AIMS Project
Audit and Integration of Management Systems
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AIMS Project Audit and Integration of Management Systems |
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Organisational Design & GovernanceBackgroundAIMS set out to ensure the effective and efficient functioning of UCT in its structures, processes and day-to-day operations. The Organisational Design & Governance (ODG) stream contributed to this objective by reviewing decision-making structures and processes in the University, from the level of Council to the level of Faculty Boards. ODG review encompassed the structures and processes of governance, management and devolution and culminated in a report adopted by Council in November 2000. While the ODG stream was an integral part of AIMS, it differed in some respects from other AIMS streams, in recognition of the fact that it was dealing with issues at the heart of the institution's identity, that its recommendations would have a University-wide impact, and that UCT ownership of the work was therefore crucial. From inception, the stream was led by UCT members of the AIMS team, supported where appropriate by external consultants (in other streams, external consultants led both content and process, with progressive skills transfer to UCT staff). The ODG stream made its recommendations to Senate and Council (other streams generally made their recommendations to the AIMS Steering Structure). Care was taken to engage UCT stakeholders at each step of the stream's progress, and to use the University's formal structures and processes for consultation and information-sharing, wherever appropriate. The ODG terms of reference included:
ODG ProcessODG Phase 1 (November 1999-April 2000)In phase 1, the work centred on the consultancy of higher-education expert Prof Michael Shattock (former Registrar of Warwick University in the UK), and included an initiating workshop in December 1999, as well as interviews with critical stakeholders. This phase culminated in the "Shattock Report" which provided one perspective on governance and management issues UCT might choose to address. ODG Phase 2 (May-December 2000)The ODG stream was relaunched in May 2000 with investigative capacity in the form of three Working Groups whose establishment and terms of reference were adopted by Senate in April 2000 and approved by Council in May. The four focus areas were:
The logic and design of the Phase 2 process is illustrated in Figure 4A, and is expanded upon in what follows.
ODG Working Groups & Natural Work TeamsThe ODG Working Groups were launched on 11 May 2000 and were asked to investigate and report upon their brief by the end of June. Each group conducted a wide range of interviews within its own area (using questionnaires in some instances) and consulted documentary and Internet sources in order to formulate observations and recommendations. Where the ODG stream determined that Working Group recommendations warranted further investigation, this was undertaken by associated Natural Work Teams. The ODG Working Groups and Natural Work Teams are illustrated in Figure 4B.
Committee StructuresThe Committee Structures Working Group focused on the governance domain, exploring principles and ideas for an integrated committee structure at UCT. The Committee Structures Working Group Report was submitted at the end of June 2000, and included the following recommendations (these were inputs to the developing ODG work and not necessarily the final recommendations):
From the report, the ODG stream identified those issues warranting further investigation and a Committees Natural Work Team was convened for this purpose, from July through December 2000. The Committees Natural Work Team proposed a new committee structure, based upon the "clustering" idea initiated by the Working Group, as well as a new set of committee terms of reference. These proposals were developed in consultation with Committee Chairs and approved by Senate in Feburary 2001 and Council in March 2001. More details about the new committee structure can be found under ODG Implementation. Management StructuresThe Management Structures Working Group focused on the management domain, exploring ideas for the appropriate form, interrelation and implementation of high-level managment structures, as well as the relationship between management and governance structures in insitutional decision-making. The Management Structures Working Group Interim Discussion Document was submitted at the end of July 2000, and put forward concepts, principles and possible structures that could be applied to render governance and management at UCT more focused, integrated and effective. Ideas included (these were inputs to the developing ODG work and not necessarily the final recommendations):
From the interim discussion document, the ODG stream identified those issues warranting further investigation. Aspects of the investigation were undertaken during July and August 2000 by a Flexible Management Structures Natural Work Team. In the same time period, workshops and discussions were held with members of the University's Executive and management teams. Role of DeansThe Role of Deans Working Group focused on the devolution domain, investigating and evaluating the authority, accountabilities and responsibilities of Deans in a devolved management framework. The Role of Deans Working Group Report was submitted at the end of June 2000, and included the following recommendations (these were inputs to the developing ODG work and not necessarily the final recommendations):
From the report, the ODG stream identified those issues warranting further investigation. A Role of Deans Natural Work Team was convened for this purpose during July and early August 2000. The Role of Deans Natural Work Team proposed a Schedule of Deans' Authorities, classified according to academic functions, human resource managment issues, and finance and operational issues. This draft Schedule formed part of the ODG Report presented to Senate and Council in 2000, but was considerably developed after that point. More detail about the Schedule of Deans' Authorities can be found under ODG Implementation. Discussion of the Role of Deans Working Group Report with Council on 17 July 2000 established the need to explore the nature of Deanship from the perspective of the "lived experience" of Deans. Interviews were conducted during August 2000, and the results of the work captured as a separate report on Deanship (UCT intranet only) for the consideration of the ODG stream. Integration & Consolidation of FindingsDuring the period in which the Working Groups were active, the ODG stream conducted four workshops to ensure integration, and as far as possible to develop consensus across the stream domains. The workshops were complementary to the ODG stream's continuous efforts to support and integrate the Working Groups, to carry out interviews and discussions with both individuals and groups in the University, and to create synergies with other elements of the AIMS project (in particular the Planning & Budgeting and Functional Strategic Overview streams). In addition, the ODG stream established a relationship with the Council Ad Hoc Committee on Governance, which emphasised that the stream should ensure institutional participation in the developing work and avoid the presentation of formal proposals only after substantial institutional resources had already been invested. The ODG stream thus embarked upon a programme of focused discussion with governance and management bodies at UCT:
During August 2000, the ODG stream benefited from the advice of higher-education expert Professor Gil Whitaker (former Provost of the University of Michigan). Prof Whitaker reviewed the work of the ODG and Planning & Budgeting streams, and provided key insights to facilitate their alignment. The integration and consolidation phase enabled the ODG stream to access a wide range of opinions and expertise, and to formulate recommendations that had been well grounded with key stakeholders. A draft report was prepared in September 2000, and the process of negotiating consensus around the recommendations commenced. ODG Recommendations Approval ProcessThe ODG recommendations approval process comprised the following steps:
Council urged that the ODG recommendations be implemented and an action plan presented at the earliest opportunity. In December 2000, an ODG Implementation Project Group was established for this purpose, chaired by the Vice-Chancellor. An ODG Report Summary, detailing the content of the recommendations, as well as a report on ODG Implementation, can be accessed by following the links indicated. ODG and the Requirements of the Labour Relations ActGiven that the ODG recommendations could potentially have implications, in terms of the Labour Relations Act, on the roles and responsibilities of senior leadership and management positions, care was taken to conform with both the requirements and intentions of the legislation. The AIMS Human Resources/Employee Relations stream established a consultative framework for the entire AIMS project, which was adapted to the needs of each stream. This included consultation with all UCT staff on the rationale for AIMS review ("ER Milestone 2" - December 1999); and consultation with all staff in payclasses 1-12 and in payclass 13 (not Directors of support departments) on the rationale for possible changes to support services at UCT ("ER Milestone 3" - July 2000). Specifically, and with the agreement of the Vice-Chancellor, the ODG stream developed a rationale for possible changes to governance and management structures and processes at the University ("ER Milestone 3" in ODG). All Deputy Vice-Chancellors, Deans, Directors of support departments and the Registrar were invited, at the beginning of August 2000, to make representations on this rationale: "Proposals for possible changes to governance and management structures, functions and processes at UCT must be consistent with UCT's Mission Statement and Strategic Planning Framework and achieve the following:
The majority of responses supported the rationale and it was therefore not amended. In approving the ODG Report, Senate and Council were asked to approve that recommendations constituting a proposal for change be put to potentially affected staff for consultationand proposals for modification, prior to any decision being made. Where necessary, these considerations have formed part of the ODG implementation process. Team
ODG Evaluation ReportMembers of the University community began their evaluation of the ODG workstream in September 2001. The ODG Evaluation Report (Interim) may be accessed here, or via the Project Evaluation page, which describes the AIMS Evaluation process that has been followed since project end. Links to Additional Material |
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