Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, University of Tasmania  <br />Tertiary ...
University Policy Benchmarking Project<br /><ul><li>Examine the state of policy and policy development in Australasian uni...
Identify good practice exemplars and features
Identify quality resources supporting the University Policy Development Cycle
Establish models for university policy management
Apply the findings of the research to contribute to the University of Tasmania Policy on Policy review</li></ul>Benchmarki...
Research Sample<br /><ul><li>13 universities spanning all Australian States and Territories (except Tasmania)
3 universities from New Zealand
Both ‘sandstone’ and ‘red-brick’ universities
Research-intensive and other universities
Single and dual-sector universities
Metropolitan and regional universities and
One private university</li></ul>Benchmarking to Identify Good Practice University Policy Frameworks<br />Brigid Freeman, T...
Research Focus <br /><ul><li>University Policy Frameworks and Policy on Policy statements
University Policy Repositories
University Policy Websites
Policy Toolkits
Core sample of specific policy statements (Plagiarism, Environmental Sustainability, Leave Without Pay, Credit)</li></ul>B...
“Policy is rather like an elephant – you recognise it when you see it but cannot easily define it” <br />(Cunningham, 1963...
What is Policy?Learning from public policy literature … <br /><ul><li>“Statement of government intent” (Althaus, Bridman a...
“A promise underlies public policy: If the actions we recommend are undertaken, good … consequences … will actually come a...
“Regulation (the stick), economic means (the carrot) and information (the sermon)” (Verdung, 2007)
Guba (1984) “an assertion of intents or goals; a governing body’s ‘standing decisions’ by which it regulates, controls, pr...
Policy Development Process  <br /><ul><li>Dror (1971) advises that “… very little can be done to improve policies by more ...
Early policy process theoretical framework development (Lasswell, 1956; Brewer, 1974)
Bridgman and Davis (1998) developed the Australian Policy Cycle heuristic, stating that “Good process is the foundation fo...
Contextualising University Policy Development<br /><ul><li>Commonwealth Government higher education public policy
Dawkins ‘Unified National System’ (1988)
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Temc 2010 Presentation: Benchmarking to

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