1. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Self-assessment at Sheffield Hallam University CAROL STEED Assistant Director Centre for Integral Excellence Sheffield Hallam University, UK Education Community of Practice 23 & 24 October 2003 Eurocontrol, Brussels

2. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Once upon a time….. Started life as a technical college Became a polytechnic in 1969 (Sheffield Polytechnic renamed in 1976 as Sheffield City Polytechnic) Became a ‘new’ University in 1992 (Sheffield Hallam University) Today: –28,249 students –3,266 staff 2 main campuses: –City Centre (handy for the shops and cafés!) –Collegiate Crescent - 1½ miles from the City Centre (leafy site with trees and squirrels!) –3 rd campus 3 miles away (planned for closure)

3. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Our journey towards Excellence 1997 –Diana Green’s white paper 1999 – Mike appointed (Director of Quality / Director of Organisational Excellence) University wide assessment undertaken 1999 –First assessor training course held and first self- assessment undertaken 2000 – GMP143 began (CS appointed to OE) 2000 – More self-assessments across schools and departments 2001 – First Mirror of Truth conference, two more followed 2001 – Organisational Development Programme began – process and change management

4. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Our journey (cont.) 2002 – Continued self-assessments and started in new areas, continued internal training and development activities 2002 – Organisational Development Programme delivering range of improvement projects, including high level process definitions 2002 – Methodology developed to include Matrix approach. 2002 – Self-assessments continued, further development and refinement of methodology, tools and techniques for self- assessment (6 academic schools, 5 central departments, 3 research centres) 2003 – Work continues on embedding excellence concepts (future visioning and shaping) rather than focusing on self- assessment 2003 – Centre for Integral Excellence launched

5. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk DATA PROCESS RIGOUR LOW HIGH QUESTIONNAIRE MATRIX WORKSHOP Based on Opinion Supported by Evidence PROFORMA AWARD ENTRY Self-assessment options Copyright EFQM

6. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Self-assessment method data gathering Self-assessment team using pro-forma Business Driver Questionnaire Customers & suppliers

7. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Pro-forma approach

8. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Questionnaire approach Questionnaire used to establish an initial University wide assessment in 1999 Pro-forma supported by BQC Performance Management Business Driver questionnaire at business unit levels to gain staff involvement and balance management and staff opinion

9. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Matrix approach Series of statements incorporating RADAR principles Used in 3 institutions across the UK to undertake institution wide assessments during 2002 Used in a number of institutions across the UK to undertake unit based self assessments 2002/03

10. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Impact for the University

11. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Impact levels Regardless of where self-assessments are taking place, the whole Excellence approach is having an impact at 3 levels: –Strategic (institution wide) –Strategic (business unit - school, department etc.) –Operational (team based improvement projects within business units)

12. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Strategic Impacts - University wide Clear recognition of the need for process identification and management – much work undertaken in this area, including the development of University wide process map Leadership and management development issues are being surfaced and addressed through a development programme Internal communication across all boundaries is seen as key – Director of Communication now in post Recognition of the need for better partnership working Balanced set of measures and targets are needed and being incorporated as part of planning process Better feedback and listening to ‘the customer’ – action plans expected from staff and student survey results Provides a view of University from a ‘management’ perspective

13. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Strategic Impacts - Business Unit As for University wide in many cases in terms of recognising the significance of processes, management development, partnership working, KPIs and feedback etc. Surfacing issues of efficiency and effectiveness in the way things are done and helping them to be looked at differently – can change and life is still OK Greater focus on managing and planning the business at a strategic level, rather than just operational and academic management Change in mindset of both administrators and academics - given a new united voice and common language

14. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Operational Impacts - Team based Many operational projects are underway Examples include: –introduction of complete process management infrastructure –Process improvements e.g. timetabling, enrolment, admissions etc. –Changes to team structures based on recognition of processes and efficiencies that can be achieved –change to the way customer feedback is gained – ‘account managers’ allocated –improved business plans now being submitted and accepted –data from staff and student surveys integrated more usefully in future planning activities –development of more cross-team working projects –greater involvement and engagement of staff in process improvement activities –training and development provided in new skill areas for staff –partnership working between parts of institutions who may not previously have engaged together

15. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Initial conclusions The use of the EFQM Excellence Model, with some adaptation and interpretation, is working in the HE sector The learning can be accessed at any level, and through any part of the model (processes, results, leadership etc.) Self-assessment is a useful initial tool to aid the identification of key action areas, which can be by-passed once enough learning has been gained, but needs to remain as part of the monitoring framework as part of the planning process At an organisation wide level, it is not a quick fix solution - but a catalyst for driving organisational change At a business unit project level, it makes real improvements fast - but long run this will be limited unless it is part of wider level improvements

16. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Initial conclusions (cont.) Other management tools, models and auditing frameworks can be used synergistically with the Model The key to linking all these together is having a clear approach to process identification and management, supported by values based leadership, a partnership approach, clear communication channels, and a balanced set of KPI’s. A comprehensive and integrated planning process, which considers both ‘quality’ and ‘business’ management is needed to monitor progress and ensure all aspects are reviewed and improved on an on-going basis.

17. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk The Excellence Journey Excellence Maturity of organisation Health check Self-Assessment Action plans Planning tool Business Plans & Self-Assessment Strategic tool Organisational Development Process Management Corporate Scorecard Goal Deployment Personal Development Customer and Supplier Relationship Management Partnership & Collaboration Learning Organisation Integration & alignment

18. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Some examples Case studies from Sheffield Hallam University

19. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Academic School Approx. 150 staff 2000 undergraduate and 600 postgraduate students No problems with student recruitment - good student interest year on year Sound financial position Committed to Investors in People Used pro-forma workbook based approach Team of 9 people undertook assessment activity

20. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Some of the learning gained Recognised themselves as “a business” as well as an area of academic focus Recognition of the need to have a more strategic focus on the way the school is managed Senior staff need to communicate more effectively and engage with staff at every level Have to understand and map processes more effectively and more strategically Better management skills needed by all managers (inc. academic managers) Need a clearer vision, mission, strategies and set of values that are owned by everyone Need to identify exactly what should be measured, what for and how Need to assess and review approaches more effectively

21. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Research Institute Approx. 50 staff 35 - 40 PhD research students Difficult financial position, with increasing demands to increase income from external sources No previous experience of using ‘management’ methodologies Used workshop based approach - 2 half days Team of 10 people undertook assessment activity

22. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Some of the learning gained Need a better shared vision, mission and values Need a clearer identification of customer groups Better fix on core processes is essential - including management processes Development and understanding of need for acceptable and consistent leadership styles Realised need to ask the staff more frequently what they think Communication is key - but two way and using a range of media and messages - for good news and bad Need to ensure that change management is embedded as part of an on-going process Better assessment and review of approaches in place, and feeding back the learning

23. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Central Department A Approx. 90 staff Pressures to reduce costs and become more efficient and effective in all activities undertaken Used pro-forma based approach, with questionnaires and mentoring workshops 19 people undertook assessment activity as part of Criterion groups Engaged all staff in an appropriate way to gather information

24. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Learning gained Need to develop a clear and systematic approach to many systems and processes - strong move toward process identification and process working. Development of a process matrix, mapping current processes, the links and the people Need to build better feedback and self-review mechanisms to inform business planning and quality audits - link to processes Customer information was not held in one place - needed pulling together to ensure it is accurate, current and used to inform relevant operational and strategic decisions 360º feedback is needed as part of a leadership development programme to ensure that all ‘leaders’ are properly equipped with skills and information about how they work Development of clearer HR policy at local level to encourage staff development and ‘freedom’ Need to understand and map key partnerships within and outside the University, and consider how they are managed

25. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Central Department B Approx. 600+ staff Good financial position, but with increasing demands to reduce overall cost to the University Achieved Investors in People in 1998 And re-accredited in 2001 Used pro-forma based approach, and questionnaires Team of 10 people undertook initial assessment activity, with 6 - 8 in subsequent years

26. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk Learning gained Thought they were very customer focused - realised they were not Found that they were doing a lot of good things, but not necessarily in a consistent or co-ordinated way Recognition of the need to link policies and strategies with key performance indicators Clearer management information and exchange system required, to ensure data collected is found and used appropriately Identifying and managing processes is key to how future working practices are defined Must focus on customers, identify them accurately and manage the relationship with them Need to identify what needs to be measured, why and how Need to link results to approaches - making the connections

27. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk So what? Surely they knew this already?

28. © Centre for Integral Excellence Sheffield Hallam University http://integralexcellence.shu.ac.uk http://excellence.shu.ac.uk What makes the difference Gathers together existing knowledge / issues and enforces it with a strong evidence base Helps make the connections between issues to find the root cause, not just the symptom Engages people in thinking about what they doing in a coordinated way Forces actions to be taken and monitored, encouraging this through the business planning process Encouraged ‘small’ improvements (quick wins) as well as longer term projects Staff feel that this is a vehicle for getting it right this time - in a holistic way