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  • 1. Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, University of Tasmania
    Tertiary Education Management Conference 2010
    Crown Convention Centre, Crown Promenade Hotel 3 - 6 October 2010
  • 2. University Policy Benchmarking Project
    • Examine the state of policy and policy development in Australasian universities
    • 3. Identify good practice exemplars and features
    • 4. Identify quality resources supporting the University Policy Development Cycle
    • 5. Establish models for university policy management
    • 6. Apply the findings of the research to contribute to the University of Tasmania Policy on Policy review
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 7. Research Sample
    • 13 universities spanning all Australian States and Territories (except Tasmania)
    • 8. 3 universities from New Zealand
    • 9. Both ‘sandstone’ and ‘red-brick’ universities
    • 10. Research-intensive and other universities
    • 11. Single and dual-sector universities
    • 12. Metropolitan and regional universities and
    • 13. One private university
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 14. Research Focus
    • University Policy Frameworks and Policy on Policy statements
    • 15. University Policy Repositories
    • 16. University Policy Websites
    • 17. Policy Toolkits
    • 18. Core sample of specific policy statements (Plagiarism, Environmental Sustainability, Leave Without Pay, Credit)
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 19. “Policy is rather like an elephant – you recognise it when you see it but cannot easily define it”
    (Cunningham, 1963, p229 cited in Hill, 1997, p6).
  • 20. What is Policy?Learning from public policy literature …
    • “Statement of government intent” (Althaus, Bridman and Davis, 2007)
    • 21. “A promise underlies public policy: If the actions we recommend are undertaken, good … consequences … will actually come about” (Wildavsky, 2007)
    • 22. “Regulation (the stick), economic means (the carrot) and information (the sermon)” (Verdung, 2007)
    • 23. Guba (1984) “an assertion of intents or goals; a governing body’s ‘standing decisions’ by which it regulates, controls, promotes, services and otherwise influences matters within its sphere of authority; a guide … a strategy … sanctioned behaviour, formally … or informally … (or) a norm of conduct, characterised by consistency and regularity, in some substantive action area”.
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 24. Policy Development Process
    • Dror (1971) advises that “… very little can be done to improve policies by more than incremental bits without reforming the policymaking system, that is, without considering and improving meta-policy”
    • 25. Early policy process theoretical framework development (Lasswell, 1956; Brewer, 1974)
    • 26. Bridgman and Davis (1998) developed the Australian Policy Cycle heuristic, stating that “Good process is the foundation for good policy” (1998)
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 27. Contextualising University Policy Development
    • Commonwealth Government higher education public policy
    • 28. Dawkins ‘Unified National System’ (1988)
    • 29. Increased reporting and accountability requirements
    • 30. Outcomes from Bradley Review
    • 31. Ongoing Commonwealth Government policy reform
    • 32. Establishment of Tertiary Education Quality and Standards Agency (TEQSA)
    • 33. Academic standards debates
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 34. University Policy Frameworks
    • Define university policy
    • 35. Establish the range of policy instruments (e.g. Policy, Procedure, Guidelines)
    • 36. Specify approval authorities for all policy instruments (e.g. Council, VC, Senate)
    • 37. Identify University Policy Development Cycle stages (or other policy process) and
    • 38. Define the application of policy instruments (University-wide or section-specific/local)
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 39. Universities refer to ‘Policy’ broadly and use a variety of terms …
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 40. Hierarchy of Instruments, Approval Authorities and Application
    Table 2: Hierarchy of Instruments, Approval Authorities and Application
  • 41. Understanding the UTAS Hierarchy
    Table 3: University of Tasmania Hierarchy of Instruments,
    Approval Authorities and Application
  • 42. Using Benchmarking to Enhance the UTAS Policy on Policy (refer: Policy Development and Review Policy)
    Confirmed need to establish a comprehensive University Policy Framework (in Policy on Policy) which:
    • Defines University policy
    • 43. Establishes the range of policy instruments
    • 44. Specifies approval authorities for all policy instruments
    • 45. Identifies policy development cycle stages and
    • 46. Defines the application of policy instruments (i.e. university-wide and/or section-specific)
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 47. University Policy Development Cycle (Models Identified)
    Table 4: University Policy Development Cycle Stages: Models 1, 2 and 3
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 48. Using Benchmarking to Enhance the UTAS Policy Cycle(refer: Policy Development and Review Policy)Cautionary note … Cycle not necessarily sequential; intentionally iterative
    University Policy Development Cycle
    • Identification of Policy Requirements
    • 49. Nomination of Policy Owner and Policy Delegate
    • 50. Drafting
    • 51. Benchmarking
    • 52. Consultation
    • 53. Revision
    • 54. Endorsement
    • 55. Quality Control
    • 56. Approval
    • 57. Promulgation
    • 58. Implementation
    • 59. Implementation and Compliance Monitoring
    • 60. Implementation and Compliance Evaluation
    • 61. Review and
    • 62. Records Management
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 63. Policy Websites
    ‘Good practice’ skeleton University Policy Website:
     
    • University Policy Framework
    • 64. University Policy on Policy
    • 65. University Policy Repository
    • 66. Policy Toolkit
    • 67. Policy News
    • 68. Records Management
    • 69. Legislation
    • 70. Governance
    • 71. Delegations of Authority
    • 72. Codes of Conduct and Charters
    • 73. University Plans and University Committees
    • 74. Agreements
    • 75. Contact
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 76. Using Benchmarking to Enhance the UTAS Policy Website ( http://www.utas.edu.au/governance-legal/policy)
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 77. Policy Repositories
    • University Policy Repositories provide the authoritative source for University-wide
    policy documentation
    • May be complemented by local collections of policy documentation (including local policy)
    • 78. Presentation under policy themes or organisational lines also useful
    • 79. UTAS Policy Repository reflects the lack of progress in developing a comprehensive
    suite of Teaching and Learning, research and administrative policy in accordance with the Policy on Policy
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 80. University Policy Repository
    • Over time, the UTAS Policy Repository will provide the authoritative source of UTAS Policy, Procedures and Guidelines
    • 81. Changes were made to capture all ‘approved’ policies (approved list) and a large number of ‘old’ policy documents (both are in the ‘alpha list’)
    • 82. Information was included regarding the ‘status’ of various policy projects (i.e. ‘approved’, or ‘old’ / needing to be transferred)
    • 83. Policy contacts details were added
    Using Benchmarking to Enhance the UTAS Policy Repository (http://www.utas.edu.au/governance-legal/policy)
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 84. Using Benchmarking to Enhance the UTAS Policy Toolkit(http://www.utas.edu.au/governance-legal/policy)
    Policy Toolkits – Good Features …
    • Policy Templates
    • 85. Policy Submission Coversheets
    • 86. Policy Review Submission Coversheets (i.e. no/minor/major amendment)
    • 87. Policy Dictionary or Glossary of Policy Terms and Acronyms
    • 88. Policy Implementation Feedback or Issues Log
    • 89. Information Sessions, Policy Workshops and capacity building
    • 90. Policy Evaluation and Review Guide
    • 91. Frequently Asked Questions
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 92. Benchmarking Four Discrete Policies
    • Plagiarism Policy
    • 93. Environment Policy
    • 94. Leave Without Pay Policy
    • 95. Credit Policy
    BenchmarkingMethod
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 96. Learning from Specific Policies – Plagiarism Policy
    Model Academic Integrity (Plagiarism) Policy
    • Educative, non-legalistic terms
    • 97. Define plagiarism
    • 98. Staff and student responsibilities
    • 99. Procedures for educating students
    • 100. Procedures for investigating and assessing
    • 101. Differential responses
    • 102. Refer student appeal/grievance procedures
    • 103. Central register or database
    • 104. Position regarding detection software
    UTAS – Develop Academic Integrity
    (Plagiarism) Policy
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 105. Learning from Specific Policies – Environment Policy
    Model Environment Policy
    • Manage University’s natural environment
    • 106. Manage University’s developed environment
    • 107. Manage University’s use of natural resources
    • 108. Environmental focus for T&L and research
    • 109. Environmental emergency procedures
    • 110. Interdependence of physical and cultural environments
    • 111. NZ – Treaty of Waitangi provisions
    UTAS – Review Policy and GLP
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 112. Learning from Specific Policies – Leave Without Pay Policy
    Model Leave Without Pay Policy
    UTAS – Review Policy
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 122. Learning from Specific Policies – Credit Policy
    Themes identified
    • Qualification portability and articulation
    (VET ↔ HE)
    • Inter-sectoral linkages and collaboration
    • 123. Recognition of various modes of formal and informal learning
    • 124. Efficiencies in education and training system
    • 125. Role of credit and RPL in integrity
    • 126. Capacity for RPL as equity mechanism
    UTAS – Develop Credit Transfer / RPL Policy
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 127. ‘Skeleton Benchmarking Method’(Benchmarking stage of University Policy Development Cycle)
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 128. Benchmarked Good Practice
    • Clear definitions
    • 129. Clear range and application of instruments
    • 130. Clear approval authorities
    • 131. Articulate policy development process
    • 132. Genuine consultation
    • 133. Cultural change
    • 134. Commitment to improved University policy process
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010
  • 135. Lessons from Dror (1971)
    What is needed is “… an intense moral commitment to try to improve policymaking. … At the very best, changes in policymaking will be slow, inconsistent and sporadic. Even slow and minor changes in the quality of policymaking are a tremendous achievement … but the rate of progress – however significant – will hardly satisfy the hopes and ambitions of policy scientists. … they are going to be very frustrated persons, with all the accompanying dangers of getting cynical and apathetic, on one hand, or of despairing of their role as contributors of policy sciences and policymaking … on the other hand. A stoic view of reality combined with missionary devotion to the improvement of policymaking is required … in order to achieve long-range and insistent impact on policymaking” (p.75).
    Thank you.
    Benchmarking to Identify Good Practice University Policy Frameworks
    Brigid Freeman, Tertiary Education Management Conference 2010