1 Track 1: Quality culture: looking beyond the current models CHALLENGE TO APPLY QUALITY ASSURANCE...

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Track 1: Quality culture: looking beyond the current modelsTrack 1: Quality culture: looking beyond the current models

CHALLENGE TO APPLY CHALLENGE TO APPLY QUALITY ASSURANCE AS A QUALITY ASSURANCE AS A

STRATEGIC TOOL FOR STRATEGIC TOOL FOR HIGHER EDUCATION HIGHER EDUCATION

INSTITUTIONS INSTITUTIONS

Dr Louis van der WesthuizenDr Louis van der Westhuizen

Planning Unit: Quality AssurancePlanning Unit: Quality AssuranceUniversity of the Free StateUniversity of the Free State

South AfricaSouth Africa

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OverviewOverview

• IntroductionIntroduction• ChallengeChallenge• Enhancement-focused quality assuranceEnhancement-focused quality assurance• Continuous systemContinuous system• Methodology for enhancement-focused QAMethodology for enhancement-focused QA• Process model as a strategic planning toolProcess model as a strategic planning tool

– Strategic planningStrategic planning– Quality assuranceQuality assurance– Institutional improvement planInstitutional improvement plan

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IntroductionIntroduction

• Academic quality assessment traditionally assumedAcademic quality assessment traditionally assumed two contradictory objectives: two contradictory objectives: – accountabilityaccountability– quality improvementquality improvement

• Lee Harvey: Lee Harvey: “External quality assurance procedures “External quality assurance procedures are a necessary precursor to build a system of internal are a necessary precursor to build a system of internal quality assurance within HEI.”quality assurance within HEI.”

• External procedures should beExternal procedures should be flexible flexible enough to enough to inform internal procedures and culturesinform internal procedures and cultures

• QA focus shifted toQA focus shifted to an operational relationship an operational relationship between: between: – internal processinternal process– external processexternal process

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ChallengeChallenge• Challenges for HEIs is to connect:Challenges for HEIs is to connect:

– the the longer term goalslonger term goals of the institution (contained in of the institution (contained in the strategic planning)the strategic planning)

– annual outcomes and targetsannual outcomes and targets (contained in the (contained in the quality reports and operational planning) quality reports and operational planning)

– to to culminate in theculminate in the achievement of longer term goalsachievement of longer term goals

• Traditionally: Traditionally: – purpose of the purpose of the strategic planningstrategic planning was to provide the was to provide the

framework for defining the institution’s mission, framework for defining the institution’s mission, vision and goalsvision and goals

– while the while the continuous quality improvementcontinuous quality improvement provides provides the principles and tools for guiding the planning and the principles and tools for guiding the planning and improvement processesimprovement processes

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Challenge …Challenge …• QA QA should be more supportive and not should be more supportive and not

punitivepunitive

• Strategic planningStrategic planning should reflect ways of should reflect ways of change management, controlling change management, controlling resources and improving qualityresources and improving quality

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Enhancement-focused QAEnhancement-focused QA• Taking Taking deliberate stepsdeliberate steps to bring about to bring about

continuous improvementcontinuous improvement in the effectiveness of in the effectiveness of the learning experiencethe learning experience– uses uses thethe externalexternal requirement (especially the requirement (especially the

outcomeoutcome of the process) as a of the process) as a trigger for internaltrigger for internal capability capability development development in the area of quality in the area of quality management management

– facilitates a more facilitates a more integrated approachintegrated approach to quality to quality managementmanagement

– an an articulation between quality processes and articulation between quality processes and strategic planningstrategic planning processes that is a more effective processes that is a more effective and imaginative driver for changeand imaginative driver for change

– making quality processes making quality processes less retrospectiveless retrospective and and more evaluative with greater more evaluative with greater focus on forward focus on forward planning planning

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Enhancement-focused QAEnhancement-focused QA• Effective strategic planning is part of the outcomes of the internal Effective strategic planning is part of the outcomes of the internal

and external quality assurance activities, namely: and external quality assurance activities, namely: – assessment of the assessment of the internal strengths and weaknessesinternal strengths and weaknesses – as well as as well as external opportunities and threatsexternal opportunities and threats– identification of identification of values and goalsvalues and goals– identification of identification of strategies and performance measuresstrategies and performance measures– the development, implementation and periodic reviewthe development, implementation and periodic review of action plans of action plans

• A good quality management system should stress its A good quality management system should stress its internal internal development process rather to be outward-orientateddevelopment process rather to be outward-orientated

• Quality process needs to Quality process needs to emphasise formative feedback loopsemphasise formative feedback loops

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Continuous systemContinuous system

Model for integrated planning and evaluation:Model for integrated planning and evaluation:

Middle Middle ground ground

between …between …‘‘Top-down’ Top-down’ (strategic (strategic planning)planning)

‘‘Bottom-up’ Bottom-up’ (self study)(self study)

PlanningPlanning

ActionAction

EvaluationEvaluation

ImprovementImprovementQuality

improvement

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Model for integrated planning and evaluation:Model for integrated planning and evaluation:

‘‘Top-down’ Top-down’ (strategic (strategic planning)planning)

‘‘Bottom-up’ Bottom-up’ (self study)(self study)

ImplementImplement

PlanPlan

ReviewReviewINTERACTIVE INTERACTIVE

CYCLECYCLE

PlanningPlanning

ActionAction



improvement

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• Internal reviews should move beyond QA Internal reviews should move beyond QA to to support enhancementsupport enhancement

• Should play an increasing role in Should play an increasing role in institutional institutional management of management of enhancementenhancement– institutional enhancement strategiesinstitutional enhancement strategies– faculty/school/college plansfaculty/school/college plans– dissemination tool of good practicesdissemination tool of good practices

PlanningPlanning

ActionAction



improvement

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Methodology for institutional Methodology for institutional enhancement-focused QAenhancement-focused QA

• Have to Have to tie institutional QA activitiestie institutional QA activities and and results with institutional planning results with institutional planning processprocess

• Emphasis on the effectiveness of the QA Emphasis on the effectiveness of the QA procedures in the institutional decision-procedures in the institutional decision-making and strategic planningmaking and strategic planning

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Desirable processDesirable process

• The commitment, development and implementation of The commitment, development and implementation of the the enhancement-led approach by the top managementenhancement-led approach by the top management

• A A robust institutional quality assurance systemrobust institutional quality assurance system (policies, structures, mechanisms and processes) that (policies, structures, mechanisms and processes) that includes a process to align the internal strategic includes a process to align the internal strategic planning processes with institutional reflection on planning processes with institutional reflection on enhancement or improvement activitiesenhancement or improvement activities

• A widespread institutional committee or similar A widespread institutional committee or similar structure to facilitate better strategic linkingstructure to facilitate better strategic linking to to strengthen the strategic drive for enhancement strengthen the strategic drive for enhancement (including effective communication to support (including effective communication to support development and enhancement)development and enhancement)

• A A process for the operation of the institution’s process for the operation of the institution’s enhancement or improvement strategiesenhancement or improvement strategies (both in terms (both in terms of ‘top-down’ and ‘bottom-up’ processes)of ‘top-down’ and ‘bottom-up’ processes)

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Desirable process …Desirable process …

• Faculty or school-based Faculty or school-based structures for the structures for the implementationimplementation of the quality enhancement of the quality enhancement strategies and the strategic enhancement goalsstrategies and the strategic enhancement goals

• LinkageLinkage between governance, QA and quality between governance, QA and quality enhancementenhancement

• Approach to Approach to continuous qualitycontinuous quality activities that activities that is is forward lookingforward looking

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Traditional Strategic Planning & QA ProcessesTraditional Strategic Planning & QA Processes

STRATEGIC PLANNINGSTRATEGIC PLANNING QUALITY ASSURANCEQUALITY ASSURANCE

Institutional identificationInstitutional identification and planning and planning

of Strategic Prioritiesof Strategic Priorities

Institutional QA SystemInstitutional QA System with actionswith actions

Ad hocAd hoc interactioninteraction

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University of the Free State Strategic Planning ProcessUniversity of the Free State Strategic Planning Process


Institutional identificationInstitutional identification of Strategic Prioritiesof Strategic Priorities

Institutional identification of Institutional identification of Strategic ProjectsStrategic Projects

Institutional Review Institutional Review followed by the drafting of followed by the drafting of

Review PortfolioReview Portfolio

Continuous QA ActionsContinuous QA Actions

Institutional QA SystemInstitutional QA System

Institutional Improvement PlanInstitutional Improvement Plan

PlanningPlanningforfor

Strategic Strategic ProjectProject

Audit ReportAudit Report

HEQC Institutional AuditHEQC Institutional Audit

Alignment and prioritising ofAlignment and prioritising of improvements by Executive Managementimprovements by Executive Management

Institutional Improvement Institutional Improvement Plan presented to HEQCPlan presented to HEQC

TransformationTransformationPlanPlan

ImprovementsImprovements from Audit from Audit

ReportReport

ImprovementsImprovements from Review from Review

PortfolioPortfolio

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ReportReport


PortfolioPortfolio

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ReportReport


PortfolioPortfolio

Process commences with the Process commences with the Executive Management’s annual Executive Management’s annual

analysisanalysis of internal/external of internal/external environment and environment and identification of identification of

strategic prioritiesstrategic priorities

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ReportReport


PortfolioPortfolio

Institutional review and auditing is of such an extreme strategic

importance that it is identified as a strategic project of the institution

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ReportReport


PortfolioPortfolioAn important opportunity An important opportunity to take to take stock of quality management and stock of quality management and assurance at the institutionassurance at the institution in a in a systematic, reflective and self-systematic, reflective and self-

evaluative manner in order that the evaluative manner in order that the quest for continuous quality quest for continuous quality

improvementimprovement may be bolstered. may be bolstered.

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ReportReport


PortfolioPortfolio

Continuous QA actions driven by the Institutional QA system

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ReportReport


PortfolioPortfolio

The The Audit ReportAudit Report issued after the issued after the external panel’s institutional audit external panel’s institutional audit

visitvisit represents the panel’s findings represents the panel’s findings and identifies strengths and and identifies strengths and

weaknesses as well as exemplary weaknesses as well as exemplary and innovative features in the and innovative features in the

quality management arrangements quality management arrangements of the institutionof the institution

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ReportReport


PortfolioPortfolio

Alignment of the three sources of improvement planning for the

drafting of the Institutional Improvement Plan

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ReportReport


PortfolioPortfolio Prioritising of proposed improvements by the Executive

Management

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ReportReport


PortfolioPortfolio

Institutional Improvement PlanInstitutional Improvement Planreaffirming the reaffirming the strategic prioritiesstrategic priorities; with ; with

formulated challenges [goals]; formulated challenges [goals]; formulated formulated strategiesstrategies [ways to address challenges]; [ways to address challenges]; allocated allocated strategiesstrategies to structures and/or to structures and/or

functionaries for implementationfunctionaries for implementation; set ; set timelines timelines [for implementation, [for implementation,

evaluation/monitoring/review, and evaluation/monitoring/review, and improvement]; and improvement]; and budget allocationsbudget allocations

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ReportReport


PortfolioPortfolio

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ReportReport


PortfolioPortfolio

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1.1. ISSUE CLUSTER 1: INSTITUTIONAL MISSION:TRANSFORMATION (Equity, ISSUE CLUSTER 1: INSTITUTIONAL MISSION:TRANSFORMATION (Equity, redress and institutional culture)redress and institutional culture)

1.11.1 STAFF EQUITY: HEQC RECOMMENDATION 1STAFF EQUITY: HEQC RECOMMENDATION 1The HEQC recommends that the University of the Free State consider conducting an investigation into the nature and extent of the The HEQC recommends that the University of the Free State consider conducting an investigation into the nature and extent of the internal obstacles which might be preventing speedier change in the University’s staff profile and its capacity to recruit and retain internal obstacles which might be preventing speedier change in the University’s staff profile and its capacity to recruit and retain black staff. The findings of such an investigation should be used to develop and implement the necessary strategies to ensure that black staff. The findings of such an investigation should be used to develop and implement the necessary strategies to ensure that equity targets are met. (HEQC: UFS Audit Report, 2008, pp. 9 & 38.)equity targets are met. (HEQC: UFS Audit Report, 2008, pp. 9 & 38.)

Associated area identified by the HEQC Panel for attention:Associated area identified by the HEQC Panel for attention:““The Panel would like to encourage the institution to investigate the impact of the language policy on staff equity and to develop the The Panel would like to encourage the institution to investigate the impact of the language policy on staff equity and to develop the necessary measures to counteract those aspects which undermine UFS’s efforts in other areas such as employment equity. The Panel necessary measures to counteract those aspects which undermine UFS’s efforts in other areas such as employment equity. The Panel urges UFS to analyse both the nature and extent of the internal obstacles to speedier change in the institution’s staff profile as well as urges UFS to analyse both the nature and extent of the internal obstacles to speedier change in the institution’s staff profile as well as its capacity to retain black staff.” (HEQC: UFS Audit Report, 2008, pp. 8 – 9. Also see p. 38.)its capacity to retain black staff.” (HEQC: UFS Audit Report, 2008, pp. 8 – 9. Also see p. 38.)

Associated area identified in the UFS Audit Portfolio for attentionAssociated area identified in the UFS Audit Portfolio for attention::““The UFS has only had limited success in recruiting and retaining significant numbers of Black staff. Staff equity was highlighted The UFS has only had limited success in recruiting and retaining significant numbers of Black staff. Staff equity was highlighted by all faculties and many support services divisions as a major challenge”. (UFS Institutional Review 2006: Towards Excellence by all faculties and many support services divisions as a major challenge”. (UFS Institutional Review 2006: Towards Excellence and Equity, p. 238.)and Equity, p. 238.)

RELATED UFS TRANSFORMATION PLAN PROJECTS (SECTION B) APPLICABLE TO THESE ISSUES:RELATED UFS TRANSFORMATION PLAN PROJECTS (SECTION B) APPLICABLE TO THESE ISSUES:Project 1.3.1Project 1.3.1 Operationalising sufficient staff diversityOperationalising sufficient staff diversityProject 1.3.2Project 1.3.2 Finalisation of revised EEFinalisation of revised EEProject 2.5Project 2.5 Employment practicesEmployment practices

(See also Appendix 2 for Employment Equity Strategic Plan: Three Year Rolling Plan.)(See also Appendix 2 for Employment Equity Strategic Plan: Three Year Rolling Plan.)

NOTE:NOTE:Since the Audit of 2006 a number of action steps were taken to improve the University’s equity profile. Amongst others, the Since the Audit of 2006 a number of action steps were taken to improve the University’s equity profile. Amongst others, the following need to be highlighted: The UFS conducted a review of its employment policies, practices, procedures and working following need to be highlighted: The UFS conducted a review of its employment policies, practices, procedures and working environment to identify employment barriers that adversely affect people from designated groups and to remove discriminatory environment to identify employment barriers that adversely affect people from designated groups and to remove discriminatory contents.contents.

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ConclusionConclusion

• The holistic way of planning The holistic way of planning enhances the quality of enhances the quality of the core functionsthe core functions of the institution of the institution

• improves the improves the overall student experienceoverall student experience• can even result in the can even result in the modification of the quality modification of the quality

assurance systemassurance system• can can provide greater synergyprovide greater synergy with institutional with institutional

strategies and evidence of enhancement that is strategies and evidence of enhancement that is beginning to penetrate to the operational levelbeginning to penetrate to the operational level

• quality assurance processes canquality assurance processes can articulate more articulate more effectivelyeffectively with the wider institutional strategies and with the wider institutional strategies and processesprocesses

• support the support the strategic management of continuing strategic management of continuing improvementimprovement and accompanying quality assurance and accompanying quality assurance mechanisms.mechanisms.

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Thank youThank you

[email protected]@ufs.ac.za

Strategically integrated outcomes measurement Strategically integrated outcomes measurement efforts can give institutions a competitive efforts can give institutions a competitive

advantage over organisations that only use advantage over organisations that only use outcomes tacticallyoutcomes tactically..

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