Section 3 Quality frameworks
3.4 Applying a quality framework
3.4.2 The Swinburne Quality Management System (SQMS)
3.4.2.1 Framework description
The SQMS model was originally based on the Scottish Quality Management System. SQMS is a system based around the needs of educational institutions (see http://www.sconto.demon.co.uk/sqms.htm for details on the system). It is defined within Swinburne documentation as ‘A documented management system that meets the requirements of a defined standard, and designed to ensure that the quality of the programs and services provided by the University meet the goals and objectives. This management system also includes the documented process for continuous improvement’ (Glossary—
SQMS Formal Review Information Pack, quoted in Swinburne University of Technology ‘Overview of SQMS’)
5. Research
6. Strategic Management 7. Financial Management 8. Marketing
9. Staffing
10. Staff Development 11. Equity
12. Health and Safety 13. Premises, Equipment
& Resources
14. Communication and Admin.
15. Quality Management 1. Guidance and Support
Learners, Researchers, Community Clients
3. Program Delivery/Conduct
2. Program Design 4. Assessment of
Attainment
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Swinburne have adapted what is largely an externally assessed system to one that is used in-house, and is driven by a self-assessment process using the ADRI (Approach, Deployment, Results and Improvement) model. Self- assessment is undertaken on one of 15 criteria (see above) on an annual basis. These criteria have been adapted from the 14 standards that make up the basis of the Scottish system, with the addition of ‘Research ñ the
achievement of high standard research activity’, as the fifteenth criteria specific to Swinburne.
In order to achieve improvements in key processes as described in SQMS, the Swinburne Quality Review Program (SQRP) was developed. This consists of continuous improvement through self-assessment and validation review.
Organisational units are required to self-assess on ‘one or more of the SQMS processes annually’. This is followed by validation reviews of selected units conducted by staff from other areas.
• A full outline of the SQMS and 15 key processes is available at http://www.swin.edu.au/qed/overview.htm).
3.4.2.2 Implementing SQMS: Swinburne University library
(Information source: Fran Hegarty (Director, Information Services), Denise Doherty (Manager, Information Support Services), Rose Humphries, Library Manager (Prahan Campus Librarian), Rob Carmichael (Head, Office for Quality Education), March 1999).
The SQMS is an institution-wide system. In adopting the system to manage library planning and quality service delivery, Swinburne University Library have had the support and advice of the University Quality Unit and staff, who have worked actively with library staff to successfully implement the system.
Why SQMS?
From the Library perspective, SQMS is seen largely as providing a framework that has, unlike others, been developed specifically for educational
institutions; is flexible; lines up with ISO and AQC frameworks, and yet is a quality management system in its own right. It has enabled the Library to assess and improve a number of services formally by identifying
gaps/needs/areas for improvement, establishing the action needed to improve the service, and then setting targets for improvement. Overall quality
management is seen to be ‘high priority’ and senior staff are now committed to seeing the adopted model work, and appear to be active ‘sellers’ to other staff.
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Criteria for successful implementation
SQMS is viewed as a flexible approach to quality improvement. The Program started with a series of pilot audits that were formal and not well received due to lack of integration with core business. There is now a closer alignment with the strategic planning process, and a movement away from corrective action requests, to a more developmental focus through internal bench- marking. This reflects the impression that quality at Swinburne is moving to a continuous improvement/self-assessment model, in line with the changed emphasis of the new ISO 9000 (2000) standard, and the Australian Quality Awards for Business Excellence Framework, rather than a model based purely on quality assurance/documentation.
Training commitment
• On-going ‘quality training’ programs both in relation to the overview of SQMS, Australian Quality Council programs, and in areas identified as deficit eg. customer service training;
• A number of university staff, including members of library staff, have received internal auditor training;
• Quality facilitators also have ISO 9000 training;
• Benchmarking training has been conducted by an external trainer; and
• Self-assessment teams are cross functional and have been trained in best practice for teams.
Organisational features
SQMS is seen as a process model for organisational change, working up from unit level to corporate level. Self-assessment scoring occurs at unit level. It is a top down and bottom up approach that encourages change from below, linked to organisational and institutional strategic priorities. Recently, the focus has changed from validation review, to validation through internal bench- marking, on the basis that potential outcomes are likely to be better,
particularly in relation to continuous improvement and exchange of ideas. It is useful therefore when more than one area undertakes assessment of the same criteria in the same year.
To date the library has assessed performance against Criteria 13—Premises, Equipment and Resources (1995),and, at March 1999, was preparing for assessment against Criteria 14—Communications and Administration. Once every five years a full organisational audit is undertaken. Criteria are
nominated for review on an annual basis. Developmental Action Plans (DAP) are developed as a result of feedback from the assessment process. These are
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reviewed by the Validation team which then generates Corrective Action Requests (CAR). The earlier exercise involved a large amount of work re-analysing and re-interpreting criteria to match library needs at a micro rather than macro level. The subsequent 1996 Validation Review process saw a team of 4 validators, from all areas of the university, review documentation and processes and pick up on gaps. Questions from this team were submitted in advance of the site visit that focussed on one campus library only.
How well is SQMS integrated into Library management and planning processes?
Full integration has not happened as yet. Quality management processes are still not central in all undertakings. Cultural change is happening slowly.
‘Quality’ has become a standing item at all meetings of management/sectional groups.
Relationship between SQMS and other quality frameworks and tools—
CHEMS and benchmarking
In 1998 CHEMS addressed benchmarking in library and information resources.
This was largely a qualitative exercise addressing the following areas:
• Strategy, policy, planning and good management;
• Library services;
• Access;
• Collections;
• Support and training; and
• HR management.
The combination of CHEMS and SQMS has allowed Swinburne to assess performance at both organisational and unit level. Because of the external context of CHEMS, weaknesses identified against the statements of good practice are likely to be addressed sooner. The Library found the discipline of completing the questionnaire, and rating against statements of good practice, to be an excellent method for identifying and addressing areas for
improvement—in this instance, external benchmarking provided a greater motivation to improve performance.
ISO 9000
The TAFE division at Swinburne will be seeking ISO 9000 certification in early 1999. The Library (which serves both TAFE and higher education sectors), is considering the possibility of being party to this.
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Challenges
Implementing any quality management system implies a number of challenges. Those encountered by Swinburne include:
• Implementation within a multi-campus/TAFE/Higher Education organisational environment;
• Communication—Effort has been put into communication through staff meetings, in order to encourage all library staff to see how and where the self-assessment process (for example) sits within both the overall program, and library specific services. In addition, multi campus challenges exist with respect to communication, and may include making connection back to senior management based at a specific campus, perceived over servicing at campuses etc.;
• Overcoming resistance to and encouraging ‘cultural change’; and
• Difficulties dealing with recommendations and corrective actions (as a result of the SQMS review process), when there are budgetary implications or lack of university resources, policies or processes in place to address the problem effectively.
Achievements
• Identified areas for corrective action; and
• Heightened awareness of the continuous improvement cycle