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+ Benchmarking to Identify Good Practice University Policy Frameworks Brigid Freeman, University of Tasmania Tertiary Education Management Conference 2010 Crown Convention Centre, Crown Promenade Hotel 3 6 October 2010

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Page 1: Benchmarking to Identify Good Practice University Policy ... · incremental bits without reforming the ... Model 2 Some Most stages from Model 1, and one or ... Role of credit and

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Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, University of Tasmania  

Tertiary Education Management Conference 2010Crown Convention Centre, Crown Promenade Hotel 3 ‐ 6 October 2010

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University Policy Benchmarking Project Examine the state of policy and policy development in Australasian universities 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

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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Research Sample

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 universitiesMetropolitan and regional universities and One private university

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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Research Focus 

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)

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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+“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). 

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What is Policy?Learning from public policy literature … 

“Statement of government intent” (Althaus, Bridman and Davis, 2007)

“A promise underlies public policy: If the actions we recommend are undertaken, good … consequences … will actually come about” (Wildavsky, 2007) 

“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, 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 FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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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”

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 for good policy” (1998)

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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Contextualising University Policy Development

Commonwealth Government higher education public policy Dawkins ‘Unified National System’ (1988) Increased reporting and accountability requirements Outcomes from Bradley Review   Ongoing Commonwealth Government policy reform Establishment of Tertiary Education Quality and Standards Agency (TEQSA) Academic standards debates

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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+University Policy Frameworks

Define university policy Establish the range of policy instruments (e.g. Policy, Procedure, Guidelines)  Specify approval authorities for all policy instruments (e.g. Council, VC, Senate) Identify University Policy Development Cycle stages (or other policy process) and Define the application of policy instruments (University‐wide or section‐specific/local) 

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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+ Universities refer to ‘Policy’ broadly and use a variety of terms …

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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Hierarchy of Instruments, Approval Authorities and Application

Table 2: Hierarchy of Instruments, Approval Authorities and Application

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Understanding the UTAS Hierarchy Table 3: University of Tasmania Hierarchy of Instruments, 

Approval Authorities and Application

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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

Establishes the range of policy instruments 

Specifies approval authorities for all policy instruments

Identifies policy development cycle stages and

Defines the application of policy instruments (i.e. university‐wide and/or section‐specific)

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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University Policy Development Cycle (Models Identified)

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

Model 1 Majority  Most of: drafting, consultation, approval, promulgation and review 

Model 2 Some Most stages from Model 1, and one or more of: identification of policy requirements, nomination of responsible officers, endorsement, implementation, records management

Model 3  Few  Most stages from Models 1 and 2, and one or more of: benchmarking, revision, quality control, monitoring, evaluation

Table 4: University Policy Development Cycle Stages: Models 1, 2 and 3

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+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  Nomination of Policy Owner and Policy Delegate   Drafting Benchmarking  Consultation  Revision  Endorsement  Quality Control  Approval  Promulgation  Implementation   Implementation and Compliance Monitoring Implementation and Compliance Evaluation   Review and Records Management

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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Policy Websites‘Good practice’ skeleton University Policy Website: 

University Policy Framework   University Policy on Policy  University Policy Repository  Policy Toolkit Policy News Records Management  Legislation  Governance  Delegations of Authority Codes of Conduct and Charters University Plans and University Committees  Agreements  Contact 

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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+Using Benchmarking to Enhance the UTAS Policy Website ( http://www.utas.edu.au/governance‐legal/policy)

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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Policy Repositories 

University Policy Repositories provide the authoritative source for University‐wide policy documentationMay be complemented by local collections of policy documentation (including local policy)  Presentation under policy themes or organisational lines also useful 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 FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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+Using Benchmarking to Enhance the UTAS Policy Repository (http://www.utas.edu.au/governance‐legal/policy)

University Policy Repository Over time, the UTAS Policy 

Repository will provide the authoritative source of UTAS Policy, Procedures and Guidelines 

Changes were made to capture all ‘approved’ policies (approved list) and a large number of ‘old’ policy documents (both are in the ‘alpha list’)

Information was included regarding the ‘status’ of various policy projects (i.e. ‘approved’, or ‘old’ / needing to be transferred)

Policy contacts details were addedBenchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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+Using Benchmarking to Enhance the UTAS Policy Toolkit(http://www.utas.edu.au/governance‐legal/policy)

Policy Toolkits – Good Features …  

Policy Templates Policy Submission Coversheets Policy Review Submission Coversheets (i.e. no/minor/major amendment)

Policy Dictionary or Glossary of Policy Terms and Acronyms

Policy Implementation Feedback or Issues Log

Information Sessions, Policy Workshops and capacity building 

Policy Evaluation and Review Guide

Frequently Asked Questions

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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Benchmarking Four Discrete Policies  Plagiarism Policy Environment Policy Leave Without Pay Policy Credit Policy 

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

Identify key policy 

provisions

Identify key policy 

provisions

Bundle key policy 

provisions

Bundle key policy 

provisions

Prepare policy skeleton based on 

benchmarking

Prepare policy skeleton based on 

benchmarking

Benchmarking Method 

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Learning from Specific Policies –Plagiarism Policy

Model Academic Integrity (Plagiarism) Policy  Educative, non‐legalistic terms Define plagiarism Staff and student responsibilities Procedures for educating students Procedures for investigating and assessing Differential responses  Refer student appeal/grievance procedures Central register or database Position regarding detection softwareUTAS – Develop Academic Integrity (Plagiarism) Policy Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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Learning from Specific Policies –Environment Policy

Model Environment PolicyManage University’s natural environmentManage University’s developed environmentManage University’s use of natural resources Environmental focus for T&L and research Environmental emergency procedures Interdependence of physical and cultural environments NZ – Treaty of Waitangi provisions

UTAS – Review Policy and GLP 

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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Learning from Specific Policies –Leave Without Pay Policy

Model Leave Without Pay Policy Compliance Purposes Eligibility and assessment criteriaMinimum / maximum time limits Approval authority Impact on other entitlements Superannuation arrangements Responsibilities Application procedure Advice

UTAS – Review Policy

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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Learning from Specific Policies –Credit Policy

Themes identified

Qualification portability and articulation (VET ↔ HE) Inter‐sectoral linkages and collaboration Recognition of various modes of formal and informal learning Efficiencies in education and training system Role of credit and RPL in integrity Capacity for RPL as equity mechanism

UTAS – Develop Credit Transfer / RPL Policy 

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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+‘Skeleton Benchmarking Method’(Benchmarking stage of University Policy Development Cycle)

1. Identify key policy provisions

1. Identify key policy provisions

2. Bundle key policy provisions

2. Bundle key policy provisions

3. Prepare policy skeleton based on benchmarking

3. Prepare policy skeleton based on benchmarking

4. Examine current policy and add home university policy 

provisions

4. Examine current policy and add home university policy 

provisions

5. Identify and add any ‘gaps’

5. Identify and add any ‘gaps’

6. Delete unwanted policy provisions

6. Delete unwanted policy provisions

7. Finalise policy skeleton based on benchmarking

7. Finalise policy skeleton based on benchmarking

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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Benchmarked Good Practice 

Clear definitions Clear range and application of instruments Clear approval authorities Articulate policy development process Genuine consultation Cultural change Commitment to improved University policy process

Benchmarking to Identify Good Practice University Policy FrameworksBrigid Freeman, Tertiary Education Management Conference 2010

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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 FrameworksBrigid Freeman, Tertiary Education Management Conference 2010