1. 1 Track 1: Quality culture: looking beyond the current models CHALLENGE TO APPLY QUALITY ASSURANCE AS A STRATEGIC TOOL FOR HIGHER EDUCATION INSTITUTIONS Dr Louis van der Westhuizen Planning Unit: Quality Assurance University of the Free State South Africa

2. 2 Overview 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 planning –Quality assurance –Institutional improvement plan

3. 3 Introduction Academic quality assessment traditionally assumed two contradictory objectives:Academic quality assessment traditionally assumed two contradictory objectives: –accountability –quality improvement Lee Harvey: “External quality assurance procedures are a necessary precursor to build a system of internal quality assurance within HEI.”Lee Harvey: “External quality assurance procedures are a necessary precursor to build a system of internal quality assurance within HEI.” External procedures should be flexible enough to inform internal procedures and culturesExternal procedures should be flexible enough to inform internal procedures and cultures QA focus shifted to an operational relationship between:QA focus shifted to an operational relationship between: –internal process –external process

4. 4 Challenge Challenges for HEIs is to connect:Challenges for HEIs is to connect: –the longer term goals of the institution (contained in the strategic planning) –annual outcomes and targets (contained in the quality reports and operational planning) –to culminate in the achievement of longer term goals Traditionally:Traditionally: –purpose of the strategic planning was to provide the framework for defining the institution’s mission, vision and goals –while the continuous quality improvement provides the principles and tools for guiding the planning and improvement processes

5. 5 Challenge … QA should be more supportive and not punitiveQA should be more supportive and not punitive Strategic planning should reflect ways of change management, controlling resources and improving qualityStrategic planning should reflect ways of change management, controlling resources and improving quality

6. 6 Enhancement-focused QA Taking deliberate steps to bring about continuous improvement in the effectiveness of the learning experienceTaking deliberate steps to bring about continuous improvement in the effectiveness of the learning experience –uses the external requirement (especially the outcome of the process) as a trigger for internal capability development in the area of quality management –facilitates a more integrated approach to quality management –an articulation between quality processes and strategic planning processes that is a more effective and imaginative driver for change –making quality processes less retrospective and more evaluative with greater focus on forward planning

7. 7 Enhancement-focused QA Effective strategic planning is part of the outcomes of the internal and external quality assurance activities, namely:Effective strategic planning is part of the outcomes of the internal and external quality assurance activities, namely: –assessment of the internal strengths and weaknesses –as well as external opportunities and threats –identification of values and goals –identification of strategies and performance measures –the development, implementation and periodic review of action plans A good quality management system should stress its internal development process rather to be outward-orientatedA good quality management system should stress its internal development process rather to be outward-orientated Quality process needs to emphasise formative feedback loopsQuality process needs to emphasise formative feedback loops

8. 8 Continuous system Model for integrated planning and evaluation: Middleground between … ‘Top-down’(strategicplanning) ‘Bottom-up’ (self study) Planning Action Evaluation Improvement Quality improvement

9. 9 Continuous system Model for integrated planning and evaluation: ‘Top-down’(strategicplanning) ‘Bottom-up’ (self study) Implement Plan Review INTERACTIVE CYCLE Planning Action Evaluation Improvement Quality improvement

10. 10 Continuous system Internal reviews should move beyond QA to support enhancementInternal reviews should move beyond QA to support enhancement Should play an increasing role in institutional management of enhancementShould play an increasing role in institutional management of enhancement –institutional enhancement strategies –faculty/school/college plans –dissemination tool of good practices Planning Action Evaluation Improvement Quality improvement

11. 11 Methodology for institutional enhancement-focused QA Have to tie institutional QA activities and results with institutional planning processHave to tie institutional QA activities and results with institutional planning process Emphasis on the effectiveness of the QA procedures in the institutional decision- making and strategic planningEmphasis on the effectiveness of the QA procedures in the institutional decision- making and strategic planning

12. 12 Desirable process The commitment, development and implementation of the enhancement-led approach by the top managementThe commitment, development and implementation of the enhancement-led approach by the top management A robust institutional quality assurance system (policies, structures, mechanisms and processes) that includes a process to align the internal strategic planning processes with institutional reflection on enhancement or improvement activitiesA robust institutional quality assurance system (policies, structures, mechanisms and processes) that includes a process to align the internal strategic planning processes with institutional reflection on enhancement or improvement activities A widespread institutional committee or similar structure to facilitate better strategic linking to strengthen the strategic drive for enhancement (including effective communication to support development and enhancement)A widespread institutional committee or similar structure to facilitate better strategic linking to strengthen the strategic drive for enhancement (including effective communication to support development and enhancement) A process for the operation of the institution’s enhancement or improvement strategies (both in terms of ‘top-down’ and ‘bottom-up’ processes)A process for the operation of the institution’s enhancement or improvement strategies (both in terms of ‘top-down’ and ‘bottom-up’ processes)

13. 13 Desirable process … Faculty or school-based structures for the implementation of the quality enhancement strategies and the strategic enhancement goalsFaculty or school-based structures for the implementation of the quality enhancement strategies and the strategic enhancement goals Linkage between governance, QA and quality enhancementLinkage between governance, QA and quality enhancement Approach to continuous quality activities that is forward lookingApproach to continuous quality activities that is forward looking

14. 14 Traditional Strategic Planning & QA Processes STRATEGIC PLANNING QUALITY ASSURANCE Institutional identification and planning and planning of Strategic Priorities of Strategic Priorities Institutional QA System with actions with actions Ad hoc Ad hoc interaction interaction

15. 15 University of the Free State Strategic Planning Process STRATEGIC PLANNING QUALITY ASSURANCE Institutional identification of Strategic Priorities of Strategic Priorities Institutional identification of Strategic Projects Institutional Review followed by the drafting of Review Portfolio Continuous QA Actions Institutional QA System Institutional Improvement Plan PlanningforStrategicProject Audit Report HEQC Institutional Audit Alignment and prioritising of improvements by Executive Management improvements by Executive Management Institutional Improvement Plan presented to HEQC TransformationPlan Improvements from Audit from AuditReport Improvements from Review from ReviewPortfolio

16. 16 University of the Free State Strategic Planning Process STRATEGIC PLANNING QUALITY ASSURANCE Institutional identification of Strategic Priorities of Strategic Priorities Institutional identification of Strategic Projects Institutional Review followed by the drafting of Review Portfolio Continuous QA Actions Institutional QA System Institutional Improvement Plan PlanningforStrategicProject Audit Report HEQC Institutional Audit Alignment and prioritising of improvements by Executive Management improvements by Executive Management Institutional Improvement Plan presented to HEQC TransformationPlan Improvements from Audit from AuditReport Improvements from Review from ReviewPortfolio

17. 17 University of the Free State Strategic Planning Process STRATEGIC PLANNING QUALITY ASSURANCE Institutional identification of Strategic Priorities of Strategic Priorities Institutional identification of Strategic Projects Institutional Review followed by the drafting of Review Portfolio Continuous QA Actions Institutional QA System Institutional Improvement Plan PlanningforStrategicProject Audit Report HEQC Institutional Audit Alignment and prioritising of improvements by Executive Management improvements by Executive Management Institutional Improvement Plan presented to HEQC TransformationPlan Improvements from Audit from AuditReport Improvements from Review from ReviewPortfolio Process commences with the Executive Management’s annual analysis of internal/external environment and identification of strategic priorities

18. 18 University of the Free State Strategic Planning Process STRATEGIC PLANNING QUALITY ASSURANCE Institutional identification of Strategic Priorities of Strategic Priorities Institutional identification of Strategic Projects Institutional Review followed by the drafting of Review Portfolio Continuous QA Actions Institutional QA System Institutional Improvement Plan PlanningforStrategicProject Audit Report HEQC Institutional Audit Alignment and prioritising of improvements by Executive Management improvements by Executive Management Institutional Improvement Plan presented to HEQC TransformationPlan Improvements from Audit from AuditReport Improvements from Review from ReviewPortfolio Institutional review and auditing is of such an extreme strategic importance that it is identified as a strategic project of the institution

19. 19 University of the Free State Strategic Planning Process STRATEGIC PLANNING QUALITY ASSURANCE Institutional identification of Strategic Priorities of Strategic Priorities Institutional identification of Strategic Projects Institutional Review followed by the drafting of Review Portfolio Continuous QA Actions Institutional QA System Institutional Improvement Plan PlanningforStrategicProject Audit Report HEQC Institutional Audit Alignment and prioritising of improvements by Executive Management improvements by Executive Management Institutional Improvement Plan presented to HEQC TransformationPlan Improvements from Audit from AuditReport Improvements from Review from ReviewPortfolio An important opportunity to take stock of quality management and assurance at the institution in a systematic, reflective and self- evaluative manner in order that the quest for continuous quality improvement may be bolstered.

20. 20 University of the Free State Strategic Planning Process STRATEGIC PLANNING QUALITY ASSURANCE Institutional identification of Strategic Priorities of Strategic Priorities Institutional identification of Strategic Projects Institutional Review followed by the drafting of Review Portfolio Continuous QA Actions Institutional QA System Institutional Improvement Plan PlanningforStrategicProject Audit Report HEQC Institutional Audit Alignment and prioritising of improvements by Executive Management improvements by Executive Management Institutional Improvement Plan presented to HEQC TransformationPlan Improvements from Audit from AuditReport Improvements from Review from ReviewPortfolio Continuous QA actions driven by the Institutional QA system

21. 21 University of the Free State Strategic Planning Process STRATEGIC PLANNING QUALITY ASSURANCE Institutional identification of Strategic Priorities of Strategic Priorities Institutional identification of Strategic Projects Institutional Review followed by the drafting of Review Portfolio Continuous QA Actions Institutional QA System Institutional Improvement Plan PlanningforStrategicProject Audit Report HEQC Institutional Audit Alignment and prioritising of improvements by Executive Management improvements by Executive Management Institutional Improvement Plan presented to HEQC TransformationPlan Improvements from Audit from AuditReport Improvements from Review from ReviewPortfolio The Audit Report issued after the external panel’s institutional audit visit represents the panel’s findings and identifies strengths and weaknesses as well as exemplary and innovative features in the quality management arrangements of the institution

22. 22 University of the Free State Strategic Planning Process STRATEGIC PLANNING QUALITY ASSURANCE Institutional identification of Strategic Priorities of Strategic Priorities Institutional identification of Strategic Projects Institutional Review followed by the drafting of Review Portfolio Continuous QA Actions Institutional QA System Institutional Improvement Plan PlanningforStrategicProject Audit Report HEQC Institutional Audit Alignment and prioritising of improvements by Executive Management improvements by Executive Management Institutional Improvement Plan presented to HEQC TransformationPlan Improvements from Audit from AuditReport Improvements from Review from ReviewPortfolio Alignment of the three sources of improvement planning for the drafting of the Institutional Improvement Plan

23. 23 University of the Free State Strategic Planning Process STRATEGIC PLANNING QUALITY ASSURANCE Institutional identification of Strategic Priorities of Strategic Priorities Institutional identification of Strategic Projects Institutional Review followed by the drafting of Review Portfolio Continuous QA Actions Institutional QA System Institutional Improvement Plan PlanningforStrategicProject Audit Report HEQC Institutional Audit Alignment and prioritising of improvements by Executive Management improvements by Executive Management Institutional Improvement Plan presented to HEQC TransformationPlan Improvements from Audit from AuditReport Improvements from Review from ReviewPortfolio Prioritising of proposed improvements by the Executive Management

24. 24 University of the Free State Strategic Planning Process STRATEGIC PLANNING QUALITY ASSURANCE Institutional identification of Strategic Priorities of Strategic Priorities Institutional identification of Strategic Projects Institutional Review followed by the drafting of Review Portfolio Continuous QA Actions Institutional QA System Institutional Improvement Plan PlanningforStrategicProject Audit Report HEQC Institutional Audit Alignment and prioritising of improvements by Executive Management improvements by Executive Management Institutional Improvement Plan presented to HEQC TransformationPlan Improvements from Audit from AuditReport Improvements from Review from ReviewPortfolio Institutional Improvement Plan reaffirming the strategic priorities; with formulated challenges [goals]; formulated strategies [ways to address challenges]; allocated strategies to structures and/or functionaries for implementation; set timelines [for implementation, evaluation/monitoring/review, and improvement]; and budget allocations

25. 25 University of the Free State Strategic Planning Process STRATEGIC PLANNING QUALITY ASSURANCE Institutional identification of Strategic Priorities of Strategic Priorities Institutional identification of Strategic Projects Institutional Review followed by the drafting of Review Portfolio Continuous QA Actions Institutional QA System Institutional Improvement Plan PlanningforStrategicProject Audit Report HEQC Institutional Audit Alignment and prioritising of improvements by Executive Management improvements by Executive Management Institutional Improvement Plan presented to HEQC TransformationPlan Improvements from Audit from AuditReport Improvements from Review from ReviewPortfolio

26. 26 University of the Free State Strategic Planning Process STRATEGIC PLANNING QUALITY ASSURANCE Institutional identification of Strategic Priorities of Strategic Priorities Institutional identification of Strategic Projects Institutional Review followed by the drafting of Review Portfolio Continuous QA Actions Institutional QA System Institutional Improvement Plan PlanningforStrategicProject Audit Report HEQC Institutional Audit Alignment and prioritising of improvements by Executive Management improvements by Executive Management Institutional Improvement Plan presented to HEQC TransformationPlan Improvements from Audit from AuditReport Improvements from Review from ReviewPortfolio

27. 27

28. 28 1.ISSUE CLUSTER 1: INSTITUTIONAL MISSION:TRANSFORMATION (Equity, redress and institutional culture) 1.1STAFF EQUITY: HEQC RECOMMENDATION 1 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 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.) 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 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 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 attention: “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 and Equity, p. 238.) RELATED UFS TRANSFORMATION PLAN PROJECTS (SECTION B) APPLICABLE TO THESE ISSUES: Project 1.3.1Operationalising sufficient staff diversity Project 1.3.2Finalisation of revised EE Project 2.5Employment practices (See also Appendix 2 for Employment Equity Strategic Plan: Three Year Rolling Plan.) NOTE: 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 environment to identify employment barriers that adversely affect people from designated groups and to remove discriminatory contents.

29. 29 Conclusion The holistic way of planning enhances the quality of the core functions of the institutionThe holistic way of planning enhances the quality of the core functions of the institution improves the overall student experienceimproves the overall student experience can even result in the modification of the quality assurance systemcan even result in the modification of the quality assurance system can provide greater synergy with institutional strategies and evidence of enhancement that is beginning to penetrate to the operational levelcan provide greater synergy with institutional strategies and evidence of enhancement that is beginning to penetrate to the operational level quality assurance processes can articulate more effectively with the wider institutional strategies and processesquality assurance processes can articulate more effectively with the wider institutional strategies and processes support the strategic management of continuing improvement and accompanying quality assurance mechanisms.support the strategic management of continuing improvement and accompanying quality assurance mechanisms.

30. 30 Thank you vdwestlj.rd@ufs.ac.za Strategically integrated outcomes measurement efforts can give institutions a competitive advantage over organisations that only use outcomes tactically.