Awards

2000 Quality & Productivity Awards

Sponsored by Royal Bank and Ricoh Canada

Royal Bank, Ricoh Canada and Canadian Association of University Business Officers are pleased to announce the following winners of the thirteen annual CAUBO Quality & Productivity Awards Program:

The selection committee was very pleased by the quality and the range of areas covered by the 26 submissions received for the 2000 edition of the program. In light of the priority placed by CAUBO on workplace issues faced by university administrators, the call for nominations indicated a specific interest in receiving human resources initiatives. In this context, it is fitting that first prize was awarded to The University of Calgary for the design, development and implementation of competency-based human resources processes for support, professional and management staff.

The emphasis observed in recent years on the efficiency, efficacy and quality of services to the entire university community continues, with projects coming from such diverse areas as human resources, research administration and telecommunications. Not surprisingly, technology and web-based processes play a big role in the gains achieved in many of this year's submissions.

An important goal of the program is to encourage the transfer of knowledge and ideas. To this end, the winners will not only be showcased in University Manager and on the CAUBO web site, but will also appear, along with all other submissions, on the effective practices web site of the Council of Higher Education Management Associations, a consortium of all major associations such as CAUBO, NACUBO, APPA, CUPA, SCUP and many others. Look for the site soon at www.chemapractices.org.

Once again, our sponsors, Royal Bank and Ricoh Canada, have contributed much to the program, through their financial contribution and their involvement in the selection process. We are grateful for their continued support.

The University of Calgary (First Prize)

“ The design, development and implementation of competency-based human resources processes for unionized support staff and management and professional staff”

In 1996, the University of Calgary began a transformation that was driven internally through a strategic planning process to address competitive pressures, and externally through the increased demand for performance measurement and accountability. This emphasis on planning, outcome attainment and efficiency required a supportive culture. These and other critical institutional capabilities were addressed in part through identifying and systematically applying required staff competencies in core areas.

Competency-based processes were developed to replace functionally based processes in Human Resources. This required a complete integrated approach and the transformation of most human resources processes throughout the organization, including systems re-design and changes to budgeting processes. It also required a shift in the services provided by Human Resources staff from a control and compliance model to a consultative client-based model. Competency-based processes became the basis for staffing, performance enhancement, learning and development and compensation and rewards for all support staff. The processes were integrated to complement each other (for example, learning and development initiatives are based on identified development gaps of staff).

The project was completed in four significant phases, each of which included wide consultation: (Critical Path)

Phase 1 Pilot projects in eight units (academic and non-academic)
Phase 2 Implementation of competency-based job profiles and feedback processes for unionized support staff and management and professional staff
Phase 3 Design and implementation of competency-based, pay-for-performance for management and professional staff
Phase 4 Negotiation and implementation of competency-based broad pay bands for unionized support staff

Overall Project Management:

Throughout each phase of the project, staffing processes were redesigned to incorporate competency-based processes, systems development took place to automate the processes, and budgeting processes were revised as necessary. The project was completed with minimal external resources (consultants) to achieve maximum buy-in through wide consultation and internal design. The efforts and participation of the management and professional staff who assisted in the design and implementation of the project were critical and contributed in large part to the successes.

Université Laval (Second Prize)

" Computerized research ethics compliance certificate management system "

In recent years, all the major university research funding bodies such as SSHRC, NSERC, MRC (at the federal level), FCAR and FRSQ (in Quebec), have gradually transferred to universities the responsibility for issuing and managing compliance certificates for the protection of human subjects, the use of domestic and wild animals, the evaluation of biological and environmental risks and the use of radioactive materials and chemical products. As a result, universities must henceforth ensure that research protocols meet the ethical standards set by granting bodies, failing which funding for projects that do not meet such standards are not to be made available to researchers.

In order to satisfactorily meet this ethics mandate, Laval University relies first on five internal committees whose role is to oversee research projects conducted at the university: the Ethical Research Committee (human subjects), the Animal Protection Committee, the Biological Risk Management Committee, the Radioactivity Protection Committee and the Chemical Products Management Committee. Each committee must issue a compliance certificate or permit for each research product that so requires.

The idea of developing a computerized, interactive and innovative system to manage ethical research compliance permits and certificates flows from Laval University's desire to continue to meet its responsibility to society and carry out its mandate with respect to the granting bodies. It is doing this in spite of scarce resources and in spite of the impressive volume of some 2,500 research projects that are undertaken annually through the University, for a value in excess of $125 million in 1998-99.

Description of system:

The system is described in general terms in a document entitled "Présentation du système de gestion informatisée des certificats de conformité" [Presentation of the computerized compliance certificate management system], which is found on the Laval University web site "Alérion", at "Recherche universitaire", "Éthique de la recherche". The web site for direct access is as follows:

www.ulaval.ca/vrr/deontologie/gestion_informatise_deontologie.html

Briefly put, the system operates as follows. As soon as a research project involving a funding application is captured in the Système d'information sur la recherche à l'Université Laval (SIRUL), the researcher receives an initial e-mail from the office of the Vice-Rector (Research), in which he is asked to complete an electronic form entitled "Déclaration de conformité déontologique en recherche" [Ethical research compliance declaration], to which he has direct access through a link in the e-mail he has received.

If the researcher fails to follow up on this first e-mail, a reminder is automatically generated by the system and sent to the researcher, with copy to the head of the research unit, who is asked to intervene.

The compliance declaration form, once completed by the researcher, is sent electronically and is automatically entered in the system. Subsequently the researcher receives a new message directing him to one of the five committees. At the same time, all elements of the research project that have been entered in the data bank are automatically sent to the committee in question.

In the message received by the researcher, a link gives him direct access to the web site of each of the committees to which he should submit his permit application. All relevant information, as well as the application form he must complete are provided at the site. (Access to each of the committee web sites is possible via the above-mentioned web site entitled "Recherche universitaire", at "Éthique de la recherche".)

Once the application sent to the committee by the researcher has been analysed, the committee files its decision in the system. An appropriate message is automatically sent to the researcher and, at the same time, to the Department of Finance, which is authorized to release the funds.

When a permit or certificate expires, the researcher is automatically informed, as is the unit research head and the appropriate ethics committee. The certificate renewal application is then issued and is managed by the system in a manner similar to that followed for the original application.

That, essentially, is how the Laval University computerized research ethics compliance certificate management system operates. It also has many other functions that cannot be set out in this summary.

University of Alberta (Third Prize)

" University of Alberta / TELUS Alliance"

Recognizing the growing role and critical importance of telecommunications to its mission of teaching and research, and recognizing that telecommunications capabilities have evolved from a utility service to a strategic asset, in February, 1997, the University of Alberta concluded a strategic business 'Alliance' with TELUS. More than merely a single-vendor contract, this innovative partnership, now entering its fourth year, is a mutually governed and carefully managed alliance between a major university and a private sector service provider. This alliance, unique in Canada, and, indeed, perhaps in North America, features a governance system that enables the University of Alberta to oversee and manage its sourced telecommunication services (valued in aggregate at between $6 million and $7 million a year). Further it enables the two organizations to pursue other initiatives that yield large benefits for both partners.

A ten-year, renewable agreement with three-year planning and evaluation cycles, the Alliance's unique governance model is easily adapted by other institutions, offers compelling benefits, and has drawn wide praise. In agreeing to collaborate further in telecommunications development, the Alliance capitalizes upon complementary strengths and shared visions of technology as a tool to support learning. The Alliance first identified nine specific areas of mutual interest in which to pursue initiatives. It then adopted a governance structure that draws upon the strengths of both partners, generates legally binding contracts for specific products and services, and, finally, vests responsibility and authority for their successful implementation in the administrative personnel who deploy the financial and human resources of both the University and TELUS. This strategy and structure have been key factors in the success of the Alliance during its first three years of operation.

The University's interests are protected by carefully structured management clauses in all formal contracts, for example, by a "best price" guarantee; third-party review; performance standards; and a quality maintenance requirement for new technologies and products to enhance services.

The University's benefits to date include (but are not limited to) annual savings on telephone access; a 51 percent reduction in long distance and toll-free rates (which continue to decline); a 28.6 percent increase in the number of phone lines at no cost; significant cost avoidance in wiring student residences; creation of an advanced learning centre building with a transformational capital donation of $12.9 million by TELUS; and a further $500,000 in direct support of other University activities. These benefits are exclusive of a myriad of service and technology improvements.

University of Prince Edward Island (Atlantic Regional Award)

" Web-based Registration and Reporting System"

In less than one year of development time, the University of Prince Edward Island transformed its registration process from the traditional mail-in or in-person system to a tailor-made, state-of-the-art Web-based registration system which 85% of students elected to use during the most recent registration period. What makes UPEI's registration system extraordinary, however, is that it is designed not only to facilitate students' registration, but is also seamlessly integrated with student records. The system, developed in-house at UPEI with UPEI students in mind, is designed to assist them from their first admission to the University through to their graduation, giving them self-directed, continuous access to their registrations and their academic records and allowing them to track their progress through their degree programmes using an interactive Degree Audit function.

UPEI's Web-based registration and reporting system is unique to the University, designed and developed to meet the needs of a small, student-centred institution. It represents a remarkable achievement not only because of the efficient service it provides to students, but because the process of implementing the system has contributed significantly to the University, demonstrating the will of an administrative department-the Registrar's Office-to renew itself and to institute timely responses to recommendations for improvement. It has created cohesion within the University community by creating an opportunity for consultation and discussion about students' needs for efficient registration and for ongoing, immediate access to their records. The project has built a strong partnership between the Registrar's Office and the Computer Services department, demonstrating what can be achieved on campus through cooperation. That the system was developed by in-house staff, building on existing systems rather than imposing external software, demonstrates UPEI's ongoing commitment to meeting the particular needs of the campus community through capacities built within the institution.

Implementing a system of Web-based registration and reporting has been an important element in the renewal of UPEI's Registrar's Office. Registration has become more manageable and more student-focused. The process is participatory and inclusive, led by a Registrar's Office better equipped than ever to respond to the needs of students, faculty, and other members of the campus community.

Université du Québec à Montréal (Québec Regional Award)

" Classroom troubleshooting service"

After many years of university budget reductions, particularly severe at UQAM, the University tabled its action plan for integrating information technologies and training (Plan d'action pour l'intégration des technologies de l'information dans la formation) in 1998. During the period of reflection leading up to the tabling of this action plan, UQAM's Audiovisual Department (AVD) identified a number of obstacles that were slowing the application of technology to teaching, including user insecurity toward audiovisual and multimedia equipment in the classroom. To help overcome these obstacles and address the complexity of requests from professors and their need for training on how to use sophisticated devices, the AVD developed a support service to foster the use of technology in class (classroom troubleshooting) by a qualified, mobile team capable of responding with 15 minutes' notice to professors in need of assistance anywhere on campus.

The UQAM Audiovisual Department strongly believes that technology must be a tool for improving the quality of teaching rather than an end in itself. It also believes that professors are experts on the content conveyed by the information and communication technologies (ICT) used in education.

On the strength of its beliefs, the AVD in collaboration with other departments is also proposing a program of classroom media fit-ups spanning five years in the ultimate aim of equipping one-third of UQAM's 200 classrooms with permanent, multimedia devices.

These support activities (classroom troubleshooting and multimedia rooms), initially intended primarily for faculty, are now also available to students for presentations in class, laboratories, seminar rooms and research facilities for academic purposes.

The irrefutable success of the project, as measured by the high level of faculty satisfaction and the growing use of ICT in the classroom, among other things, prompted us to apply for the

Quality and Productivity Awards Program in the hope it may offer inspiration to our colleagues at other universities who confront the same developmental constraints in these years of financial difficulty.

Carleton University (Ontario Regional Award)

" Waiting for Technology: Process Redesign as a Change Agent at Carleton University "

Starting in November 1994, a working group convened by the President met to examine the desirability of introducing quality management approaches at Carleton University. By May 1995 faced with strong incentives for institutional change - steep funding cutbacks, declining enrolments, a faculty-centred culture and increased competition for new students - the group had switched to investigating business process reengineering as an appropriate response. In the same period, it was increasingly apparent that IT (information technology) solutions were very limited, due to an aging and overburdened administrative computer system. So, between 1995 and 1998 and in the absence of the institution's ability to fund a major investment in technology, Carleton University embarked on a series of Process Redesign projects to effect necessary change. These projects were to have a profound impact upon the institution. They have improved productivity in several departments and gone a long way towards enhancing the administrative experience for students.

Significant features of the projects were:

• they were very effective as a primary change agent
• the tangibles can be measured in dollar savings (tens of thousands of dollars)
• the intangibles had the power to shift our organizational cultures to address pressures we had at the time
• they showed us that not all solutions lie in IT - but since many do, Redesign recommendations catalyzed the University to invest in replacement computer systems in 1999
• they garnered support at all levels of the University (from strong executive support and leadership; to customer input; to staff teams' involvement and their evident personal job satisfaction, so that skill development is distributed to their home departments; to buy-in from academic departments; to participation by union members)
• There was a desirable evolution (and recognition) of where administrative attention and effective management is deserved: we went from redesigning core business processes (payroll, purchasing) to the more critical, client-centred processes (registration, communications with students, classroom scheduling, student payments). These culminated nicely in a pilot project on Customer Service culture in the University, which won kudos from such diverse critics as ancillary services (Bookstore) and academic departments.

The University of Calgary (Western Regional Award)

" The Infonet - Student Emprovement through Self Service"

The Infonet was initially created and put into production in May of 1998 to enable students to automatically register and enroll in courses without having to line-up or manually determine if a particular class or degree program was available or appropriate, and applicable fees required. These features have long been available through our telephone registration system, however a graphical user interface with sub second response time accessing and updating real time information was required.

The InfoNet provides students, prospective students, faculty, staff and alumni with secure and highly functional World Wide Web access to records so they can:

• Plan and transfer courses credited at other institutions
• Apply for admission
• Monitor their own progress towards graduation
• Register in the appropriate courses
• Display timetable and required textbooks
• Display final emanations timetable
• View final grades
• View a Universal Student Rating of Instructors
• Fees assessed and make payments online
• Transcripts sent to appropriate location

The key feature to the Infonet is it's ability to provide all of the this information in real time. Class availability, registration, fee assessment and payment are done immediately. When a student registers in a course a labyrinth of complex prerequisites are determined, the appropriate fee is calculated, the class is scheduled, appropriate timetable is created with required textbooks, and an online payment option is displayed. The information, current to that moment in time and the request is satisfied in seconds.

This is no small task given The University of Calgary has 25,000 students, with 16 Faculties, including Graduate Studies, Law and Medicine with extremely complex regulations, varying fee structures, and extremely limited resources.