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A model for effective leadership in community colleges committed to Continuous Quality Improvement

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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).




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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
2002

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 learn 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 1 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
ACKNOWLEDGMENTS ii
ABSTRACT vii
INTRODUCTION 1
Background and Rationale 3
Continuous Quality Improvement 5
Leadership Studies 7
Statement of the Problem 9
Purpose of the Study 10
Significance of the Study 12
Definition of Terms 13
Limitations 14
Summary 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 Teams 69
Continuous Quality Improvement Leadership 72
Studies of Leadership and Continuous Quality Improvement 74
Summary of Review of Literature 77
tv

RESEARCH METHODOLOGY.
.79
Purpose of the Study 79
Research Problem 81
Research Design 83
Research Instruments 86
Population 90
Data Collection 92
Data Analysis 93
RESULTS 96
Institutional Self-Assessment 96
Case Study One 104
Situational Variables 104
Personality Attributes 107
Leadership Styles 116
Team Types 122
Intervening Variables 126
Case Study Two 130
Situational Variables 130
Personality Attributes 134
Leadership Styles 143
Team Types 148
Intervening Variables 151
Cross-Case Analysis 157
Situational Variables 157
Personality Attributes 160
Leadership Styles 168
Team Types 172
Intervening Variables 175
CONCLUSIONS AND RECOMMENDATIONS 178
Conclusions 179
Situational Variables 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
Limitations 194
Theoretical Construct 195
Implications for Practice 199
Recommendations for Further Study 200
v

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
Sample 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
vi

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
vii

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.
viii

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; Tierney, 1999).
Townsend (2000) identified four values that determine educational policy: choice,
quality, efficiency, and equity. She stated that these values sometimes conflict with one
1

2
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)1 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; Márchese, 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; Eisner, 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).

3
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).

4
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

5
“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 Quality 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

6
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) Quran, 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

7
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). Eisner (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. Bimbaum (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

8
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

9
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

10
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

11
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.

12
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

13
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 Quality 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).

14
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.

CHAPTER2
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.
16

17
Continuous Quality 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.

18
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

19
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 Quality in the I Inited 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

20
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

21
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.

22
• 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

23
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 (Márchese,

24
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.
Márchese (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
Márchese 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.

25
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.

26
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. Márchese (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 (Márchese, 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 leam from the
quality movement but also that the movement can leam 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.

27
Implementation in Education
Continuous quality assurance first appeared in education about 1984 (Wolverton,
1994). Márchese (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 (Márchese, 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, 1|8).
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 tCCJRPl 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

28
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.

29
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

30
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

31
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 Eisner, 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

32
formed to improve various college processes. Chancellor Eisner 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 Eisner 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

33
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 Vi 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

34
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

35
(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

36
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.
Márchese (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

37
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

38
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

39
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

40
(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

41
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 Baldrjge 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

42
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

43
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 Quality 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

44
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).

45
Theories of Leadership
Mitchell (1990) concluded that contemporary studies support one of two theories
of leadership: leaders are bom or leaders are made. Those who lean toward the “leaders
are bom” 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 Tierney (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; Bimbaum, 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

46
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 (Bimbaum, 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,

47
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; Bimbaum, 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 Bums 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

48
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 (Bums, 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 (Bimbaum, 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 (Bums,
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

49
“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

50
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 (Eisner, 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 (Eisner, 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 Rotter (1990), concerns change. Management strives for consistency and order.

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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).

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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 learn 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

53
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. Currículums 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.

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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

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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

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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

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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. Bimbaum 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

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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

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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.
Eisner (1984) discussed the relationship between leadership and change. Eisner
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, Eisner 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

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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

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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.

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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

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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

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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;
fmance/budgeting; performance appraisal; analysis; controlling; peer network;
scholarly writing.
• Group Related skills (5): motivation; use of power; entrepreneurship; integrating;
conflict resolution.

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• 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.

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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

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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

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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.

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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

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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

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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 midwestem 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

72
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 Quality 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

73
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 of J. 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

74
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

75
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;
â– define where we are going and how we will move along the road of
continual improvement, and disseminate this vision broadly;
â– 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;
â– 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

76
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,

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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.
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. 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
79

80
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

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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

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selecting leaders according to institutional outcomes or assessments such as successful
implementation of CQ1 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

83
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

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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;
Márchese, 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

85
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

86
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; Márchese, 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

87
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. Comesky, McCool, Byrnes, 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.

88
The Background Information Sheet (Appendix A) was developed to gather
information about the institution, members of the leadership team, and the reason(s) 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

89
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 señor 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, completer, 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.

90
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

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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, ([1) 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

92
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).

93
The content of the follow up questions was finalized after the results of the
previous data were obtained. A copy of the questions was mailed to each leader before
the interview (Appendix D). The telephone interviews were structured to last about one
hour. The interviews were taped and the interviewer took notes during the interview. The
presidents were sent a copy of the interview summary and were given the opportunity to
provide additional input and make corrections (Appendix D).
Data Analysis
Data from the Institutional Self-Assessment Response Sheet were analyzed. A
table showing the frequency of responses for each of the 18 elements was created. For
each numerical score (from 1 to 5) for each question, the frequency, percentage, and the
mean were calculated. A Baldrige Quality Award Index Rating Sheet was created for
each college. Raw scores were entered into the rating sheet. Scores were weighted
according to the Baldrige Education Criteria point system. The weighted scores were
totaled to determine the overall Baldrige Quality Award Index Rating for each college.
The frequency of scores and mean scores were calculated for all of the participating
colleges. Descriptive information obtained from the Background Information Sheet was
also analyzed.
The colleges with the highest Baldrige Quality Award Index Rating scores were
selected for further study. The Occupational Personality Questionnaire was administered
to the leadership team members at each of these colleges. The OPQ Expert System is a
computer program that analyzes the scores entered by the respondent (Saville &
Holdsworth, 1996). The first set of data describes the respondent’s Personality Profile. It
groups responses into Relationships with People, Thinking Style, and Feelings and

94
Emotions. The raw scores are normed using the standard tens (sten). The sten is based on
a transformation from the z-score and has a mean of 5.5 and a standard deviation of 2.
Stens divide the score scale into 10 units. Each unit has a band width of half a standard
deviation, except the highest unit (Sten 10) which extends from 2 standard deviations
above the mean, and the lowest unit (Sten 1) which extends from 2 standard deviations
below the mean (Saville & Holdsworth, 1996). The SHL Human Resource Management
System produces a report describing each respondent’s scores and a narrative report that
describes the individual’s attributes and that profiles the respondent by analyzing groups
of attributes.
The OPQ also described the respondent’s preferred leadership styles and team
types. The SHL Human Resource Management System report provided a profile of each
leader’s likely use of these leadership styles: Directive, Consultative, Delegative,
Participative, and Negotiative. The System provided a profile of each leader’s likely use
of these team types: Coordinator, Shaper, Innovator, Monitor-Evaluator, Resource
Investigator, Completer, Team Worker, and Implementer. Profiles of all the leaders were
analyzed and compared. Similarities, differences, and ranges of preferences and traits
were described in the qualitative analysis.
Data from the follow up questionnaire, from the documents collected from each
institution, and from the interviews were analyzed and recorded in a case study database
for each institution. Interviews were conducted by phone. All interviews were taped and
transcribed. In addition to the tapes, the interviewer took detailed notes during the
interview. The OPQ profiles, interview information, and the information collected from
the follow up questionnaire and from college documents were analyzed using the

95
constant comparative method (Gall et al., 1996; Merriam, 1998). First, data were broken
into segments representing single pieces of information. The segments were then grouped
into categories based on the study’s five propositions. Finally, the categories were
analyzed for patterns. A case report was written for each institution. The case reports
were then compared and a cross-case analysis was developed. Using this process, a
model was developed that described the leadership team, its members’ traits, and its
actions and interactions. The theoretical construct for effective leadership in a community
college that has adopted or wants to adopt the principles of continuous quality
improvement was constructed.

CHAPTER 4
RESULTS
This chapter includes a description of the research results and presents the
analysis of the results. The results of the Institutional Self-Assessment are presented. The
case studies for the two colleges selected are presented, and a cross-case analysis is
developed.
Institutional Self-Assessment
The first phase of the study determined the degree of implementation of
Continuous Quality Improvement in the member institutions of the Continuous Quality
Improvement Network (CQIN) using a survey research design. “The Continuous Quality
Improvement Network invites the Chief Executive Officers seriously committed to
organizational transformation and measurable, continuous improvement to apply for
membership” (CQIN, 2001, Application, ^1). Applicants should be able to demonstrate
commitment to the concepts of organizational learning and continuous improvement. At
the time of this survey there were 26 two-year college members. Of these, three had
interim presidents or were involved in searches for new presidents so were eliminated
from the population. A fourth was involved in an internal study of its commitment to CQI
and was eliminated. The remaining 22 institutions were sent the Institutional Self-
Assessment, an 18-item survey based on the 1998 Malcolm Baldrige Quality Award
Education Criteria for Performance Excellence (Appendix A). Of the 22 institutions, 15
96

97
returned the survey, a response rate of 68%. Responses to the Baldrige survey items
ranged from (1) strongly disagree to (5) strongly agree. (See Appendix E for frequency of
scores for each item.) The numerical responses for each item for each college were
entered into the Baldrige Quality Award Index Rating Sheet to determine the Quality
Index for each college (See Appendix E for composite scores.) The rating sheet was used
to weight each response according to the points awarded in the Baldrige system. Table 4-
1 shows the overall weighted score for each college. Scores ranged from 59.2 to 87.2 on a
100-point scale. Of the 15 colleges, 1 college scored in Category I, 1 in Category II, 11 in
Category III, and 2 in Category IV.
Table 4-1
Quality Index Rating for Participating Institutions
Overall Rating
Category
59.2
I
60.8
II
70.5
III
72.1
m
72.6
ra
73.0
hi
75.7
hi
75.8
hi
75.9
in
76.0
hi
77.0
hi
78.3
hi
79.4
hi
80.0
IV
87.2
IV
Oualitv Index Rating Category
Description
0-59.9
I
Not yet quality focus
60 - 69.9
II
Commitment
70 - 79.9
III
Significant progress
80-100
IV
Quality focused

98
Participating colleges were asked to complete a questionnaire to provide
additional institutional information at the time they responded to the Baldrige survey.
(See Appendix A for Background Information Sheet.) Table 4-2 displays the relationship
between years involved in implementing TQM, overall rating, and category.
Table 4-2
Years of Involvement in CQI and Quality Rating
Year Implemented
Category
Rating
1985
m
75.7
1989
m
73.0
1990
IV
87.2
1990
hi
79.4
1991
IV
80.0
1991
in
78.3
1992
hi
75.8
1992
hi
76.0
1994
hi
77.0
1997
hi
72.1
1998
in
70.5
1998
hi
75.9
1999
ii
60.8
1999
i
59.2
2000
m
72.6
Overall, the data showed a positive trend between length of time an institution is
involved in TQM and higher scores. Exceptions occurred at the high and low number of
years. The college that most recently began implementation had a higher score than the
schools involved for one to three years. The two colleges involved the longest scored
toward the middle rather than the top of the range. However, one of those colleges had a
CEO change in 1994, the other in 1997 and again in 1998. Three other colleges also had
CEO changes.
Table 4-3 shows the results of matching scores with the time the current CEO has
been involved in CQI at that institution. The relationship between rating category and

99
time of presidential involvement revealed an even stronger relationship than just time of
college’s involvement. The exception to both length of time and length of CEO
leadership is the school that reported beginning CQI implementation most recently. There
was a direct relationship between rating category and current CEO involvement; CEO’s
with the longest involvement led the institutions in Category IV.
Table 4-3
Current CEO Involvement and Quality Rating
Year Current CEO Became Involved
Category
Rating
1990
IV
87.2
1991
IV
80.0
1992
III
75.8
1993
m
79.4
1994
III
77.0
1994
III
73.0
1996
III
78.3
1997
III
72.1
1998
m
76.0
1998
hi
75.9
1998
hi
75.7
1998
hi
70.5
1999
ii
60.8
1999
i
59.2
2000
hi
72.6
The questionnaire provided additional background information on key personnel.
The characteristics of the CEO’s are displayed in Table 4-4. Data for 14 of the 15
presidents are included; one president did not respond.
The presidential group was heavily represented by white males in their 50s. None
of the presidents was less than 50 years old. The majority of CEO’s (65%) had been at
their institutions 10 years or fewer. These results are consistent with Wen’s (1999)
national data on community college CEO’s regarding age, gender, and time in present
position. The two presidents in the colleges that scored in Category I were in the majority

100
group of white males in their fifties. In contrast, at the time of this study, the Category IV
presidents had served 11 and 22 years as president at their respective colleges, which was
longer than the majority of the group and longer than the average 8 years reported by
Wen.
Table 4-4
Personal Characteristics of Chief Executive Officers
Factor
No.
%
Age
49 or less
0
50-54
6
42.86
55-59
6
42.86
60 or more
2
14.28
Gender
Male
10
71.43
Female
4
28.57
Race
African-American
2
14.29
Caucasian
11
78.57
Flispanic
1
7.14
American Indian
0
Asian-American
0
Other
0
Years at College
0-5
4
28.57
6-10
5
35.72
11-15
1
7.14
16-20
0
21-25
0
26-30
3
21.43
31+
1
7.14
Demographic information was also gathered on senior team members at the
colleges. See Table 4-5. This group represented a much broader age range than the
presidents, and over 25% are under the age of 45. The group was nearly evenly split
between males and females whereas 71% of the presidents were males. A larger
percentage of the senior team leaders were Caucasian, 86% compared to 78% of the

101
presidents. Fewer team members (55%) than presidents (64%) had been at their current
institutions 10 or fewer years. However, nearly 40% of the senior leaders had been at
their current institution 5 or fewer years; 28% of the presidents fell in that range.
Table 4-5
Personal Characteristics of Administrative Team Members
Factor
No.
%
Age
39 or less
9
10.22
40-44
14
15.91
45-49
18
20.46
50-54
30
34.09
55-59
9
10.23
60 or more
8
9.09
Gender
Male
49
52.69
Female
44
47.31
Race
African-American
6
6.45
Caucasian
80
86.02
Hispanic
6
6.45
American Indian
0
0
Asian
1
1.08
Other
0
Years at College
0-5
36
39.56
6-10
14
15.39
11-15
17
18.68
16-20
7
7.69
21-25
7
7.69
26-30
7
7.69
31+
3
3.30
Respondents were also asked to provide the primary reason for implementing
TQM at their institutions. Results are shown in Table 4-6. None of the institutions
identified a crisis or serious problem as the reason for adopting CQI. Reasons most often

102
cited included a desire to transform the institution, to become a learning college, to
improve performance, to improve processes, qnd to respond to community needs.
The survey also indicated that irf all of the institutions except one the person most
responsible for implementing TQM on campus was the CEO.
Table 4-6
Reasons for Adopting CQI
Strategic vision to adopt quality approach as tool for transforming to learning college
New CEO; institutional transformation
President’s interest; desire to use CQI for accreditation
Local business and industry requested CQI training; CEO and administrators identified
quality as a critical strategic issue
Our vision is to become a best in class institution; to measure and improve our
processes
To improve communication on campus
College always interested in assessment, using TQM, adopting CQI
Assess current condition; improve performance for accountability; the right thing to do.
To improve campus processes with measurable data/results as indicators
Emphasis and alignment with the college’s focus on learning; documentation of
improvement
My knowledge (CEO) of CQI from previous employment; I think it will help the
quality of my institution.
School has a culture based on the philosophy and concepts of CQI; college is a
student/stakeholder focused learning community
Remain competitive; improve key processes
Improve the performance of the college
Improving service to students; become more accountable for performance
Colleges were also asked for information about the organizational structure of the
college, including the positions (by title) on the senior leadership team. The number of
individuals ranged from 4 to 12, largely depending on the size of the institution. The titles
reflected traditional functional operations of the college. These included academic affairs;
student services; administrative, financial, and business services; human resources;
planning, institutional effectiveness and research; and technology. Several also included a
communications officer and workforce development officer. Some of the colleges had

103
changed the titles to reflect a student focus. Examples included student learning rather
than academic affairs and learning support systems or student success rather than student
services. One college used the term team leader rather than director or dean for some of
its positions. The responsibilities and functions of these positions were explored further
for the two Category I colleges and are discussed later in this chapter.
The two colleges that scored in the Quality Focused category were considered for
further study. Since the Institutional Self-Assessment is a self-rating system, further
evidence was sought to confirm the degree of implementation of CQI. Both colleges had
recently been evaluated according to the Baldrige Education Criteria by an independent
team of judges. Neither scored high enough to receive an award for quality in education,
but both were identified as Best in Class and were commended for strengths in several
Baldrige criteria areas, thus confirming their self-assessment results.
These two colleges were explored further using a case study methodology. To
establish construct validity for the case studies, evidence was collected using the three
tactics described by Yin (1994). First, multiple sources of evidence were used to collect
data for each of the two cases. This study used surveys and questionnaires, document
analysis, and semi-structured interviews. Second, a chain linking the pieces of evidence
was constructed. The strategy used for analysis was to organize the data according to the
study’s five propositions. The third tactic was to ask the key informants to review the
case study reports for their colleges to verify the accuracy of their responses. Each case
study was developed and the results were written independently. A cross-study analysis
was then conducted.

104
The two presidents and the members of their senior leadership team at these
institutions completed the Occupational Personality Questionnaire. The presidents were
interviewed by phone using a semi-structured interview process. The presidents were sent
a written copy of their responses and were asked to provide corrections, additions, or
deletions.
To protect the identities of the colleges and the respondents, College One and
College Two and President One and President Two were used as identifiers.
Case Study One
Situational Variables
The first area of inquiry for this study concerned situational variables in colleges
with similar levels of implementation of CQI. Situational variables are those contextual
and organizational conditions that exist within a leadership setting (Yukl, 2001).
Researchers have identified the motivation for adopting CQI and the time for
implementation as variables that may affect its success (Entin, 1994; Hammons, 1994).
President One stated that when he first introduced CQI to the institution that the
underlying culture for it was already present, so it was a logical extension of the culture
that already existed. Introducing CQI helped the college focus on its core business, which
is student learning. Introducing CQI helped the institution improve processes and sustain
continuous improvement. The college was not in a financial, organizational, or leadership
crisis when CQI was adopted. College One began implementing CQI in 1990 and has
therefore invested more than the 10 years needed to fully integrate the process (Entin,
1993).

105
The organizational structure and culture of the institution are also situational
variables that may affect CQI’s successful implementation (Entin, 1994; Horine &
Hailey, 1995). College One was founded 26 years ago. President One has served as
president more than 20 years and was part of the original administrative team that
founded the school.
College One is a comprehensive community college that serves approximately
14,000 credit and 9,000 noncredit students per semester. It is one college in a multi¬
college district and is in an urban setting. The college’s full-time personnel include 51
administrators, 140 faculty, and 250 staff members. There are approximately 1,000 part
time employees. There are no faculty or staff unions at College One. College One is
regionally accredited and is governed by an elected local board under the overall
governance of the state’s higher education coordinating board.
College One began implementing CQI in 1990. College One’s mission and
organization are now grounded in CQI. The institution has adopted the Baldrige
Education Award Criteria as the basis for planning and assessment and the college strives
to be a learning institution, which the president considers to be much broader and more
comprehensive than CQI.
A variety of college documents2 suggested that employees in all areas of the
college are involved in continuous improvement and are focused on student learning. The
Board of Trustees’ top priorities are student retention, diversity, and remediation, and the
college’s processes are grounded in the Baldrige Education Award measures. The
Institutional Advancement objectives are to achieve new levels of performance
2 Documents included college websites, catalogs, planning documents performance and assessment
documents, and organizational charts.

106
excellence through leadership in planning, research and analysis, measurement and
evaluation, support and communication, and identification and procurement of external
sources. The two purposes of the college’s institutional effectiveness plan are
improvement and accountability.
According to the college’s operational philosophy, the college is a teaching,
learning, community-building institution. The college offers a student-learning guarantee;
it measures its behaviors against a statement of organizational values; and it makes
decisions through a line organizational structure that receives input from those affected
by the decisions. It is committed to maintaining the highest possible ratings and to being
a team player in the community of educators, business people, elected officials, and
others.
The college’s strategic planning priorities are for student learning. The learning
needs and expectations of the students and the community form the basis for the college’s
7 Organizational Values and 10 Organizational Practices. Learning is also the foundation
for the vision statement and the statement of purpose.
The college has five strategic planning priorities that are also centered in student
learning: (1) responding to the learning needs of the diverse community the college
serves, (2) maintaining a learning climate supporting student success through a core
curriculum and learning outcomes, (3) advancing the success of all employees in a
supportive learning climate, (4) promoting the purposeful and economical use of
instructional and administrative technology, and (5) advancing student learning through
institutional effectiveness.

107
Personality Attributes
The second area of inquiry concerned personality attributes of members of the
senior leadership teams in colleges with similar levels of implementation of CQI. The
president and senior leaders completed the online version of the Occupational Personality
Questionnaire. Each individual who took the OPQ received an individual OPQ Expert
System3 report. Each system report grouped the attributes into three domains. The first
group is Relationships with People. The OPQ Expert System converted raw scores to sten
scores. (See Appendix C for a sample report.) The president’s scores are displayed in
Table 4-7. Of the nine attributes associated with Relationships with People, the
president’s scores were highest on these: Caring (sten score of 10), Democratic (10),
Modest (8), Affiliative (7), and Independent (7).
Table 4-7
President One: Relationships with People Domain
Attribute
Sten Score
R1
Persuasive
3
R2
Controlling
3
R3
Independent
7
R4
Outgoing
1
R5
Affiliative
7
R6
Socially confident
5
R7
Modest
8
R8
Democratic
10
R9
Caring
10
President One’s profile indicated that he has a moderately high tendency to share
opinions and express disagreement, but that he is unlikely to try to gain commitment
through persuasion or control, preferring more democratic methods. Although he is not
3 The OPQ Expert System is an integrated computer software package that uses OPQ profile scores as its
input. From these scores, the system’s various modules produce different kinds of reports (Saville &
Holdsworth, 1996).

108
naturally outgoing, he is likely to prefer being with people to being alone and to form
strong attachments. The President is not uneasy in social situations, but neither is he
especially confident with new people nor eager to give speeches or presentations.
The president accepts people as they are and believes all people should be treated
equally; he is reserved about his own achievements and is willing to share credit for his
successes. He also uses a democratic style, encouraging others to participate. He prefers
group decision-making and seeks the opinions of those who may be affected by
decisions. He is also very caring, showing consideration for others, caring for those in
need, and taking genuine interest in the welfare of others.
The president’s democratic and caring attributes were evident in his relationships
with others on campus. The president indicated that many people within the college
influence him. His cabinet represents a very diverse group of people both in terms of
personality and ethnic background. He is delighted in the advantage that the group gains
from the diversity, which gives them different perspectives and teaches them all to pay
attention in different ways. He also maintains contact with a number of individual
faculty, and he often is present on campus for informal chats and discussions with
students and staff.
The president identified 14 leaders who make up his leadership team. All 14 took
the OPQ. Scores in Table 4-8 are grouped into the number of senior leaders with a low,
medium, or high tendency for each attribute.4 The president’s range is indicated in the
last column.
4 The Saville and Holdsworth, Ltd. Human Resource Management System produces job and individual
match reports. Those reports identify a range for attributes from low to average to high levels. To determine
an individual’s match to a job profile, sten scores are plotted in a range (Appendix C). Ranges are also used
in this study to group individual scores for comparison of the senior group to the president.

109
As a group the senior leaders’ highest scores in the Relationships with People
domain were on these attributes: Independent, Caring, and Modest. These three match
areas where the president also scored high. The group is highly independent; 10 scored in
the top range; 3 in the middle, and 1 in the low range. The group is also caring; 9 scored
in the top range; 4 in the middle, and 1 in the low range. These leaders also have a strong
tendency to be modest about their own achievements.
Table 4-8
College One Senior Leaders: Relationships with People Domain
The group’s scores differed somewhat from the president’s on several attributes.
The majority (9 individuals) scored in the medium range on the Persuasive attribute. On
the attribute Outgoing, 7 scored in the medium and 7 in the high range. The president’s
scores were in the low range for both of these attributes.
Half of the senior leaders group scored in the medium range on Democratic and 4
scored in the high range, so although they tend toward using democratic approaches with
others, they are not as likely to do so as the president, whose sten score was 10 on the
Democratic attribute.

110
The group was split in its scores on Controlling with 5 in the low range, 3 in the
medium range, and 6 in the high range. The 6 in the high range scored opposite of the
president on this attribute. The group was also split in its scores on Affiliative with 5 in
the low range, 4 in medium, and 5 in high. The president was in the high range.
The second domain is Thinking. Of the 11 attributes associated with the Thinking
Domain, the president’s scores were highest on these: Artistic (10), Behavioral (9),
Change Oriented (9), Innovative (8), and Conceptual (7). See Table 4-9.
Table 4-9
President One: Thinking Domain
Attribute
Sten Score
T1
Practical
4
T2
Data rational
1
T3
Artistic
10
T4
Behavioral
9
T5
Traditional
4
T6
Change oriented
9
T7
Conceptual
7
T8
Innovative
8
T9
Forward planning
3
T10
Detail conscious
3
Til
Conscientious
4
The president has a high appreciation for the arts and is likely to be involved in
cultural activities. He also spends time analyzing his own thoughts and motives and
reflecting on the behavior of other people. He values understanding how and why other
people do things.
In the interview, the president stressed his interest in the behavior of others and in
his own behavior; he has become interested in studying cultural communication. He likes
to listen a lot and to encourage others to listen and adapt.

Ill
The president’s scores indicated that he prefers to make decisions on the basis of
opinions and feelings rather than numerical data. The president scored low on being data
rational, which seemed inconsistent with the principles of CQI and the Baldrige Criteria.
President One indicated that he has come to have a reluctant respect for data although he
gets no particular joy or satisfaction from dealing with it. He has a healthy respect for
how to use data, but he also knows how it can mislead. Therefore, he believes it needs to
be tempered with intuition and the human element. He has learned the skill of using data,
but he monitors its use, preferring that decisions be data influenced rather than data
driven.
The profile indicated a balance between relying on the well proven versus the
unconventional with a slightly higher tendency to experiment and try new approaches
than to take the traditional approach. He is highly change oriented, indicating an
adventurous spirit, a desire for variety, and willingness to accept change. He also tends to
be a conceptual thinker who is intellectually curious and enjoys working with complex
issues. The president is also innovative and generates creative ideas and imaginative
solutions to problems.
The president is more likely to deal with problems as they arise than to plan for
every possibility. He is not likely to spend time forecasting trends or setting targets; he
prefers to make decisions when the need arises. Neither is he interested in repetitive,
methodical work; he prefers to leave the detail work to others. He is more interested in
addressing the main objectives than in conscientiously attending to details.

112
The scores for the senior leaders in College One are displayed in Table 4-10
grouped in the high, medium, and low ranges. The president’s range is indicated in the
last column.
Table 4-10
College One Senior Leaders: Thinking Domain
Senior Leaders In Sten Score Range
President's
Range
Low (1-4)
Medium (5-6)
High (7-10)
Attribute
#
Percent
#
Percent
#
Percent
T1
Practical
7
50.00%
2
14.29%
5
35.71%
Low
T2
Data rational
2
14.29%
7
50.00%
5
35.71%
Low
T3
Artistic
2
14.29%
7
50.00%
5
35.71%
High
T4
Behavioral
3
21.43%
4
28.57%
7
50.00%
High
T5
Traditional
4
28.57%
6
42.86%
4
28.57%
Low
T6
Change oriented
1
7.14%
7
50.00%
6
42.86%
High
T7
Conceptual
2
14.29%
4
28.57%
8
57.14%
High
T8
Innovative
2
14.29%
6
42.86%
6
42.86%
High
T9
Forward planning
3
21.43%
4
28.57%
7
50.00%
Low
T10
Detail conscious
4
28.57%
3
21.43%
7
50.00%
Low
Til
Conscientious
5
35.71%
4
28.57%
5
35.71%
Low
Total Thinking
35
22.73%
54
35.06%
65
42.21%
At least half of the senior leaders scored high on Conceptual (8 high, 4 medium),
Behavioral (7 high, 4 medium), Forward Planning (7 high, 4 medium), and Detail-
Conscious (7 high, 3 medium). At least half match the president on the Conceptual and
Behavioral attributes. However, the president scored low on both the Forward Planning
and Detail-Conscious attributes.
The group scored in the medium to high range on four scales: Change-oriented (7
medium, 6 high), Artistic (7 medium and 5 high), Data-Rational (7 high and 5 medium),
and Innovative (6 high and 6 medium). They were close to the president on the Change-
oriented, Artistic and Innovative attributes, although less than half scored in the high
range with the president. They tend to be much more data-rational than the president is.

113
Half of the senior leaders scored low on the practical attribute, where the
president also scored low. However, 5 individuals scored high, indicating they like
practical tasks. The team was split on the two other attributes, Conscientious and
Traditional, with several individuals at all three levels.
The third domain is Feelings and Emotions. Of the 10 attributes associated with
Feelings and Emotions, the president’s scores were highest on these: Relaxed (9),
Optimistic (8), and Critical (7). See Table 4-11.
Table 4-11
President One: Feelings and Emotions Domain
Attribute
Sten Score
FI
Relaxed
9
F2
Worrying
2
F3
Tough minded
6
F4
Emotional control
3
F5
Optimistic
8
F6
Critical
7
F7
Active
6
F8
Competitive
3
F9
Achieving
4
F10
Decisive
6
D1
Social desirability
8
The president’s profile indicated that he is calm and relaxed, cool under pressure,
and generally free from anxieties. He copes well with stress and can leave work at the
office. He is rarely apprehensive; competition does not make him nervous; and he does
not feel undo guilt over mistakes he might have made. Although he is sensitive, the
president is moderately unlikely to suffer from hurt feelings or to be bothered by insults
or what others think of him. However, he tends to be emotional and may show his
feelings and be easy to read emotionally. He is not easily depressed and is likely to stay
cheerful even when things go wrong. He is optimistic, expecting events to change for the

114
better. He has a tendency to probe the facts, look for disadvantages, and to challenge
assumptions and poor arguments and to share these observations with others in the group.
The president is moderately active, displaying a bit more energy than others do.
He is not highly competitive; participating is more important than winning; he is a good
loser and is prepared to compromise rather than to force himself on others. The president
is not personally highly ambitious; he values his personal and social life as much as his
job. He sets reasonable goals rather than highly ambitious, competitive ones. The
president strikes a balance in decision-making. He can take risks and make quick
decisions but also may like to have some facts and to weigh alternatives.
The president’s high social desirability score (8) indicated that he is usually
cheerful, even in difficult times, that he does things well, and that he most often gives
other people his full attention. He is generally not envious of others, does not spend time
regretting what he has done, and rarely loses his temper.
When asked if he wished to add anything to the OPQ description of Feelings and
Emotions, President One suggested another attribute that he felt was important: his sense
of humor. He also values celebration and pointed out that joy is one of the college’s
stated values. He feels a great deal of affection and warmth for members of the college
community; they are family.
The range of scores for the senior leaders in College One are displayed in Table
4-12 and are grouped in the high, medium, and low ranges. The president’s range is
indicated in the last column.

115
As a group the senior leaders’ highest scores in the Feeling and Emotions domain
were on these attributes: Critical and Optimistic. The president also scored in the high
range on these two attributes.
Table 4-12
College One Senior Leaders: Feelings and Emotions Domain
Senior Leaders in Sten Score Range
President's
Range
Low (1-4)
Medium (5-6)
Hip
h(7-10)
Attribute
#
Percent
#
Percent
#
Percent
FI
Relaxed
2
14.29%
6
42.86%
6
42.86%
High
F2
Worrying
5
35.71%
6
42.86%
3
21.43%
Low
F3
Tough-minded
2
14.29%
8
57.14%
4
28.57%
Medium
F4
Emotional control
6
42.86%
4
28.57%
4
28.57%
Low
F5
Optimistic
1
7.14%
5
35.71%
8
57.14%
High
F6
Critical
1
7.14%
4
28.57%
9
64.29%
High
F7
Active
4
28.57%
6
42.86%
4
28.57%
Medium
F8
Competitive
6
42.86%
6
42.86%
2
14.29%
Low
F9
Achieving
7
50.00%
5
35.71%
2
14.29%
Low
F10
Decisive
2
14.29%
7
50.00%
5
35.71%
Medium
D1
Social desirability
5
35.71%
6
42.86%
3
21.43%
High
Total Feeling
41
26.62%
63
40.91%
50
32.47%
The majority of the group (8 individuals) scored in the medium range on the
Tough-minded attribute, matching the president’s range. On the Decisive attribute, 7
individuals scored in the medium range with the president and 5 scored in the high range.
The group also scored close to the president on five other attributes: Decisive, Achieving,
Relaxed, and Competitive. On the Decisive attribute, 7 scored in the medium range with
the president, and 5 scored in the high range. On the Achieving attribute, 7 scored in the
low range with the president and 5 scored in the medium range. On the Relaxed attribute,
6 scored in the high range with the president and 5 scored in the medium range. On the
Competitive attribute, an equal number of the senior leaders (6 individuals) scored in the
high and medium ranges, an attribute on which the president scored high.

116
The group’s scores were spread across the range on the Active and Emotional
attributes, but 6 did score with the president in the medium range on Active and 6 scored
in the low range with the president on the Emotional attribute. The group differed from
the president on the Social Desirability attribute. Most (11 individuals) scored in the low
to medium range. Only 3 scored in the high range with the president.
The scores on all 30 attributes for the 14 senior leaders were individually
compared with the president. Scores that match or that were one score higher or lower
than the president’s scores are displayed as matches in Table 4-13. One senior leader
matches the president on 18 of the 31 attributes; two match 14, and two match 13.
Leadership Styles
The OPQ analysis also produces a leadership scale based on the “task versus
people” interactions described in the literature (Bass, 1990). (See Appendix C for a
description of the leadership styles.) President One scored high as a Participative (sten
score 8) and Consultative leader (8) and in the low range as a Delegative (4), Negotiative
(4), and Directive leader (1). See Table 4-14.
As a Participative leader, President One is very concerned to make sure that
everyone’s views are heard and that the eventual decision is one agreed upon by the
group as a whole. He is unlikely to use his position of authority to restrain outspoken
group members, but he does try to involve other individuals.
As a Consultative leader, he is highly likely to gather opinions from his
subordinates and to involve them in the process, but he tends to make the decisions
himself. He is likely to be sensitive in providing negative feedback and will try to
understand the behavior and motivations of his subordinates.

117
Table 4-13
President One Attribute Scores Compared to Each Senior Leader’s Score
Sten Scores
Attribute
President
Senior Leaders
R1
Persuasive
3
3
2
5
5
0
5
6
5
7
5
5
1
6
7
R2
Controlling
3
3
7
8
7
8
4
4
7
4
5
6
1
8
6
R3
Independent
7
8
7
8
9
8
4
5
10
7
6
9
6
8
9
R4
Outgoing
1
8
5
8
7
(>
1
5
6
6
7
5
1
8
6
R5
Affiliative
7
6
7
8
3
8
4
5
5
4
9
6
1
9
4
R6
Socially confident
5
6
5
10
5
8
4
7
5
5
7
8
1
8
6
R7
Modest
8
S
9
5
2
9
8
8
8
7
6
5
7
1
5
R8
Democratic
10
3
7
6
7
6
6
6
3
8
6
8
1
6
6
R9
Caring
10
6
7
7
9
7
8
5
S
7
6
7
1
8
5
T1
Practical
4
7
4
8
1
2
5
6
1
1
3
9
1
7
7
T2
Data rational
1
2
5
5
4
7
5
5
6
6
6
8
9
10
9
T3
Artistic
10
9
6
9
8
6
5
6
2
9
5
3
7
5
5
T4
Behavioral
9
8
6
7
8
7
7
4
8
5
6
8
3
6
6
T5
Traditional
4
3
5
3
5
5
10
4
10
5
5
9
3
7
5
T6
Change oriented
9
6
8
8
6
6
3
6
5
6
9
9
6
7
8
T7
Conceptual
7
10
8
10
7
6
7
8
6
5
5
1
4
10
9
T8
Innovative
8
8
6
6
8
7
5
5
7
5
3
6
2
8
9
T9
Forward planning
3
6
9
6
6
8
8
6
7
1
3
7
2
9
7
T10
Detail conscious
3
8
9
3
6
9
8
4
5
4
5
9
3
8
7
Til
Conscientious
4
5
5
3
5
10
9
4
8
2
6
8
2
8
4
FI
Relaxed
9
6
7
9
6
7
6
7
5
2
6
8
3
7
6
F2
Worrying
2
6
9
2
6
4
5
4
6
S
6
5
9
4
1
F3
Tough minded
6
4
5
5
7
6
6
7
6
6
6
9
4
6
S
F4
Emotional control
3
4
5
4
3
8
9
8
4
5
2
5
8
3
6
F5
Optimistic
8
7
7
9
7
8
8
5
5
6
6
8
5
7
4
F6
Critical
7
7
2
10
8
7
5
5
9
10
5
7
6
9
10
F7
Active
6
6
8
8
2
5
9
6
5
6
8
5
4
4
2
F8
Competitive
3
4
3
3
5
5
7
5
6
7
5
4
4
4
6
F9
Achieving
4
2
8
8
4
4
4
4
5
6
4
4
5
6
6
F10
Decisive
6
6
5
5
7
7
5
5
5
2
5
4
9
7
8
D1
Social desirability
8
6
9
6
4
7
6
6
4
4
3
10
3
5
5
Total Matches
18
14
14
13
13
10
10
10
9
9
9
9
7
6
The president is only moderately comfortable with the Delegative style and with
minimizing his own involvement. He is unlikely to hand over responsibility, although he
does not want to plan his subordinates’ work. He may solicit views about the best

approach and his interest in understanding human nature leads him to be somewhat
personally involved with his subordinates and their needs.
118
Table 4-14
President One: Leadership Style
Leadership Style
Sten Score
LSI
Directive
1
LS2
Delegative
4
LS3
Participative
8
LS4
Consultative
8
LS5
Negotiative
4
ADI
Adaptability
10
The president does not often act as a Negotiative leader. He is unlikely to use
incentives or to negotiate based on needs although he is likely to understand others’
needs. When he does need to negotiate, he is reasonably confident and may adapt his own
behavior in response to lack of cooperation.
The president is unlikely to act using a Directive style. He is unlikely to keep
responsibility for planning and control to himself or to issue instruction based on his own
perceptions. He is, instead, interested in his subordinates’ opinions and motivations and is
likely to monitor others’ work to assure that deadlines are met rather than to plan their
work.
Because these leadership styles are not mutually exclusive, the profile also
presents an adaptability scale. President One scored at the top (10) on the Adaptability
measure. This score indicated a high capacity to adopt different styles of behavior in
different sets of circumstances as needed.
The president indicated that it his practice to seek out ways to hear as many varied
voices as he can. For example, he holds weekly “outposts” on campus, which give

119
anyone who wants to be heard an opportunity to sit and talk with him, to share ideas, ask
questions, or bring up problems. He also said that he uses these interactions to practice
his leadership style. His leadership profile indicates that as a Consultative leader he will
gather opinions from others but will tend to make the decisions himself. However, the
president said that rather than addressing problems as the president, he teaches
individuals how to fix problems on their own. He encourages people to keep trying
things; if nothing seems to work, he wants to know, and he’ll help them try something
else.
President One indicated that he used to be more of a micromanager. For example,
early in his career at the college, before he was president, he set up a new program, and
he directed all aspects of it for the next four years. Now he is less involved in the
processes. He said that he has learned to trust others and their work. Before he was more
of a delegator than he was a consensus builder. As his profile suggests, now he is more
interested in participative leadership, in building consensus. However, he indicated that
he is quite willing to use different approaches with different people, based on what works
best for that individual.
The senior leaders’ scores are grouped in the three ranges in Table 4-15. As a
group, the senior leaders’ average scores are spread across the five styles with a tendency
to score in the medium range.
The lowest variability occurred on the Negotiative style with 11 scoring in the
medium range and none in the high range. As a group, the senior leaders’ scores do not
closely match the president’s scores. However, as a group their scores are lowest in the
Directive and Delegative styles, and they all scored in the medium or low range on

120
Negotiative. These are the three styles on which the president fell in the low range. In
addition, 7 of the group scored in the high range on Adaptability and another 6 were in
the medium range, indicating that, like the president, they are likely to adopt different
styles of behavior in different sets of circumstances as needed.
Table 4-15
College One Senior Leaders: Leadership Styles
Senior Leaders in Sten Score Range
President's
Low (1-4)
Medium (5-6)
High (7-10)
Range
Leadership Style
#
Percent
#
Percent
#
Percent
LSI
Directive
6
42.86%
3
21.43%
5
35.71%
Low
LS2
Delegative
6
42.86%
5
35.71%
3
21.43%
Low
LS3
Participative
3
21.43%
7
50.00%
4
28.57%
High
LS4
Consultative
4
28.57%
6
42.86%
4
28.57%
High
LS5
Negotiative
3
21.43%
11
78.57%
0
0.00%
Low
Total Leadership
22
31.43%
32
45.71%
16
22.86%
ADI jAdaptability
1
7.14%
6
42.86%
7
50.00%
High
The senior leaders’ scores are displayed in Table 4-16. Four of the leaders match
3 of the president’s preferred leadership styles. One leader did not match any of them.
Table 4-16
President One Leadership Scores Compared to Each Senior Leader’s Score
Sten Score
Style
President
Senior Leaders
LSI Directive
1
7
6
6
8
7
7
6
2
2
3
7
4
4
3
LS2 Delegative
4
4
5
4
4
3
4
3
10
6
6
5
7
5
7
LS3 Participative
8
7
8
6
6
6
4
6
1
7
7
5
6
4
6
LS4 Consultative
8
8
9
7
9
6
6
6
1
6
6
5
4
4
3
LS5 Negotiative
4
6
6
5
5
4
5
3
3
6
5
6
5
6
6
Total Matches
3
3
3
3
2
2
2
2
2
2
1
1
1
0
The OPQ Leadership Style analysis also provides an associate style for each
leadership style. (See Appendix C for a description of the styles.) These are the behaviors
most likely to occur when the leader is in the follower or subordinate position. The

121
Associate styles most compatible with the president’s preference for Participative and
Consultative leadership styles are Collaborating and Informative Associates. The senior
leaders’ scores are displayed in Table 4-17. The president’s leadership styles are also
displayed.
At least half of the senior leaders’ scores were compatible with the president’s
leadership style for four of the five styles. In three of those four cases, half were also not
compatible. With this level of diversity, the president’s indicated ability to use different
approaches with different people is particularly important.
Table 4-17
College One Senior Leader Associate Styles
Compared to President One’s Leadership Styles
President's
Leadership Style
Senior Leaders’
Associate Styles
Low (1-4)
Medium (5-6)
High (7-10)
#
Percent
#
Percent
#
Percent
LSI
Directive
1
SSI
Receptive
7
50.00%
5
35.71%
2
14.29%
LS2
Delegative
4
SS2
Self-Reliant
5
35.71%
0
0.00%
9
64.29%
LS3
Participative
8
SS3
Collaborating
4
28.57%
3
21.43%
7
50.00%
LS4
Consultative
8
SS4
Informative
3
21.43%
2
14.29%
9
64.29%
LS5
Negotiative
4
SS5
Reciprocating
7
50.00%
2
14.29%
5
35.71%
As a group, the senior leaders scored highest on the Self-Reliant (9 individuals)
and Informative (9) Associates scales. Self-reliant Associates prefer to work without
constraints, have their own ideas, and enjoy opportunities to develop them with minimal
intervention from their leaders. The president scored in the low range as a Delegative
Leader, the style most likely to fit with Self-Reliant followers. Therefore, the president
may find himself in situations where many of his subordinates are eager to work on their
own while he is trying to encourage group involvement and consensus. The group also
scored high on Informative Associates; in this role, they like to be involved in decision¬
making, but accept final decisions regardless of their own views. Therefore, the president

122
should find a receptive group when he is serving as a Consultative Leader. The senior
leaders are also likely to be Collaborating Associates. Collaborating Associates
contribute freely, like group work, and will challenge weak or incomplete ideas or plans.
As a group, the senior leaders are unlikely to be Receptive Associates, those who
prefer traditional methods and clear instruction. Although 9 are Self-Reliant Associates,
the other 5 scored in the low range and are not likely to work as well with a Delegative
leader. The president’s sten score of 10 on the Adaptability scale indicates that he has the
ability to adapt to the varied associate styles of the senior leaders group.
Table 4-18 displays the Associate Styles of each leader and the president’s
leadership styles. One team member is a compatible associate with the president’s level
of leadership style for all five styles; one is compatible for four styles. Most are
compatible for three or more of the styles. Only one individual is not compatible with any
of the president’s levels.
Table 4-18
President One Leadership Scores Compared to Each Senior Leader’s Associate Score
President's Leadership
Style
Senior Leaders' Associate
Styles
Sten Scores
LSI
Directive
1
SSI
Receptive
4
4
9
4
2
2
4
3
6
5
5
7
5
6
LS2
Delegative
4
SS2
Self-Reliant
4
7
4
2
8
9
10
8
7
4
4
9
9
8
LS3
Participative
8
SS3
Collaborative
7
7
4
1
10
9
10
8
7
5
5
3
4
6
LS4
Consultative
8
SS4
Informative
7
7
7
1
9
10
10
7
7
4
5
4
7
6
LS5
Negotiative
4
SS5
Negotiative
3
3
3
3
8
8
9
7
6
4
4
4
6
7
Team Types
Another OPQ scale analyzes responses in relation to eight team types. (See
Appendix C for a description of the team types.) President One scored high on two team
building styles: Innovator/Plant (8) and Team Worker (9). He scored in the middle on

123
three: Coordinator (5), Monitor-Evaluator (6) and Resource Investigator (6). He scored
low on the other three: Shaper (2), Completer (1), and Implementer (1). See Table 4-19.
President One is moderately comfortable playing the role of Team Coordinator,
listening to the views of others and maximizing the team’s resources. He is unlikely to
play the role of Shaper so will not be an obvious source of competitive drive. He is warm
and relaxed rather than impatient and will rarely be seen as particularly assertive.
President One is likely to be a Team Innovator. He will contribute imaginative,
creative ideas. In concert with a Coordinator role, his role as Innovator will include
seeking the opinions of others regarding his suggestions and using other people’s views
to trigger new ideas of his own.
Table 4-19
President One: Team Types
Type
Sten Score
TT1
Coordinator
5
TT2
Shaper
2
TT3
Innovator/plant
8
TT4
Monitor-evaluator
6
TT5
Resource investigator
6
TT6
Completer
1
TT7
Team Worker
9
TT8
Implementer
1
President One may also adopt the characteristics of a Monitor-Evaluator. As such
he can objectively consider the merits and disadvantages of his own and others’ ideas.
His judgments include some consideration of the facts, so as Monitor he may work to
solve arguments or resolve debates.

124
President One also has characteristics that are somewhat typical of Resource
Investigators. He may look for sources of information beyond the group and use those to
consider and present ideas.
President One has a strong likelihood of acting as a Team Worker, expending
considerable effort towards maintaining harmony in the team and acting to avert any
interpersonal problems. Combined with his other skills, as a Team Worker he will also
maintain objective focus on the decisions being made.
The president is not likely to be either the Completer or the Implementer,
preferring to leave these roles to others. He will not worry about attending to the details
or to personally planning the specific schedule and back up plans for a project.
The senior leaders’ scores are grouped in the three ranges and are displayed in
Table 4-20. The president’s range is also displayed. In no case do the majority of senior
leaders match the president’s range. As a group, the senior leaders are most likely to
serve as Monitor-Evaluators on the team. They will offer measured, dispassionate critical
analysis and keep the team from pursuing misguided objectives. As a group, they are
moderately to highly likely to serve in all of the other eight roles from time to time with a
somewhat lesser tendency to serve as Team Worker.
In response to his overall philosophy and practice of leadership, the president
indicated that he has studied many forms of leadership. He has tried most of them to see
if they would work and has learned from them. His primary approach has come to be
empowering others. He believes that the entire college is stronger if he empowers people
to have the freedom to make responsible decisions. He has embraced the concept of the
learning college and of leadership in which leaders and followers exert mutual influence.

125
He indicated that a formal leadership hierarchy can still be found “on paper” at his
institution, but he said that hierarchy is not indicative of the way the college actually
functions. Leadership is more pervasive throughout the college and throughout all levels
of the hierarchy.
Table 4-20
College One Senior Leaders Team Types
Senior Leaders Sten Score Range
President's
Range
Low (1-4)
Medium (5-6)
High (7-10)
Team Type
#
Percent
#
Percent
#
Percent
TT1
Coordinator
4
28.57%
5
35.71%
5
35.71%
Medium
TT2
Shaper
2
14.29%
7
50.00%
5
35.71%
Low
TT3
Innovator/Plant
3
21.43%
6
42.86%
5
35.71%
High
TT4
Monitor-Evaluator
0
0.00%
4
28.57%
10
71.43%
Medium
TT5
Resource Investigator
3
21.43%
6
42.86%
5
35.71%
Medium
TT6
Completer
4
28.57%
4
28.57%
6
42.86%
Low
TT7
Team Worker
2
14.29%
9
64.29%
3
21.43%
High
TT8
Implementer
5
35.71%
3
21.43%
6
42.86%
Low
Total Team Types
23
20.54%
44
39.29%
45
40.18%
He also stressed the importance of teams. The concepts of cross-functional teams
and horizontal work structures are now embedded into the organization. For example, the
college has been working with the regional accrediting agency on new standards, but
much of the traditional language no longer fits the college’s structure. There is no faculty
governance structure, no faculty senate. There are no bargaining units. There is a faculty
council, but it is not concerned primarily with college business; its interests and business
are apart from the college. Instead of a separate faculty structure, the college has
instructional teams. Administrators are all teachers; instructional specialists serve on
teams with master teachers; the college has associates and instructional assistants;
everyone teaches. The teaching/leaming process is embedded in the organizational
structure of the college. Throughout the college, very few activities are done by work

126
classification. Rather, people are actively involved in areas closest to their work.
Everyone works in cross teams that are largely self-directed.
Some changes have occurred at the college since the implementation of CQ1 and
later focus on the Baldrige Criteria. The president and the college are more data
influenced (although not totally data driven) than they were before; there are more offices
concerned with effectiveness and planning of priorities. The Office of Institutional
Advancement was formed to lead the college’s efforts in improvement and
accountability.
Another change is that the college is constantly making changes. Change has
become a part of the organizational structure. Accountability is also part of the culture
now. There is a formal expectation for professional development; all employees have a
contractual obligation to be involved in professional development. The college also has a
comprehensive, inclusive method for tracking and categorizing what everybody does
according to the five college priorities.
Intervening Variables
A final area that may affect leadership within a certain context is the set of
intervening variables present. 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 that may
affect the college.
President One provided the vision and organized the implementation. He has been
involved from the inception through the expansion to using the Baldrige Criteria. The
president is also a national leader in CQI activities and organizations and in working with
accrediting teams to develop a method for using the Baldrige Criteria for accreditation.

127
The president has also involved others in the process. He said that all employees
share the responsibility for continuously improving their areas of primary influence.
Maintaining the apparatus or processes of CQI is the responsibility of the Vice President
for Institutional Advancement and the Office of Institutional Effectiveness. The Cabinet
and President have the responsibility for monitoring the overall college Key Performance
Indicators (KPI) on a monthly basis. If a KPI is in the expected range, then the Cabinet
spends no more time on in it. If, however, an indicator is out of range, the Cabinet looks
at it and helps the appropriate Vice President decide what action to take.
President One began to implement CQI in an institution where he had already
exerted quite a bit of influence on the culture, a culture that supported the concepts of
teamwork and student focus. He started the process by having a consultant come to
campus and verse everybody on the language and processes of CQI so that everyone
would have the same basic understanding. He also had basic workshops that everyone
attended. In retrospect, he feels they provided too much information in the early stages.
Not all of the information was relevant to everyone; it puzzled some and overwhelmed
others. The President learned from those early activities, and the college very rarely has
such activities now, preferring to present information and processes as they are needed.
Training for faculty came as it was deemed appropriate and needed in the
implementation process. Processes and approaches attractive to faculty were used. For
example, the faculty were introduced to the theory and practices of cooperative learning,
including classroom assessment, working in groups, and providing immediate feedback.
These processes fit naturally into continuous improvement. Now, all new faculty get
cooperative learning training.

128
CQI approaches such as statistical process controls are used more in teams and on
an as needed basis. For example, the college revised its English for Speakers of Other
Languages program. The whole curriculum was changed through a CQI process team
with internal facilitators who used CQI techniques. Team members received just in time
leaming/training as needed to conduct the process. When the particular tools were no
longer needed, their use was discontinued.
The Cabinet did receive formal training, and teams of 10 or more have been sent
to conferences to gain knowledge and training. The college has also involved about 25
leaders in the state Baldrige training for workforce performance excellence.
The college’s primary focus now is on following the discipline of the Baldrige
Criteria, which the president considers to be a much broader, more comprehensive
structure for an educational institution than basic TQM business principles. The college
now has a yearlong new employee orientation. There is much CQI embedded in that, but
CQI processes are not singled out. They are most obvious in the service excellence
component of the training. In addition, new faculty get training for two or three years in
cooperative learning strategies. They are required to provide evidence that they are
incorporating cooperative learning into the classroom. They can modify CQI and
Cooperative Learning with other approaches. Their teaching approach is still individual
and varies among instructors.
The college’s strategic planning priorities are for student learning. All new group
leaders (supervisors) attend the Organizational Learning Institute, a two-day session on
internal policies, processes, and procedures.

129
College One has developed a Quality Enhancement Plan to improve student
learning and retention rates. Participation in the Quality Enhancement Plan is mandatory
for all full-time faculty/teaching personnel. The faculty administer a Student Profile form
at the beginning of the semester, attend monthly discipline meetings, and monitor their
efforts to improve Student Leaming/In-Course retention. They may use the college
profile or develop their own. For adjunct faculty, the monthly meetings are voluntary, but
adjuncts must administer the profile and complete monthly forms. Attendance at
discipline meetings is also optional for adjunct faculty.
President One did not identify any major state or local events that might affect the
college’s success. He did indicate that the regular cycles of economic prosperity and
downturns and the rapid growth of the college have required adjustments. The president
indicated that the Baldrige approach requires discipline and is therefore most helpful
during difficult times when discipline is needed more. The Baldrige approach keeps the
college focused. If, for instance, the college is in a low budgetary cycle, making decisions
about what and how to cut is clear. The process forces the focus to be on student learning
and the monthly action plans. Priorities are already known; activities can be adjusted
based on the priorities.
The president indicated a need to continuously adjust processes. For example,
increases in retirements and new hires reduce the overall campus understanding and
experience with CQI. Information sharing and training sessions must be adjusted to
provide the tools and knowledge needed for those who are new to the process even
though the college is not.

130
As for his own continuous learning in leadership, President One describes himself
as fairly new to the discipline of using Key Performance Indicators. Keeping to KPI’s
means keeping levels of influence where they should be. He is interested in working on
that and on seeing what it does to his leadership approach.
The president has greater expectations for the 21st century. He expects that the
college will continue its CQI journey and will continue to be involved in a number of
national learning college projects. He will continue to seek outside input and assessment,
which the college will use for improving and for keeping the appropriate focus. The
president is also interested in continuing the focus on the Baldrige Criteria and on using
them for assessment and as accreditation criteria.
Case Study Two
Situational Variables
As in Case Study One, the first area explored concerned situational variables in
the college. Situational variables are those contextual and organizational conditions that
exist within a leadership setting (Yukl, 2001). Researchers have identified the motivation
for adopting CQI and the time for implementation as variables that may affect its success
(Entin, 1994; Hammons, 1994).
President Two introduced CQI to College Two almost immediately after he
became president. He felt that the college was already a great institution, and he wanted
to take it to a higher level. He believed that CQI could be used to improve processes with
measurable data and results as indicators. College Two began its Quality journey in 1991
so has invested the 10 years needed to fully integrate the process (Entin, 1993). Although
the president did not introduce CQI to address a crisis, his plans for implementation were

131
challenged early in the process. When a recession began in 1992, fiscal resources dried
up. The college received no increase in funding from 1992-1996 yet had to honor a union
agreement that required an 18% faculty salary increase over a 3-year period. The College
did not abandon its 5-year plan for implementation despite the financial difficulties that
the college faced.
College Two was founded over 50 years ago. It is the largest single-campus
community college in its state and serves a large urban and suburban population. It is a
comprehensive community college that enrolls approximately 27,500 credit and 15,000
noncredit and continuing education students each semester. The college’s full-time
employees include 70 administrators, 370 faculty, and 388 staff members. College Two
has approximately 780 part-time faculty.5
College Two is regionally accredited. Governance at the college involves the
interaction of a number of entities including the executive management team, the
academic and classified senates, bargaining units, faculty and staff union chapters,
campus committees, the faculty association, student government and the Board of
Trustees. The Board of Trustees is empowered by the state constitution as the policy¬
making body of the district. The locally elected Board sets policies needed to govern the
College, and the procedures used to carry out the policies effectively are defined through
the College’s shared governance process.
The President described the college as being a stable, outstanding institution when
he became president. Introducing CQI helped to create a systems approach for the
institution. The college now has over 30 standing committees or subcommittees
5 A variety of college documents were used to gather information about the college. Documents included
the college’s website, catalog, strategic plan, systems plan, assessment documents and organizational chart.

132
organized to review or oversee all areas of the college and to make recommendations for
policy and procedure development and modification. The leadership council, made up of
the president and 15 other campus leaders, including the three vice presidents, a division
dean, and the officers of the academic senate, classified staff senate, faculty and staff
unions and the student association, serves as the forum for discussion and input from
representatives from all segments of the college.
One of the committees, the Quality Steering Team, oversees, monitors,
encourages, and supports the process of establishing a CQI environment on campus. Its
membership includes the college’s director of staff development and organizational
learning, the vice president for student learning, officers and an additional member of the
academic and classified senates, the president of the faculty union, and two managers
appointed by the president. The president serves as the team’s sponsor and as an ex
officio member. This group seeks to institutionalize Quality Improvement across campus.
It develops, monitors, and reviews the 3-year quality plan; implements and monitors the
systems framework; develops the information and training plan, assesses current
practices and establishes quality work teams to meet the operational needs of the college.
College Two’s mission is to provide accessible and affordable quality learning
opportunities, programs, and services and to advance economic growth and global
competitiveness through its programs and services that contribute to continuous
workforce improvement.
The college’s vision is to become a premier community college; to be a leader in
teaching, learning, programs, and services; to provide access and a focus on student
success within a climate of integrity and respect; and to consistently exceed expectations.

133
The organizational structure of College Two is in large part defined by an
elaborate governance structure mandated by state law, so major changes in organizational
structure have not occurred as CQI has been implemented. However, President Two
believes continuous quality can work in any structure. In addition, he has been able to
make some changes. The president learned about the 1995 Baldrige Award Criteria for
Education at a 1995 CQIN meeting. College Two has closely followed the development
of the Baldrige Criteria for Education and was the first community college to use the
Criteria as an alternative accreditation study in 1997-98. He has used the criteria to frame
a systems approach for the college’s critical functions. The College has aligned its nine
critical systems with the seven Baldrige criteria.
The college has also redesigned many committees and their purposes. For
example, the curriculum committee generally provided a curriculum approval process
without providing much input. Curriculum review is now part of a larger Curriculum and
Instruction Committee, which is concerned with educational design, delivery and
assessment.
Although the formal, vertical organizational structure still exists, the college now
has cross-functional teams and process improvement teams that cut horizontally across
the formal structure. These groups function as teams rather than committees. The seven
vice presidents and president, known as the executive management team rather than the
cabinet, also function as a team and use a team management approach within their areas.
The college provides team training for those who serve on the college’s various teams.
Using the Baldrige Criteria for assessment has allowed the president to put all the
pieces together and to determine where gaps occur. For example, the college had some

134
separation in the planning process; policy development and planning occurred separately.
Now the leadership council, which has leaders representing all areas of the college, is
responsible for evaluating and advising all proposals and recommendations from college¬
wide committees and from other groups or individuals.
President Two has served as president for 11 years. He brought with him over 10
years’ experience as president both in the state and elsewhere in the country. He also
served in several other administrative positions in other institutions.
Personality Attributes
The second area of inquiry concerned personality attributes of members of the
senior leadership teams in colleges with similar levels of implementation of CQI. The
President and senior leaders completed the online version of the Occupational Personality
Questionnaire. Each individual who took the OPQ received an individual report. Each
system report grouped the attributes into three domains. The first group is Relationships
with People. The Expert System converted raw scores to sten scores. The president’s
scores for the Relationships with People Domain are displayed in Table 4-21. Of the nine
attributes associated with Relationships with People, the president’s scores were highest
on these: Independent (7), Modest (7), and Democratic (7).
The profile indicated a balance in the kind of influence that the president likes to
have over events. He is equally comfortable influencing outcomes by persuading others
and holding back allowing others to exert influence. The same balance was suggested in
decision making and controlling groups, sometimes taking charge and other times letting
others take the lead. He has a moderately high tendency to share opinions and express
disagreement, though he is not likely to act on his own without agreement of the group.

135
Table 4-21
President Two: Relationships with People Domain
Attribute
Sten Score
R1
Persuasive
6
R2
Controlling
5
R3
Independent
7
R4
Outgoing
1
R5
Affiliative
3
R6
Socially confident
4
R7
Modest
7
|R8
Democratic
7
R9
Caring
6
The profile indicated that President Two is not naturally outgoing and does not
seek to be the center of attention. He is comfortable being alone and may be somewhat
uneasy in new situations or directing social situations.
The president is reserved about his own achievements and accepts people as they
are. The president tends to adopt a democratic style and encourages others to participate.
He prefers group decision-making. The profile indicated a moderate tendency to be
interested in the welfare of others, to exhibit sympathy, and to be tolerant of views
different than his.
When interviewed, the president confirmed that he embraces participation and
involvement in decision-making; he doesn’t make decisions by himself. He encourages
the college teams to use a consensus model.
He also stressed his interest in the welfare of his staff, indicating he takes a
friendly, personal approach to his interactions with employees. He also mentioned that
the OPQ did not provide the opportunity to stress the importance of celebrating the
accomplishments of others, a key component of CQ1. He likes to provide positive

136
reinforcement and has learned to recognize people more, which he feels is an important
leadership behavior.
Of the 9 leaders identified as members of the executive management team, three
declined to participate. The scores discussed in this case study represent the 6 who did
take the OPQ.
Scores in Table 4-22 are grouped into the number of senior leaders with a low,
medium, or high tendency for each attribute. The president’s range is indicated in the last
column.
Table 4-22
College One Senior Leaders: Relationships with People Domain
Senior Leaders in Sten Score Range
President's
Range
Low (1-4)
Medium (5-6)
Hig
h(7-10)
Attribute
#
Percent
#
Percent
#
Percent
R1
Persuasive
2
33.33%
3
50.00%
1
16.67%
Medium
R2
Controlling
0
0.00%
5
83.33%
1
16.67%
Medium
R3
Independent
1
16.67%
0
0.00%
5
83.33%
High
R5
Affiliative
1
16.67%
1
16.67%
4
66.67%
Low
R6
Socially confident
1
16.67%
1
16.67%
4
66.67%
Low
R7
Modest
2
33.33%
0
0.00%
4
66.67%
High
R8
Democratic
0
0.00%
4
66.67%
2
33.33%
High
R9
Caring
1
16.67%
3
50.00%
2
33.33%
Medium
Total Relationships
9
16.67%
20
37.04%
25
46.30%
In the domain of Relationships with People, group scores were highest on the
Independent attribute (5 of 6 scored in the high range). On the Modest attribute, four of
six scored in the high range. These are two of the areas where the president also scored
high. Five of the group also scored in the medium range on the attribute for controlling;
the president also scored in the medium range.
The group did not have majority matches with the president on the other 6
attributes in Relationships with People. On Affiliative and Socially Confident, 4 of 6

137
scored in the high range; the president scored in the low range on both. The group scored
in the medium (4 individuals) and high (2 individuals) ranges on Democratic, an attribute
where the president scored a 7. The group is likely to be moderately to highly democratic,
much like the president.
The second domain is Thinking. The president scored in the high range on 7 of
the 11 attributes. He scored in the medium range on the Traditional, Innovative, and
Conscientious attributes, and low on the Practical attribute. See Table 4-23.
Table 4-23
President Two: Thinking Domain
Attribute
Sten Score
T1
Practical
2
T2
Data Rational
7
T3
Artistic
7
T4
Behavioral
7
T5
Traditional
5
T6
Change Oriented
9
T7
Conceptual
10
T8
Innovative
6
T9
Forward Planning
8
T10
Detail Conscious
8
Til
Conscientious
6
The president scored moderately high in the area of enjoying dealing with
statistical information. He tends to be a logical thinker and to make decisions based on
fact. At the same time, he indicates an appreciation for the arts and sensitivity to the
beauty of nature. The president has a tendency to spend time analyzing his own thoughts
and motives and reflecting on the behavior of others. He finds value in knowing how and
why others do things.
The profile also indicated a balance between relying on the traditional and well
proven versus the unconventional, radical and unproven. However, he scored high on

138
being-changed oriented, indicating an adventurous approach, a willingness to accept
change and to try new approaches. The president also scored at the top of the attribute in
the area of conceptual thinking, indicating that he acquires knowledge quickly, takes a
theoretical approach to problem solving and is good with hypothetical and abstract
problems. He is intellectually curious and enjoys working with complex issues. The
president scored in the midrange on innovative thinking indicating he prefers a balance
between producing original approaches to problems and following others’ approaches
and between developing creative, inventive solutions and testing or implementing others’
ideas.
The president has a tendency to be a forward planner, to think things through
before starting. He enjoys making predictions and planning projects. He prepares in
advance, sets targets, forecasts trends and decides priorities. He tends to be good at
methodical work and is generally precise with facts. However, he is only moderately
inclined to adhere strictly to details, to ensure that a fixed schedule is followed, or to
persevere with tedious tasks.
In his interview the president confirmed the scores he received in the Thinking
Domain. He stressed his interest in human nature and in what motivates others. He also
acknowledged that he is task oriented and likes to work on goals; he is an organized
person who emphasizes planning. His tendency is to be rational; he works to understand
what is not rational. The president is always learning and is eager to learn more. He is a
visionary; he looks toward the future and is always trying to improve. He engages in long
range planning.

139
The president also believes that he has become more patient and a better listener
than earlier in his career. He prefers to get a lot of information first, before he forms
judgments, develops plans or makes decisions. He is also delegating more responsibility
than earlier in his career. He has learned to focus on improving processes rather than
condemning people. He believes that most problems are related to systems, not to
individuals.
Ranges for scores in the Thinking Domain for senior leaders in College Two are
displayed in Table 4-24. The president’s range is displayed in the last column. Overall,
the group scored fairly evenly over the range. The majority (4 of 6) of the senior leaders
scored in the high range on the Artistic and Forward Planning attributes, matching the
president’s high range score. The group scored in lower ranges on all of the other
attributes where the president scored high, although half did score in the high range for
Change Oriented and two scored in the medium range. So the group tends to be change
oriented, but some individuals are perhaps not as highly comfortable with change as the
president is. In addition, 4 of the 6 scored in the low range for Conceptual and Detail
Conscious, two other areas where the president scored high. They scored higher than the
president did on the Innovative attribute, suggesting they are more likely to generate
creative ideas and show ingenuity than the president is.
The third domain is Feelings and Emotions. The president’s scores are displayed
in Table 4-25. The president scored high on 5 of the 10 attributes. He scored in the
medium range on Tough-minded, Achieving, and Decisive. He scored low on the
attributes for Worrying and Active.

140
Table 4-24
Table 4-25
President Two: Feelings and Emotions
Attribute
Sten Score
FI
Relaxed
9
F2
Worrying
2
F3
Tough minded
5
F4
Emotional control
9
F5
Optimistic
8
F6
Critical
7
F7
Active
3
F8
Competitive
4
F9
Achieving
7
F10
Decisive
5
D1
Social desirability
8
The president’s profile indicates an individual who is calm and relaxed, cool
under pressure, and generally free from anxieties. He copes well with stress and can
switch off from work. He is rarely apprehensive; competition does not make nervous; and
he does not feel undo guilt over mistakes he might have made.
The president shows a balance in the area of sensitivity. While he does not suffer
from hurt feelings or moodiness, he is sensitive to what others think of him. However, he

141
is good at controlling his emotions and temper, showing restraint in expressing emotions.
He is not easily depressed and is cheerful even when things go wrong. He is optimistic,
expecting events to change for the good. He has a tendency to probe the facts, look for
disadvantages, and to challenge assumptions and poor arguments and to share these
observations with others in a group.
The president does not display high physical, nervous energy, nor is he highly
competitive. He values participation more highly than winning and is a good loser. He
prefers compromise to forcing his views on others. Nevertheless, he does enjoy achieving
his goals and sets reasonably ambitious targets. He tends to avoid hasty decisions,
preferring to review the facts and weigh alternatives.
The range of scores for the senior leaders in College Two is displayed in Table 4-
26. The president’s range is displayed in the last column. The senior leaders tended to
score more in the medium range than the president, and their scores are fairly evenly
distributed over the range. The only attribute in the Feeling and Emotions domain where
the majority match the president was in Worrying: 4 scored in the low range and 1 in the
medium range. The group was close to the president’s score on three other attributes. On
Relaxed, 3 scored in the high range and three in the medium range and 3 scored in the
high range and 2 in the medium range on Optimistic. The president scored low on the
Competitive attribute, and 3 of the senior leaders also scored in the low range; the other 3
scored in the middle range. Four of the leaders did score in the high range on Decisive,
making them slightly more likely than the president to rapidly assess situations, make
decisions, and take risks. As a group, the senior leaders are more physically active than

142
the president is: 3 scored in the medium and 3 in the high range, whereas the president
scored in the low range.
The group scored somewhat lower than the president on the Achieving attribute.
Four individuals scored in the medium range. The group also scored low on Emotional
Control; 5 individuals scored in the low range. The leaders are more likely to show their
feelings and to have emotional responses that are easily detected. Finally, the group was
somewhat lower than the president on the Social Desirability attribute. Half scored in the
medium range, and only two scored in the high range with the president.
Table 4-26
College Two Senior Leaders: Feelings and Emotions Domain
The scores on all 30 attributes for the senior leaders were also individually
compared with the president and are displayed in Table 4-27. Scores that match or that
were one score higher or lower than the president’s scores were considered as matching
the president on that attribute. One senior leader matches the president on 21 of the 31
attributes; 1 matches on 17 of the attributes.

143
Table 4-27
President Two Attribute Scores Compared to Each Senior Leader’s Score
Sten Scores
Attribute
President
Senior Leaders
R1
Persuasive
6
6
7
6
4
4
6
R2
Controlling
5
6
6
6
6
6
7
R3
Independent
7
7
7
7
4
7
7
R4
Outgoing
1
7
4
6
5
6
7
R5
Affiliative
3
7
3
5
7
7
7
R6
Socially confident
4
8
2
8
7
6
7
R7
Modest
7
4
9
7
7
7
4
R8
Democratic
7
7
6
8
6
5
5
R9
Caring
6
7
8
4
5
5
5
T1
Practical
2
3
3
6
7
6
6
T2
Data rational
7
2
5
4
8
7
6
T3
Artistic
7
7
7
8
5
7
3
T4
Behavioral
7
8
5
7
9
4
3
T5
Traditional
5
8
4
6
9
2
7
T6
Change oriented
9
8
7
5
4
7
6
T7
Conceptual
10
6
1
4
6
4
4
T8
Innovative
6
8
10
7
5
8
5
T9
Forward planning
8
9
9
8
7
6
5
T10
Detail conscious
8
8
4
3
5
4
2
Til
Conscientious
6
5
7
6
4
5
3
FI
Relaxed
9
8
9
8
6
5
5
F2
Worrying
2
3
2
4
6
4
7
F3
Tough minded
5
5
4
7
8
3
4
F4
Emotional control
9
3
4
4
5
4
4
F5
Optimistic
8
7
8
4
7
5
6
F6
Critical
7
6
8
7
4
4
6
F7
Active
3
8
5
7
6
8
6
F8
Competitive
4
4
3
6
4
6
5
F9
Achieving
7
6
7
5
6
4
5
F10
Decisive
5
5
9
7
3
9
8
D1
Social desirability
8
7
5
5
9
6
4
Total Matches
21
17
13
11
8
7
Leadership Styles
The OPQ analysis also produces a leadership scale based on the “task versus
people” interactions described in the literature (Bass, 1990). President Two scored in the
midrange on all five leadership styles. See Table 4-28. His profile suggests he is likely to

144
exhibit all five styles from time to time but that he has moderate tendencies within the
range of each style. He is likely to behave in a moderately Directive way, providing his
subordinates with instructions and a plan for implementation. However, he is only
moderately likely to monitor their work. He has some interest in his subordinates’
opinions and shows some consideration for others’ motives and their reactions to his
style.
Table 4-28
President Two: Leadership Styles
Leadership Style
Sten Score
LSI
Directive
6
LS2
Delegative
6
LS3
Participative
4
LS4
Consultative
5
LS5
Negotiative
6
ADI
Adaptability
9
He is also likely to behave in a moderately Delegative way. He has interest in
defining the task and method for implementation given to a subordinate, but he is also
interested in seeking their views first. He may also balance the need for delegating with
the personal needs of those that he assigns the work. He is also likely to use his own
relaxed and cheerful demeanor to influence others.
President Two is likely to behave in a moderately Consultative way. His
willingness to gather opinions and involve subordinates in decision-making is balanced
against his own evaluation and conclusions. He is also likely to provide feedback with
sensitivity and awareness of the subordinates’ behavior and motivations.
The president may also behave as a moderately Negotiative Leader. He may try to
find incentives to achieve the appropriate reaction, but he is also somewhat willing to

145
issue direct instructions. He is reasonably confident and can adapt his behavior as needed
when responding as a Negotiative leader.
The president may also behave as a Participative Leader, but this behavior is
slightly less likely than the other behaviors. He is moderately concerned that everyone’s
views be heard and that everyone in the group agrees to the eventual decision. He is also
interested in the welfare of his subordinates as well as in their motivations.
Because these leadership styles are not mutually exclusive, the profile also
presents an Adaptability scale. President Two scored very high (9) on the Adaptability
measure. This indicates a high capacity to adopt different styles of behavior in different
sets of circumstances.
When interviewed, the president discussed several leadership situations. Overall,
the president embraces the Servant-Leader philosophy. His responsibility is to do
whatever it takes to achieve the college’s mission, to move forward, and to support staff.
He is particularly interested in symbolic leadership and in how powerful certain symbols
are to individuals or groups of individuals. He also recognizes that current leaders must
have really good political skills, and he wants learn more about the political aspects of
leadership and how best to address them. He indicated that networking is a good tool for
addressing political situations. He recognizes that constituency groups often politicize
events, which makes it harder to form a sense of community for the college as a whole.
The senior leaders’ scores on the Leadership Style scale are grouped in the three
ranges in Table 4-29. The president’s ranges are displayed in the last column. Like the
president, the senior leaders tend to score in the medium range on the five leadership
styles with 63% of the responses falling in the medium range. The majority match the

146
president by falling into the medium range on Directive and Consultative. Half also fell
into the medium range on Delegative. The group is more likely than the president to use
the Participative Style; 4 scored in the medium range and 2 in the high range. The
president scored in the low range on Participative. On the Adaptability scale, 4 of the 6
scored in the medium range, indicating a moderate ability to adopt different styles in
different sets of circumstances. The president scored 9.
Table 4-29
College Two Senior Leaders: Leadership Styles
Senior Leaders in Sten Score Range
President’s
Low (1-4)
Medium (5-6)
High (7-10)
Range
Leadership Style
#
Percent
#
Percent
#
Percent
LSI
Directive
1
16.67%
4
66.67%
1
16.67%
Medium
LS2
Delegative
3
50.00%
3
50.00%
0
0.00%
Medium
LS3
Participative
0
0.00%
4
66.67%
2
33.33%
Low
LS4
Consultative
0
0.00%
5
83.33%
1
16.67%
Medium
LS5
Negotiative
3
50.00%
3
50.00%
0
0.00%
Medium
Total Leadership
7
23.33%
19
63.33%
4
13.33%
ADI Adaptability
1
16.67%
4
66.67%
1
16.67%
High
The senior leaders’ individual leadership style scores and the president’s scores
are displayed in Table 4-30. Two of the senior leaders are very likely to use the same
leadership styles as the president in all but the Negotiative Style. Three senior leaders
match the president on three of the five styles.
Table 4-30
President Two Leadership Scores
Compared To Each Senior Leader’s Score
Sten Score
Style
President
Senior Leaders
LSI Directive
6
5
6
5
4
7
6
LS2 Delegative
6
6
6
4
4
6
4
LS3 Participative
4
5
5
7
5
6
7
LS4 Consultative
5
6
6
6
6
5
7
LS5 Negotiative
6
4
4
6
6
4
6
Total
4
4
3
3
3
2

147
The OPQ Leadership Style analysis also provides an associate style for each
leadership style. These are the behaviors most likely to occur when the leader is in the
follower or subordinate position. The senior leaders’ associate scores are displayed in
Table 4-31 with the president’s leadership scores.
Table 4-31
College Two Senior Leader Associate Styles
Compared to President Two’s Leadership Styles
President’s
Leadership Style
—
Senior Leaders’
Associate Styles
Low (1-4)
Medium (5-6)
Hi
gh (7-10)
#
Percent
#
Percent
#
Percent
LSI
Directive
6
SSI
Receptive
4
66.67%
1
16.67%
1
16.67%
LS2
Delegative
6
SS2
Self-Reliant
0
0.00%
2
33.33%
4
66.67%
LS3
Participative
4
SS3
Collaborating
1
16.67%
1
16.67%
4
66.67%
LS4
Consultative
5
SS4
Informative
1
16.67%
2
33.33%
3
50.00%
LS5
Negotiative
6
SS5
Reciprocating
1
16.67%
5
83.33%
0
0.00%
Except for the Negotiative/Reciprocating pair, the group scores of the senior
leaders’ associate styles did not tend to fall in the middle range with the president’s
leadership styles. On the Self-Reliant associate, 4 of 6 scored in the high range and 4 of
the 6 also scored in the high range for the Collaborating associate. Self-Reliant associates
prefer to work without constraints, have their own ideas and enjoy opportunities to
develop them with minimal intervention from their leaders. Collaborating associates
enjoy the collaborative decision making process and like everyone to contribute ideas.
Four scored in the low range for the Receptive associate indicating a low preference for
preferring clear directions from their leader. Five scored in the medium range for the
Reciprocating Associate indicating a moderate willingness to speak up with their leaders
and to prefer to be persuaded rather than directed.

148
Table 4-32 displays the Associate Styles of each of the 6 senior leaders. The
president’s leadership styles are in the first column. One team member is a compatible
associate with the president for four of the five styles; another is compatible for three.
Table 4-32
President Two Leadership Scores Compared to Each Senior Leader’s Associate Score
President's Leadership
Style
Senior Leaders' Associate
Styles
Sten Score
LSI
Directive
6
SSI
Receptive
8
4
5
4
3
4
LS2
Delegative
6
SS2
Self-Reliant
5
6
9
10
7
8
LS3
Participative
4
SS3
Collaborating
4
5
8
9
7
7
LS4
Consultative
5
SS4
Informative
6
5
8
7
4
7
LS5
Negotiative
6
SS5
Reciprocating
5
6
6
5
4
5
Team Types
Another OPQ scale analyzes responses in relation to eight team types. President
Two scored high (8 on 10 point scale) in four of the eight team-building styles:
Coordinator, Innovator/Plant, Monitor-Evaluator, and Implementer. He scored very low
(2) on Shaper, and low to middle on the other three: Resource Investigator (4), Completer
(6), and Team Worker (6). See Table 4-33.
When working as part of a team, President Two is likely to play the role of
Coordinator. He is enthusiastic and goal-oriented. He listens to the views of others and
emphasizes communication. Although he can make his own views known, his
commitment to objectives is likely to be team focused. In part because of his lack of a
competitive drive to win or to insist on his own views, the president is not likely to play
the role of Shaper. He is unlikely to force progress in difficult situations or when parties
are in disagreement, so he must rely on other methods or other members of the team to
move the group ahead.

149
Table 4-33
President Two: Team Types
Type
Sten Score
TT1
Coordinator
8
TT2
Shaper
2
TT3
Innovator/plant
8
TT4
Monitor-evaluator
8
TT5
Resource investigator
4
TT6
Completer
6
TT7
Team worker
6
TT8
Implementer
8
The president is also likely to serve in the role of Innovator/Plant, generating
ideas and imaginative approaches. However, he is less likely to serve as the Resource
Investigator. He is more likely to leave to others the role of seeking resources and
appropriate contacts needed to carry out ideas and plans.
In the role of Monitor-Evaluator, President Two promotes an objective decision¬
making process, encouraging examination of the pros and cons of ideas presented to the
team. The president is likely to monitor his own ideas and to present only those that have
survived his own critical analysis. The president also plays the role of Implementer,
ensuring that ideas are converted to action plans. However, the president is moderately
likely to serve as a Completer, the team member who is concerned with all the details and
who sees the project through to the end.
Finally, he is somewhat inclined to serve as the Team Worker, promoting
harmony and assuring that everyone’s views are heard. His willingness to play this role
makes him more attentive to the group’s interests and needs when critically evaluating
plans and proposals than is typical of Monitor-Evaluators generally.
In his interview, the president indicated that he is comfortable working with teams
and sees himself as the college’s team leader. He likes college teams to be as self-directed

150
as possible, including his executive team. As the college’s team leader, the president
works through the leadership council. His said that his role is to make recommendations,
not decisions. Most decisions come through governance rather than through him. He
needs the support of the leadership council for his recommendations to receive
consideration.
He also said that he embraces shared leadership; he has learned it takes lots of
leaders to be effective. He has high expectations. He sets high standards and then gives
people room to meet those standards. He tries to provide resources that individuals and
teams need to meet expectations. He serves as a change agent for continuous
improvement.
He works closely with the vice presidents; he is influenced by their views and is
open to changing his own views based on input from others. He meets with the vice
presidents every week for four hours. This team addresses all issues of the college. The
team builds the meeting agenda, and the meetings are conducted according to a set of
ground rules for discussion and taking action. In their discussions, all team members are
expected to represent not only their own areas but also the whole institution. The results
of their meeting are written and put on the college’s internal website by the same
afternoon. The Vice Presidents then have their team meetings the following day.
The president also talks with and meets with the vice presidents and other senior
leaders at other times as needed; occasionally he attends their team meetings. He also has
many individual discussions with employees throughout campus getting input and
learning about the needs of the college.

151
The senior leaders were grouped in the three ranges and results are displayed in
Table 4-34. The president’s scores are also displayed. The senior leaders tended to score
in the medium range on the Team Type scale. Five scored in the medium range as
Monitor-Evaluators. For five other team types, 50% scored in the medium range. Three
scored high as Coordinator. The group is somewhat less likely than the president to use
the Innovator/Plant role. They are much less likely than the president to use the
Monitor/Evaluator or Implementer roles.
Table 4-34
College Two Senior Leaders Team Types
Senior Leaders Sten Score Range
President's
Team Type
Low (1-4)
Medium (5-6)
Hi
gh (7-10)
Range
TT1
Coordinator
1
16.67%
2
33.33%
3
50.00%
High
TT2
Shaper
2
33.33%
3
50.00%
1
16.67%
Low
TT3
Innovator/Plant
1
16.67%
3
50.00%
2
33.33%
High
TT4
Monitor-Evaluator
1
16.67%
5
83.33%
0
0.00%
High
TT5
Resource Investigator
2
33.33%
2
33.33%
2
33.33%
Low
TT6
Completer
3
50.00%
3
50.00%
0
0.00%
Medium
TT7
Team Worker
1
16.67%
3
50.00%
2
33.33%
Medium
TT8
Implementer
2
33.33%
3
50.00%
1
16.67%
High
Total
13
27.08%
24
50.00%
11
22.92%
Intervening Variables
A final area of inquiry that may affect implementation of CQI concerns the
presence of intervening variables. These include presidential commitment and
involvement, follower commitment, training, management of change, and reaction to
external events that may affect the college. President Two was primarily responsible for
bringing CQI to the institution, and he has been involved continuously. In addition to his
on campus involvement, the president serves as a leader in state, regional, and national

152
CQI movements. He and his institution have taken the lead in using the Baldrige Criteria
for regional accreditation.
The president also began involving employees in the process immediately,
although he was sensitive to the views of skeptics. He indicated that he began introducing
the ideas of CQI immediately after becoming president. He was aware that there would
be resistance and that people would fear that change might be forced upon them.
Therefore, he took a year to develop awareness, to present ideas, and to allow for
academic debate. He made participation voluntary, and it remains voluntary over 10 years
later. His approach was to encourage individuals and groups to try the ideas, to learn
about them while the college supported their attempts. He used training and information
as key elements to gain commitment.
College Two developed a 5-year Continuous Quality Improvement
Implementation time line almost immediately after President Two arrived at the
institution. The president worked closely with the director of staff development and
organizational learning, who reported directly to him at that time. The president added
the role of organizational learning to the staff director’s position and they developed an
implementation plan. The first year was one of providing information and training. The
second year began with the formation of the Quality Steering Team. During the second
year there were more information sessions and numerous training sessions. President
Two made presentations to departmental faculty groups and was involved at all levels.
By the end of year 2 of the 5-year implementation plan, the Quality Steering
Team had selected three process improvement teams, and they began working on their
goals and plans of action. Training and process development continued in year 3. A

153
review process at the end of year 3 was used to evaluate training, implementation, and
overall climate to date. Training, review, and revision continued during years 4 and 5; the
primary emphasis during those years was on development of additional cross-functional
process improvement teams, on team building, and on systems development.
As the college began to measure and benchmark, some departments resisted. The
president realized that CQI concepts are more easily implemented in the business and
service areas of a college and that the business culture and terminology of TQM and CQI
are more likely to be resisted in academic areas. President Two was willing to move
slower in the academic areas. He also allocated resources to provide training. To initiate a
breakthrough with faculty, the president enlisted an individual outside the institution to
work with faculty. The trainer conducted 4-day workshops twice a year with follow-up
sessions scheduled after each workshop.
These workshops were designed to assist faculty with understanding the concepts
and how they could be implemented in the classroom with their students. The college
supported these workshops for 5 or 6 years. One result was that over 200 of the 300 plus
faculty were trained in quality learning concepts. The emphasis was to understand the
concepts and to try the ideas. Some did not work in the classroom and were discarded.
The successful approaches are now incorporated into a year long orientation/training
program for new faculty. These concepts include both effective teaching methodologies
and strategies for getting students more actively involved in their learning.
Support for and use of CQI in various academic departments is still somewhat
uneven because the program is still voluntary, but use has spread. Because CQI is now
more a part of the culture, discussions and implementation continue to occur without

154
specific initiatives. Processes such as measuring results, doing surveys, and using data are
part of the overall structure of the college, and these processes provide tools and
approaches that can be used in the classroom.
A variety of kinds of training have been used since CQI was first introduced. In
the first year, personnel from a college already involved in TQM came to campus. Some
of these leaders trained those who would become trainers at College Two. Training also
included a course in quality education and one in process improvement. The college has
also provided team training and focus group training. As the college’s efforts in CQI
became more integrated into all the college’s processes, training has tapered off. It is still
necessary for new employees, but even that training can now be less formal because of
the overall change in culture. The emphasis now is on sustainability and just in time and
special training.
College Two joined the Continuous Quality Improvement Network in 1994, the
fourth year of their 5-year plan. In addition to the president’s involvement with CQIN,
teams of employees attended the summer institutes sponsored by CQIN. After each
institute, the college teams worked to implement the principles learned at the institute.
For example, thel995 summer institute featured presentations by employees of the Ritz
Carlton, which had just won the Baldrige. A college team was sent to learn about the Ritz
Carlton’s customer training program. Upon return, this team helped the college develop
its own five-star customer-training program. In 1998 Motorola University presented a
program on curriculum design. College Two faculty attended. When they returned, they
helped to redesign the curriculum approval process to emphasize design and assessment
rather than course approval. In 1999 a group went to Saturn where the emphasis was on

155
self-directed work teams and unions working with management. Upon return, the college
initiated three pilots of self-directed work teams; the president’s goal is to move to more
self-directed or self-managed work teams. The 2000 CQIN Summer Institute was held at
Disney World where the teams learned about people management, institutional culture,
and defining core values. In 2001, the institute visited Southwest Airlines, the Container
Store and other nationally recognized companies in Dallas to learn about core values and
values driven leadership. For the last 2 years College Two teams combined what they
learned and reduced the college’s own core values from 16 to 6 at a retreat. The college is
now working on ways to incorporate values into daily decisions.
Over the past 10 years, there have been changes that have affected the college.
President Two does not believe in abandoning the principles of CQI in difficult times. In
fact, these processes are needed even more in times of difficulty and crisis. For example,
College Two began its Quality journey in the early 1990s. When a recession began in
1992, fiscal resources dried up. The college received no increase in funding from 1992-
1996 yet had to honor a union agreement that required an 18% faculty salary increase
over a 3-year period. The College was able to use the processes of CQI to gather and
evaluate data and to make decisions based on that input rather than on personal views or
convenience.
Challenges also occur in prosperous times. Tremendous enrollment growth in the
1990s resulted in significant numbers of new hires. The college had to adjust its training
and knowledge sharing to inform and train large numbers of new faculty and staff serving
key functions in the institution.

156
President Two also has found that the principles of CQI can work effectively in a
governance structure that involves bargaining with three unions. If a union is committed
to interest-based bargaining and has been trained in that method, the fit with quality
improvement is easy and natural. If, however, union leaders take an adversarial or
positional bargaining approach, the fit is difficult. Time and training are required in those
circumstances. A recent change in union leadership has brought this challenge. When
union leaders began to question every decision and how or why money was spent on
activities and travel relating to implementing CQI, the college took the union leaders
along to conferences to have them learn about the principles and decision-making
processes.
Another state organizational mandate includes having strong academic senates
that deal with professional and academic matters. The president has had good
relationships with this group, but it has required a modification in the CQI structure, since
this group makes decisions that might otherwise be made through other college
processes. The statement that describes the function of the College Leadership Council
reflects this variation.
On Academic and Professional matters, this body will take no formal
action but will be provided the opportunity to review and discuss these
matters. On other than Academic and Professional matters, this body will
serve as an advisory group to the College President, (college website)
The president identified a current leadership challenge as being able to sustain
commitment and learning over time in a rapidly changing organization. He indicated that
continuous leadership is necessary, and that implementation of CQI takes 10 to 15 years.
However, the process never stops; it is a journey, not a program. It is as hard to sustain
the commitment as it is to implement it. In addition, the president’s job has become more

157
difficult, more political. Many consider a community college presidency now less
desirable than it was in the past in part because of groups and coalitions vying for power
and persuasive influence.
The President believes that the institutional climate has changed in College Two.
The college is even more focused on students and the other stakeholders they serve, and
continuous improvement is now widely accepted as a value. In addition to the quality that
has always been a part of the institution, a willingness to change and to benchmark
against others are seen as healthy endeavors. The college is always looking for places to
compete and finds itself doing very well. Examples include success in state and national
competitions and in national grant acquisitions. Benchmarking also gives them the
feedback to determine where they still have work to do.
Cross-Case Analysis
This section uses the information from the two case studies to answer the research
questions. The conclusions reached suggest a theoretical construct for successful
leadership in a college using CQI. In case study research, results cannot provide
statistical generalizations to verify external validity. Rather, case studies address
analytical generalizations. The particular set of results can be generalized to present a
broader theory (Yin, 1994). The cross-cases analysis is organized according to the
research questions.
Situational Variables
Is there a difference in the situational variables in colleges with similar levels of
implementation of CQI?

158
For this study, the situational variables examined were those identified in the
literature (Entin, 1994; Hammons, 1994; Horine & Hailey, 1995) as most likely to affect
implementation of CQI. The variables are motivation for adopting CQI, organizational
structure and culture of the institution, time for implementation, and personal factors of
the leaders.
The survey results and the interviews with the presidents indicated that motivation
for beginning CQI at both institutions was similar. Both presidents wanted to improve
colleges that were already considered successful colleges. Neither implemented CQI as a
response to a serious problem or crisis in the institution. This was true of all 15 colleges
in the original study. Responses indicated that all of the institutions wanted to improve
rather than solve a crisis. However, College Two did experience a serious financial
challenge in the early years of implementation. Implementation of CQI involves a
substantial commitment of time and resources (Entin, 1993). In the recession of the early
1990s, College Two received no budget increases yet had to meet a commitment to a
union agreement that provided 18% salary increases over a three-year period. President
Two was immediately challenged with maintaining support for the resources needed to
begin training and implementation of CQI at the same time that he had to find ways to
provide funds for the union agreement.
Based on the review of internal documents, the surveys, and the interviews with
the presidents, the organizational structures of the colleges were determined. Although
both campuses serve under elected boards, the colleges differ in other areas. College One
is part of an urban, multi-campus district, and its leaders are subject to district policy;
College Two is a single-campus district that serves a vast geographic area; state law

159
specifically mandates a governance structure that the college must follow. Unions do not
represent College One faculty and staff, so the college does not have to address formal
bargaining procedures. Three unions represent the faculty and staff of College Two, so
formal bargaining is an integral part of the governance structure.
Despite the formal organizational differences in these colleges, both presidents
have nurtured cultural climates that encourage broad-based participation. Employees in
all areas of both colleges are involved in continuous improvement. Both presidents are
committed to empowering others; they have embraced the concept of leadership in which
leaders and followers exert mutual influence. Cross-functional teams and horizontal work
structures permeate both organizations.
Implementation of CQI at College One began with a president who had served as
the college’s president for 12 years, and he had worked at the college since its beginning.
He had already had extensive involvement in shaping the organization and culture of the
college before he began implementing CQI. President Two had 10 years’ experience as a
president when he began implementing CQI. However, he was new to College Two. He
began implementation in a culture that existed when he arrived. Both schools have
continued their quality journeys through economic downturns, personnel turnovers, and
other changes. Both colleges have been committed to CQI for at least 10 years; both
presidents have been involved for at least 10 years.
Both presidents are white males in their fifties, each with over 20 years of
leadership in education. President One has spent most of his career in his current
institution, but President Two was an administrator and president at other institutions and
in other parts of the country before accepting the presidency at College Two.

160
These two schools exhibit many differences in situational variables, yet both
presidents were able to implement CQI successfully. Neither institution, however, was
considered to be in crisis or to have organizational or financial problems, conditions
considered unfavorable to CQI implementation (Entin, 1994).
Personality Attributes
Is there a difference in the personality attributes of members of the senior
leadership teams in colleges with similar levels of implementation of CQI?
The OPQ includes 30 different attributes of personality that are grouped in three
domains: Relationships with People; Thinking; and Feelings and Emotions. Table 4-35
compares the attribute scores of the two presidents.
Overall, on the 30 attributes, the presidents’ scores match exactly on seven
attributes and within one score on another six attributes (43%). They also match on the
social desirability attribute. Their scores are within two sten scores (three if a score of 10
is involved) on another 8 attributes (27%). They differ on 9 attributes (30%).
In the Relationships with People domain, scores for the two presidents match
exactly or nearly on 4 of the 9 attributes: Independent (7 and 7), Outgoing (1 and 1),
Socially Confident (5 and 4), and Modest (8 and 7). In the Thinking domain the
presidents match exactly or nearly on only 2 of the 11 attributes: Traditional (4 and 5)
and Change oriented (9 and 9). In the Feelings and Emotions domain, the presidents
match on 7 of the 10 attributes: Relaxed (9 and 9), Worrying (2 and 2), Tough-minded (6
and 5), Optimistic (8 and 8), Critical (7 and 7), Competitive (3 and 4), and Decisive (6
and 5). In addition, the two presidents match on the social desirability attribute (8 and 8).
The presidents match the least in the Thinking domain and the most in Feelings and
Emotions.

Table 4-35
Comparison of Presidents’ OPQ Personality Attributes
Matching Attributes
Within Range
Differing
President
One
Two
President
One Two
President
One
Two
Relationships with People
Relationships with People
Relationships with People
R3
Independent
7
7
R2
Controlling
3
5
R1
Persuasive
3
6
R4
Outgoing
1
1
R8
Democratic
10
7
R5
Affiliative
7
3
R6
Socially Confident
5
4
R9
Caring
10
6
R7
Modest
8
7
Thinking
Thinking
Thinking
T5
Traditional
4
5
T1
Practical
4
2
T2
Data Rational
1
7
T6
Change Oriented
9
9
T3
Artistic
10
7
T9
Forward Planning
3
8
T4
Behavioral
9
7
T10
Detail Conscious
3
8
T7
Conceptual
7
10
T8
Innovative
8
6
Til
Conscientious
4
6
Feelings and Emotions
Feelings and Emotions
Feelings and Emotions
FI
Relaxed
9
9
F4
Emotional Control
3
9
F2
Worrying
2
2
F7
Active
6
3
F3
Tough-Minded
6
5
F9
Achieving
4
7
F5
Optimistic
8
8
F6
Critical
7
7
F8
Competitive
3
4
F10
Decisive
6
5
D1
Social Desirability
8
8

162
The following analysis addresses the relationship of the presidents’ scores to the way the
presidents function in their CQI institutions. In the domain of Relationships with People,
both presidents scored somewhat high (7) for Independent. This score suggests these men
are willing to share their ideas, even if their views are unpopular, and they may take
action even when others disagree. Successful implementation of CQI requires the
involvement and commitment of the president (Fisher, J. L., 1993; Gratton,
1993;Seymour, 1992); the president provides the vision and leads the institution in
change, activities that are consistent with the attribute of Independence. Atypical of
others who score high on Independent (Saville & Holdsworth, 1996), these two leaders
also scored high on Democratic, although President One scored higher (10) than
President Two scored (7). Thus, their tendency to be independent is no stronger than their
tendency to encourage others to participate and to adopt group decision-making. Both
presidents also scored high on Modest, indicating they are egalitarian; they minimize
emphasis on status and on their own achievements. Continuous Quality Improvement
also requires the development of cross-functional teams. The process encourages all
individuals to participate and share their ideas and also encourages group support and
group credit. All individuals are responsible for continuous improvement (Deming, 1986;
Crosby, 1998; Juran, 1992). Leaders who relate to others using democratic principles and
who are egalitarian in their approach are likely to reduce fear among others and to
increase participation in decision-making. When interviewed, both presidents
acknowledged their lead role in introducing CQI, but they also stressed the need to
empower others and to promote widespread participation in leadership and in decision¬
making.

163
Of the 20 senior leaders who participated in the study in the two institutions, 15
also had a high score on the Independent (R3) attribute. See Table 4-36. Most also scored
in the medium to high range on Modest (R7) and Democratic (R8). Of the 20, only 4
scored low on the Modest Attribute and 3 scored low on the Democratic Attribute.
Both presidents scored 1 on Outgoing, indicating both presidents are quiet and
reserved and do not seek the limelight. Both scored in the midrange on Socially
Confident, indicating they are somewhat uneasy in new situations. While neither
president thinks of himself as shy or inhibited, neither seeks attention. This, too, is
consistent with principles of CQI. High scorers on Outgoing may become the center of
attention. Both presidents emphasized the importance of shared leadership, listening to
others, and encouraging self-directed teams; that is, they minimize the importance of the
single leader, stressing instead the importance of each individual’s role in leadership.
Organizational structures at both institutions reflect the importance of teams and of
shared leadership.
Of the 20 senior leaders, most scored in the medium range on Outgoing (R4).
Only 3 scored in the low range with the presidents. Both teams’ members most often
scored in the medium to high range on the Socially Confident (R6) attribute. Their scores
are higher than the presidents’ scores. As a group, they are somewhat likely to enjoy the
limelight and to be extroverted. They are comfortable with new situations, with putting
people at ease, and with giving presentations. Although there are individual exceptions,
generally the senior leaders are confident in their abilities to present before groups and to
put others at ease.

164
Table 4-36
OPQ Personality Attributes of Senior Leaders
College One
Colleg
e Two
R1
2
5
6
1
5
5
7
5
7
5
6
3
5
6
7
6
4
6
6
4
R2
7
7
8
1
7
8
4
5
6
6
8
3
4
4
6
6
6
7
6
6
R3
7
9
8
6
10
8
7
6
9
9
8
8
4
5
7
7
7
7
7
4
R4
5
7
6
1
6
8
6
7
6
5
8
8
1
5
4
7
6
7
6
5
R5
7
3
8
1
5
8
4
9
4
6
9
6
4
5
3
7
7
7
5
7
R6
5
5
8
1
5
10
5
7
6
8
8
6
4
7
2
8
6
7
8
7
R7
9
2
9
7
8
5
7
6
5
5
1
8
8
8
9
4
7
4
7
7
R8
7
7
6
1
3
6
8
6
6
8
6
3
6
6
6
7
5
5
8
6
R9
7
9
7
1
8
7
7
6
5
7
8
6
8
5
8
7
5
5
4
5
T1
4
1
2
1
1
8
1
3
7
9
7
7
5
6
3
3
6
6
6
7
T2
5
4
7
9
6
5
6
6
9
8
10
2
5
5
5
2
7
6
4
8
T3
6
8
6
7
2
9
9
5
5
3
5
9
5
6
7
7
7
3
8
5
T4
6
8
7
3
8
7
5
6
6
8
6
8
7
4
5
8
4
3
7
9
T5
5
5
5
3
10
3
5
5
5
9
7
3
10
4
4
8
2
7
6
9
T6
8
6
6
6
5
8
6
9
8
9
7
6
3
6
7
8
7
6
5
4
T7
8
7
6
4
6
10
5
5
9
1
10
10
7
8
1
6
4
4
4
6
T8
6
8
7
2
7
6
5
3
9
6
8
8
5
5
10
8
8
5
7
5
T9
9
6
8
2
7
6
1
3
7
7
9
6
8
6
9
9
6
5
8
7
T10
9
6
9
3
5
3
4
5
7
9
8
8
8
4
4
8
4
2
3
5
Til
5
5
10
2
8
3
2
6
4
8
8
5
9
4
7
5
5
3
6
4
FI
7
6
7
3
5
9
2
6
6
8
7
6
6
7
9
8
5
5
8
6
F2
9
6
4
9
6
2
8
6
1
5
4
6
5
4
2
3
4
7
4
6
F3
5
7
6
4
6
5
6
6
8
9
6
4
6
7
4
5
3
4
7
8
F4
5
3
8
8
4
4
5
2
6
5
3
4
9
8
4
3
4
4
4
5
F5
7
7
8
5
5
9
6
6
4
8
7
7
8
5
8
7
5
6
4
7
F6
2
8
7
6
9
10
10
5
10
7
9
7
5
5
8
6
4
6
7
4
F7
8
2
5
4
5
8
6
8
2
5
4
6
9
6
5
8
8
6
7
6
F8
3
5
5
4
6
3
7
5
6
4
4
4
7
5
3
4
6
5
6
4
F9
8
4
4
5
5
8
6
4
6
4
6
2
4
4
7
6
4
5
5
6
F10
5
7
7
9
5
5
2
5
8
4
7
6
5
5
9
5
9
8
7
3
D1
9
4
7
3
4
6
4
3
5
10
5
6
6
6
5
7
6
4
5
9
In the Thinking domain, the two presidents scored in the high range on the
Artistic, Behavioral, Change-Oriented, and Conceptual attributes. Both presidents
expressed an interest in the arts and in cultural and creative activities. Both presidents
enjoy analyzing and understanding their own thoughts and motives as well as the
behaviors of others. Conceptual thinkers acquire knowledge quickly and enjoy working

165
with complex and theoretical ideas. The high score on the Change-Oriented attribute
indicates that the presidents like new activities and are comfortable with change. The
Behavioral, Change-Oriented, and Conceptual attributes are consistent with
implementing a new institutional system such as CQI, with introducing change, with
empowering others, and with maintaining a system that is continuously changing.
The presidents scored in the medium range on Traditional, indicating a balance
between introducing change and supporting the traditional. When interviewed, both
presidents displayed sensitivity to those who resist change and who are uncomfortable
with the unknown. Both had adjusted their implementation of CQI to account for these
individuals or groups. Although they were committed to CQI, they found ways of
introducing the concepts and changes either voluntarily or with considerable investment
in providing the appropriate knowledge and experience to make the change more
understandable and less threatening.
Of the 20 senior leaders, 17 also scored in the medium to high range on Artistic
(T3). At least 70% of the senior leaders, 15 and 14 respectively, scored in the medium to
high range on Behavioral (T4) and Conceptual (T7). However, 33% in College Two
scored low on the Behavioral attribute. The majority of senior leaders at College One
match the presidents’ high scores on Conceptual, but at College Two, where the president
scored a 10 in this area, the majority (67%) scored in the low range and the other 33%
scored in the medium range. As a group, the senior leaders are somewhat less likely than
the presidents to engage in studying the behavior of others or in theoretical thinking, but
they clearly have some preference for these attributes.

166
At both colleges, the senior leaders were fairly evenly distributed in their scores
on Traditional (T5), 7 high, 7 medium, and 6 low. At College One, over 70% have a
medium to high preference for Traditional and at College Two, 67% have a medium to
high preference for Traditional. In contrast, only 2 senior leaders scored low on the
Change-Oriented (T6) attribute; the rest had a medium to high score indicating their
interest in change. The presidents’ scores on the Traditional and Behavioral attributes and
their statements in their interviews indicate that they are sensitive to and able to cope
with these differences in their team members as well as others in the college.
The presidents did differ on three attributes that seem important to an organization
committed to the principles and assessments of CQI, and particularly to alignment with
the Baldrige Criteria. They are the Data Rational, Forward Planning, and Detail
Conscious attributes. President One scored in the low range on all three, and President
Two scored in the high range. A high score on these attributes is consistent with the
emphasis on use of data, planning, and assessment in CQI. President One indicated that
he has come to have a reluctant respect for data although he gets no particular satisfaction
from dealing with it. He has learned the skill of using data, but he monitors its use,
preferring that decisions be data influenced rather than data driven. President One is
much less likely to be involved in planning or to be involved in the details of a plan than
President Two. A continuous improvement organization requires careful assessment and
planning processes. President One indicated that over the past 20 years he has
empowered others and has delegated many responsibilities. He said that he is much less
involved in these activities than he was in the past. The profiles of the 14 senior leaders in
College One indicate that 12 have a moderate to high preference for the Data Rational

167
(T2) attribute and 10 have a moderate to high preference for the Forward Planning (T9)
and Detail Conscious (T10) attributes. Thus, the president can rely on the interests and
abilities of other college leaders in these areas.
In the domain of Feelings and Emotions, the presidents’ scores are similar on 7 of
the 10 attributes. They both scored high on three attributes: Relaxed, Optimistic, and
Critical. They scored in the mid-range on Tough-Minded and Decisive, and in the low
range on Worried and Competitive. Both presidents feel it is important to lead by
example; both expressed great optimism and confidence in their quality journeys. In an
atmosphere of continuous assessment and change, relaxed, optimistic leaders are an asset.
The relatively high scores on Critical indicate that both presidents tend to be able to
probe the facts and to evaluate ideas and events critically. Both presidents indicated that
assessment feedback is often difficult to deal with. Acknowledging weaknesses and
resolving to continue to improve require relaxed but somewhat tough-minded leaders.
Neither president is particularly competitive. Both expressed a desire to develop self-
directed teams and to involve all members of the community in decision-making. Their
emphasis on being involved rather than being extremely competitive promotes this
philosophy. Both presidents commented on the process of benchmarking, on continuous
assessment, and on getting feedback from external reviews such as state or national
Baldrige-based awards. Because there are always areas to improve, because CQI is a
journey, it is best not to be a worrier and to be optimistic. In addition, the goal is not to
compete and win but to improve; therefore, a highly competitive individual might not
withstand the continuous assessment and feedback as well as a leader with a lower level
of competitiveness.

168
All except two of the senior leaders scored in the medium to high range on
Relaxed (FI), revealing a trend similar to the presidents although not as high. They also
tend to score low or medium on Worrying (F2). Both groups also share the presidents’
tendencies to be Optimistic (F5) with only one person at each college scoring in the low
range. As a group, the senior leaders seem well suited to the demands of CQI in terms of
the Optimistic and Relaxed attributes. These leaders also tend to be moderate or low in
their competitiveness.
College One leaders tend to match the presidents on Critical (F6) and Tough-
minded (F3), but the leaders at College Two scored lower on these attributes. The senior
leaders in College One most often fall in the high range with the presidents on the Critical
(F6) attribute, but at College Two the senior leaders score equally across the range on
Critical. College One senior leaders fall in the medium range with the presidents on being
Tough-minded (F3), but half of those at College Two are in the low range.
Both presidents scored high (8) on the Social Desirability (Dl) attribute indicating
they are usually cheerful, even in difficult times, that they do things well, give their
attention to others, are not envious of others, and rarely lose their tempers or regret what
was done in the past. However, the senior leaders in College One scored in the medium
(43%) to low (36%) range, and in College Two in the medium (40%) to high (33%) range
on Social Desirability.
Leadership Styles
Is there a difference in the leadership styles used by leaders in colleges with
similar levels of implementation of CQI?
Table 4-36 compares the presidents’ Leadership Styles scores.

169
Table 4-36
Comparison of Presidents’ Leadership Styles
Style
President
One
Two
LSI
Directive
1
6
LS2
Delegative
4
6
LS3
Participative
8
4
LS4
Consultative
8
5
LS5
Negotiative
4
6
ADI
Adaptability
10
9
Despite similar scores on 21 of the 30 personality attributes, the presidents differ
in their application of those attributes in leadership situations. The presidents display
differences on all five of the leadership scales. President One is likely to use the
Participative and Consultative leadership styles most frequently and is most unlikely to
use the Directive style. He is moderately unlikely to engage in the Delegative or
Negotiative styles. President One indicated that his leadership style has changed over the
years. He indicated that it his practice to seek out ways to hear as many varied voices as
he can, to get as much participation as possible. He also indicated that he used to be more
of a micromanager. Now he is less involved in the processes. He has learned to trust
others and their work. He also indicated that he used to be more of a delegator than he
was a consensus builder. As his profile suggests, now he is more interested in
participative leadership, in building consensus; he wants to make sure that everyone’s
views are heard and that the eventual decision is one agreed upon by the group as a
whole. His leadership profile indicates that as a Consultative leader he will gather
opinions from others but will tend to make the decisions himself. However, the president
said that rather than addressing problems in his role as the president, he prefers to teach
individuals how to fix problems on their own.

170
The situational variables at College One may allow the president more choice in
his leadership style. He has influenced the college as its president for 20 years; he has
hired all of the current leaders and has not had to cope with unions or other formal
structures other than the Board of Trustees and the District Office, both of which support
quality concepts. The president also indicated that he is quite willing to use different
approaches with different people, based on what works best for that individual. His score
of 10 on Adaptability supports that tendency.
President Two has a tendency to use all of the styles, but he is slightly less likely
to use the two styles preferred by President One. As a Directive leader, he may plan a
group’s work in advance, but he is unlikely to monitor closely once work is underway.
He may also seek others’ views and then delegate according to the approach he thinks
will work best with the people involved. He is also able to serve as a Negotiative Leader,
looking for incentives and modifying approaches to achieve success. President Two’s
interest in human nature and in understanding the motives and values of others influence
his choice of leadership style in a particular situation. Like President One, President Two
scored high on the Adaptability scale, indicating the ability to use different styles
according to the situation. The situational variables in College Two may contribute to the
president’s use of a variety of styles. For example, President Two might use the
Participative or Consultative style when interacting with his leadership team but may be
more likely to negotiate or be directive when interacting with unions or within the formal
state-mandated structures. When interviewed, President Two discussed several leadership
approaches. Overall, the president embraces the Servant-Leader philosophy. His
responsibility is to do whatever it takes to achieve the college’s mission, to move

171
forward, and to support staff. He is particularly interested in symbolic leadership and in
how powerful certain symbols are to individuals or groups of individuals. He also
recognizes that current leaders must have really good political skills. President One
serves a large, single-campus institution with a variety of programs and services and a
diverse student body. He must also contend with employee unions and state political
structures, so his ability to use all the styles serves him well in his situation.
As a group, the senior leaders in each college do not closely match their
presidents in the use of Leadership Styles. See Table 4-37 for College One and Table 4-
38 for College Two. The president’s ranges are in the last column.
Table 4-37
Leadership Styles in College One
Senior Leaders in Sten Score Range
President
Low (1-4)
Medium (5-6)
High (7-10)
One
Style
#
Percent
#
Percent
#
Percent
LSI
Directive
6
42.86%
3
21.43%
5
35.71%
Low
LS2
Delegative
6
42.86%
5
35.71%
3
21.43%
Low
LS3
Participative
3
21.43%
7
50.00%
4
28.57%
High
LS4
Consultative
4
28.57%
6
42.86%
4
28.57%
High
LS5
Negotiative
3
21.43%
11
78.57%
0
0.00%
Low
TOTAL
22
31.43%
32
45.71%
16
22.86%
ADI
Adaptability
1
7.14%
6
42.86%
7
50.00%
High
At College One, most of the senior leaders (11 of 14) are moderately likely to use
the Negotiative style when leading, a style their president is less likely to use. Only 28%
are highly likely to use the Participative and Consultative styles, their president’s most
preferred styles.
The majority of leaders at College Two do match their president on Directive and
Consultative, and half match on Delegative. Consultative leaders are strongly inclined
towards group work and the involvement of all group members in decision-making, but

172
unlike Participative leaders may not always strive for consensus, preferring instead to
trust their own analysis.
Table 4-38
Leadership Styles in College Two
Senior Leaders in Sten Score Range
President
Low (1-4)
Medium (5-6)
High (7-10)
Two
Leadership Style
#
Percent
#
Percent
#
Percent
LSI
Directive
1
16.67%
4
66.67%
1
16.67%
Medium
LS2
Delegative
3
50.00%
3
50.00%
0
0.00%
Medium
LS3
Participative
0
0.00%
4
66.67%
2
33.33%
Low
LS4
Consultative
0
0.00%
5
83.33%
1
16.67%
Medium
LS5
Negotiative
3
50.00%
3
50.00%
0
0.00%
Medium
TOTAL
7
23.33%
19
63.33%
4
13.33%
ADI
Adaptability
1
16.67%
4
66.67%
1
16.67%
High
The senior leaders at both colleges tend toward the middle of the scales; 46% of
the scores fell into the medium range at College One and 63% were in the medium range
at College Two.
Team Types
Is there a difference in the team types used by leaders in colleges with similar
levels of implementation of CQI?
Table 4-39 compares the Team Type Scores of the two presidents.
To achieve quality principles, Freed and Klugman (1997) stress the importance of
teams and teamwork as well as empowering all levels of employees. Saville and
Holdsworth (1996) developed a scale for the eight team types described by Belbin (1981,
2000). Belbin suggested that effective teams include individuals who serve differing
roles. Most individuals can play more than one role, sometimes depending on the level of
preferences for particular roles of others on the team (Belbin, 2000). This discussion
describes the possibility of roles based on the leaders’ scores.

173
Table 4-39
Presidents’ Team Types Scores
Type
President
One
Two
TT1
Coordinator
5
8
TT2
Shaper
2
2
TT3
Innovator/plant
8
8
TT4
Monitor-evaluator
6
8
TT5
Resource investigator
6
4
TT6
Completer
1
6
TT7
Team worker
9
6
TT8
Implementer
1
8
The Team Type scales indicate that both presidents are likely to serve as the
Innovator/Plant when working with a team and that neither president is likely to serve as
a Shaper. Teams generally benefit from one strong Innovator. At both colleges, the
president can play this role. The Innovators are often the source of creativity and
resourcefulness. Neither president is likely to be the Shaper, the person who inspires
action to achieve objectives by whatever means necessary. Well-developed teams are
unlikely to benefit greatly from Shapers (Saville & Holdsworth, 1996, SectionlO, p. 9).
President One is highly likely to play the role of Team Worker (sten score 9), and
President Two may play that role at times (sten score 6). As Team Worker, the presidents
are likely to use their sensitivity and caring attributes to keep the team functioning and to
minimize interpersonal problems among team members. The presidents differ sharply on
the Implementer scale and on the Completer scale. President Two scored in the high
range on Implementer and medium range on Completer, and President One scored a one
on both of those scales.
The senior leaders at both schools exhibited a great deal of diversity in the team
roles that they are likely to play. See Table 4-40 for College One and Table 4-41 for

174
College Two. The greatest benefit of studying team roles is to determine how the senior
leaders complement their presidents.
Table 4-40
Team Types in College One
Table 4-41
Team Types in College Two
Senior Leaders in Sten Score Range
President
Low (1-4)
Medium (5-6)
High (7-10)
Two
Team Type
#
%
#
%
#
%
TT1
Coordinator
1
16.67%
2
33.33%
3
50.00%
High
TT2
Shaper
2
33.33%
3
50.00%
1
16.67%
Low
TT3
Innovator/Plant
1
16.67%
3
50.00%
2
33.33%
High
TT4
Monitor-Evaluator
1
16.67%
5
83.33%
0
0.00%
High
TT5
Resource Investigator
2
33.33%
2
33.33%
2
33.33%
Low
TT6
Completer
3
50.00%
3
50.00%
0
0.00%
Medium
TT7
Team Worker
1
16.67%
3
50.00%
2
33.33%
Medium
TT8
Implementer
2
33.33%
3
50.00%
1
16.67%
High
In College One, 6 of the 14 individuals are highly likely to play the role of
Completer, and 6 are highly likely to play the role of Implementer. These are areas where
the president scored low (sten score 1). In College One, 10 of the 14 senior leaders did
score in the high range for the role of Monitor-Evaluator and 9 were in the medium range
as Team Worker. But the rest of the scores were widely distributed from low to high on
the other six team types. This is the kind of diversity that President One indicated that he

175
values and that helps all of his leaders experience a variety of approaches and views.
President One’s high score as Team Worker makes him well suited to coordinate a team
of this type.
In College Two, individuals tended to score in the medium range for most of the
team types whereas the president scored in the high range on half of them. In College
Two, only one senior leader is highly likely to play the Shaper role, although three others
also have a moderate tendency to do so. President Two is not likely to be the Resource
Investigator, but two of his six team members are highly likely to play that role. The
president is likely to be the Implementer; only one senior leader scored high in that role.
None of the senior leaders is likely to be the Monitor-Evaluator or the Completer. The
president is highly likely to be the Monitor but only moderately likely to be the
Completer. Three senior leaders are also moderately likely to be the Completer.
Intervening Variables
Is there a difference in the intervening variables affecting CQI implementation in
colleges with similar levels of implementation of CQI?
The intervening variables include presidential commitment and involvement,
follower commitment, training, management of change and reaction to external events
that may affect the college.
Both presidents provided the vision for implementing CQI and both were the
catalysts to start planning and implementation. Both presidents are strongly committed to
the concepts and continue to be directly involved in continuous improvement.
Both presidents have provided extensive training and opportunities for individuals
to leam about and practice CQI principles through workshops and training sessions. Both
presidents also indicated that they have adapted the use of training to fit the situation.

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Both prefer to offer training as it is needed for specific areas rather than to have formal
requirements, and both adjust the emphasis on training to meet the needs of new and
current employees.
Although both continue to be involved, both also stressed that the responsibility
for continuous improvement belongs to all members of the college community. President
One indicated that all employees share the responsibility for continuously improving their
areas of primary responsibility. President Two stressed the importance of self-directed
teams in the CQI structure.
President One indicated that the college is learning to address priorities and
changes in internal and external conditions based on the colleges Key Performance
Indicators. This disciplined approach keeps the levels of influence where they should be
even if budgets or external governance change. President Two has faced more specific
external intervening variables than President One has faced. President Two had to honor
a union contract that committed the college to implement a 3-year pay increase, and he
has had to address specific legislative mandates regarding governance. He has used the
same philosophy as President One; he has continued to use the priorities and outcomes of
the CQI process to address these issues. He did have to make some modifications to the
CQI structure to accommodate state mandates, but he felt no need to consider abandoning
the principles.
This study found both similarities and differences in the situational variables,
leadership, and intervening variables in these two institutions recognized for their
successes in their quality journeys. The patterns that emerged suggest a set of

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circumstances and personal attributes that helped these institutions succeed in their
implementation of continuous quality improvement.

CHAPTER 5
CONCLUSIONS AND RECOMMENDATIONS
This chapter presents the conclusions based on the results, compares the findings
to the literature, and presents a theoretical construct for leadership in CQI community
colleges. The chapter presents implications for practice and recommendations for further
study.
The purpose of this study was to develop a theoretical construct for effective
leadership in a community college that has adopted or wants to adopt the principles of
continuous quality improvement. According to Gall et al. (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.
CQI processes are used to address organizational change and organizational
effectiveness. 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). Continuous Quality Improvement’s
emphasis on customers requires an institution to address the complaints and expectations
of students, parents, employers, and legislators (Brigham, 1994b). Its emphasis on
continuous improvement provides an opportunity for organizations to modify overly
compartmentalized administrative structures and disconnected academic activities
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(Brigham, 1994b; Seymour, 1993b) by empowering individuals and work teams
(Márchese, 1993). It encourages training, teamwork, and mutual accountability. It helps
institutions to improve performance and to influence faculty reward systems and
curriculum. Continuous Quality Improvement principles can be used to develop agile
institutions that can respond and adapt quickly to maintain and improve their competitive
positions (Godbey, 1993).
Conclusions
This study presented an analysis of leadership in community colleges that have
demonstrated success in these types of changes and activities. 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 as measured by the Institutional Self-Assessment instrument. 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 personality attributes, 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. To establish construct validity for
the case studies, evidence from the multiple sources was organized according to the
study’s five propositions. Results were reported when similar information from two or

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more sources was consistent. Key respondents reviewed the accuracy of their responses.
To reduce threats to internal validity, alternate explanations were considered. In addition,
Dr. Dale F. Campbell, a qualified SHL Test User, verified the discussion related to the
results of the OPQ. The results of the study suggest a number of leadership traits and
behaviors important to successful implementation of CQI.
Situational Variables
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 and culture of the institution, time for implementation,
and personal factors of the leaders as important situational factors in the implementation
of CQI.
None of the 15 institutions in this study was in a crisis situation when it adopted
CQI. Motivation for beginning CQI at the two colleges selected for the case studies ws
similar. Both were successful institutions that wanted to improve. In both institutions the
CEO initiated the move to CQI.
Although neither college was in a crisis situation, the organizational structures
and cultures differed somewhat. College One serves about 14,000 credit students each
term, and College Two serves about 27,500. College One is part of a multi-campus
district. College decisions are made through a line organizational structure, but input is
received from those affected by the decisions. College One’s culture had already been
shaped by the president and was consistent with CQI principles. Many of the values and
processes of CQI were already present in the college. At College One, many CQI
practices are part of mandatory training and assessment.

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College Two is a large, single campus district. Its organizational structure
includes state-mandated roles as well as relationships with unions. College Two
developed the CQI philosophy within a formal structure that now includes over 30
standing committees and subcommittees. Because of some of the formal contractual
agreements, the use of CQI principles by various individuals throughout the college is
primarily voluntary, but most employees are involved.
Both institutions have been involved with CQI for 10 to 11 years and have been
consistent in their commitment throughout the years. Both presidents said they had
moved beyond CQI by focusing on student learning and by shaping their institutions to
meet the Baldrige Award Criteria for Education. Both schools have continued their
quality journeys through economic downturns, personnel turnovers, and other changes.
Both presidents are white males in their 50s who have extensive leadership
experience in the community college. However, President One had been at his institution
since its beginning and had been president of the college for 11 years when he introduced
CQI. President Two had 10 years of presidential experience at other institutions but
began CQI in the first year of his presidency at College Two.
In the colleges studied, the situational factors did not adversely affect the
successful implementation of CQI although they did contribute to variations in the ways
CQI was integrated into the institutions.
Personality Attributes of Presidents and Senior leaders
The second area of inquiry focused on personality attributes. The Occupational
Personality Questionnaire includes 30 different attributes of personality that are grouped
into three domains: Relationships with People, Thinking, and Feelings and Emotions. For
this study, the two presidents and members of their leadership teams were administered

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the OPQ. President One identified 14 individuals who make up his leadership team; all
completed the OPQ. President Two identified 9 leaders; 6 completed the OPQ.
This study revealed a number of attributes common to both presidents. These
attributes were further explored in interviews with the presidents, in relation to the
literature that describes implementing CQI, and in the context of the organizational
structure, culture, and characteristics of senior leaders in the colleges.
Analysis of the results of the OPQ, the interviews with the presidents and the case
study information revealed several attributes to be important for leaders in a community
college that wants to adopt CQI.
In Relationships with People, high levels of the Independent, Democratic, and
Modest attributes are consistent with the principles and successful implementation of
continuous quality improvement. Both presidents provided the vision and led the
institution to change, and both continue to be involved and committed to expanding
implementation into new areas such as regional accreditation. Both colleges developed
democratic organizational structures that require broad-based participation and group
decision-making. Both colleges formally recognize group as well as individual
accomplishments throughout the institution, rather than focusing on presidential
accomplishments, further indic