based on 14 points that

"apply anywhere, to small organizations as well as to large ones, to the service industry

as well as to manufacturing" (p. 23).

1. Create constancy of purpose toward improvement of product and
service, with the aim to become competitive and to stay in
business, and to provide jobs.

2. Adopt the new philosophy. We are in a new economic age.
Western management must awaken to the challenge, must learn
their responsibilities, and take on leadership for change.

3. Cease dependence on inspection to achieve quality. Eliminate the
need for inspection on a mass basis by building quality into the
product in the first place.

4. End the practice of awarding business on the basis of price tag.
Instead, minimize total cost. Move toward a single supplier for any
one item, on a long-term relationship of loyalty and trust.

5. Improve constantly and forever the system of production and
service, to improve quality and productivity, and thus constantly
decrease costs.

6. Institute training on the job.

7. Institute leadership. The aim of supervision should be to help
people and machines and gadgets to do a better job. Supervision of
management is in need of overhaul, as well as supervision of
production workers.









8. Drive out fear, so that everyone may work effectively for the
company.

9. Break down barriers between departments. People in research,
design, sales, and production must work as a team, to foresee
problems of production and in use that may be encountered with
the product or service.

10. Eliminate slogans, exhortations, and targets for the work force
asking for zero defects and new levels of productivity. Such
exhortations only create adversarial relationships, as the bulk of the
causes of low quality and low productivity belong to the system
and thus lie beyond the power of the work force.

11. Eliminate work standards (quota) on the factory floor. Substitute
leadership. Eliminate management by objective. Eliminate
management by numbers, numerical goals. Substitute leadership.

12. Remove barriers that rob the hourly worker of his right to pride of
workmanship. The responsibility of supervisors must be changed
from sheer numbers to quality. Remove barriers that rob people in
management and in engineering of their right to pride of
workmanship. This means, inter alia, abolishment of the annual or
merit rating and of management by objective.

13. Institute a vigorous program of education and self-improvement.

14. Put everybody in the company to work to accomplish the
transformation. The transformation is everybody's job. (pp. 23-24)

Deming (1986) stressed controlling work processes using statistical thinking; he

developed a system to distinguish acceptable variation from problematic variation, and he

connected success to doing things right the first time, eliminating rework. Deming argued

that success is not based on best efforts alone. He believed that people also need to know

what to do, and leaders have to assume the responsibility for the drastic changes required.

Deming's method requires constant assessment and improvement as well as a breaking

down of barriers between workers and managers.

Juran also spent time working with the Japanese, providing training courses in

managing for quality. His book, Juran on Leadershin for Quality. (1989) was written to








provide leaders with strategies to attain quality through the use of three processes: quality

planning, quality control, and quality improvement (p. 20). Juran also recognized that

managing for quality requires fundamental change, "virtually a change of culture" (p.

321). Juran warned against mandating change; instead, he advised managers to develop

practices to motivate participation in a positive way. Practices he advocated included

participation, recognition, and communication (p. 433-437).

Crosby (1979) stressed organizing and motivating for quality. "Quality

management is a systematic way of guaranteeing that organized activities happen the way

they are planned. It is a management discipline concerned with preventing problems from

occurring by creating the attitudes and controls that make prevention possible" (p. 22). In

Quality Without Tears (1984), Crosby explained the four absolutes of quality:

conformance to requirements; prevention; zero defects; and the price of nonconformance.

According to Crosby (1988), successful companies have five characteristics: "people do

things right routinely; growth is profitable and steady; customer needs are anticipated;

change is planned and managed; and people are proud to work there" (p. 16). Managers

must see quality as an asset and must implement the four absolutes.

These three theorists differ somewhat in their interpretations of total quality

management, but all three cite the need for major change and the absolute commitment of

top leadership.

History of Oualitv in the United States

Juran (1995) described the development of managing for quality in the United

States. American colonists followed the European practice of master craftsmen training

apprentices. Quality was determined through inspection of the product by the master,

who supervised the creation of products for local customers. Managing for quality








through product inspection continued as the industrial revolution began in the nineteenth

century. In the late nineteenth century, American businesses adopted the scientific

management system of Frederick W. Taylor. To increase productivity without increasing

the number of skilled craftsman, Taylor separated product planning from product

development. However, the distancing of the craftsman from the final product and the

evolution to processes using semiskilled and unskilled workers negatively affected

quality. Departmental inspectors replaced master craftsmen, and products were made for

unknown customers. Employee morale and quality declined. Inspection departments had

to be developed to assure that faulty products were not sent to market.

Managing for quality began to shift from inspection to statistical quality control

(SQC) in the mid-1920s, but the major impact of SQC did not occur until World War II

(Juran, 1995) when quality began to be viewed "as a distinct management responsibility

and as an independent function" (Garvin, 1988, p. 5). During this era, mathematical and

statistical tools, such as analysis of variability, statistical sampling techniques, and

Statistical Process Control (SPC), were developed (Garvin, 1988). Specialists and

engineers were hired to manage quality control departments, and these departments were

given a high status in company hierarchies. However, acute shortages of goods after

World War II shifted emphasis to meeting delivery schedules, and quality suffered

(Juran, 1995).

During the second half of the twentieth century, forces emerged that challenged

the quality of U.S. products and shifted emphasis to quality assurance (Juran, 1995). The

growth of consumer grievances and consumerism led to increases in test laboratories,

product certification, government certification, consumer protection agencies, and better








business bureaus. The growth of consumerism along with growth in litigation and

government regulation increased the demand for quality assurance. Quality assurance,

which focused on remedying quality problems after purchase, became a management

priority.

The Japanese quality revolution eventually forced American companies to

develop efforts to become competitive in quality during production rather than after

production. Garvin (1988) describes this stage as the era of strategic quality management.

This stage required a dramatic shift to a new vision. "For the first time, top managers...

linked it [quality] with profitability, defined it from the customer's point of view, and

required its inclusion in the strategic planning process" (p. 21).

Common Quality Principles

Although researchers and theorists have recommended a variety of models to

implement quality management, a number of common principles are fundamental to the

success of a quality program (Fallo, 1997; Juran, 1995; Seymour, 1992).

* Customer focus. Customers must be satisfied with the quality. The concept of
customer includes both internal and external stakeholders.

* Key role of upper managers. Success is not possible without the personal
commitment and involvement of upper managers.

* Strategic quality planning. The organization's plan must include quality-related goals.

* Continuous quality improvement. Planning must be converted to projects that result
in quality improvement. New organizational structures employing collaborative,
multifunctional teams of managers, specialists, and representatives from all levels
must be involved in continuous improvement projects.

* Processes. Key processes must be examined and redefined to meet quality
improvement plans and to produce given results.









* Training. Training encompasses many areas ranging from training in the use of
statistical methodologies to training in managing quality. Training involves all
employees in all departments and job functions.

Measurement. Measurement of success and outcomes must involve both the
technological/production level and business processes.

Benchmarking. Benchmarking, making comparisons to comparable processes in other
businesses or settings, promotes factual analysis rather than empirical judgment.

* Empowerment. Planning that includes management and the workforce empowers all
workers making workers more self-directed and tapping vital experience.

* Motivation. Recognizing superior performance improves motivation. Constant
change requires recognition and reward systems that acknowledge and encourage
quality performance.

* Persistence. Constancy of purpose and long-term commitment are required for
success.

Malcolm Baldrige National Quality Award

The national standard for measuring the success of TQM in industry is the

Malcolm Baldrige National Quality Award (MBNQA) (Juran, 1995). The United States

Congress passed legislation in 1987 that authorized the U.S. Department of Commerce to

develop the award. The criteria for the award cover seven categories: leadership, strategic

planning, customer and market focus, information and analysis, human resource focus,

process management, and results (Education, 2001). Knotts et al. (1993) concluded that

service and industry agree that the Baldrige Award provides the best framework for a

total quality management system.

The Malcolm Baldrige National Quality Award was established as a stimulus to

improving quality. According to Juran (1995) the award greatly increased national

awareness of the subject of improving quality. Although the number of applicants for the

yearly award is usually under 100, many companies use the Award criteria as a tool to








self-evaluate their strengths and weaknesses. In addition, the Baldrige has stimulated the

growth of state awards. As of 1994, over two-thirds of the states had created such awards

(Juran, 1995). Knotts et al. (1993) reported on survey responses from 285 service and

industrial firms. They concluded that the firms consistently agreed that the award process

and its criteria are appropriate and that the Baldrige Award is accomplishing its goals.

The Baldrige Award "fosters quality awareness, promotes the understanding of the

requirements for quality excellence, promotes sharing of information on successful

quality strategies, and recognizes U.S. companies that excel in quality achievement and

quality management" (p. 52).

Appropriateness of Continuous Quality Improvement to Education

American businesses turned to quality management in response to global

competition and a loss of American markets. Educational institutions, which are also

experiencing rapidly increasing costs, competition from the private sector, declines in

enrollments, and demands from the public and government for more accountability, have

also turned to quality management for solutions (Holt, 1993; Mangan, 1992; Rhodes,

1992). Juran (1995) noted that industrial companies feel that "while quality has risen

greatly in importance, the educational system has not kept up with this trend" (p. 591).

The relevance of quality management to higher education has been affirmed

(Holt, 1993; Rhodes, 1992; Shaw, 1993) for meeting current challenges (Holmes, 1997),

for meeting high standards (Barth et al., 2000) and for enriching faculty and student

experiences (Bonstingl, 2001). Continuous Quality Improvement encourages educational

institutions to refine or redefine missions that have become too broad and that attempt to

be all things to all people (Brigham, 1994b; Seymour, 1993b). Its emphasis on the

customer is an opportunity to demystify the concept of quality in education (Marchese,








1993) and to address the complaints and expectations of students, parents, employers, and

legislators (Brigham, 1994b). Continuous Quality Improvement's emphasis on continuous

improvement provides an opportunity for organizations to modify overly

compartmentalized administrative structures and disconnected academic activities

(Brigham, 1994b; Seymour, 1993b).

Seymour (1993b) pointed out that TQM can help colleges and universities

improve performance. He also claimed that faculty reward systems and curriculum can be

positively influenced. For Seymour, the greatest benefit of adopting CQI is the possibility

of shifting from a resource model to a performance model as a foundation for educational

excellence.

Marchese (1993) outlined a number of benefits of TQM to educational

institutions. He said that focusing on customers, both internal and external to the

institution, is the first benefit. The focus on customers demystifies quality because quality

becomes a function of the institution's contributions to student learning; thus, quality is

knowable and measurable. A second benefit is continuous improvement. According to

Marchese academics know about quality assurance, but the idea that teaching and

learning need to be continuously improved is new. A third benefit is management by fact,

which is also new to academia. Benchmarking, the systematic search for best practices, is

a fourth benefit. Fifth is TQM's philosophical tenet to give power to each person's work;

policies should be aimed at empowerment of individuals and work teams. A sixth benefit

is an organizational structure that includes training, teamwork, and mutual accountability.

American colleges and universities are highly compartmentalized and vertically

structured, making change and innovation difficult.








Godbey (1993), Executive Director for the Lehigh Valley Association of

Independent Colleges in Bethlehem, Pennsylvania, looked beyond the implementation of

TQM in individual institutions. Godbey argued that in the realm of distance learning and

virtual companies higher education institutions will need to develop cooperative

relationships with other institutions. He suggested that TQM principles such as

cooperative teams and organizational transformation must be used to develop agile

institutions, institutions ready to respond and adapt to improve their competitive positions

through cooperation.

The applicability of the quality movement to higher education has also been

criticized. Higher education consultant J. L. Fisher (1993) argued that TQM is potentially

dangerous, especially if leaders adopt it believing it represents a quick fix for difficult

problems. Fisher warned that TQM's emphasis on attributing problems to poor processes,

not to people, minimizes the importance of individual performance, accountability, costs,

and leadership.

Chickering and Potter (1993) expressed concern about the concept of the student

as customer, warning against accepting the idea that giving students what they say they

want is truly meeting the customer's need. They pointed out that the customer is not only

the individual student but also the "collective social enterprise" (p. 35). They supported

surveying students about their needs only if used as one piece of a broader base of

information to determine what students need from the institution and what society needs

from graduates. The success of TQM in academic areas is critically dependent upon

understanding that meeting the needs of the customer does not mean focusing on the

short-term desires of individual students.








The difficulties of implementing quality management successfully, the differences

in levels of motivation for embracing quality management, and the cultural and structural

differences between business and education have been studied. Marchese (1993)

described total quality as "complicated, important, difficult to implement, and far from

figured out" (p. 10). Coates (1996) pointed out that corporations turned to quality

management because they felt change was necessary for survival. In contrast, although

some of the same problems exist in education, colleges and universities do not have a

perceived need that they must change or they will cease to exist (Marchese, 1993).

Carothers (1992) addressed those who are skeptical about the appropriateness of

applying quality management on campus because of the mismatch of cultures existing

between industry and education. He claimed that higher education can learn from the

quality movement but also that the movement can learn from higher education.

"American higher education has been and continues to be what TQM calls a 'benchmark'

for the rest of the world" (p. 6). American universities are held together by shared vision

and by values that shape behavior without coercion. Faculty are empowered employees,

and their institutions invest heavily in their development. Quality management

"incorporates a philosophy about work, people, and relationships built around humane

values and shared vision" (p. 7) and is, therefore, appropriate for academic institutions.

Carothers did concede that campuses must translate quality concepts such as focus on the

customer and management by fact into language appropriate to an academic culture in

order to incorporate a philosophy that relies heavily on the intellectual and creative

abilities of people.








Implementation in Education

Continuous quality assurance first appeared in education about 1984 (Wolverton,

1994). Marchese (1993) cited the 1991-92 academic year as one of large increases in

academic interest. The American Association for Higher Education (AAHE) first

addressed quality management in 1989 (Marchese, 1992). In 1992, in response to the

explosion of interest in CQI, AAHE co-founded the Academic Quality Consortium

(AQC) in partnership with the William C. Norris Institute. The purpose of AQC is to

provide campuses implementing CQI with opportunities to learn and work

collaboratively to improve implementation of CQI. Support includes a summer academy

that focuses on student learning (Summer, 2001, 18).

In 1991, the California Board of Governors authorized a Commission on

Innovation to study ways to meet the challenges of the California community college

system. Citing limited finances and rapid change, the Board called for a new perspective

requiring profound change in the organizational culture of all the colleges. The

Commission recommended that all community colleges adopt and implement the CQI

philosophy (Commission, 1992). In 1993, two education journals, Educational Record

and Change, published issues that focused on quality initiatives in higher education. In

1994 the Community College Journal of Research and Practice (CCJRP) published an

issue devoted to the theme of TQM. Departing from its emphasis on research-based and

practice-based articles, the journal presented a collection of what editor Lumsden (1994)

described as "anecdotal and impressionistic accounts of what does and doesn't work and

why" (p. iii). And, in 1994, the Ohio State University Center on Education and Training

for Employment published a report on TQM in community and technical colleges based

on its work with the National Alliance of Community and Technical Colleges. The









Alliance had focused on TQM as its theme for the previous two years (Coady & Hair,

1994). Brigham and Carusone (1996) wrote a resource guide to assist colleges and

universities involved in CQI. The 120-page guide listed institutions, associations, and

conference resources as well as print, audio, and video articles and references.

Studies of COI in Educational Institutions

Studies of CQI implementation in education are primarily descriptive. Common

elements in these studies include motives for adopting CQI, a description of the process,

and the degree of implementation. Often schools turn to CQI because of declining

enrollments or budget cuts; however, in some cases, highly successful institutions with

reputations for innovation have also adopted the principles of CQI. Implementation most

frequently begins in the service or business areas of the college rather than in the

academic areas. The process involves commitment of the top leadership, training,

development of teams, and redesigning planning and assessment activities. The majority

of studies reported that after three to five years of involvement, most schools have just

begun implementation.

Motivation for beginning total quality management at Syracuse University came

from deep budget cuts and declining enrollments (Shaw, 1993). Chancellor Kenneth A.

Shaw provided the impetus, and he involved his seven cabinet members. Early activities

included training for the cabinet members and revision of the university's mission and

vision. Syracuse also developed teams to identify problem areas and to propose solutions.

Shaw emphasized the heavy time commitment, both in hours of training and in years of

work, needed for full implementation. Syracuse first applied TQM to service areas, and

Shaw reported that the institution was just beginning in academic areas.








Donald Entner, Director of the Center for Quality and Productivity at Delaware

County Community College (DCCC) in Pennsylvania, described implementation at

DCCC. In 1986 the college adopted the principles of TQM to transform its educational

environment (Entner, 1993). In 1985, the president and executive staff committed to a

year long study of total quality principles. By the end of the 1980s, DCCC was using

these principles to develop and carry out its goals for the 1990s. In early 1990, the

administration and the board of trustees spent 15 months redefining the college's

philosophy, mission, and goals. All college planning and goals were integrated. DCCC

used the 1992 Malcolm Baldrige Award Criteria for quality standards as a guideline for

implementation. To meet the criterion of top management leadership and support, DCCC

trained the executive staff and made quality management a part of cabinet activities and

meetings. To integrate the organization's planning process, DCCC developed a ten-year

plan for implementation that became a part of every department and of daily management

processes. Entner reported that use of total quality principles in the curriculum and in

classroom management was the last phase of this integration. In 1993, seven years after

the college began developing its total quality (TQ) approach, 15 of 120 full-time faculty

had used some TQ concepts and tools in their classrooms. DCCC has identified students

as a major customer and has developed numerous methods of surveying students before,

during, and after their time at DCCC. The college engages in many types of employee

training and recognition and has empowered employees through quality teams that work

to solve college problems. Team successes include redesigning the phone system so that

student calls were not lost, reconfiguring parking assignments for more efficient use of

space, improving classroom scheduling and room assignments, and centralizing copy








facilities. President Richard DeCosmo supports claims that integrating total quality into

an academic environment requires persistence, commitment, and strong leadership

(Entner, 1993).

Seymour (1993a) reported on three institutions that had committed to continuous

quality improvement: Georgia Institute of Technology, Pennsylvania State University,

and the University of Maryland. All are successful institutions, but all found major areas

that needed improvement. In part, Georgia Tech's motivation for implementing CQI

came from its anticipated global exposure as it served as the site for the Olympic Village

in the 1996 summer Olympics. Despite its successful recruiting of highly qualified

freshmen and its sound research resources, a comprehensive analysis of the university

and its programs exposed numerous weaknesses. In 1987, President Pat Crecine began to

shift Tech's focus using CQI. Retention, particularly of minorities and women, became

the primary goal. Seymour described a successful program that continues to look for

ways to improve. Interest in TQM at Pennsylvania State University began in the Smeal

College of Business Administration when its dean met with others to draft a proposal for

an IBM Total Quality Management Competition. By 1991, Pennsylvania State University

had many operational pieces of CQI in place. To expand its integrated vision, Penn State

began analyzing its relationships with its input source, the high schools, and with its

output resource, employers. College leadership is strongly supportive and willing to

"walk the talk" (Seymour, 1993a, p. 21). President William Kirwin leads the CQI

initiative at the University of Maryland. His motivation is his belief that cultural

transformation of their "educational strategy and institutional infrastructure" (p. 25) is

necessary to meet the global marketplace demands of the new century. Maryland has








successfully implemented a number of initiatives and improvements and has become a

nationally recognized center for training and research on the topic of quality. Despite the

examples of successes on these three campuses, Seymour pointed out a troubling

"disconnection between institutional goals and individual goals" (p. 27), a confusion of

activities with results, and a lack of urgency to change, particularly among faculty. He

saw an unwillingness to confront the reward systems that discourage collaborative work

and that cause measurements to be seen as a way to rank and punish rather than reward.

The University of Wisconsin's Graduate School admissions office chose TQM

tools and techniques to help personnel redesign a "runaway" admissions process. Nagy et

al. (1993) reported a successful redesign of the graduate admissions process at the

University of Wisconsin. Using quality tools and processes over a two-year period, a

team representing all areas affected by graduate school admissions simplified processes

and improved efficiency at all stages. The success represented "a shift in thinking from

working harder and longer to working better" (p. 40).

Maricopa County Community College District is a 10-college system serving

180,000 students a year in the Phoenix area (Assar, 1993). It is considered one of the best

systems in the country, and its chancellor, Paul Elsner, is highly regarded as one of the

most effective college leaders in the nation. Continuous Quality Improvement began in

the Maricopa system in 1991 largely as a result of the interest of Linda M. Thor,

President of the Rio Salado campus. Thor began administrative and classroom

implementation of TQM in March 1991 (Thor, 1994b). By April 1993 all full-time and

some part-time employees at Rio Salado had gone through 40 hours of training in TQM's

basic concepts and tools, and more than a dozen quality-improvement teams had been








formed to improve various college processes. Chancellor Elsner began a system-wide

"Quantum Quality Initiative" in 1992, a program intended to focus on effective teaching

and learning (Assar, 1993). Maricopa trained administrative and faculty leaders and

established quality coordinators throughout the system (Assar, 1993). Leaders in the

Maricopa district stressed the need for training, for patience, and for persistence, and

Chancellor Elsner and Board Chair Grant Christiansen both stressed the need for total

commitment from top leaders.

Thor (1994a) said that CQI promotes a shared vision, a focus on the customer,

and employee involvement in decision-making. Increased teamwork and employee

empowerment are major benefits of CQI, and training becomes an integral part of the

institution's processes. Although the leader relies on data and measurement for decision-

making, leadership remains an art form. The leader must understand how to face crisis

and must be willing to lead others to overcome crisis. Major barriers include heavy time

commitment, a general aversion to change, reluctance of middle management, and overall

underlying attitudes (Thor, 1994a). Thor stated, "the failure of the leader to lead is one of

the chief causes of failure in TQM implementation" (p. 363).

Entin (1993) looked at 10 colleges and universities in the Boston area that began

implementing TQM in 1990-91. In most cases, interest to begin CQI came from a

strategically placed administrator and the president. Programs started with the training of

senior institutional managers, and most used outside consultants. According to Entin,

these schools, though already involved in TQM for two or three years, described

themselves as just beginning the process. He found that academic fields more closely

connected to business and industry, such as business administration, management, and








engineering, were the only ones involved in TQM. No liberal arts faculty were involved.

He also found that when presidents had to address crises immediately, they abandoned

TQM in favor of more traditional methods. Entin warned that the high degree of

skepticism and opposition from core academic units made success in educational

institutions difficult. For TQM to succeed in academic institutions, "two conditions are

necessary: college presidents must perceive TQM as a means to solve major problems

facing their institutions; and senior academic affairs administrators and faculty must

believe TQM is related to their concerns and interests" (p. 31). Entin stressed the need to

invest five or more years in the first stages and another five to integrate the process

completely.

President Sam Schauerman and Staff Developer Burt Peachy (1994) implemented

TQM at El Camino College in Los Angeles County over a 4 V2 year period. During that

time they trained 73% of the support staff, 98% of management, and 23% of faculty.

They reported that most process improvement teams were related to the support services

side of the college and that they had difficulty convincing full time faculty to accept the

TQM philosophy. However, some El Camino faculty have used classroom assessment

techniques and have developed an initiative in classroom assessment. The college also

adapted Baldrige award criteria as benchmark criteria (Schauerman & Peachy, 1994).

LeTarte and Schwinn (1994) reported on the first four years of implementing

TQM at Jackson Community College in Michigan. The process began with the hiring of a

new president, Dr. Clyde E. LeTarte, who brought an interest in a more participatory

management system than had previously existed at the college. Although successful

implementation depends on all people at all levels, the commitment of management is the








key factor. They cite the most significant benefit to be the renewed excitement about

learning that began to occur. Implementation placed the initial focus on problem

prevention and eventually shifted to focusing on improvement and innovation. LeTarte

and Schwinn stressed the importance of understanding institutional systems and of using

systems thinking. They also stressed the need for team involvement and team learning

throughout the organization. They cautioned that educational institutions cannot directly

transfer the business model of TQM. Rather, leaders must learn the theory and translate it

to the particular systems associated with teaching and learning. For example, they

claimed that the concept of customer satisfaction cannot be incorporated into an

educational plan without some modification that recognizes that students are not the only

interpreters of quality or of appropriate service. The educational model must recognize

external standards derived from a variety of customers of education. LeTarte and

Schwinn also felt that long-term commitment in an educational institution is more

difficult than in industry because of changing public boards and legislative measures.

Coady and Hair (1994) described implementation efforts at Edison Community

College in Ohio and Savannah Technical Institute, respectively. Implementation at

Edison began with the president's commitment to change the culture and values. Efforts

stressed training, communication, values development, assessment, empowerment, and

team development. Five years into the process, Coady indicated changes were just

beginning, primarily because the institution had to undergo a complete transformation

from an autocratic organization. Savannah Tech began implementing TQM in part

because its Development Center was teaching the concepts to business and industry. Hair








(Coady & Hair, 1994) stressed the importance of the vision of the president and cited the

difficulties associated with translating that vision to the faculty and the classroom.

Fallo (1997) studied the implementation of CQI in a random sample of schools in

the Continuous Quality Improvement Network (CQIN). Fallo surveyed 11 of the 28

member institutions. His results indicated that most schools had considerably more work

to do before they would be clearly functioning as continuous quality institutions. Fallo

also reported that all 11 schools cited the chief executive officer as the key factor to

implementing CQI and that continued support and leadership from the CEO was critical

to continued progress.

These 10 reports of efforts to implement CQI principles into colleges and

universities underscore the need for total commitment, training, and widespread

involvement of personnel. All indicated that leadership and team development are key

factors for success. However, they did not describe the qualities, traits, or characteristics

needed by these leaders.

Studies of Barriers to Implementation

Steven E. Brigham (1994a), Director of the Continuous Quality Improvement

Project at the American Association for Higher Education, analyzed the mistakes and

accomplishments found in industry's attempts to implement TQM. The literature he

reviewed concluded that often implementation of TQM has been deficient, but

researchers did not conclude that the TQM philosophy itself is seriously flawed. He cited

lack of leadership as the primary reason for failure. Total Quality Management requires

active leaders who shape the strategy and support the process. Other mistakes included

involving middle managers without adequate training or commitment and requiring

employee training without providing opportunities for employees to use the training in








meaningful ways. Concentrating on changing processes to the exclusion of assessing

results and failing to include external customers as well as internal ones were additional

mistakes. Brigham (1994a) found evidence that TQM can and does work in reports such

as a three-year quality study conducted jointly by Ernst and Young and the American

Quality Foundation and in a General Accounting Office report indicating that the highest-

scoring applicants for the 1988 and 1989 Malcolm Baldrige Award were among the most

successful in the nation in areas such as employee relations, productivity, customer

satisfaction, market share, and profitability.

Marchese (1993), who studied implementation in higher education, reinforced the

idea that implementation of CQI is difficult and time consuming. To succeed, higher

education leaders must be willing to make the commitments required, and they must not

avoid or delay implementation in the core mission of teaching and learning.

Peter T. Ewell (1993), senior associate at the National Center for Higher

Education Management Systems in Boulder, Colorado, provided an analysis of the slow

success of TQM in higher education. While some academics claim that education is well

suited to quality improvement and already engages in many of TQM's tenets, Ewell

claimed that many educational processes are not easily adapted to TQM. For example,

faculty may be an empowered workforce, but work teams and cooperative, cross-

functional strategies contrast sharply with individual faculty autonomy and the traditional

isolation of disciplinary departments. Ewell also contrasted TQM's focus on identifying

core processes and how they work with teaching and learning functions. The curriculum

is rarely seen as a process, especially one to be influenced by other processes, both

internal and external to the department or institution. Ewell said that academic research is








a valid example of continuous improvement, but he does not see a similar commitment in

undergraduate education. Reducing variation is another TQM concept that seems to apply

in some places but not others. Reduction in variation is seen as a valid goal in basic,

prerequisite, or professional skills, but in the realm of higher-order thinking and the

liberal arts, the development of individual voice and style is valued. Perhaps the greatest

concern in academic institutions has centered on the concept of serving customers.

Students are customers of many administrative processes such as registration and

counseling, but the term does not clearly fit inside the classroom. Despite these

differences, Ewell suggested that the traps can be avoided and that education can develop

its own version of quality management that can offer rich potential for improvement.

Entin (1994) returned to the 10 institutions he first studied a year earlier and

found that five had stopped or delayed implementation. Four displayed some level of

implementation in some units, and only one claimed to be achieving systematic

implementation. He did find examples of projects or improvements at all 10 schools that

had occurred as a result of continuous quality improvement, but he also found that top

managers tended to abandon TQM when they had to face crises such as major budget

cuts, employee layoffs, and declining enrollments. In the tenth college, the president

continued to be involved and to support TQM efforts throughout the institution. Strong

faculty opposition to TQM concepts and disagreement over the concept of the student as

customer led some school leaders to believe that TQM is not suited to higher education.

Entin (1994) identified several reasons for these results. Some campuses began

with only a superficial understanding of and training in TQM. In addition, the culture of

academic institutions is not conducive to the approach, particularly since faculty often








feel untouched by the larger problems facing their institutions, and, finally, many schools

began using TQM to solve isolated problems rather than to initiate larger, more

permanent, changes in the structure and culture of the institutions. Entin did state that the

changes that have occurred have all been seen as positive and that these institutions have

not yet invested the 10 years that many advocates say are necessary to impact the culture.

Hammons (1994) stressed the need for everyone involved to have a clear

understanding of what TQM is and what is involved. Hammons listed 18 prerequisites

necessary for successfully implementing TQM. All of them involve the commitment and

involvement of top administrators. Hammons warned that TQM has the potential for

causing trauma and that it requires a substantial length of time before results are seen;

therefore, he advised that colleges should be healthy enough to withstand trauma. He

concluded that colleges experiencing major problems should look to other solutions. He

said that TQM requires a cultural transplant; the culture of the organization is the primary

barrier to implementation.

Van Allen (1994) concluded that reported problems of implementation of CQI

were a product of inadequate leadership rather than of defects in the TQM model. He

found that the inability or unwillingness of leadership to manage change in organizational

culture was the primary cause of frustrations and failures.

Horine and Hailey (1995) surveyed 160 colleges and universities at various stages

of implementing quality management practices. They identified five key challenges:

organizational culture, senior leadership commitment, faculty support, implementation

time, and training. They reported the greatest challenge for leaders was to change the








organizational culture and that the greatest cause of failure was lack of support from top

management.

Peterson (1993) also concluded that developing continuous quality assurance is

more than adopting a new management style; CQA requires a different philosophical

approach to all aspects of an organization. He concluded that those businesses and

industries that have been most successful in achieving profitability through TQM had

CEO's who became the chief quality officer. The CEO must assume responsibility on a

day-to-day operating level because TQM requires major revision of the traditional

administrative organizational structure. The president must adopt a philosophy of helping

people do a better job as opposed to the traditional role of supervising their performance.

Total Quality Management requires acceptance of the team approach by every member of

the president's immediate staff, especially the operational deans and vice presidents.

Finally, presidents must develop a vision that is consistent with the unique circumstances

and history of the institution.

Wolverton (1994) found that CQI in education has focused mostly in

administration and student support. She looked at classroom CQI efforts at six

institutions. She found evidence that CQI implementation led to viewing learning as a

continual process, to providing ongoing professional development opportunities, and to

fostering a collegial working environment. However, faculty also reported misgivings

about standardization, benchmarking, the emphasis on customer focus, and the time and

effort required for training and working in teams.

These eight studies highlight the challenges associated with implementing CQI in

educational institutions. These challenges involve change and leadership. Spanbauer








(1994), as President of Fox Valley Technical College, was one of the earliest adopters of

TQM into education. He summarized many of these concerns describing implementation

of total quality as a paradigm shift that challenges cherished traditions. He believes that

TQM fails if the leadership fails to maintain a delicate balance between the technical and

human/social aspects of the total quality philosophy. Successful implementation requires

leadership, vision, and continued assessment. Spanbauer said that it is essential to

distinguish between management and leadership and that the transformational use of

power, as contrasted to transactional power, is a central element of success. He further

described leaders as needing vision and integrity. They must empower others, practice

intensive listening, and embrace the ethic of service. Spanbauer described leadership as

flowing from those being led; he said that leaders must change, particularly in their

relationships with others. Spanbauer also stressed teamwork. Teamwork involves cross

functional groups working together to solve problems, sharing decision making, and

empowering individuals.

Burgdorf (1992) also called for redefining leadership for CQI. Burgdorf described

the systems approach as flowing more horizontally than vertically. Traditional hierarchies

encourage vertical communication. Top managers should work on improving the system

by enlisting the help of employees who work in the system. Leadership involves serving

as a resource, facilitating, leading a team, coaching, counseling and leading rather than

directing, rewarding, and punishing.

Babione (1995) and Farmakis (1995) both studied the effect of implementing

TQM on the culture of an educational institution. They both concluded that TQM does

not necessarily transform an institution from a culture of mistrust to a more positive








climate. However, both concluded that the efforts by the CEO and attention to the

cultural climate can overcome a negative culture, thereby making it possible to

implement TQM.

These studies indicate that a major challenge to successful implementation of CQI

in education is recognizing that CQI is more than a change in management style. It

requires a cultural change, and the change must be integrated throughout the

organization, not isolated in certain areas. The change takes time. Most importantly, the

change requires the full commitment of the leader, and it requires a leadership style that

is participatory and team oriented.

The Malcolm Baldrige Award Criteria in Education

For the past 10 years, eligibility categories for the Malcolm Baldrige Award

included manufacturing companies, service companies, and small businesses (NIST,

1998). Recently, Baldrige criteria were developed for education. The Malcolm Baldrige

National Quality Award Education Criteria for Performance Excellence were piloted

beginning in 1995 and were revised in 1998 and are now modified annually as needed.

The seven categories are Leadership, Strategic Planning, Student and Stakeholder Focus,

Information and Analysis, Faculty and Staff Focus, Educational and Support Process

Management, and School Performance (Education, 2001). In October 1998, the federal

government passed legislation that authorized the National Institute of Standards and

Technology (NIST) to establish and manage Baldrige awards for performance excellence

for education and health care provider organizations (NIST, 1998). In 1999, the award

was opened to these two groups. Although none received the award in the first year of

competition, 16 educational institutions and 9 health care organizations did submit

applications (Kosko, 1999). In 2001, however, three of the five Baldrige Award winners








were in the education category. They included two public school districts and a branch

campus of a state university (Kosko, 2001).

Like the criteria for business and industry, the criteria for education can be used to

guide and assess quality initiatives (Holmes, 1997; Moore, 1996; Paris, 1996; Thompson,

1995; Winn & Cameron, 1998). The Criteria provide a means for an educational

institution to be measured on its successful implementation of quality principles. The

educational award criteria have been shown to be appropriate to the philosophy and goals

of educational institutions (Holmes, 1997; Moore, 1996; Thompson, 1995; Watwood,

1996). A number of institutions, including Delaware County Community College

(Entner, 1993), El Camino College (Schauerman & Peachy, 1994), and Austin

Community College (Fisher, D. C., 2000) have adopted Baldrige award criteria as

benchmarks or guidelines for quality implementation.

Thompson (1995) surveyed the senior administrators in Georgia's 32 technical

colleges regarding the pilot criteria. The administrators in her study said that the Malcolm

Baldrige National Quality Award Education Pilot Criteria as a whole, each of the seven

categories, and each of the 28 criteria were all appropriate for measuring quality in their

institutions.

Moore (1996) studied the use of the criteria at San Juan College. In 1994 and

1995, San Juan College participated in the Quality New Mexico Award process. She

concluded that use of the criteria help institutions avoid many of the mistakes institutions

typically make when implementing TQM. Instead of focusing on statistical tools and

quality processes, the criteria place the focus of attention on values, processes, and results

and thus provide a conceptual framework for an action planning process. Moore








concluded that use of the criteria at San Juan College focused attention on values,

processes, and results. She also concluded that the process San Juan College used to win

an award at the state level was more rigorous than the reaccredidation process because

reaccredidation was based on meeting minimal standards whereas the Baldrige Criteria

required the institution to continuously strive toward the highest standards.

Watwood (1996) concluded that the award's focused, linked framework can also

be used as a model for program development, review, and assessment in various units,

levels, and types of colleges. Watwood stated that because the criteria focus on process

rather than product, their use can help a college move from crisis management to

continual improvement.

Holmes (1997) also concluded that the criteria are appropriate for higher

education and should be used to meet the challenges of the present and the future. Winn

and Cameron (1998) studied the validity of the relationships between MBNQA criteria

and higher education data and developed a model for managing quality-improvement

initiatives.

Seymour (1996) described the award criteria as a "systematic way to pursue

performance improvement" (p. 9) through the codifying of "performance-improvement

principles" (p. 12). Brigham and Carusone (1996) devoted a section of their resource

guide to the Baldrige and the more than 20 state quality programs patterned on the

Baldrige. They reinforced Seymour's assertion that the Baldrige is an important

framework for affecting institution-wide change in higher education.

Summary of Continuous Oualitv Improvement in Education

Despite the interest in continuous quality improvement and the positive interest in

the use of the Baldrige Criteria in both business and education, widespread








implementation of quality improvement has been limited. Seymour (1994) reported that

although 7 in 10 educational institutions surveyed were using principles of total quality

management, only 1 in 10 were using those principles extensively. Juran (1995) felt the

quality initiatives of the 1980s were deeply disappointing. Coates (1996) reported the

success rate of implementing quality improvement in business and industry at 20% to

40%. Juran (1995) traced the disappointing results to "limitations of leadership by upper

managers" (p. 586). Linda Thor (1994a), President of Rio Salado Community College,

stated that one of the primary causes of the failure of implementation of Total Quality

Management is the failure of the leader to lead.


Study of Leadership

In his 1978 book on leadership theory, Bums wrote, "leadership is one of the most

observed and least understood phenomena on earth" (p. 2). Rost (1990) reviewed over

500 books, chapters, and journal articles that were written about leadership in the 1980s

and early 1990 as well as the works of Stogdill, Bass, and Gibb and concluded that the

underlying concept of all these studies views leadership merely as good management.

Sergiovanni (1992) said that the study of leadership "represents one of social science's

greatest disappointments" (p. 2). Yukl (2001) claimed the research is "beset with

confusion and ambiguity" (p. 440). Roueche et al. (1989) concluded that leadership skills

can be taught and acquired on the job but that more research is needed to identify and

understand exceptional CEOs. According to many researchers, there is still no agreement

on how leadership can be defined, measured, assessed, or linked to outcomes (Bennis &

Nanus, 1997).








Theories of Leadership

Mitchell (1990) concluded that contemporary studies support one of two theories

of leadership: leaders are born or leaders are made. Those who lean toward the "leaders

are born" theory are concerned with intellectual abilities and personal traits that must be

nurtured. Those who believe "leaders are made" are concerned with managing behaviors

and interpersonal relationships in identified situations and scenarios. Wills (1994) also

identified two primary models of leadership. They are the superior-person model and the

ingratiating-person model. The superior person must become worthy of being followed

by being more disciplined and committed than others. The ingratiating person learns

persuasive skills that win friends and influence people. Some theorists, including Rost

(1990), Senge (1990) Wills (1994), and Tiemey (1999) believe effective leadership also

acknowledges the followers, who have some input into the goal to which they are being

led.

A frequently used method of reviewing the theories of leadership is to group

research approaches into distinct categories such as trait studies, behavioral studies,

contingency or situational studies, and power and influence studies (Bensimon,

Neumann, & Bimbaum, 1989; Birnbaum, 1988; Yukl, 2001).

Trait theories identify personal characteristics that are believed to contribute to a

person's ability to succeed in a leadership position (Bimbaum, 1988). Research in the

1930s and 1940s focused on discovering particular attributes possessed by successful

leaders. Yukl (2001) attributed the general failure of these studies to research designs that

failed to account for intervening variables and explanatory processes. Trait theory

became less dominant in leadership studies in the following decades. However, Bass

(1990) noted a renewed interest in personal factors of leaders. Yukl (2001) indicated that








better designed research studies in the 1980s and 1990s have provided insights into the

relationship between leadership attributes and leadership behavior and effectiveness.

Bensimon, et al. (1989) noted that although trait theory may not be a researcher's primary

focus, identification of specific traits continues to be influential in works describing

effective leadership in higher education. Bass (1990) concluded that "personality traits

differentiate leaders from followers, successful from unsuccessful leaders, and high-level

from low-level leaders," (p. 86) but he also stated:

Some of the variance in who emerges as a leader and who is successful
and effective is due to traits of consequence in the situation, some is due to
situational effects, and some is due to the interaction of traits and situation.
(p. 87)

Behavioral theories examine what leaders do; they describe activity patterns,

managerial roles, and behavioral categories (Birnbaum, 1988). Studies of leadership

behavior focus on the nature of managerial work or on the behaviors of effective and

ineffective leaders (Yukl, 2001). The Ohio State University leadership studies conducted

in the 1940s provide a foundation for behavior research (Yukl, 2001). Factor analysis of

questionnaire responses indicated that supervisors function in two primary dimensions,

one that focuses on the work to be done and the role of the leader and follower in doing

the work, and one that focuses on the relationship between the leader and the follower.

These and other studies concluded that task orientation and relationship orientation are

two independent behavior categories and that leaders could demonstrate any mix of both

dimensions. A number of taxonomies have been developed that include additional factors

such as the nature of the situation or environment, the nature of the task, and the qualities

of the followers (Yukl, 2001). Managerial behaviors are then identified on a continuum

ranging from highly directive to highly participative. In a 1975 study, Bass, Valenzi,








Farrow, and Solomon identified five leadership styles: directive, delegative, consultative,

participative, and negotiative. These styles have been shown to be distinctive, but they

are not mutually exclusive (Bass, 1990).

Situational and contingency theories are closely related to behavioral theories.

Situational studies describe the importance of factors such as the nature of the task or the

external environment rather than the personal qualities of the leader (Bensimon et al.,

1989; Birnbaum, 1988). Contingency studies assume that the effectiveness of behaviors

differ in relationship to the situation (Yukl, 2001). Hersey and Blanchard (1993)

developed a model for situational leadership that directs leaders to employ varying levels

of guidance and support (task vs. relationship) dependent upon the level of readiness

(ability and willingness) of the followers.

Power and influence theories describe the source and amount of power the leader

has as well as the manner in which power is used (Bimbaum 1988). Power and influence

studies examine the levels and types of power that leaders exhibit and may also explore

the levels and types of power that followers exhibit (Yukl, 2001). Social power theory

and transformational leadership theory describe the leader's influence on followers;

social exchange theory and transactional leadership theory describe the mutual influence

and reciprocal relationships between leaders and followers (Bensimon et al., 1989).

James MacGregor Burs is credited with initially defining the difference between

transformational and transactional leadership (Fisher, J. L. & Koch, 1996). Bums (1978)

defined leadership as a relationship based on power. "Leadership is exercised when

persons with certain motives and purposes mobilize, in competition or conflict with








others, institutional, political, psychological, and other resources so as to arouse, engage

and satisfy the motives of followers" (p. 18).

Transactional leadership involves an exchange of one thing for another. The

exchange could be economic, political, or psychological (Burs, 1978). Transactional

leadership stresses reciprocity and mutual influence (Bensimon et al., 1989). In

transactional leadership the object is to form a bargain to aid the individual interests of

persons or groups going their separate ways. Transactional leaders focus on fulfilling

expectations. Transactional leadership emphasizes means (Birnbaum, 1988, 1999).

Transformational leadership stresses actions being initiated by the leader. The

leader recognizes the needs or demands of a follower and involves the follower in

satisfying those needs. By engaging the follower, transformational leaders seek to raise

both leaders and followers to higher levels of motivation and morality (Bensimon et al.,

1989; Bums, 1978; Fisher, J. L. & Koch, 1996). Leaders can also shape, alter, and elevate

the motives, values, and goals of follower (Bums, 1978). The premise of this leadership

is that people's separate interests are united in the pursuit of higher goals, resulting in

significant change that represents the interests of both leaders and followers (Burns,

1978). Transformational leaders focus on changing expectations; transformational

leadership emphasizes ends (Bimbaum, 1988, 1999).

Bums's definition of leadership involves both the leader and the follower. Studies

of transformational leadership are concerned with the leader and with the leader's

influence on the follower. Rost (1990) argued that the postindustrial world requires a new

understanding of leadership. He suggested expanding the concept of leadership as defined

by Bums. Rost emphasized the connection among leaders and followers. Leadership is








"an influence relationship among leaders and followers who intend real changes that

reflect their mutual purposes" (p. 102). Rost explained that the relationship is a

noncoercive, multidirectional one between leaders and active followers. Rost stressed the

importance of developing mutual purposes; therefore, the relationship between leaders

and followers is noncoercive.

Rost (1990) also suggested that studying this kind of leadership requires that

scholars experiment with different research designs and methodologies that are grounded

in "what is real, what actually happens when leaders and followers do engage in

leadership" (p. 183). These scholars should become parts of teams that include training

and development experts who translate the theory into action as well as practitioners who

implement the theory and then reflect critically and provide feedback to scholars and

trainers (p. 184).

Other scholars have also expressed concern regarding the nature of the studies

that have been conducted. Studies often focus on an individual person or a particular

theory or are based on the perceptions of leaders themselves. Pierce and Pederson (1997)

stated, "As a body, this literature [on presidential leadership] has become steadily

narrower in its focus, with individual works focusing on specific skills or detailed

methodologies for the management of change" (p. 14). However, Bass (1990), who cited

over 7,500 studies, concluded that "research on leadership and its widespread

applications are coming of age" (p. 879) and that current research designs and approaches

provide the potential for further understanding.

Robson (1996) argued for a broader perspective for the study of leadership; he

stressed the cultural context in which leadership occurs. Wharton (1997) said that the








relationship between successful leadership and institutional effectiveness should be

explored.

Traditional theories of leadership and traditional definitions of leaders are

inadequate for current and future organizations (Elsner, 1984; Gratton, 1993; Rost, 1990).

A new understanding of leadership and new methodologies to study it are needed.

Research approaches cannot focus solely on distinct categories such as trait theories,

behavioral theories, contingency or situational theories, and power and influence theories;

they cannot focus on individual persons; and they cannot focus solely on the perceptions

of leaders themselves. Studies must be concerned with the leader, the leadership team, the

followers, and the needs of the organization.

Leadership and Organizational Change

Leadership theory must address the manner in which organizational change is

managed (Elsner, 1984). Bums (1978) stated that the leadership process is the carrying

through from decision-making stages to points of concrete changes in people's lives,

attitudes, behaviors, and institutions. Leadership brings about real change that leaders

intend. According to Bums, the leader's ultimate role in social change depends on his or

her ideological leadership, including the degree to which he or she makes an appeal as

idol and hero to serve the purposes of both the leader and the followers.

Seymour (1994) claimed that when individuals are confronted with new ideas that

conflict with an existing culture, the status quo usually prevails. Leaders must shape the

new vision and lead the organization to it. According to Joel Barker (1992), "You

manage within a paradigm. You lead between paradigms" (p. 4).

One of the major distinctions between management and leadership, according to

John Kotter (1990), concerns change. Management strives for consistency and order.









Leadership produces movement. Leadership is effective when it moves leaders and

followers to a place where both are better off. Leaders develop interdependence with

followers, aligning them to move together in the same direction. And leaders motivate

and inspire people so that they will have the energy to overcome obstacles. This concept

of leadership acknowledges multiple roles for both followers and leaders. Leaders

coordinate the roles.

Rost (1990) associated the leader as manager with the industrial paradigm. That

paradigm no longer serves the needs and values of the postindustrial world. Postindustrial

values include, among others, collaboration, diversity, active participation from all levels,

client orientation, and on-going dialogue.

Rost (1990) focused on the nature of leadership as a dynamic relationship and

addressed change as a worldwide event. The world is "being transformed by a massive

paradigm shift in societal values" (p. 181). Therefore, Rost is concerned with identifying

the kind of leadership that will be needed in what he describes as a postindustrial world.

The values of the industrial paradigm are characterized by the following: a
structural-functionalist view of organizations, a view of management as
the preeminent profession, a personalistic focus on the leader, a dominant
objective of goal achievement, a self-interested and individualistic
outlook, a male model of life, a utilitarian and materialistic ethical
perspective, and a rational, technocratic, linear, quantitative, and scientific
language and methodology. (p. 180)

The shift now occurring suggests an increase in values such as "collaboration,

common good, global concern, diversity and pluralism in structures and participation,

client orientation, civic virtues, freedom of expression in all organizations, critical

dialogue, qualitative language and methodologies, substantive justice, and consensus-

oriented policy-making process" (Rost, 1990, p. 181).








Peter Senge's The Fifth Discipline (1990) also described a new paradigm, the

learning organization. Successful organizations are those that address change; these

organizations require new management ideas based on the learning organization.

According to Senge, the learning organization can arise from an extension of total quality

concepts. Senge rejected the traditional view of the leader as a hero who sets the

direction, makes key decisions, and energizes the followers. Leaders are designers,

stewards, and teachers. They build or design the organization, including the vision,

values, and purpose. They improve team learning, starting with their own vision but

expanding to the larger vision developed through team learning. They also teach people

to see the bigger picture and where to focus their attention by fostering learning. Senge

stated that the top managers' values, behaviors, and publicly stated vision should be the

basis for freeing up the authority context of the organization enough to stimulate others to

reflection and invention. Senge described the learning organization as one in which

"people continually expand their capacity to create the results they truly desire, where

new and expansive patterns of thinking are nurtured, where collective aspiration is set

free, and where people are continually learning how to leam together" (p. 3). The

learning organization depends on five systems: systems thinking, personal mastery,

mental models, shared vision, and team learning.

O'Banion (1997) described organizational change needed in the community

college. He advocates the learning college. To achieve a learning college, leaders must

flatten their organizations, empower individuals, develop collaborative processes, commit

to quality, and make learners of the stakeholders. O'Banion said that the foundation for

creating a learning college is significantly strengthened when colleges are already








engaged in complementary processes found in TQM and learning organizations.

O'Banion warned that the learning organization is the antithesis of hierarchical and

authoritative models that have guided American institutions for decades (p. 81).

O'Banion (2000) provided an inventory of benchmark activities and questions for

institutions committed to becoming learning-centered. O'Banion's final point emphasized

the key role of presidential leadership which is essential to carrying out all the activities.

Freed and Klugman (1997) encouraged cultural change through the adoption of

Senge's learning organization principles. Lorenzo and Zajac (1996) described

decentralization of leadership authority, increasing emphasis on conflict resolution, and

facilitation of individual and organizational learning as well as a shift from an attitude of

independence to one of interdependence. They reported that the top areas of emerging

leadership center on resolving conflict, promoting collaboration, and assuring equity and

justice.

According to Napier et al. (1998), creating meaningful change is perhaps the

greatest challenge of all in higher education. Traditional cultures, reward structures, and

decision-making practices have led to increasing specialization and fragmentation that

inhibit change in most institutions. Curriculums and administrative practices alike have

suffered from divided loyalties and narrow frames of reference that make coordination

and coherence in direction difficult to achieve.

Ruiz (1999) concluded that for change to be supported internally, the transition

must reinforce internal values. She also stressed the importance of communication and of

having a clear strategic plan.








Schein (1992) said that leadership is the fundamental process by which

organizational cultures are formed and changed. Likewise, groups cannot adapt to

changing environmental conditions without leadership.

Leaders communicate assumptions they hold through what they pay
attention to and reward, through the role modeling they do, through the
manner in which they deal with critical incidents, and through the criteria
they use for recruitment, selection, promotion, and excommunication. (p.
242)

According to Schein (1992), changing the culture requires involvement and

participation of the leader. Leaders and followers must be learners:

My sense is that the various predictions about globalism, knowledge-based
organizations, the information age, the biotech age, the loosening of
organizational boundaries, and so on have one theme in common-we
basically do not know what the world of tomorrow will really be like
except that it will be different. That means that organizations and their
leaders will have to become perpetual learners. (p. 361)

Learning leaders must develop effective communication systems and must

determine what kind of information is needed to solve problems (Schein, 1992). The

learning leader assumes that "the world is intrinsically complex, nonlinear, and

overdetermined" (p. 372). Since a changing environment is complex and interdependence

is high, both task and relationship orientations are critical.

Wharton (1997) also stressed the commitment of followers as crucial to the

success of leaders. "The environmental challenges community college leaders face

demand ... energy, commitment, and performance" (p. 27) for leaders and staff.

The recognition that change has become necessary to successful organizations has

focused some leadership studies on identifying the characteristics and traits needed for

successful leadership in the future. In addition, discussion of leadership in change








situations leads to a focus on process as well as on the leader's characteristics or

behaviors.

Bennis and Townsend (1995) contrasted new leaders with old. They described a

shift from those who think they have all the answers and get all the benefits to those who

can conduct their staff to find their own answers. They described both characteristics and

process. The great leader has to have a strong set of convictions, a devoted constituency,

and the capacity to gain broad support for his or her goals. The qualities needed include

character, experience, intelligence, and energy. Traits of the leader of the future include

intelligence and the ability to be articulate. The leader must keep personal ambition under

control and must be a servant to his or her people. The leader must be a mentor, have a

sense of humor, and be inclusive. The leader must exhibit toughness and protect his

people, and he or she must be fair. The future leader's ambition must be directed toward

helping associates succeed in reaching the organization's goals. The leader must also

have a high level of competence and expertise as well as integrity.

Bennis and Townsend (1995) defined leadership as "the capacity to create a

compelling and plausible vision and to translate that vision into organizational realities"

(p. 27). The leader must have the ability to generate and sustain trust, to be agile and

adaptive; and to be open to diverse points of view. The leader must also be decisive and

self-aware.

Tierney (1999) advocated organizational redesign for all colleges and universities.

He described the leadership needed for redesign. Leadership must occur at multiple levels

and through multiple people, not just through the president. He also said leadership is a








process that is comparative and reciprocal. "A restructured organization needs leaders

who are designers of protean structures capable of change and modification" (p. 57).

Based on interviews, meetings and focus group discussions conducted on

campuses across the country, Carter and Alfred (1996) concluded that in addition to

traditional responsibilities, community college leaders must take on new roles. Those

roles include addressing change and empowering others. Leaders must be healers who

restore faith and trust among groups and with individuals on campus; they must be bridge

builders who develop connections between and among groups. They must be learning

leaders who keep themselves and others well informed about external and internal trends

and conditions. They must be interpreters who translate the movements and trends to all

levels in the institution. They must be innovators who lead others into understanding and

participating in fundamental change.

Leadership in Educational Institutions

In his work on organizational theory and college governance, Bimbaum (1988)

pointed out that little of the extensive research on leaders has focused on educational

leaders. He also noted that the nature of the educational enterprise is not conducive to

leaders and followers but rather to constituents. Bimbaum suggested that the very nature

of colleges and universities makes their management difficult and that attempts to

improve management "may reduce rather than increase effectiveness" (p. 202). Because

of the nature of educational institutions, Bimbaum claimed they "tend to run themselves"

(p. 196) and that presidents have relatively little influence over outcomes when compared

to other forces. The authority of the president is restricted by external forces such as

resources and governmental control as well as by internal forces such as the professional








authority of professors. The limits of what a president might achieve are defined by

"where their institutions and society permit them to go" (p. 17).

Bimbaum (1988) explored four models of organization and governance: the

bureaucracy, the collegium, the political system, and the organized anarchy and

suggested a model that integrates all of them. The cybernetic model emphasizes systems.

Feedback loops monitor organizational functions and provide data that lead to correction.

The role of the president is de-emphasized in favor of functional subsystems. Changes

result from bringing systems back into balance. "Cybernetic institutions tend to run

themselves" and leaders need only "pay attention to what is wrong" (p. 196) and make

adjustments. Birnbaum stressed transactional leadership, but recommended

transformational leadership in times of crisis or imbalance.

Roueche, Baker, and Rose (1988) also claimed that leadership in colleges is

complicated by the nature of educational institutions. Educational goals seem ambiguous

because they are not product-oriented; the institutions are vulnerable to external

influences; decision-making authority is decentralized; and, especially in community

colleges, the students have widely varying backgrounds and needs.

Bensimon et al. (1989) further explained the problematic nature of studying

leadership in colleges and universities. Colleges are complex organizations often having

dual control systems. Conflicts exist between professional and administrative authority.

Education systems often have unclear goals with vaguely defined measures of outcomes.

These researchers claimed that most presidents tend to accept a traditional and directive

view of their roles. Few presidents emphasize the importance of two-way








communication, of social exchange processes, or of facilitating rather than directing the

work of professionals.

Levin (1995) conducted a number of studies that explored the influence of

presidents on their community colleges and reported that they do make a difference and

that the difference can be positive or negative. In one case the change was viewed as a

major cultural change. He also concluded that influence is most likely to occur when

institutions change presidents. Levin pointed to several reasons for a leader's ability to

exert influence on a community college. Unlike universities, community colleges lack a

strong department-based academic culture; they have few deep-rooted traditions; and

they are adaptable, flexible, and responsive to community needs.

J. L. Fisher and Koch (1996) also noted that research literature rarely focuses on

college presidents and that most of what exists examines transactional and

transformational leadership. They are critical of much that has been published about

presidential leadership in colleges claiming the works are often personal stories and

experiences and that they are not based in theory or conducted using sound research

methodologies.

Studies of Community College Leadership

In an effort to present models to improve methods for identifying and developing

leaders for the future, Alfred et al. (1984) examined the structure of the community

college and the climate of change present in a number of institutions.

Alfred (1984) described the changing external and internal environmental

conditions facing community colleges as the basis for defining new leaders. He designed

a "symbolic interaction model" (p. 8) to analyze potential leaders. The model "portrays

leadership as a catalyst that adapts the internal organization to changing environmental








conditions, thereby producing congruence, or that retards change, thereby producing

incongruence" (p.10). The effective leader must maximize institutional responsiveness to

changing environmental conditions. Analysis of leadership as a function of a match

between the individual, the institution, and the environment led Alfred to conclude that

future effective leaders in community colleges will not be heroic, charismatic individuals.

Rather, they will have successful administrative experience and will demonstrate both

conceptual understanding and practical experiences in managing complex organizations.

Richardson (1984) cited changing demographics, declining resources, changing

missions, aging staff, and changing technology as forces that future leaders will need to

address. Richardson adapted the eight characteristics of excellent corporations developed

by Peters and Waterman to the community college. These characteristics emphasize

timely problem solving, quality service, commitment to institutional values, clear

mission, involvement of all employees, and support at all levels of the institution.

Elsner (1984) discussed the relationship between leadership and change. Elsner

stated that leadership turns on the way in which change is managed. Claiming that little

has been done to prepare leaders for the twenty-first century, Elsner called for both local

and national centers to study community college leadership and to train future leaders.

Smith (1984) examined the role of the community college leader in a changing

community. He concluded that many routine roles--such as board and community

relations, academic and institutional leadership, planning and budgeting, and, most

important, communication with students and other public constituencies--would remain

important. However, he described a critical new role, the societal visionary. In this role

presidents must develop a vision of what tomorrow will bring, and a plan and set of goals








to best prepare for it. In this dimension, leadership involves analysis and interpretation of

a massive, ever changing database to develop a sensible point of view about the benefits

that can be derived from redirection of resources within the institution.

Terry (1984) stressed the increasing role among constituents. "Tomorrow's

community college leaders must be able to merge the local concerns of business and

industry, citizen groups, elementary and secondary education, and political officials with

the statewide interests of the legislative and executive branches of government" (p. 71).

Palmer (1984) reinforced the work of Smith and Terry. He said the president will

be required "to study the implications of impending socioeconomic changes, determine

institutional responses to these changes, and secure the commitment of the college

community to implementation of these responses" (p. 122).

Bush and Ames (1984) stressed the importance of technology. Advances in

technology and the impact of these advances on fiscal and human resources create

additional stresses on developing new funding sources and on creating new processes for

human resource development.

Major research of the 1980s and 1990s explored the role of the president and

college leadership by focusing on perceptions of leaders, by surveying those individuals

or groups of individuals perceived to be effective leaders, by testing particular leadership

theories, or by analyzing the literature.

Vaughan (1986) analyzed and described what presidents and others believe is

important in an effective presidency. Vaughan surveyed over 800 presidents of public

two-year colleges asking them to identify the two top community college leaders in their

state. Of the 75 presidents who emerged, 68 participated in a leadership survey and also








nominated top national leaders. Ten presidents emerged as national leaders. Vaughan also

interviewed trustees, spouses, faculty members, administrators, and other national

educational leaders. Vaughan concluded that the primary factor determining effective

presidencies was leadership. The presidents ranked integrity, judgment, courage, and

concern for others as the top personal attributes; they identified producing results,

selecting qualified people, resolving conflicts, communicating effectively, and motivating

others as necessary skills and abilities. The primary leadership roles of the president were

identified as taking responsibility for establishing and interpreting the mission of the

college, for defining the community college mission, and for assuming the responsibility

for seeing that the mission is carried out and understood by the college's many publics.

Vaughan also stressed the role of the president as an educational leader and as the person

responsible for setting the campus environment or mood. The president is also required to

be an external leader who works with state legislators, business leaders, special interest

groups, other educational institutions, local politicians, and other groups.

J. L. Fisher, Tack, and Wheeler (1988) asked 28 private foundation

administrators, 35 higher education scholars and 400 randomly selected presidents of

two- and four- year public and private institutions to identify the five most effective

college presidents in the nation using their own definitions of an effective president. Out

of a possible 3,300 presidents, the respondents identified 412. These 412 effective

presidents and a random sample of the 3,300 not named as effective were asked to

complete a 40-item questionnaire, the Fisher/Tack Effective Leadership Inventory. The

Inventory focused on defining effectiveness in terms of characteristics and styles using

five factors: management style, human relations, image, social reference, and confidence.








Analysis by each of the five factors revealed a significant difference between the

responses of effective and representative presidents on the confidence factor but not on

the other four. Analysis of items within the factors revealed no significant difference

between the two groups on any items in the human relations or image factors. However,

there were significant differences on items within the factors related to management style

and social reference. The effective presidents were found to be less collegial and more

distant; to be more inclined to rely on respect than affiliation, to be more inclined to take

risks; to be more committed to an ideal or a vision than to an institution, to believe more

strongly in the concept of merit pay; to work longer hours, and to be more supportive of

organizational flexibility than rigidity.

The researchers conducted interviews with 18 of the most frequently nominated

presidents. Those interviewed represented all four sectors: two- and four-year, public and

private institutions. Analysis of the interviews identified three personal values critical to

their philosophy. They were completely committed to what they do, expressing a strong

belief in the value of higher education; they genuinely respected others; and they believed

in themselves and others. The presidents displayed the following abilities and skills. They

were intelligent and astute. They generated unlimited ideas about how to improve higher

education, and they had a deep understanding of their own institutions. They did not take

things personally; they had an intuitive ability to analyze, and they recognized

opportunities and seized them. The researchers indicated that their analysis of the

presidents' leadership styles generally supported previous studies. Effective presidents

are action oriented; they accept authority and responsibility in governance; they work

long hours; and they see the lighter side of things. Their human relations skills reveal








they are warm, outgoing people; they maintain self-control; they use power with finesse;

and they are visible but share the credit. The philosophical nature of these leaders reveals

that they are dreamers, but they have a vision, and they are reflective. They think

carefully, use information, and integrate knowledge of data into their planning.

Roueche et al. (1988) conducted a study to identify the best transformational

community college presidents and to describe what those leaders do and how those

affected react to those behaviors. Their study was designed to determine whether

transformational presidents in community colleges behave similarly or dissimilarly from

peers when influencing and empowering others. Based on their study of modem theory,

they believe that effective leadership can be learned, and their goal was to develop a set

of behavioral attributes common to transformational leaders (Roueche et al., 1989).

The first stage of their study was designed to identify those leaders who have

demonstrated transformational leadership qualities. They defined transformational

leadership as "the ability to influence, shape, and embed values, attitudes, beliefs, and

behaviors consistent with increased staff and faculty commitment to the unique mission

of the community college" (Roueche et al., 1989, p. 12). They asked over 950

chancellors, presidents, and state directors of community colleges to nominate up to five

individuals from their state and/or region that they believed exemplified this definition.

They then studied how this group performed and how they empowered others to perform.

The 296 leaders who emerged were asked to write about their educational

leadership philosophy, to provide examples, and to complete a three-page questionnaire.

These leaders were also asked to nominate one or two exceptional community college

CEO's in the nation (Baker, Roueche & Rose, 1988). This second process resulted in a








group of 50 outstanding CEO's, whom the researchers called "blue chippers" (1989,

p.12). Baker et al. then studied this group in depth using interviews, evaluations, and

survey instruments to document the characteristics, values, expectations, behaviors, and

strategies of these leaders.

Roueche et al. (1989) developed five themes common among these

transformational leaders: influence through teamwork and shared decision-making,

people orientation, motivation, strong personal values, and vision of what can be.

Hammons and Keller (1990) reviewed leadership literature to identify possible

attributes and then conducted a national study to identify the competencies and personal

characteristics needed by community college chief executive officers of the future.

Hammons and Keller developed a list of 62 competencies derived from a comprehensive

review of the literature on community college leaders, from selected literature on four-

year institutional leaders, and from selected literature on business sector leaders. The 62

competencies were organized into three clusters: leadership skills, group related skills,

and personal characteristics. Using the Delphi method, Hammons and Keller surveyed a

stratified, random group of 27 community college presidents. This group was asked to

rate and, if needed, expand the list. The three-round process resulted in 43 competencies:

18 leadership skills, 5 group related skills, and 20 personal characteristics:

Leadership skills (18): delegation; personnel selection; decision-making;
interpersonal skills; knowledge of and commitment to mission; leadership; planning;
visionary; organizing; information processing; public relations; professionalism;
finance/budgeting; performance appraisal; analysis; controlling; peer network;
scholarly writing.

* Group Related skills (5): motivation; use of power; entrepreneurship; integrating;
conflict resolution.








Personal Characteristics (20): judgment; commitment; integrity; communication;
flexibility; positive attitude; energy; wellness; sense of responsibility; persistence;
risk taking; emotional balance/control; time management; sense of humor; research;
creativity/stability; empathy; introspection; patience; charisma. (pp. 37- 39)

Hammons and Keller (1990) found that current community college leaders agreed

on the competencies needed for the future and recommended that the criteria be used as

selection criteria in future presidential searches.

Amey and Twombly (1992) conducted a meta-analysis of the literature on

community college leadership from the early 1900s to the present. Their purpose was to

analyze the discourse of the literature to "(1) identify the images and rhetoric of

leadership in junior/community colleges; (2) observe the sociohistorical and

organizational context of these images; and (3) examine the effect of images and rhetoric

on leadership behavior" (p. 126). Amey and Twombly reported two major findings. First,

the discourse reinforces the ideology of the community college, particularly the concepts

of constant change and of democratic ideals concerning the community college's role in

society. Second, the discourse reinforces the image of the powerful autocratic leader and

the ideology of a small group of white male scholars and practitioners. The particular

image of leadership that emerges is that of the great man. Amey and Twombly concluded

that the effect of this writing has been to exclude those who do not fit the symbolic image

created by this group of white male authors. They pointed out that only four of Roueche's

blue chippers were women and that Vaughan's chapter on women presidents focuses on

problems women have in becoming presidents rather than on the leadership they offer.

J. L. Fisher and Koch (1996) examined leadership theory and current empirical

evidence to develop principles of effective presidential leadership that apply to particular

aspects of the college presidency.








More than anything else, the problems of higher education involve a crisis
in higher education leadership. Presidents have failed to lead, both because
they do not understand what presidential leadership entails, and because
their governing boards have not made it possible for them to lead. (p. 330)

They believe that effective leadership concerns accountability and that in many

institutions presidential authority has been reduced or eliminated, often by boards that

misplace authority in the hands of groups such as faculty, students, or alumni who cannot

be held accountable for the decisions they make (p. 13).

Their review of the literature led J. L. Fisher and Koch to conclude that the theory

of presidential leadership centers on the concepts of transactional and transformational

leadership. They clearly endorsed the transformational model of leadership. They defined

leadership as "the ability of A to get B to do something that B might otherwise not have

done" (p. 21). Based on the topology developed by French and Raven, J. L. Fisher and

Koch identified the most important forms of presidential leadership in a college or

university (in ascending order of importance):

Coercive, which is the threat or use of punishment by the president;
Reward, which involves the ability of the president to reward and provide
incentives;
Legitimate, which is the importance of presidential position and which
must be provided by the institution's governing board;
Expert, which is based on the real or perceived knowledge of the
president; and
Referent. or charisma, which is based either upon a feeling of trust and
oneness with the president, or a desire for such a feeling, and which
should result in the development of a significant public presence. (p. xii)

J. L. Fisher and Koch claimed that although they encourage friendly, interactive

relationships in college communities, collegial leadership is not possible. They said, "The

president has to create a platform from which to lead the institution effectively" (p. 4).

The authors supported the conclusions of J. L. Fisher et al. (1988) and discussed how








effective presidents should interact with various constituencies and how they should carry

out specific tasks. They concluded the following:

The most important form of presidential power is the president's own
charismatic power.... A charismatic individual usually is capable of
taking over a crowd by means of the power of his or her thoughts, his or
her expertise or performance, and his or her carefully established public
presence. (p. 332)

Campbell and Leverty (1997) sought to identify the attributes of a 21st century

community college leader. They enlisted a group of 14 experts to construct a work profile

for this leader. The group represented a variety of community colleges and included

trustees, presidents, chief instructional officers, business officers, and faculty. Using the

Delphi method, the group further refined the profile. The group used the attributes

described in the Occupational Personality Questionnaire originally developed in 1984 in

the United Kingdom by Saville and Holdsworth, Ltd., as the basis for developing the

work profile.

The 21st century leadership work profile included the following attributes as

essential: utilizing data/logic, critical evaluation of ideas, and the ability to engage in

forward planning. Working in a nontraditional environment was considered important.

Other relevant attributes in the relationships with people domain included being socially

confident, enjoying negotiating and changing opinions of others, being in control and

able to direct and take charge, using democratic strategies, caring about others, and

enjoying affiliation with others. Other relevant attributes in the thinking domain include

being able to analyze the thoughts and behaviors of others, being conscientious about

details, being intellectually curious and engaging in theoretical thinking, and being

creative and innovative. In the feelings and emotions domain, relevant attributes include








being ambitious and oriented toward achievement, being calm and relaxed and free from

anxiety, being optimistic, and exhibiting emotional control (Institute, 2000).

Wen (1999) surveyed the presidents and CEO's of the nation's 1,271 community

colleges to determine their self-perceived leadership styles. The results, based on

responses from 176 presidents, showed no significant relationship between leadership

style and personal characteristics such as number of years at present position, total years

of experience, and influence on organizational culture. Wen's results indicated that nearly

80% of presidents were male, that they had served as administrators for about 21 years,

and that they had been in their present position an average of 8 years. He also found no

significant relationship between their styles and institutional characteristics such as single

or multi-campus, number of faculty, and geographical setting. Wen used the Leadership

Effectiveness Adaptability Description Self instrument. His results indicated that most

presidents use the Selling style (50.3%) followed by Participating (35.6%). Only 1.2%

used the Telling style, and none reported using the Delegating style. Some (12.9%) did

report using multiple styles with an average of 1.5 secondary styles. Style adaptability,

the ability to vary style appropriately to the situation, was also measured. The majority

(76.3%) of the presidents were Moderate in their ability to adapt. Only 3.7% scored in the

High range.

Hood, Miller, and Pope (1999) surveyed 96 community colleges presidents. The

presidents identified the roles of communicator, innovator, and facilitator as most

important to their positions. They identified institutional vision and revitalization as the

most important dimensions of their leadership.








Although they used a variety of approaches and research methods, all of these

researchers, Alfred et al. (1984), Vaughan (1986), J. L. Fisher et al. (1988), Roueche et

al. (1988), Hammons and Keller (1990), Amey and Twombly (1992), J. L. Fisher and

Koch (1996), Campbell and Leverty (1997), Wen (1999), and Hood et al. (1999) relied

on feedback from contemporary leaders, views of leadership experts, particular

leadership theory, and/or a review of the literature to select subjects for study or to define

qualities of leaders.

Leadership Teams

A major theme in the literature on future leaders and 21st century organizations

concerns the issues of teamwork and of empowering employees. The decentralization of

leadership authority and the facilitation of individual and team learning are needed in the

change process (Lorenzo & Zajac, 1996). Freed and Klugman (1997) stressed the

importance of teams and team work as well as empowering all levels of employees to

achieve quality principles, and Schein (1992) stressed the need to share and manage

jointly to overcome the anxieties associated with change. Wellins, Byham, and Wilson

(1991) researched teams and teamwork in organizations. They surveyed over 500

companies that used self-directed teams, conducted further research in 28 organizations,

reviewed the literature, and drew on their own expertise in the fields of cultural change,

organizational design, and training. They described the traditional organization as a

layered/individual structure in which jobs are narrowly defined as single-tasked. In

contrast, an empowered team organization has a flat team structure and jobs are designed

to be whole process and multiple-tasked. In a traditional organization, management's role

is to direct and control. Leadership is top-down and information flow is controlled and

limited. In contrast, in an empowered team organization, the management's role is to








coach and facilitate; leadership is shared with the team; and the information flow is open

and shared. In the traditional organization, rewards are made to individuals and may be

based on seniority. Managers determine the job process; they plan, control, and determine

how to improve processes. Empowered teams plan, control, and improve job processes in

team organizations.

Bensimon and Neumann (1993) studied leadership teams in 15 institutions of

higher education. They conducted 70 interviews of presidents and other team members at

a group of diverse institutions. The intent of the study was to explore models of

teamwork in higher education, taking into account the leadership orientations of

presidents and their executive officers. Their interest was to examine how presidents and

their designated team members work together; how team members perceive the quality of

their working relationships; how presidents select, shape, and maintain particularly

effective teams; and how teams address conflict and diversity of orientation among team

members.

Their study indicated that the functions of presidential teams are a direct result of

the president's personal leadership philosophy. Bensimon and Neumann (1993) described

three functions of presidential teams. Utilitarian functions are task related and their

purpose is to help the president maintain control over institutional functions. Primary

activities include delivering information, coordinating and planning, and making

decisions. Expressive functions are integrative and associative and their purpose is to

help reinforce a sense of groupness or connectedness among individuals involved in a

joint venture. Primary activities include providing mutual support and counsel to the

president. Cognitive functions are intellective and dialogical and their purpose is to








enlarge the span of intelligence of individual team members, enabling the group to

behave as a creative system as well as a corrective system. Primary activities include

viewing problems from multiple perspectives, questioning, challenging, arguing, and

monitoring. "Real" teams (p. 44) are complex and serve all three functions. "Illusory" (p.

45) teams are only partially utilized and generally lack both cognitive and expressive

domains. Presidents whose personal leadership philosophy is individualistic and

functionalist develop teams that are passive or inert and that function primarily in the

utilitarian mode. A president whose personal leadership philosophy is dependent upon

shared, interactive processes is more likely to develop a team that employs all three

functions and that is active and creative (p. 144).

Knudson (1997) modified Bensimon and Neumann's interview protocols to study

team leadership in community colleges. She studied presidential leadership teams in three

medium-sized midwestern community colleges. Knudson found that all three presidents

used multiple cognitive frames of reference. The presidents placed the greatest value on

the domain of cognitive team functions while team members placed the greatest value on

the domain of expressive functions. The teams were all functionally complex and

exhibited all five of the core cognitive roles and three of the supporting cognitive roles

described by Bensimon and Neumann. Knudson concluded that all three teams were

complex, "real" teams, although each lacked one or more elements of effectiveness.

Napier et al. (1998) claimed that recent change initiatives such as total quality

management have resulted in small incremental changes or worse because of the failure

of leadership. Their research led them to conclude that two elements are critical to

implementing strategic change successfully. These elements are a committed partnership








among executive leaders and a focus on the human dimensions of change. Napier et al.

described the need for an executive leadership team that develops a synergistic

relationship. The team must be a committed partnership among executive leaders.

Leaders must be committed to team learning, to sharing information widely, and to

solving difficult problems collaboratively. They must learn and use "change skills" and

must build the capacity for team leadership throughout the institution.

Continuous Ouality Improvement Leadership

Although almost every study of CQI implementation cites leadership and

commitment of top leaders as major criteria for success, very few studies have examined

leaders in CQI institutions. Brigham and Carusone (1996) found very little literature on

CQI leadership in higher education.

Bensimon et al. (1989) observed that presidents "tend to accept a traditional and

directive view" (p. iv) of their leadership. Few emphasized two-way communication,

social exchange, or mutual influence. Gratton (1993), however, contended that since

continuous learning is the basis for continuous improvement, concepts of leadership must

be viewed differently. Power must be based on personal competence and on working in

partnership with others and must be learned and practiced throughout the organization.

Gratton (1993) connected TQM leadership with Peter Senge's learning

organization. Gratton stated that Deming's fundamental views about continuous

improvement have often been simplified and reduced to demonstrable outcomes such as

improved efficiency or making more money (p. 98). She argued that Deming's principles

require leaders to change processes, relationships, and cause and effect systems and to

develop a vision and desired outcomes. A Deming organization must be committed to

continuous training, education, and self-improvement. Gratton said that Senge offers an








effective design for creating and sustaining an environment for learning. She argued that

the assumption that learning is at the heart of continuous improvement and that learning

creates the future dramatically changes prevailing beliefs about leadership in community

colleges. "Leadership is learned and earned, not assumed. Its power becomes 'power-

with' (working in partnership with others) and 'power-within' (personal competence)" (p.

100).

Several theorists and researchers have sought to define leadership for continuous

quality improvement by placing it in either the transformational or the transactional

model. J. L. Fisher and Koch (1996), who are skeptical of CQI, endorsed the

transformational model in CQI. They stressed the lack of influence possible through the

transactional model and the individual accountability and influence possible through the

transformational model. The work ofJ. L. Fisher et al. (1988) also criticized total quality

management processes. They summarized TQM as a "process-oriented, egalitarian

approach to increasing productivity, decreasing costs, and improving quality" (p. 25).

According to J. L. Fisher et al. (1988), the emphasis on teamwork, sharing responsibility,

and seeking better ways to do things has led to excessive use of resources and time with

minimal success. Instead, they endorsed the transformational leader as president, a leader

who "is a strong, caring action-oriented visionary" who is "more willing to take risks

than the usual president" (p. 57).

Bensimon et al. (1989) suggested that studies should consider that the debate

about transformational versus transactional may not be purely an either/or choice and that

both perspectives may be useful, but in a more complex configuration. Freed and

Klugman (1997) encouraged a more collegial leadership style (transactional) in quality








organizations. They emphasized collaboration, participation, and interaction at all levels.

However, they also described quality leaders as visionary decision makers

(transformational) who based decisions on data rather than intuition. Rather than relying

on charisma though, these leaders developed trust and mutual respect through shared

leadership, communication, and decision-making based on data and assessments.

According to Gratton (1993), individuals, rather than a top leader such as the

president, are assumed to be agents of transformation. Continuous Quality Improvement

organizations must cultivate a systems view and must understand the inner-connectedness

of all processes.

Studies of Leadership and Continuous Quality Improvement

Believing that leadership is the foundation of the change process, leaders at

Virginia Institute of Technology began implementing TQM by forming a task force on

university leadership (Leffel et al., 1991) whose goal was to create a vision for quality

management. The task force was comprised of faculty with expertise in organizational

development. In addition, the Office of Research and Planning and other university

resources provided support and data. An administrative advisory committee was formed

to periodically review the accomplishments of the task force. After reviewing the

literature, the task force adopted John Gardner's model. The task force identified these

leadership tasks: envisioning goals, affirming values, motivating, managing, achieving

workable unity, explaining, serving as a symbol, representing the group, and renewing. In

addition, the task force gathered data from both leaders and followers within the

institution by conducting 78 interviews and organizing 36 focus groups. The task force

concluded that leadership must be a value at all levels of the organization, that followers

must view the management process positively, that strengthening cultural values is a








catalyst for change, that the leader must demonstrate daily the desired behaviors and

values, and that a clear vision and shared values produce a sense of community.

The study also concluded that followers at all levels of the organization are able to

identify the ideal leader's attributes. Attributes include a sense of vision, personal

integrity, ability to nurture, decisiveness, intervention, active listening, assertiveness,

delegation, advocacy, situational leadership, appraisal and feedback, mediation, and

political insight. The profile of the ideal leader also included knowing how organizations

work and having a repertoire of skills to use as appropriate. Leffel et al. (1991) concluded

that these attributes are consistent with those reported by other leadership researchers.

Leffel et al. (1991) also concluded that the majority of administrators were not prepared

to be leaders and that professional development was needed.

As a result of the task force findings and other research at Virginia Tech, Leffel et

al. (1991) identified seven primary responsibilities for leaders involved in a TQM effort.

-define where we are and what we look like;
-define where we are going and how we will move along the road of
continual improvement, and disseminate this vision broadly;
-project and demonstrate by example university values that emphasize
quality;
-inspire, motivate, and value all personnel in orchestrating concerted
action along the road to TQM;
-remove organizational barriers between institutional units and levels of
the hierarchy that impede cross-functional teams;
-incorporate learning, problem solving, and risk taking as strong elements
of an institutional culture that seeks TQM;
-celebrate successes. (p. 64)

Although Dever (1997) claimed that Peter Senge's learning organization is

particularly suited to higher education, he recognized that the model rejects the traditional

view of leaders. Dever aligned Senge's description of the leader as designer, steward, and

teacher with what Bimbaum (1988) saw as the limits inherent in the power and influence








of educational administrators. This view conflicts with other studies of higher education

leadership, such as J. L. Fisher and Koch (1996), that advance more activist notions of

what a college or university president can accomplish. Dever argued that the more

restrained mode of leadership advanced by Senge is not a necessary corollary to

successful implementation of models such as the learning organization or continuous

quality improvement. Dever compared Senge's descriptors to the four frames of Bolman

and Deal (1991) and aligned the designer with the structural frame, the steward with the

symbolic frame, and the teacher with the human resource frame. The political frame was

missing from Senge's model. Deal claimed that Senge rejected the traditional heroic or

strong leader because that image reinforces the followers' own sense of powerlessness.

However, Dever argued that such leadership could sustain and augment the followers'

power. Thus, he argued for the strong attributes of the transformational as well as the

transactional leader. "Room needs to be made in the learning organization model to

accommodate the power of the strong individual leader-be it heroically transformational

(admittedly rare) or politically transactional" (p. 61).

Schoening (1994) described his method of instituting change at Independence

Community College in 1992. He worked with faculty, staff, and mid-level administrators

to develop a new mission statement and implementation strategies. Using the new

mission, the president's cabinet and others identified administrative traits or

characteristics that were needed to carry out the college mission and the strategies. They

reviewed supervisor leadership styles and chose participative leadership as described by

Wellins et al. (1991). The college developed a team leadership model that called for an

administrator who could foresee, value, influence, and promote change; facilitate,








support, and coach self-directed teams; expand team capabilities through effective

communication, creativeness, and performance-based team identity; utilize strategic

planning to make the most of team differences; and use continuous performance

personnel practices. The team is consistently focused on foreseeing, influencing and

evolving change; performance based leadership; strategic planning; and continuous

performance improvement. The administrative in-service program and evaluation process

focuses on those same institutional philosophies.

Walters (1995) described a highly collaborative style of leadership that

emphasizes interdependence and shared responsibility among a wide variety of

organizations and groups. The model is not one of "we are the leader and will help you

find the way" but rather one of"we're all in it together, and must jointly find the way" (p.

7).

Studies of team leadership support the concepts of leadership described by Rost

(1990), Senge (1990), and others who are concerned about leadership for the future.

Concepts of team leadership are also consistent with the theories of quality improvement.

The research also indicated that the functioning of teams is a direct result of the

president's personal leadership.


Summary of Review of Literature

The principles of continuous quality improvement have been shown to be

appropriate to educational institutions, and in the last 10 years many higher education

institutions have begun adopting these principles to effect organizational change.

However, the research also indicates that development and successful implementation of

CQI have been slow in education. No institution was able to score high enough on the






78

rigorous criteria for the Malcolm Baldrige Award to receive the award in its first two

years of availability. However, three institutions received the award for 2001 (Kosko,

2001), after investing years in the process. The research indicates that commitment of top

leadership and effective leadership are critical to the success of implementation of total

quality management. Studies of CQI institutions emphasize shared leadership, personal

competence, visionary qualities, participation and interaction while dismissing qualities

such as assumed power and charisma (Dever, 1997; Freed & Klugman, 1997; Gratton,

1993; Leffel et al., 1991; Walters, 1995).















CHAPTER 3
RESEARCH METHODOLOGY

This chapter explains the research methodology used in this study. The research

purpose, problem, and design are described; the research instruments and research sample

are explained. The data collection methods are explained followed by the methodology

used for data analysis.


Pumose of the Study

The purpose of this study was to develop a theoretical construct of effective

leadership in a community college that has adopted or wants to adopt the principles of

continuous quality improvement. According to Gall, Borg, and Gall (1996), a theoretical

construct is developed by explaining a set of observed phenomena. This study was

designed to gather data to explain the leadership of presidents and senior team members

of institutions that have demonstrated successful implementation of Continuous Quality

Improvement processes. The study presents an analysis of leadership in colleges that

have demonstrated success as measured by the Baldrige Quality Award Education

Criteria. Specifically, this study determined the level of implementation of the 1998

Malcolm Baldrige Quality Award Education Criteria for Performance Excellence in

member institutions of the Continuous Quality Improvement Network. To develop the

theoretical model, leadership styles, team types, personality traits, situational variables,

and intervening variables were explored. Both quantitative and qualitative inquiry








methods were used to determine the leadership and team profiles of the presidents and

senior team members of those institutions that scored highest on the Baldrige Quality

Award Index Rating. The Occupational Personality Questionnaire (OPQ) was used to

determine the critical traits, team types, and leadership styles of the presidents and their

senior team members. Questionnaires and institutional reports and documents were used

to gather information about the situational and intervening variables that are associated

with successful implementation of CQI. Semi-structured interviews were conducted to

further explore the practices of the CEO's and to further understand the organizational

structure. A conceptual model for effective leadership in a community college that has

adopted or wants to adopt the principles of continuous quality improvement was

developed. To determine how the key leaders in the colleges studied contributed to the

successful implementation of CQI, the following major research questions were

addressed:

* Is there a difference in the situational variables in colleges with similar levels of
implementation of CQI?

* Is there a difference in the personality traits of members of the senior leadership
teams in colleges with similar levels of implementation of CQI?

* Is there a difference in the leadership styles of members of the senior leadership
teams in colleges with similar levels of implementation of CQI?

* Is there a difference in the team types of members of the senior leadership teams in
colleges with similar levels of implementation of CQI?

* Is there a difference in the intervening variables affecting CQI implementation in
colleges with similar levels of implementation of CQI?

These questions constitute the study's propositions, the phenomena to be

examined within the scope of the study (Yin, 1994). For the purposes of this study,

situational variables are those contextual and organizational conditions that exist within a








leadership setting. Researchers (Entin, 1994; Hammons, 1994; Horine & Hailey, 1995)

have identified the motivation for adopting CQI, the organizational structure, the culture

of the institution, time for implementation, and personal factors of the leaders as

important situational factors in the implementation of CQI. Personality attributes to be

explored are grouped into three domains: relationships with people, thinking style, and

feelings and emotions. OPQ data also yielded preferred leadership styles of the presidents

and other senior leaders. The study explored each leader's preferences for five leadership

scales (Bass, 1990) and each leader's ability to adapt style use depending on the

circumstances. OPQ data were also used to determine preferred team types based on

Meredith Belbin's eight team roles for optimum performance, for presidents and senior

team members. Intervening variables are those variables that mediate the effects of

leadership behavior on end-result criteria of leadership success (Yukl, 2001). In

implementation of CQI, intervening variables are likely to include presidential

commitment and involvement, follower commitment and involvement, training,

management of change, and reaction to external events such as legislative or economic

changes (Hammons, 1994; Horine & Hailey, 1995; Van Allen, 1994).


Research Problem

Leadership research has been characterized as being too narrowly focused and as

providing simple explanations (Yukl, 2001). To determine the characteristics of effective

leaders, researchers have studied national leaders as identified by other leaders, analyzed

leadership theory, or surveyed leaders based on a particular leadership approach such as

transformational or transactional leadership. Research has not been conducted by








selecting leaders according to institutional outcomes or assessments such as successful

implementation of CQI principles.

Research indicates that current knowledge of leadership styles is not sufficient to

meet the demands of today's management innovations such as TQM (Haire, 1997;

Jameson & Soule, 1991). In addition, the successful implementation of CQI has been

difficult for many institutions. Seymour (1994) reported that although 7 in 10 educational

institutions surveyed were using principles of total quality management, only 1 in 10

were using those principles extensively. Researchers indicate that implementation takes

time and commitment. Juran traced the disappointing results to "limitations of leadership

by upper managers" (1995, p. 586). Proponents of CQI have emphasized the central

importance of leadership in a CQI organization (Freed, et al., 1994; Leffel et al., 1991;

Norton, 1994; Seymour 1992; Walton, 1986) and have identified general characteristics

important to CQI leadership. These include shared leadership, personal competence,

visionary qualities, participation and interaction (Dever, 1997; Freed & Klugman, 1997;

Gratton, 1993; Leffel et al., 1991; Walters, 1995). However, "very little empirical

evidence exists to help understand how leadership styles best complement and assure

success of CQI implementation" (Haire, 1997, p. 2).

According to Bass,

Some of the variance in who emerges as a leader and who is successful
and effective is due to traits of consequence in the situation, some is due to
situational effects, and some is due to the interaction of traits and situation.
(1990,p.87)

Bass indicated that more qualitative research is needed to address the complexities of

organizations and their leadership. Yukl (2001) suggested that the various lines of

research are gradually converging and that the various approaches should be viewed as








part of a larger network of interacting variables. Yukl proposed that leadership

characteristics and behaviors are both the independent and dependent variables and that

leaders affect and are affected by other variables including the institution's success

criteria.


Research Design

This study examined the concept of effective leadership within institutions that

have demonstrated success in implementing and using continuous quality improvement.

The first phase of the study determined the degree of implementation of CQI in the

member institutions of the Continuous Quality Improvement Network using a survey

research design, a method common to investigation of educational issues (Gall et al.,

1996). In this study, the success of the institution was determined by using the

Institutional Self-Assessment (Appendix A), which measured an institution's level of

implementation of the 1998 Malcolm Baldrige Quality Award Education Criteria for

Performance Excellence. To determine situational variables present in each college, an

institutional background questionnaire (Appendix A) was included with the self-

assessment survey. The background survey requested information about the

implementation of CQI at the institution as well as data about the college, the president,

and senior team members. Situational variables included the motivation for adopting

CQI, time for implementation, organizational factors and culture, and personal factors of

the leaders.

The second phase was designed to investigate leadership in colleges with high

levels of CQI implementation. This part used both quantitative and qualitative research

methods to collect and analyze data from the colleges that scored highest on the








Institutional Self-Assessment. According to Yin (1994), the case study method is used

when contextual conditions need to be studied and when "the boundaries between

phenomenon and context" (p. 13) are not clearly evident. This study used an embedded,

multiple-case design (Yin, 1994). An embedded design is used when a case involves

more than one unit of analysis; a multiple-case design is used when there is an interest in

determining replication of phenomena. This study investigated two colleges and their

leaders, each treated as a separate case. The evidence for each case was gathered and

analyzed independently. Results for each case were written individually. Then a cross-

case analysis was written. The conclusions from the cross-case analysis were used to

develop the theoretical construct.

The theoretical framework for leadership developed in this study defined the

leadership attributes consistent with successful implementation of CQI within specified

contextual conditions. The colleges with the highest scores on the Institutional Self-

Assessment were selected as the multiple cases for study. The units of analysis in each

case were the president and the leadership team and certain situational and intervening

factors. Factors investigated were those cited in the literature as affecting

implementation: organizational factors and culture, time for implementation, motivation

for adopting CQI, personal factors of leaders, leadership commitment, training, campus

wide involvement and commitment, management of change, and external events

(Brigham, 1994b; Entin, 1994; Ewell, 1993; Hammons, 1994: Horine & Hailey, 1995;

Marchese, 1993; Peterson, 1993; Van Allen, 1994).

According to Yin (1994), a qualitative research design can be assessed using the

logical tests commonly applied to quantitative research designs. Construct validity can be








increased using three tactics. The first is the use of multiple sources of evidence during

data collection. This study used surveys and questionnaires, document analysis, and semi-

structured interviews. The second is to establish a chain linking the pieces of evidence;

this occurred during collection and analysis of the data and is reflected in the reported

results. The third is to have the key informants review the report to verify the accuracy of

their responses. The respondents were sent their results for review and comment. The

presidents reviewed transcripts of their interviews.

Threats to internal validity in qualitative analysis are most likely to occur when

inferences are made (Yin, 1994). Making correct inferences was strengthened through

careful analysis of interview and documentary evidence, attention to alternate possible

explanations, and tightening of potential gaps in the chain of evidence collected. In

addition, Dr. Dale Campbell, a qualified SHL Test User, reviewed the discussion related

to the results of the OPQ.

External validity, the generalizing of the results, is threatened if the results of the

case study are assumed to apply to a larger population (Yin, 1994). Statistical

generalization is not suitable to case studies. Rather, case studies rely on analytical

generalization, in which a particular set of results may be generalized to a broader theory.

The Occupational Personality Questionnaire was administered to the president

and members of the senior leadership team at each of the colleges that rated highest on

the Baldrige Quality Award Index Rating. Copies of college documents and reports were

also collected from these colleges. Information studied included the organizational chart,

governance structure, committee structure, committee minutes and agendas; the strategic








plan, including statements of mission and philosophy; and performance or assessment

reports.

Information was gathered regarding existing situational variables at each of the

highest rated colleges. Situational variables are those contextual and organizational

conditions that exist within a leadership setting (Yukl, 1994). Researchers have identified

the motivation for adopting CQI, the time for implementation, the organizational

structure of the institution, the organizational culture, and the personal characteristics of

the leaders as important to successful implementation.

Information was gathered regarding intervening variables related to

implementation of CQI. Information gathered from the documents and questionnaires

was based on the variables cited in the literature as affecting the successful

implementation of CQI (Brigham, 1994b; Entin, 1994; Ewell, 1993; Hammons, 1994:

Horine & Hailey, 1995; Marchese, 1993; Peterson, 1993; Van Allen, 1994). Intervening

variables included senior leadership commitment to the principles of CQI and

involvement in the process; campus wide training and participation in CQI development

activities; and management of change. Semi-structured interviews were conducted to

clarify and add to information collected from documents and questionnaires (Appendix

D).


Research Instruments

The success criterion was defined as the level of implementation of the Baldrige

Award Criteria. The Baldrige Quality Award Index rating of each college was determined

using a self-assessment questionnaire. The survey questions addressed the 18

subcategories within the seven categories contained in the 1998 Malcolm Baldrige








Quality Award Education Criteria for Performance Excellence. The self-assessment was

conducted using a five point Likert-type scale: (1) Strongly Disagree, (2) Disagree, (3)

Neither Agree nor Disagree, (4) Agree (5) Strongly Agree. The responses were then

entered into the Baldrige Quality Award Index Rating Sheet, which weighted the

responses for each of the 18 subcategories according to the Baldrige Education Criteria

point system. Coresky, McCool, Bymes, and Weber (1992) suggested that institutions

use the Baldrige Quality Award Index Rating, based on the Baldrige Award Criteria and

point system, to obtain a baseline from which to begin a CQI program. Paris (1996)

modified the instrument, basing it on the 1995 Baldrige Education Criteria for

Performance Excellence. The Paris survey was developed in association with Dr. George

A. Baker III, Joseph D. Moore Distinguished Professor of Community College

Leadership and Director of the National Institute for Leadership and Institutional

Effectiveness at North Carolina State University. Eight members of the Carolina Quality

Consortium advisory board reviewed the instrument for content and face validity prior to

a pilot test. Upon revision, this group concurred on the validity (Paris, 1996). The

reliability factor of the instrument was greater than .85 as determined by Cronbach's

Coefficient Alpha. Parallel split half reliability resulted in a reliability coefficient of.88

for odd numbered responses and .86 for even number responses. Total reliability was .93

using the Spearman-Brown formula of conversion (Paris, 1996). Paris used the

instrument to determine institutions' current and expected future levels of implementation

of Baldrige criteria. For this study, the Paris instrument was used with updates to reflect

the 1998 Baldrige Education Criteria and point system. Copies of the self-assessment

instrument and the response sheet are included in Appendix A.








The Background Information Sheet (Appendix A) was developed to gather

information about the institution, members of the leadership team, and the reasons) for

adopting CQI. This information was used to provide a descriptive profile of all the

institutions as well as to determine differences in situational variables.

The Occupational Personality Questionnaire (OPQ) was administered through the

Institute of Higher Education at the University of Florida as part of the 21st Century

Educational Profiles Project under the leadership of Dr. Dale F. Campbell, Professor and

Director of the Institute of Higher Education. The OPQ was given to the presidents and

senior leaders in the institutions that scored highest on the Institutional Self-Assessment.

The OPQ measures 30 concepts in three "domains": relationships with people (9

concepts), thinking style (11 concepts), and feelings and emotions (10 concepts). Each

concept model attribute is rated on a scale ranging from a low level of the attribute to a

high level. (See Appendix C.) Support for personality scales as predictors of specific

independent measures of job competency or performance has been demonstrated in

several studies (Saville, Sik, Nyfield, Hackston, & Maclver, 1996). Baron (1996)

concluded that instruments using numerous scales (including the 30 in the OPQ) do

provide interpretable psychometric parameters. Internal consistency reliability for the

OPQ items (N=441) ranged from .54 to .88 with a median of .75 as determined by

Cronbach's Coefficient Alpha (Saville & Holdsworth, 1996). Saville and Holdsworth

stated that a range of .50 to .80 is desirable for measuring broad personality traits

provided that test-retest and alternate form reliabilities are adequate. The test-retest

correlation coefficient for the 31 scales of the OPQ ranged from .69 to .94 with a median








of .84 on a sample (N=86) with a one-month interval between tests (Saville &

Holdsworth, 1996).

A number of studies have been conducted to determine criterion and construct

validity of the OPQ. For example, a study comparing OPQ results with supervisors' job

performance evaluations of 269 senor managers indicated that aspects of personality are

consistently related to job performance. All correlations were significant at the 5% level

(p .05) (Saville & Holdsworth, 1996). Construct validity studies included correlation

with the Jenkins Activity Survey Type A Scale (N=95), with the Sixteen Personality

Factor Questionnaire (N=230), and with the Myers-Briggs Type Indicator (N=82), among

others. Results suggested that the OPQ measures essentially what it intends to measure

(Saville & Holdsworth, 1996).

The OPQ also determines an individual's preferred Leadership Styles-using the

five described by Bass (1990): directive, consultative, delegative, participative, and

negotiative. Since these styles are not necessarily mutually exclusive, the OPQ also

measures an individual's adaptability, that is, the capacity to adopt different styles of

behavior in different sets of circumstances.

The OPQ also determines an individual's preferred Team Types-based on

Meredith Belbin's eight team roles for optimum performance: coordinator, shaper,

innovator-plant, monitor-evaluator, resource investigator, complete, team worker,

implementer (Belbin, 1981, 2000). A team role is a cluster of related characteristics; the

OPQ expert system derives the team types from clusters of its 30 concepts. Dulewicz

(1995) developed a correlation matrix for the eight team roles derived from the OPQ and

from another personality questionnaire, the 16 Personality Factor Questionnaire.








Dulewicz found high proportions of significant intercorrelations. He also found

significant correlations between the two questionnaires when relating the same team role

from each. The one exception occurred where the two questionnaires differed in the kinds

of scales used.

Information regarding situational and intervening variables was gathered through

interviews and from institutional documents and reports. Documents included college

catalogs, organizational charts, strategic plans, performance and assessment reports, and

the colleges' websites. The governance structure, committee structure, and some job

descriptions of each college were also examined.

The fourth resource used for data gathering was telephone interviews. The

purpose of these interviews was to further explore the behaviors of the leaders, the CQI

implementation process, and additional information on the intervening variables. A copy

of the interview questions is included in Appendix D.


Population

The research design for this study required a purposeful sampling process (Gall et

al., 1996). The population for the self-assessment based on the Baldrige Education Award

Criteria and the Background Questionnaire consisted of the community colleges in the

Continuous Quality Improvement Network (CQIN). The president, CQIN Institutional

Representative, or other appropriate administrator at each participating college completed

the self-assessment questionnaire.

Development of the leadership model described in this study required a

population of leaders who were committed to and have had success in continuous quality

improvement. The membership of CQIN was selected for this study because of the








organization's commitment to the principles of continuous quality improvement. In

addition, membership requires commitment from top leadership and evidence of that

commitment in the organization. The Continuous Quality Improvement Network was

formed "to assist member CEOs with active organizational transformation via out-of-box

learning and sharing practices" (CQIN, 2001, Introduction, 11) and to develop workshops

and other strategies to aid faculty, staff, and trustees in learning about CQI. It was formed

in 1991 with 13 member institutions. Membership is currently 36 organizations,

including colleges, districts, non-profit organizations, and corporate partners. The

organization invites chief executive officers of community and technical colleges to

apply if they are committed to organizational transformation and measurable, continuous

improvement (CQIN, 2001, Application).

The results of the Institutional Self-Assessment were used to determine the

Baldrige Quality Award Index rating for each of the colleges. The rating sheet provides a

weighted score for each of the 18 subcategories within the seven categories contained in

the 1998 Malcolm Baldrige Quality Award Education Criteria for Performance

Excellence as well as an overall Baldrige Quality Award Index Rating score. The

weighting is the same as the weighting system used in the Baldrige Criteria. Data also

included the range of scores and an overall mean score for all institutions in the study

(Appendix E). The Baldrige Quality Award Index ratings are Category I, Not Yet Quality

Focused; Category II, Commitment; Category III, Significant Progress; and Category IV,

Quality Focused.

The study's population was further narrowed to the colleges that scored in

Category IV, Quality Focused. The Occupational Personality Questionnaire was








administered to the presidents and senior leaders in those colleges. The total number of

subjects was determined by the actual membership of the leadership teams in the colleges

meeting the success criteria. The presidents participated in the semi-structured interviews.


Data Collection

Presidents of the community colleges in CQIN were contacted and were given a

description of the purpose of the study. They were asked to commit their institutions to

participate in the initial self-assessment and background questionnaire and to agree to

participate in the follow up study if asked (Appendix A).

The self-assessment instrument was mailed to the CQIN representative or other

official designated by the president. Respondents were asked to complete the self-

assessment instrument and questionnaire and to return them in the enclosed self-

addressed, stamped envelope.

Once this data was collected and analyzed, the top colleges were selected for

further study. The OPQ was administered to the president and leadership team members

identified in the questionnaire. Follow-up information and additional documentation were

requested from the president or designee (Appendix B). Information was also obtained

from each college's website. Additional documentation requested from institutions that

were selected for further study included an organizational chart of the institution, a

description of the governance structure, a list of college wide committees and their

functions and membership, the college's strategic plan, and performance or assessment

reports. The results of the OPQ were provided to the participants, and they were invited

to respond with comments or questions (Appendix C).